identifier
stringlengths 11
32
| pdf_url
stringlengths 17
4.62k
⌀ | lang
stringclasses 120
values | error
stringclasses 1
value | title
stringlengths 2
500
⌀ | source_name
stringlengths 1
435
⌀ | publication_year
float64 1.9k
2.02k
| license
stringclasses 3
values | word_count
int64 0
1.64M
| text
stringlengths 1
9.75M
|
|---|---|---|---|---|---|---|---|---|---|
https://openalex.org/W3136964684
|
https://www.techscience.com/uploads/attached/file/20210311/20210311014347_85434.pdf
|
English
| null |
Effect of Ultraviolet Aging on the Bonding and Tensile Properties of Polymer-Cement Composite
|
Journal of renewable materials
| 2,021
|
cc-by
| 5,804
|
ech
T
Press
Science DOI: 10.32604/jrm.2021.014878 ABSTRACT In this paper, the specimens of polymer-cement composites after 1 d, 7 d, 15 d, and 30 d aging without aging and
UV aging are subjected to fixed extension test and tensile test. By observing the mode of the composite in the
fixed-elongation test, and measuring the elastic recovery rate, tensile strength, elongation at break, peak tensile
strain, tensile toughness and pre-peak tensile toughness of the composite, the effects of UV aging on the bonding
and the tensile properties of the composite were studied. And combining with scanning electron microscopy
experiments, the micro-mechanism of the effect of ultraviolet aging on the properties of composite was analyzed. The results showed that the composite had a good bonding property, and no damage was observed after UV aging
for 30 days. The UV aging increased the elastic recovery rate and peak tensile within a certain range. The elastic
recovery rate and peak tensile strain of the composite increased by 6.60% and 23.55% respectively after UV aging
for 15 days. Therefore, the UV aging could enhance the tensile property and the tensile energy consumption per-
formance of the composite. The tensile strength of the composite increased by 65.36% after UV aging for 30 days. The tensile toughness and pre-peak tensile toughness of the composite were increased by 43.29% and 101.83%
respectively after UV aging for 15 days. The elongation at break of composite decreased continuously after UV
aging due to the photo-oxygen reaction, as well as secondary hydration reaction and cross-linking curing reaction
of cement. KEYWORDS Polymer-cement composite; ultraviolet aging; bonding property; tensile property; failure mode; microstructure Zhihang Wang1,*, Jinyu Xu1,2, Xin Meng1 and Congjin Zhu1 1Air Force Engineering University, Xi’an, 710038, China
2Northwest Polytechnic University, Xi’an, 710072, China
*Corresponding Author: Zhihang Wang. Email: wangzhihangafeu@163.com
Received: 05 November 2020
Accepted: 10 December 2020 This work is licensed under a Creative Commons Attribution 4.0 International License, which
permits unrestricted use, distribution, and reproduction in any medium, provided the original
work is properly cited. 1 Introduction Polymer-cement composite is a two-component polymer produced in reaction between polymer film
formation and cement hydration, for which organic polymer and cement are mixed, with additive and
filler added. This materials usually have the advantages of cement-based materials, such as good
durability, high strength, low price and environmental protection, and polymer materials, such as high
bonding strength and flexibility [1]. The polymer-cement composite prepared with styrene-acrylic
emulsion and VAE emulsion as organic components is broadly used in building waterproofing, concrete
pavement joint sealing, airport pavement joint engineering and etc. for low production cost, no pollution,
as well as excellent cohesive deformation and waterproof properties [2–4]. Especially as applied in This work is licensed under a Creative Commons Attribution 4.0 International License, which
permits unrestricted use, distribution, and reproduction in any medium, provided the original
work is properly cited. 1158 JRM, 2021, vol.9, no.6 JRM, 2021, vol.9, no.6 airport pavement joint engineering or pavement caulking, the polymer-cement composite may bond with
cement concrete properly with excellent sealing and deformation performance, thus effectively preventing
failures of joints, such as mud pumping, spalling, shatter and faulting of slab ends due to fracture or
aging of the caulking material, and ensuring the safe operation of aircraft [5,6]. For airport pavement
caulking material used in natural environment, the performance in mud pumping may be influenced by
many environmental factors, such as solar radiation, ultraviolet light, temperature, humidity, rain, snow,
and chemical medium. These factors will lead to degradation of the composite in macroscopic
performance and reduce the service life of the caulking material [7]. Many scholars have studied the polymer-cement composite [8–11]. Choi et al. [12] studied the effect of
ethylene-vinyl acetate polymer emulsion on the performance of polymer-cement composite, and found that
ethylene-vinyl acetate polymer emulsion could improve the flexural strength and compressive strength of
the composite, as well as the chloride ion penetration resistance. Tsukagoshi et al. [13] studied the influence
of different humidity conditions (25%, 60%, 98%) for maintenance on the tensile property of waterproof
coating for the polymer-cement composite, and established a numerical model for hydration–evaporation
water loss and film formation by polymer coalescence in the polymer-cement composite system. Ohama
studied the microstructure of polymer-cement composite, proposed a model to explain the reinforcement
mechanism of polymer cement, which was then modified by Ma and Plank from different perspectives
[14–16]. Melichar et al. 1 Introduction [17] studied the proportioning of mixture for the polymer-cement composite at
extreme temperatures, invented a polymer cement mortar used at extreme temperatures, which may also be
applied to reinforced concrete structures as a repair mortar. Soko1owska et al. [18] studied the influence of
acidic environment on the degradation of polymer cement concrete, and evaluated the resistance of polymer
cement concrete to chemical erosion based on indexes like mass, compressive strength and flexural
strength. Soufiet al. [19] systematically studied the effects of copolymer of ethyl acrylate and phenethyl
acrylamide on durability indexes of modified repair mortar, e.g., permeability, capillary water absorption
and chloride diffusivity, from the perspective of water migration. However, the above researches most focus
on the influence of type, temperature, acidic environment of polymer on mechanical property of the
composite, and seldom concern the bonding and tensile properties of the composite after UV aging. The
airport pavement caulking material is not only used in the natural environment with complex conditions,
but also bearing horizontal displacement and tensile stress from the seam slot of cement concrete pavement
joint generated for the effects of aircraft wheel load and temperature. To meet the requirements for the use
of relevant airport pavement caulking material, it is of great engineering value and theoretical significance
to study the bonding and tensile properties of the composite after aging under environmental conditions. In this study, the ultraviolet radiation of the composite was simulated by an artificial accelerated ultraviolet
aging method based on the application of polymer-cement composite in airport joint engineering. The influence
of ultraviolet radiation on bonding and tensile properties of the composite was studied through analyzing
changes of the composite in failure mode, elastic recovery rate, tensile property, tensile deformation
property and tensile energy consumption performance before and after ultraviolet aging, and the reasons for
changes in properties of the composite were analyzed microscopically by scanning electron microscopy. In accordance with the Standard GB/T 14522-2008, ultraviolet radiation was performed with a LZW-
050A ultraviolet weather resistance test box at 40°C, wavelength: 315 to 400 nm. Samples were taken to
test after UV aging for 1 d, 7 d, 15 d and 30 d. 2.1 Raw Materials and Specimens Preparation The main raw materials for preparation of polymer-cement composite are as follows: Polymer emulsions
(styrene-acrylic emulsion and VAE emulsions), cement, inorganic fillers (talc powder, Heavy calcium
carbonate), functional admixtures (dispersant, defoamer, Film forming aid, plasticizer, and silane coupling
agent). Various materials are introduced as follows: Acronal S400F ap styrene-acrylic emulsion, viscosity:
400 to 1800 MPa·s, average particle size: 0.1 μm, solid content: 56 ± 1%; CELVOLIT 1350 VAE
emulsion, viscosity: 1500 to 5000 MPa·s, average particle size: 1.5 m, solid content: 55 ± 1%; ordinary JRM, 2021, vol.9, no.6 1159 JRM, 2021, vol.9, no.6 Portland cement 42.5, initial set: 141 min, final set: 296 min; ultrafine talc powder, pure white, fineness:
600 mesh, silica content: 99%; Heavy calcium carbonate, white powder, average particle size: 3 μm; SN-
DISPERSANT 5040 dispersant, NOPCO NXZ defoamer, DN-12 Film forming aid, DOP plasticizer, and
ND-42 silane coupling agent. The polymer-cement composite was prepared according to the ratio given in Tab. 1. For details, see
Fig. 1. After the preparation was completed, the specimen was obtained through pouring together with
cement mortar based material, as shown in Fig. 2. The size of cement mortar based material was 75 mm
× 25 mm × 12 mm, and of polymer-cement composite was 50 mm × 12 mm × 12 mm [20,21]. 2.2 Experimental Equipment and Method
2.2.1 UV Aging Test
In accordance with the Standard GB/T 14522-2008, ultraviolet radiation was performed with a LZW-
050A ultraviolet weather resistance test box at 40°C, wavelength: 315 to 400 nm. Samples were taken to
test after UV aging for 1 d, 7 d, 15 d and 30 d. 2.1 Raw Materials and Specimens Preparation Table 1: Mix ratio of polymer-cement composite (unit: g)
Polymer emulsion
Cement Talcum
powder
Heavy
calcium
carbonate
Dispersant Defoamer Film
forming
aid
Silane
coupling
agent
Plasticizer
Styrene-
acrylic
emulsion
VAE
emulsion
65
35
14
13
13
1.12
0.7
6
0.7
1
Figure 1: Preparation process of polymer-cement composite
Figure 2: Specimen of polymer-cement composite Table 1: Mix ratio of polymer-cement composite (unit: g)
Polymer emulsion
Cement Talcum
powder
Heavy
calcium
carbonate
Dispersant Defoamer Film
forming
aid
Silane
coupling
agent
Plasticizer
Styrene-
acrylic
emulsion
VAE
emulsion
65
35
14
13
13
1.12
0.7
6
0.7
1
Figure 1: Preparation process of polymer-cement composite Table 1: Mix ratio of polymer-cement composite (unit: g)
Polymer emulsion
Cement Talcum
powder
Heavy
calcium
carbonate
Dispersant Defoamer Film
forming
aid
Silane
coupling
agent
Plasticizer
Styrene-
acrylic
emulsion
VAE
emulsion
65
35
14
13
13
1.12
0.7
6
0.7
1
Figure 1: Preparation process of polymer-cement composite Table 1: Mix ratio of polymer-cement composite (unit: g) Table 1: Mix ratio of polymer-cement composite (unit: g) Figure 1: Preparation process of polymer-cement composite Figure 2: Specimen of polymer-cement composite Figure 2: Specimen of polymer-cement composite Figure 2: Specimen of polymer-cement composite 2.2 Experimental Equipment and Method 2.2.1 UV Aging Test 2.2.1 UV Aging Test In accordance with the Standard GB/T 14522-2008, ultraviolet radiation was performed with a LZW-
050A ultraviolet weather resistance test box at 40°C, wavelength: 315 to 400 nm. Samples were taken to
test after UV aging for 1 d, 7 d, 15 d and 30 d. 1160 JRM, 2021, vol.9, no.6 3.1 Failure Mode of Fixed-Elongation Test The bonding property represents the cohesive property of the polymer-cement composite at a fixed-
elongation, which is important for material design. The fixed-elongation failure form is an important
qualitative index to reflect the bonding property of the material. The influence of ultraviolet aging on the
failure mode of polymer-cement composite as joint filler in fixed-elongation test is as shown in Fig. 6. Obviously, no cohesive failure of polymer-cement composite occurred after UV aging for different days
in the fixed-elongation test. The polymer-cement composite was not damaged even after UV aging for
30 days. Therefore, the polymer-cement composite has a good fixed- elongation cohesive property. With
increasing of UV aging time, the color of polymer-cement composite was gradually deepened, and the
distribution of deepened color gradually extended to the whole composite surface. The main reasons for
this was that a UV-irradiation aging reaction of polymer molecules under UV radiation occurred, and the
ultraviolet light broke the polymer molecular chain to form the active radical, which reacted with oxygen
in the air, and generated a new chromophoric group changing the color of the test specimen. The cement
and inorganic fillers in the composite are stable chemically, and so further damage for UV oxidation may
be delayed [27,28]. 2.2.2 Fixed-Elongation Test g
Fixed-elongation test with reference to ISO 11600, JC/T 881 and JC/T976 [22–24], place the prepared
specimen in the fixed-elongation (fixed tensile displacement) test mold, stretch the specimen to 60% of the
original seam width with speed of 5 mm/min, keep the fixed tensile displacement for 24 h, and then observe
the forms of polymer-cement composite at the fixed tensile displacement, check the polymer-cement
composite for cohesive failure. If no failure, remove the specimen and hold for 24 h. Measure the seam
width after elastic recovery of the specimen with a vernier caliper, and calculate Re, the elastic recovery
rate of the polymer-cement composite with Eq. (1). Each set of tests was conducted three times, and the
results were averaged. Re ¼ w1 w2
w1 w0
100% (1) where w0, w1 and w2 are the initial seam width, the seam width at fixed elongation displacement, and the
seam width after elastic recovery of the specimen respectively. The schematic diagram of the fixed-
elongation test is shown in the Fig. 3, the specimen in fixed-elongation is shown in the Fig. 4. where w0, w1 and w2 are the initial seam width, the seam width at fixed elongation displacement, and the
seam width after elastic recovery of the specimen respectively. The schematic diagram of the fixed-
elongation test is shown in the Fig. 3, the specimen in fixed-elongation is shown in the Fig. 4. Figure 3: The schematic diagram of the fixed-elongation test Figure 3: The schematic diagram of the fixed-elongation test Figure 4: The specimen in fixed-elongation Figure 4: The specimen in fixed-elongation 1161 JRM, 2021, vol.9, no.6 2.2.4 Scanning Electron Microscope Test 2.2.4 Scanning Electron Microscope Test COX I EM-30 scanning electron microscope was used. The microsection specimen after gold spraying
was placed in the chamber of scanning electron microscope for observation of microscopic morphology of
the polymer-cement composite before and after ultraviolet aging under magnification of 500x. 2.2.3 Tensile Test Tensile test with reference to JC/T 881, JT/T 589-2004 and GB/T 13477-2002 [25,26], HS-3001B
electronic tensile test equipment was used for tensile test of specimens after different ultraviolet aging
time. During the process, the specimens were loaded into the fixture, and then stretched to failure at a
speed of 5 mm/min. Corresponding load and displacement data were recorded by the test equipment. Each set of tests was conducted three times, and the results were averaged. The schematic diagram of the
tensile test is shown in the Fig. 5. Figure 5: The schematic diagram of the tensile test Figure 5: The schematic diagram of the tensile test 3.2 Elastic Recovery Rate The elastic recovery rate is an important quantitative index to reflect the bonding property of materials. From Fig. 7, which showed the influence of UV aging on the elastic recovery rate of polymer-cement
composite, obviously, the elastic recovery rate of polymer-cement composite first increased and then
decreased with increasing of UV aging time. Within the first 15 days of UV aging, the elastic recovery
rate of polymer-cement composite increased continuously, and was even greater than that of polymer-
cement composite without UV aging. After UV aging for 15 days, the elastic recovery rate of the
polymer-cement composite as joint filler was 73.93%, which was 6.60% higher than that of the polymer-
cement composite without UV aging. After UV aging for 30 days, the elastic recovery rate of the 1162 JRM, 2021, vol.9, no.6 JRM, 2021, vol.9, no.6 polymer-cement composite decreased to 90.86% of that of the polymer-cement composite without UVaging. On the whole, the elastic recovery rate of polymer-cement composite after UV aging for different days was
more than 60%, which met relevant requirements for use. So UVaging increased the elastic recovery rate and
enhanced the bonding property within a certain range. The main reason for this was that a cross-linking
reaction between the active radical on polymer molecular chain in the polymer cement composite and
part of the cement hydration product occurred under UV irradiation, thus resulting in the increase of
cross-linking density, which made the elastic recovery rate of the polymer-cement composite increase
continuously within a certain UV aging time range [29]. However, prolonged ultraviolet aging caused
degradation of polymer molecules for ageing, which broke the chain segment and reduced the of cross-
linking density, thus reducing the elastic recovery rate. Figure 6: The influence of ultraviolet aging on the failure mode of polymer-cement composite in fixed-
elongation test Figure 6: The influence of ultraviolet aging on the failure mode of polymer-cement composite in fixed-
elongation test Figure 7: Influence of UV aging on the elastic recovery rate of polymer-cement composite Figure 7: Influence of UV aging on the elastic recovery rate of polymer-cement composi 3.3 Tensile Strength Property g
p
y
As an important index to characterize the tensile property of materials, tensile strength is the peak stress
of polymer-cement composite specimens under the tensile load. The influence of UV aging on the tensile
strength of polymer-cement composite is shown in Fig. 8. This figure shows that the tensile strength of 1163 JRM, 2021, vol.9, no.6 polymer-cement composite increased with increasing of UV aging time. The tensile strength of polymer-
cement composite was 0.48 MPa after UV aging for 1 day, which rose only by 5.23%, but increased
significantly to 0.70 MPa after UV aging for 7 day. The tensile strength increased continuously with
increasing of UV aging time. After UV aging for 30 days, tensile strength of the polymer-cement
composite increased by 65.36%. Obviously, the ultraviolet aging increased the tensile strength of
polymer-cement composite and improved its tensile property. And the longer the UV aging time is, the
more obvious the effect will be. Figure 8: Influence of UV aging on the tensile strength of polymer-cement composite Figure 8: Influence of UV aging on the tensile strength of polymer-cement composite The tensile strength of polymer-cement composite increased significantly with increasing of UV aging
time for two reasons. First, under the UV radiation, a cross-linking reaction occurred inside the composite,
the composite was cured, and thus, the integrity of the composite, as well as its tensile property, was
improved [29]. Second, under the UV radiation, the unhydrated cement inside the composite was further
hydrated, and thus, the skeleton for hydration network of cement inside the composite, as well as the
tensile strength of the composite, was continuously strengthened [30]. 3.4 Tensile Deformation Property The tensile elongation at break and the peak strain are usually used to measure the tensile deformation
property of materials. The tensile elongation at break is the ratio of the seam width at break to the initial seam
width of the specimen of polymer-cement composite. The peak tensile strain is the strain when the peak stress
of the polymer-cement composite specimen is reached during the tensile process. The influence of UVaging
on the tensile deformation property of polymer-cement composite is shown in Fig. 9, the elongation at break
of polymer-cement composite decreased continuously with increasing of UVaging time. After UVaging time
for 15 days and 30 days, the elongation at break of polymer-cement composite was 337.09% and 304.89%,
which were decreased by 17.60% and 25.62% respectively. With increasing of UV aging time, the peak
tensile strain of polymer-cement composite increased first, and then decreased. When the UV aging time
was up to 15 days, the peak tensile strain of the polymer-cement composite was at maximum, which was
increased by 23.55%. After UV aging for 30 days, the peak tensile strain of the polymer-cement
composite was decreased significantly, and even lower than that of the polymer-cement composite
without UV aging time. The peak tensile strain decreased by 7.08%. Therefore, the UV aging influenced
the elongation at break of polymer-cement composite greatly, and it reduced the elongation at break. And
the UV aging increased the peak tensile strain of polymer-cement composite within a certain range. The polymer molecular film was cured and the cement was further hydrated under UV radiation, thus
improving the rigidity of polymer-cement composite, and reducing its viscosity as well [31]. As a result, 1164 JRM, 2021, vol.9, no.6 the elongation at break of polymer cement composite decreased continuously. The peak tensile strain of
polymer-cement composite was increasing with the rigidity. Prolonged ultraviolet aging made the
molecular chain of the composite break, and thus, internal cracks were formed, and the structure became
relaxed. At this point, the polymer-cement composite was damaged under a small peak tensile strain. Figure 9: Influence of UV aging on the tensile deformation property of polymer-cement composite Figure 9: Influence of UV aging on the tensile deformation property of polymer-cement composite 3.5 Tensile Energy Consumption Performance Figure 10: Influence of UV aging on the tensile energy consumption performance of polymer-cement
composite Figure 10: Influence of UV aging on the tensile energy consumption performance of polymer-cement
composite 3.5 Tensile Energy Consumption Performance Compared with other emulsions such as styrene-butadiene emulsions, styrene-acrylic emulsions and
VAE emulsions contain certain active groups, which is beneficial to improve the performance of polymer-
cement composite. The energy consumption of materials under tensile load is usually quantitatively
characterized by tensile toughness and pre-peak tensile toughness. The tensile toughness is to represent
the amount of energy absorbed by the polymer-cement composite throughout the process of tensile
loading while the pre-peak tensile toughness is to represent the amount of energy absorbed by the
polymer-cement composite before it is damaged. The influence of UV aging on the tensile energy
consumption performance of polymer-cement composite is shown in Fig. 10, with increasing of UV aging
time, both the tensile toughness and the pre-peak tensile toughness of polymer-cement composite
increased first, and then decreased. After UV aging for 15 days, the tensile toughness and the pre-peak
tensile toughness of the polymer-cement composite were at maximum, which respectively are 2.13 J·cm−3
and 1.33 J·cm−3, increased by 43.29% and 101.83% respectively as compared with those of unaged
polymer-cement composite. The tensile toughness and pre-peak tensile toughness of the polymer-cement
composite decreased after UV aging for 30 days, but still increased by 29.13% and 55.56% respectively
as compared with the those of polymer-cement composite. On the whole, UV aging enhanced the tensile
energy consumption performance of polymer-cement composite obviously. After UV aging, the tensile
toughness and the pre-peak tensile toughness of polymer-cement composite were significantly improved. With ultraviolet aging time, the polymer molecular chain broke, and there were more cracks in the
composite. Thus, more free pores were available for the polymer molecular chain to freely curl, flex, and
rotate under external load. Pores of different sizes were also the basic conditions for absorbing and
consuming a large amount of deformation and fracture energy [28]. Therefore, the tensile toughness and
the pre-peak tensile toughness of the polymer-cement composite were increased. As the UV aging was
further prolonged, the increased active groups formed by the fracture of polymer molecular chains and
hydration products of unhydrated cement particles, as well as the cross-linking action between active 1165 JRM, 2021, vol.9, no.6 groups and some hydration products, made some free pores filled, thus compromising the tensile energy
consumption performance [30,31]. 4 Microscopic Mechanism Analysis Polymer-cement composite is a heterogeneous multiphase system composed of polymer film, cement
hydration products and other inorganic fillers, as well as water and air existing in pores, i.e., a three-phase
porous body of solid-liquid-gas. The change of macroscopic property of the composite is essentially
caused by the change of microstructure inside the composite system. Fig. 11 was the microtopography of
polymer-cement composite after different days of UV aging. As shown in Fig. 11, the ultraviolet aging
influenced the microstructure of polymer-cement composite significantly. The UV radiation energy was
about 71.5 to 95.3 kcal/mol while the bond energy of covalent bond between polymer molecules was
about 40 to 100 kcal/mol [27]. Thus, under the UV radiation, the polymer molecules of the composite
absorbed the UV energy, which was gradually accumulated. As shown in Figs. 11b and 11c, after UV
aging for 1 day, polymer molecules absorbed more energy, the molecular chains were cut off, and
chemical bonds were broken, thus producing active radicals, which had a UV-irradiation reaction with
oxygen in the air. After UV aging for 7 days, further UV-irradiation reaction occurred, the unhydrated
cement particles in the polymer cement composite began to hydrate and form hydration products. As
shown in Figs. 11d and 11e, after UV aging for 15 days, some of the polymer molecular chains on the
surface of composite underwent chain UV-irradiation reactions of free radicals, which caused degradation
of polymer molecules, as well as obvious cracks in the composite. At the same time, a crosslinking
curing reaction between the active free radicals of the polymer chain and some of the hydration products
occured. After UV aging for 30 days, the chain UV-irradiation reaction developed to inside the
composite, for which the number and depth of cracks increased as the composite aged and deteriorated
from the outside to the inside. The UVaging influenced the property of polymer-cement composite from the following three aspects [28–31]. 1. Photooxygen reaction, in which the polymer molecular chain absorbed the UV energy, broke and
produced active free radicals, which had a photooxygen reaction with oxygen, thus making the
composite aged. 1. Photooxygen reaction, in which the polymer molecular chain absorbed the UV energy, broke and
produced active free radicals, which had a photooxygen reaction with oxygen, thus making the
composite aged. 1166 JRM, 2021, vol.9, no.6 2. 4 Microscopic Mechanism Analysis The secondary hydration reaction of cement, in which the unhydrated cement in the composite was
further hydrated under high energy of ultraviolet radiation, and so, the skeleton for hydration network
of cement inside the composite was continuously strengthened. 2. The secondary hydration reaction of cement, in which the unhydrated cement in the composite was
further hydrated under high energy of ultraviolet radiation, and so, the skeleton for hydration network
of cement inside the composite was continuously strengthened. 3. The crosslinking curing reaction, i.e., the crosslinking curing reaction between the active groups of the
polymer molecular chain and some of hydration products, which strengthened the composite totally. 3. The crosslinking curing reaction, i.e., the crosslinking curing reaction between the active groups of the
polymer molecular chain and some of hydration products, which strengthened the composite totally. In the early stage of UV aging, the UV-irradiation reaction was weaker than the secondary hydration
reaction of cement, which was manifested as increasing elasticity recovery rate, tensile strength, peak
tensile strain and tensile energy consumption of polymer-cement composite macroscopically. In the late
stage of UV aging, the UV-irradiation reaction was stronger than the secondary hydration reaction of
cement, which was manifested as decreased elasticity recovery rate, peak tensile strain and tensile energy
consumption of polymer-cement composite macroscopically. At the same time, the tensile strength of
polymer-cement composite continued increasing due to cross-linking reaction. The joint action of above
three factors made the viscosity of the polymer-cement composite decrease gradually and the rigidity
increase continuously, and thus, the elongation at break of the composite decreased continuously. (a)
(b)
(c)
(d)
(e)
crack
hydration products
Figure 11: The microtopography of polymer-cement composite after different days of UV aging. (a) 0 d
(b) 1 d (c) 7 d (d) 15 d and (e) 30 d (c) (a) (b)
hydration products (b) (c) (a) (d)
crack (e) (d) (e) Figure 11: The microtopography of polymer-cement composite after different days of UV aging. (a) 0 d
(b) 1 d (c) 7 d (d) 15 d and (e) 30 d Funding Statement: This research was funded by the National Natural Science Foundation of China, Grant
No. 51208507. Conflicts of Interest: The authors declare that they have no conflicts of interest to report regarding the
present study. Conflicts of Interest: The authors declare that they have no conflicts of interest to report regarding the
present study. 9. Asad, M., Dhanasekar, M., Zahra, T. (2019). Characterisation of polymer cement mortar composites containing
1 carbon fibre or auxetic fabric overlays and inserts under flexure. Construction and Building Materials,
224(10), 863–879. DOI 10.1016/j.conbuildmat.2019.07.120. 5 Conclusions The UV aging had little influence on the failure mode of polymer-cement composite in the fixed-
elongation test. The composite still had no cohesive failure after UV aging for 30 days, and it had a good
bonding property. The UV aging increased the elastic recovery rate of polymer-cement composite within a certain range. The elastic recovery rate of polymer-cement composite first increased and then decreased with increasing of
UV aging time. When the UV aging time was up to 15 days, elastic recovery rate of the polymer-cement
composite was at maximum, and when the UV aging time was up to 30 days, the elastic recovery rate of JRM, 2021, vol.9, no.6 JRM, 2021, vol.9, no.6 1167 the composite decreased as compared with that before aging. On the whole, the elastic recovery rate of
composite was more than 60%, which met relevant requirements for use. the composite decreased as compared with that before aging. On the whole, the elastic recovery rate of
composite was more than 60%, which met relevant requirements for use. The UV aging could enhance the tensile strength of polymer-cement composite. With increasing of UV
aging time, the tensile strength of the composite increased continuously. The elongation at break of composite decreased continuously after UV aging due to the photo-oxygen
reaction, the secondary hydration reaction of cement, and the cross-linking curing reaction. With increasing of
UV aging time, the peak tensile strain of polymer-cement composite increased first, and then decreased. When
the UVaging time was up to 15 days, the peak tensile strain of the polymer-cement composite was at maximum. The UV aging could enhance the tensile energy consumption performance of the polymer-cement
composite. With increasing of UV aging time, both the tensile toughness and the pre-peak tensile
toughness of polymer-cement composite increased first, and then decreased. After UV aging for 15 days,
the tensile toughness and the pre-peak tensile toughness of the polymer-cement composite were at
maximum. The tensile toughness and pre-peak tensile toughness of the polymer-cement composite
decreased after UV aging for 30 days, but were still higher than before aging. Acknowledgement: The authors would like to thank the National Natural Science Foundation of China
(Grant No. 51208507) for the financial support. Funding Statement: This research was funded by the National Natural Science Foundation of China, Grant
No. 51208507. References 1. Rashid, K., Wang, Y., Ueda, T. (2019). Influence of continuous and cyclic temperature durations on the
performance of polymer cement mortar and its composite with concrete. Composite Structures, 215, 214–225. DOI 10.1016/j.compstruct.2019.02.057. 1. Rashid, K., Wang, Y., Ueda, T. (2019). Influence of continuous and cyclic temperature durations on the
performance of polymer cement mortar and its composite with concrete. Composite Structures, 215, 214–225. DOI 10.1016/j.compstruct.2019.02.057. 2. Jiang, Y. J., Li, L., Wang, H. S. (2015). Influence of acrylic emulsion on polymer-cement waterproof coating. Advanced Materials Research, 1129, 263–269. DOI 10.4028/www.scientific.net/AMR.1129.263. 2. Jiang, Y. J., Li, L., Wang, H. S. (2015). Influence of acrylic emulsion on polymer-cement waterproof coating. Advanced Materials Research, 1129, 263–269. DOI 10.4028/www.scientific.net/AMR.1129.263. 3. Wang, D. Y., Fei, W. S. (2013). Joint issue discussion on cement concrete pavement. Advanced Materials
Research, 671–674(2), 1179–1182. DOI 10.4028/www.scientific.net/AMR.671-674.1179. 4. Banjo, A. A., Temidayo, E. O. (2017). Engineering properties of acrylic emulsion polymer modified bamboo
reinforced cement bonded composites. Engineering Structures and Technologies, 9(3), 126–132. DOI 10.3846/
2029882X.2017.1371085. 5. Wang, W. X., Wang, M. F., Li, H. X. (2019). Pavement crack image acquisition methods and crack extraction
algorithms: A review. Journal of Traffic and Transportation Engineering (English Edition), 6(6), 535–556. DOI 10.1016/j.jtte.2019.10.001. 6. Bai, E. L., Liu, G. J., Xu, J. Y. (2020). Tensile properties of a flexible polymer-cement composite containing
portland cement and VAE emulsion. Ceramics Silikaty, 64(1), 92–99. 7. Liu, Z. G., Xu, F. M., Cao, G. B. (2015). Study on cement concrete pavement treatment methods of common
damage diseases. Applied Mechanics and Materials, 716−717, 307–309. DOI 10.4028/www.scientific.net/
AMM.734.307. 8. Yassene, A. M., Ismail, M. R., Afify, M. S. (2020). Physicomechanical properties of irradiated SBR latex polymer-
modified cement mortar composites. Journal of Vinyl and Additive Technology, 26(2), 144–154. DOI 10.1002/
vnl.21727. 9. Asad, M., Dhanasekar, M., Zahra, T. (2019). Characterisation of polymer cement mortar composites containing
1 carbon fibre or auxetic fabric overlays and inserts under flexure. Construction and Building Materials,
224(10), 863–879. DOI 10.1016/j.conbuildmat.2019.07.120. 1168 JRM, 2021, vol.9, no.6 JRM, 2021, vol.9, no.6 10. Bai, E., Liu, G., Xu, J. (2020). Tensile and fixed elongation properties of polymer-based cement flexible composite
under water/corrosive solution environment. Materials, 13(9), 2155. DOI 10.3390/ma13092155. 11. Nguyen, M., Wang, Z. M., Rod, K. A. (2018). Atomic origins of the self-healing function in cement-polymer
composites. ACS Applied Materials & Interfaces, 10(3), 3011–3019. DOI 10.1021/acsami.7b13309. 12. Choi, J. Y., Joo, M. K., Lho, B. References C. (2016). Effects of SilicaFume content and polymer-binder ratio on properties of
ultrarapid-hardening polymer-modified mortars. International Journal of Concrete Structures and Materials,
10(2), 249–256. 13. Tsukagoshi, M., Kokami, Y., Tanaka, K. (2010). Influence of curing condition on film formation of polymer-
cement waterproofing membrane. Journal of Structural and Construction Engineering (Transactions of AIJ),
75(652), 1057–1064. DOI 10.3130/aijs.75.1057. 14. Ohama, Y. (1998). Polymer-based admixtures. Cement and Concrete Composites, (20), 189–212. DOI 10.1016/
S0958-9465(97)00065-6. 15. Mah, Y., Tian, Y., Li, Z. J. (2011). Interactions between organic and inorganic phases in PA- and PU/PA-modified-
cement based materials. Journal of Materials in Civil Engineering, 23(10), 1412–1421. DOI 10.1061/(ASCE)
MT.1943-5533.0000302. 16. Plank, J., Gretz, M. (2008). Study on the interaction between anionic and cationic latex particles and Portland
cement. Colloids and Surfaces A: Physicochemical and Engineering Aspects, 330(2−3), 227–233. DOI
10.1016/j.colsurfa.2008.08.005. 17. Melichar, T., Byd, O. J., Keprdová, Á. (2014). Study of parameters of new polymer-cement composites after
exposure to extreme temperatures. Advanced Materials Research, 1000, 81–84. 18. Sokołowska, J. J., Woyciechowski, P., Adamczewski, G. (2013). Influence of acidic environments on cement and
polymer-cement concretes degradation. Advanced Materials Research, 687, 144–149. DOI 10.4028/www. scientific.net/AMR.687.144. 19. Soufi, A., Mahieux, P. Y. (2015). Influence of polymer proportion on transfer properties of repair mortars having
equivalent water porosity. Materials and Structures, 49(1−2), 383–398. DOI 10.1617/s11527-014-0504-3. 20. Yang, N., Bai, E., Xu, J. (2018). Study on tensile mechanical property of styrene-acrylic cement composite
material. IOP Conference Series: Earth and Environmental Science, 153(2), 1–9. 21. Boxu, M., Jinyu, X., Chao, G. (2019). Effect of VAE latex powder addition on tensile and shear properties of
styrene-acrylate based cement composite joint compound. IOP Conference Series: Earth and Environmental
Science, 242(2), 1–8. DOI 10.1088/1755-1315/242/3/032063. 22. ISO/DIS 11600-2000. Building construction-jointing products-classification and requirements for sealants. 23. National Bureau of Building Materials Industry (2001). JC/T 881-2001 Sealant for joints of concrete buildings. Beijing: China Building Materials Industry Press. 24. National Development and Reform Commission of the People’s Republic of China (2005). JC/T 976–2005 sealant
for road and bridge caulking. Beijing: China Building Materials Industry Press. 25. Ministry of Communications of the People’s Republic of China (2004). JT/T 589−2004 cement concrete pavement
caulking sealing material. Beijing: People’s Communications Press. 26. General Administration of Quality Supervision, Inspection and Quarantine of the People’s Republic of China
(2002). GB/T 13477–2002 test method for building sealing materials. Beijing: China Quality Supervision and
Inspection Press. 27. References Fu, C., Ni, A., Wang, J. (2020). The effect of ultraviolet aging on the fatigue properties of glass fiber reinforced
epoxy resin matrix composites. Composite Materials Science and Engineering, 135(7), 74–80. 28. Dong, S. (2002). Preparation of polymer cement-based waterproof coating and study of coating film performance
and microstructure. Chongqing: Chongqing University. 29. Ding, S. (2006). Aging test and durability study of building sealing materials. Zhengzhou: Zhengzhou University. 30. Lou, C., Xu, J., Liu, S. (2020). Effects of external environments on the fixed elongation and tensile properties of the
VAE emulsion-cement composite joint sealant. Materials, 13(14), 3233. DOI 10.3390/ma13143233. 31. Bai, E. L., Liu, G. J. (2020). Tensile and fixed elongation properties of polymer-based cement flexible composite
under water/corrosive solution environment. Materials, 13(9), 1–16.
|
https://openalex.org/W4361955404
|
https://figshare.com/articles/journal_contribution/Supplementary_Figure_S2_from_Beneficial_Effects_of_Mifepristone_Treatment_in_Patients_with_Breast_Cancer_Selected_by_the_Progesterone_Receptor_Isoform_Ratio_Results_from_the_MIPRA_Trial/22490285/1/files/39941915.pdf
|
English
| null |
Supplementary Figure S1 from Beneficial Effects of Mifepristone Treatment in Patients with Breast Cancer Selected by the Progesterone Receptor Isoform Ratio: Results from the MIPRA Trial
| null | 2,023
|
cc-by
| 121
|
Elia et al., Supplementary Fig. S2 Elia et al., Supplementary Fig. S2 Elia et al., Supplementary Fig. S2 Elia et al., Suppleme Supplementary Figure S2. Morphological features after mifepristone treatment. A-D, Images illustrating increased
stromal tissue (A), thin and scarce collagen fibers, and increased stromal matrix (arrow; B), an area of tissue
remodeling (C), and an area of increased differentiation (D) observed in the surgical samples (S) compared to the
respective core needle biopsies (CNB). E, Image illustrates an area of necrosis (dotted arrow) together with a
differentiated structure (black arrow) in a surgical sample. F, Cells with Alcian blue+ (left), PAS+ (middle) and MUC-1+
(immunohistochemistry; right) vacuoles observed in a mifepristone-treated tumor. Inset: High power field of a
differentiated gland/duct.
|
https://openalex.org/W4392773928
|
https://mecp.springeropen.com/counter/pdf/10.1186/s43045-024-00407-8
|
English
| null |
Depression, anxiety, and hopelessness in a sample of Egyptian children diagnosed with cystic fibrosis
|
Middle East Current Psychiatry
| 2,024
|
cc-by
| 3,823
|
© The Author(s) 2024. Open Access This article is licensed under a Creative Commons Attribution 4.0 International License, which
permits use, sharing, adaptation, distribution and reproduction in any medium or format, as long as you give appropriate credit to the
original author(s) and the source, provide a link to the Creative Commons licence, and indicate if changes were made. The images or
other third party material in this article are included in the article’s Creative Commons licence, unless indicated otherwise in a credit line
to the material. If material is not included in the article’s Creative Commons licence and your intended use is not permitted by statutory
regulation or exceeds the permitted use, you will need to obtain permission directly from the copyright holder. To view a copy of this
licence, visit http://creativecommons.org/licenses/by/4.0/. Backgroundi Cystic fibrosis (CF) is a hereditary disease that mostly
impacts the respiratory system but can also affect the kid-
neys, liver, pancreas, and intestinal tract. It results from
mutations that are present in both copies of the CFTR
protein gene. Long-term problems include having trou-
ble breathing and mucus coughing due to recurrent lung CF is one of the most difficult chronic illnesses to
manage, despite recent improvements in its detection
and treatment that have increased life expectancy [4]. A childhood CF diagnosis places a heavy strain on the
impacted child and the entire family structure, particu-
larly the parents and guardians [5]. Patients’ physical and psychological health, as well
as numerous other areas of their lives, is significantly
affected by the illness. Patients and their parents fre-
quently experience co-occurring mental health condi-
tions like depression and anxiety [6]. *Correspondence:
Somaya H. Shaheen
somaya.shaheen@kasralainy.edu.eg
1 Department of Psychiatry, Faculty of Medicine, Cairo University, Kasr
Alainy Street, Cairo 11562, Egypt
2 Department of Pediatrics, Faculty of Medicine, Cairo University, Cairo,
Egypt
3 Department of Pediatrics, El Galaa Teaching Hospital, Cairo, Egypt
4 Egyptian Group of Orphan Renal Diseases (EGORD), Cairo, Egypt In CF patients and their careers, the psychological bur-
den can lead to worse outcomes, such as lowered res-
piratory function, a reduction in body mass index, and
an increase in hospitalizations. It can also lead to higher
health care expenses and less adherence to recommended Open Access Open Access Abstract Background Even though current therapeutic approaches have significantly increased the longevity and stand-
ard of living for children suffering from cystic fibrosis (CF), the crucial psychological components of this illness have
not received the same level of attention as other chronic illnesses. The aim of the research was to assess depression,
anxiety, and hopelessness in cystic fibrosis-affected children and their relation to the duration of illness. In this study,
we compared 40 healthy control children between the ages of 7 and 12 with 40 cystic fibrosis children who were
matched for age and sex. All patients had detailed clinical and psychometric evaluations using the Children’s Depres-
sion Inventory (CDI), the Anxiety Scale for Children (ASC), and the Hopelessness Scale for Children (HSC). Results The CDI, ASC, and HSC revealed a significant difference between both groups. Positive correlations
between depression, anxiety, and hopelessness and disease duration were found. Conclusions Patients with CF experienced significantly increased depression, anxiety, and hopelessness, and there
is an association between these symptoms and the duration of the illness. We advise making psychiatric screening
a standard part of evaluating and monitoring CF patients. Keywords Depression, Anxiety, Hopelessness, Cystic fibrosis infections [1, 2]. Respiratory failure continues to be the
main cause of death, despite impacting other organs [3].fi Depression, anxiety, and hopelessness
in a sample of Egyptian children diagnosed
with cystic fibrosis Fadia Zyada1, Hala Hamdy2, N. El Basha2, Mohamed Refaey3, Fatma M. Atia2,4 and Somaya H Zyada et al. Middle East Current Psychiatry (2024) 31:15
https://doi.org/10.1186/s43045-024-00407-8 Zyada et al. Middle East Current Psychiatry (2024) 31:15
https://doi.org/10.1186/s43045-024-00407-8 Middle East Current
Psychiatry Participants Patients with CF were diagnosed by sweat chloride tests;
all were gathered from the cystic fibrosis clinic of the
allergy and pulmonology unit of the University Children’s
Hospital at their follow-up appointment through the sys-
tematic random sampling technique, in which a sample
was obtained from each third clinic participant after a
random starting point was chosen from the population. Forty children with cystic fibrosis (CF) and another 40
healthy controls were recruited, and both groups were
similar in terms of age and gender. Inclusion criteria
included age from 7 to 12 years, not being on steroid
treatment, or having a known cognitive dysfunction. They were clinically stable, recruited on a consecutive
basis every Monday clinic at the end of their follow-up
visit, and assessed in their preferred location. Healthy
controls were selected from the siblings of other patients
who attended outpatient clinics. For all participants, ver-
bal consent was taken from caregivers and approval from
children before enrollment. i
ASC [15]: It measures children’s anxiety through self-
reporting. It has 52 items; 11 of them are tailored
specifically to test validity (the lying scale), while the
remaining items are tailored specifically to anxiety. When a youngster responds to statements on a scale
by saying “yes” or “no,” one degree will be added for
the “yes” response and zero for the “no” response.h i
ASC [15]: It measures children’s anxiety through self-
reporting. It has 52 items; 11 of them are tailored
specifically to test validity (the lying scale), while the
remaining items are tailored specifically to anxiety. When a youngster responds to statements on a scale
by saying “yes” or “no,” one degree will be added for
the “yes” response and zero for the “no” response. HSC [16]: This 17-item questionnaire assesses cogni-
tions of helplessness, a concept related to depressive
disorders and suicidal thoughts. Scores of 4 or below
are termed low hopelessness, while those of 7 or
more are considered excessive hopelessness. Nega-
tive expectations about oneself and the future are
referred to as hopelessness. Scores on the HSC have
been linked to the intensity of depression, and when
hopelessness is adequately controlled, suicidal intent
is reduced. The assessment was translated into Ara-
bic. HSC [16]: This 17-item questionnaire assesses cogni-
tions of helplessness, a concept related to depressive
disorders and suicidal thoughts. Study design and settinghi CDI [14]: It is a brief self-report psychological evalu-
ation that measures the degree of severity of depres-
sion symptoms in young patients. The best sentence
out of a group of three that described each respond-
ent over the last 2 weeks was asked of them. It con-
sists of 27 groups of statements that cover the fol-
lowing topics: sadness, pessimism, self-deprecation,
anhedonia, misconduct, negative worrying, self-
hatred, self-blame, suicidal thoughts, crying spells,
irritability, reduced social interest, indecision, unde-
sirable body image, difficulty with school work, sleep
issues, tiredness, decreased appetite, somatic prob-
lems, feeling alone, dislike of school, lack of friends,
decline in academic performance, self-deprecation
(by peer comparison), a sense of unlove, disobedi-
ence, and fights. The fibrosis clinic, a division of the allergy and pulmo-
nary unit at Cairo University’s specialized children’s hos-
pital, conducted this cross-sectional comparative study. The Cairo University Faculty of Medicine’s research eth-
ics committee has given its approval for this work. Participants Scores of 4 or below
are termed low hopelessness, while those of 7 or
more are considered excessive hopelessness. Nega-
tive expectations about oneself and the future are
referred to as hopelessness. Scores on the HSC have
been linked to the intensity of depression, and when
hopelessness is adequately controlled, suicidal intent
is reduced. The assessment was translated into Ara-
bic. Zyada et al. Middle East Current Psychiatry (2024) 31:15 Page 2 of 5 therapy [7–9]. So, the health-related quality of life
(HRQOL) of CF patients can be adversely affected if their
mental wellness is not taken into consideration [10].h member’s monthly income, the jobs held by the mother
and father, and their level of education [13]. Clinical data
obtained for patients consisted of age at onset of cystic
fibrosis, duration of cystic fibrosis, frequency of symp-
toms, and severity of attacks. A psychometric evaluation
was conducted using the Children’s Depression Inventory
(CDI), Anxiety Scale for Children (ASC), and Hopeless-
ness Scale for Children (HSC). This study aimed to assess anxiety, depressive symp-
toms, and hopelessness in children with CF and their
correlation with disease duration. Sample size
Th
G The G*Power 3 programme was used to calculate the
sample size [11]. To identify an effect size of 0.4 and 0.6
in the prevalence of depression and anxiety, via an error
possibility of 0.05 and 80% power, an estimated minimum
sample size of 80 children between the ages of 7 and
17 years in a 1:1 case–control design (40 children with a
confirmed diagnosis of CF via sweat chloride test and 40
age- and sex-matched control) was required [12]. Results Forty children with cystic fibrosis who were diagnosed
by sweat chloride testing and were between the ages of 7
and 12 were enrolled. We matched 40 of these cases with
40 healthy control children.hh The patients’ mean age was 9.05 ± 1.74 years. The mean
age of the healthy controls was 9.35 ± 1.8 years. Both
the CF group and the control group had 62.5% male
participants. A low socioeconomic level was shared by
around 75% of the cases and 85% of the study’s control
individuals. Regarding where they lived, 65% of patients
and 77.5% of controls were from metropolitan regions,
respectively (Table 1). The duration of cystic fibrosis had
a mean ± SD of 7.00 ± 1.75, while the number of exacerba-
tions per year had a mean ± SD of 1.99 ± 1.02. In the cystic fibrosis group, the overall incidence of
depression was 60% (n = 24), 55% reported having anxiety
(n = 22), and hopelessness was 100% (n = 40) (Table 2). According to CDI, the depression levels in the two
groups differed significantly (p < 0.01). The group with
cystic fibrosis was more impacted than the control group
(Table 3).hi The cystic fibrosis group scored considerably higher
than the other one on the ASC (p < 0.01) (Table 4).i Table 5 shows there was a significant statistical distinc-
tion between both groups on HSC, where cystic fibrosis
patients had more hopelessness (p < 0.01). A strong positive association was found between
depression, anxiety, hopelessness, and disease duration
(p < 0.05). The longer the disease persisted, the more
severe the depression, anxiety, and hopelessness became
(Table 6). Table 2 Depression, anxiety, and hopelessness in the patient
group
Variable
Number (%)
Depression
Minimal or no depression
16 (40%)
Mild depression
14 (35%)
Moderate depression
6 (15%)
Severe depression
4 (10%)
Anxiety
No anxiety
18 (45%)
Mild anxiety
6 (15%)
Moderate anxiety
8 (20%)
Severe anxiety
8 (20%)
Hopelessness
Low hopelessness
8 (20%)
Moderate hopelessness
19 (47.5%)
High hopelessness
13 (32.5%) Measures The data were examined using SPSS Version 15 and Sta-
tistics Version 23. Quantitative information is displayed
as the mean, range, median, inter-quartile range, and
standard deviation (SD). Categorical variables are dis-
played as percentages and frequency. The Shapiro–Wilk
test was utilized to examine the normality of continuous
variables. The median differences between groups were For all participants, demographic data were collected:
age, gender, parents’ education level, residence, and
socioeconomic status, which was assessed using the AL
Shakhs Arabic Familial Socioeconomic Status Scale. It
contributed to the identification of the Egyptian family’s
socioeconomic status. It mostly depended on each family Zyada et al. Middle East Current Psychiatry (2024) 31:15 Page 3 of 5 Table 1 Demographics and clinical data for both groups
Variables
Cystic fibrosis group
No. = 40
Control group
No. = 40
Age (years)
Mean ± SD
9.05 ± 1.74
9.35 ± 1.83
Number (%)
Number (%)
Sex
Male
25 (62.5%)
25 (62.5%)
Female
15 (37.5%)
15 (37.5%)
Residence
Urban
26 (65%)
31 (77.5%)
Rural
14 (35%)
9 (22.5%)
Father’s education
Illiterate
12 (30%)
15 (37.5%)
Primary and preparatory
6 (15%)
9 (22.5%)
Secondary
14 (35%)
13 (32.5%)
Higher education
8 (20%)
3 (7.5%)
Mother’s education
Illiterate
11 (27.5%)
16 (40%)
Primary and preparatory
8 (20%)
11 (27.5%)
Secondary
16 (40%)
12 (30%)
Higher education
5 (12.5%)
1 (2.5%)
Socioeconomic level
Low
30 (75%)
34 (85%)
Moderate
10 (25%)
6 (15%)
High
0
0
Duration of disease (years)
Mean ± SD
7.00 ± 1.75
Number of exacerbations
per year
Mean ± SD
1.99 ± 1.02 tested for continuous variables using the Mann–Whit-
ney U test. Univariate correlations between the duration
of the illness and depression/anxiety/hopelessness scale
scores were estimated using Spearman’s rank correlation. P-values were deemed significantly different if they were
less than 0.05. Discussionh This study aimed to assess children with CF for depres-
sion, anxiety, and hopelessness, as well as the correlation
between these symptoms and the length of the disease. The study had 40 children with cystic fibrosis who were
matched in age and sex with 40 healthy children to serve
as the control group. In the current study, 10% of the CF patients were
found to have severe depression, 15% to have moderate
depression, and 35% to have mild depression. These find-
ings align with those of Smith et al. [17] who evaluated
depression in children with cystic fibrosis and found that
33% of them experienced moderate or severe depression. Page 4 of 5 Page 4 of 5 Page 4 of 5 Zyada et al. Middle East Current Psychiatry (2024) 31:15 Table 3 Comparison between both groups regarding Children’s
Depression Inventory (CDI)
IQR interquartile range
Variables
Cystic fibrosis group
Control group
P-value
No. = 40
No. = 40
CDI
Median (IQR)
9 (6–13.5)
5 (3–8.5)
< 0.01
Range
0–26
0–15
Table 4 Comparison between both groups regarding Anxiety
Scale for Children (ASC)
IQR interquartile range
Variables
Cystic fibrosis group
Control group
P-value
No. = 40
No. = 40
ASC
Median (IQR)
16 (9.5–27)
7 (4.5–11)
< 0.01
Range
2–39
2–33
Table 5 Comparison between the two groups regarding
Hopelessness Scale for Children (HSC)
IQR interquartile range
Variables
Cystic fibrosis group
Control group
P-value
No. = 40
No. = 40
HSC
Median (IQR)
7 (5–9)
5 (3–7)
< 0.01
Range
3–15
1–12
Table 6 Correlation between patient’s depression, anxiety,
hopelessness, and cystic fibrosis duration
Rho Spearman correlation coefficient
Variables
Duration (years)
Rho
P-value
Depression
0.332
< 0.05
Anxiety
0.379
< 0.05
Hopelessness scale for children
0.319
< 0.05 This study showed that of the CF patients tested, 32.5%
experienced high levels of hopelessness, 47.5% experi-
enced moderate levels of hopelessness, and 20% experi-
enced low levels of hopelessness. Furthermore, the HSC
showed a difference with statistical significance (p < 0.01)
between the two groups, with the sick group’s median
score being 7 and the control group’s being 5. This is con-
sistent with Bekir et al.’s [19] explanation of hopelessness
in sick children, which was based on their knowledge of
the progression and complications of individuals with the
same diagnosis. Discussionh With a median score of 9 in the sick group and 5 in the
control group, we detected a statistically significant dif-
ference (p < 0.01) in CDI scores between the two groups. This aligns with the results of Olson et al. [20] who dis-
covered that kids with chronic medical issues are more
susceptible to internalizing issues like depression than
to externalizing issues. The most frequent cause for a
psychiatric referral from the child’s doctor among hos-
pitalized children is a suspicion of depression or suicidal
ideation. David [21] observed that young people with CF
do not seem to be significantly more likely to experience
depression, which contrasts with our conclusion. Kvist
et al.’s [22] research showed that kids who comprehend
their illness better have lower levels of depression, which
may help explain this. Regarding ASC scores, we discovered a statistically
significant distinction (p < 0.01) between both groups,
with a median score of 16 in the diseased group and 7
in the healthy group. This outcome could be explained
by increased physical morbidity and mortality, variable
physical manifestations, decreased quality of life, less
adherence to treatment, increased healthcare expenses,
inadequate disease control, and a greater likelihood of
hospitalization. In our study, the duration of cystic fibrosis was found to
have a strong positive relationship with depression, anxi-
ety, and hopelessness (p < 0.05). Depression, anxiety, and
hopelessness significantly increased as the disease’s dura-
tion became longer. David [21] observed that as chronic
diseases progress, the prevalence of depression increases,
which supports this finding. This is also consistent with
Feride and Demir [23], who examined QOL and hope-
lessness in patients with chronic illnesses and discovered
that hopelessness increased as the condition persisted. This was linked to deteriorated social interactions and
quality of life, severe respiratory symptoms, poor lung
function, and hospital readmissions.hi This was linked to deteriorated social interactions and
quality of life, severe respiratory symptoms, poor lung
function, and hospital readmissions.hi The findings revealed that 20% of the people under
study had severe anxiety, 20% had moderate anxiety, and
60% had either mild or no anxiety. This was supported
by Pop-Jordanova and Demerdzieva’s [18] assessment of
cognition, anxiety symptoms, and behaviour in children
with CF, which revealed that these patients had high anx-
iety scores. Competing interests The authors declare that they have no competing interests. 22. Kvist SBM, Rajantie J, Kvist M, Siimes MA (1991) Aggression: the dominant
psychological response in children with malignant disease. Psychol Rep
68:1139–1150 Received: 1 January 2024 Accepted: 31 January 2024 Received: 1 January 2024 Accepted: 31 January 2024 23. Ercan F, Demir S (2018) Hopelessness and quality of life levels in hemodi-
alysis patients. Gazi Med J 2018(29):169–174 23. Ercan F, Demir S (2018) Hopelessness and quality of life levels in hemodi-
alysis patients. Gazi Med J 2018(29):169–174 Declarations p
18. Pop-Jordanova N, Demerdzieva A (2016) Emotional health in children
and adolescents with cystic fibrosis. PRILOZI 37:65–74 Funding 15. Spence SH (1997) Structure of anxiety symptoms among children: a
confirmatory factor-analytic study. J Abnorm Psychol 106:280–297 confirmatory factor-analytic study. J Abnorm Psychol 106:280–297 16. Kazdin AE, French NH, Unis AS, Sherick RB (1983) Hopelessness, depres-
sion and suicidal intent among psychiatrically disturbed children. J
Consult Clin Psychol 51:504–510 Availability of data and materials
Upon request. 17. Smith BA, Wood BL (2007) Psychological factors affecting disease activity
in children and adolescents with cystic fibrosis: medical adherence as a
mediator. Curr Opin Pediatr. 19:533–558 Recommendations It is suggested that children with CF undergo both ini-
tial and follow-up psychiatric evaluations. Psycho-
logical counselling, social support, and rehabilitation
programmes should be implemented for children with
psychological issues to ensure that they receive the best
care possible. This team needs to include mental health Zyada et al. Middle East Current Psychiatry (2024) 31:15 Page 5 of 5 Page 5 of 5 professionals. Future research is required to determine
the effects of treating depression and anxiety disorders
on the daily life outcomes of children with CF as well as
to identify any additional co-morbid psychiatric disor-
ders related to the disease. 3. Bierlaagh MC, Muilwijk D, Beekman JM, van der Ent CK (2021) A new era
for people with cystic fibrosis. Eur J Pediatr 2021(180):2731–2739 4. Quittner AL, Alpern AN, Blackwell LS (2012) Treatment adherence in ado-
lescents with cystic fibrosis. In: Castellani C, Elborn S, Heijerman H (eds)
Health care issues and challenges in the adolescent with cystic fibrosis. Elsevier Inc., Oxford, UK, pp 77–79 5. Ievers CE, Drotar D (1996) Family and parental functioning in cystic fibro-
sis. J Dev Behav Pediatr 17:48–55 5. Ievers CE, Drotar D (1996) Family and parental functioning in cystic fibro-
sis. J Dev Behav Pediatr 17:48–55 Consent for publication
Not applicable. y
21. David S (1994) Depression among children with chronic medical prob-
lems: a meta-analysis. J Pediatr Pschol 19:149–169 Acknowledgements g
We are grateful to the patients as well as their families for participating in this
research. 12. Lord L, McKernon D, Grzeskowiak L, Kirsa S, Ilomaki J (2023) Depression
and anxiety prevalence in people with cystic fibrosis and their caregivers:
a systematic review and meta-analysis. Soc Psychiatry Psychiatr Epide-
miol. 58(2):287–298 Authors’ contributions The research’s design, writing, methodology, collection of data, and interpreta-
tion were all contributed to by the authors. The authors have revised and
approved the final work. 13. AL Shakhs AA (1995) Socioeconomic Scale for Egyptian families. Dar El
Maaref El Masria, Cairo 14. Abdel-Fattah G (1995) Arabic version of Children’s Depression Inventory:
reliability and validity. J Clin Child Adolesc Psychol 18:322–326 Ethics approval and consent to participate The research was approved by the Faculty of Medicine’s Research Ethics
Committee at Cairo University. The consent was obtained in writing from the
subjects’ guardians and the children before enrollment. 19. Bekir A, Isin Y, Duygu A, Nurdan O, Ulgen (1997) Psychosocial aspects
and psychiatric disorders in children with thalassemia major. Pediatr Int
39:354–357 20. Olson RA, Holden EW, Friedman A, Faust J, Kenning M, Mason PJ (1988)
Psychological consultation in a children’s hospital: an evaluation of
services. J Pediatr Psychol 13:479–492 Conclusion 6. Baiardini I, Steinhilber G, DI Marco F, Braido F, Solidoro (2015) Anxiety and
depression in cystic fibrosis. P. Minerva Med 106:1–8. https://www.miner
vamedica.it/en/journals/minervamedica/article.Php?cod=R10Y2015S0
3A0001 Depression, anxiety, and hopelessness were substantially
more prevalent among cystic fibrosis patients, and there
is a correlation between these manifestations and the
length of the disease. We propose that the evaluation and
follow-up of cystic fibrosis patients should include rou-
tine psychological assessment. 7. Smith BA, Modi AC, Quittner AL, Wood BL (2010) Depressive symptoms
in children with cystic fibrosis and parents and its effects on adherence
to airway clearance. Pediatr Pulmonol 45(8):756–763. https://doi.org/10.
1002/ppul.21238 8. Ploessl C, Pettit RS, Donaldson J (2014) Prevalence of depression and
antidepressant therapy use in a pediatric cystic fibrosis population. Ann Pharmacother 48(4):488–493. https://doi.org/10.1177/1060028013
514846 Abbreviations
CF
Cystic fibrosis
CDI
Children’s Depression Inventory
ASC
Anxiety Scale for Children
HSC
Hopelessness Scale for Children
HRQOL
Health-related quality of life
IQR
Interquartile range
Acknowledgements
We are grateful to the patients as well as their families for participating in this
research. Abbreviations 9. Snell C, Fernandes S, Bujoreanu IS, Garcia G (2014) Depression, illness
severity, and healthcare utilization in cystic fibrosis. Pediatr Pulmonol
49(12):1177–1181. https://doi.org/10.1002/ppul.22990 10. Cronly JA, Duff AJ, Riekert KA et al (2019) Health-related quality of life in
adolescents and adults with cystic fibrosis: physical and mental health
predictors. Respir Care. 64:406–415 11. Faul F, Erdfelder E, Lang AG, Buchner A (2007) G*Power 3: a flexible sta-
tistical power analysis program for the social, behavioral, and biomedical
sciences. Behav Res Methods 39:175–191 References Springer Nature remains neutral with regard to jurisdictional claims in pub-
lished maps and institutional affiliations. Springer Nature remains neutral with regard to jurisdictional claims in pub-
lished maps and institutional affiliations. References
1. O’Sullivan BP, Freedman SD (2009) Cystic fibrosis. Lancet 373(9678):1891–
1904. https://doi.org/10.1016/s0140-6736(09)60327-5. PMID19403164. S2CID46011502
2. Hodson M, Geddes D, Bush A (eds) (2012) Cystic fibrosis, 3rd edn. London:
Hodder Arnold. p. 3. ISBN 978–1–4441–1369–3. Archived from the origi-
nal on 8 September 2017 1. O’Sullivan BP, Freedman SD (2009) Cystic fibrosis. Lancet 373(9678):1891–
1904. https://doi.org/10.1016/s0140-6736(09)60327-5. PMID19403164. S2CID46011502
|
https://openalex.org/W2528347100
|
https://europepmc.org/articles/pmc5050343?pdf=render
|
English
| null |
Collapse of Insect Gut Symbiosis under Simulated Climate Change
|
MBio
| 2,016
|
cc-by
| 7,667
|
Collapse of Insect Gut Symbiosis under Simulated Climate Change
Yoshitomo Kikuchi,a Akiyo Tada,b Dmitry L. Musolin,c Nobuhiro Hari,b Takahiro Hosokawa,d Kenji Fujisaki,b Takema Fukatsue
National Institute of Advanced Industrial Science and Technology (AIST) Hokkaido, Sapporo, Japana; Graduate School of Agriculture, Kyoto University, Kyoto, Japanb; Saint
Petersburg State Forest Technical University, Saint Petersburg, Russiac; Faculty of Science, Kyushu University, Fukuoka, Japand; National Institute of Advanced Industrial
Science and Technology (AIST), Tsukuba, Japane
RESEARCH ARTICLE
crossmark ABSTRACT
Global warming impacts diverse organisms not only directly but also indirectly via other organisms with which they
interact. Recently, the possibility that elevated temperatures resulting from global warming may substantially affect biodiversity
through disrupting mutualistic/parasitic associations has been highlighted. Here we report an experimental demonstration that
global warming can affect a pest insect via suppression of its obligate bacterial symbiont. The southern green stinkbug Nezara
viridula depends on a specific gut bacterium for its normal growth and survival. When the insects were reared inside or outside a
simulated warming incubator wherein temperature was controlled at 2.5°C higher than outside, the insects reared in the incuba-
tor exhibited severe fitness defects (i.e., retarded growth, reduced size, yellowish body color, etc.) and significant reduction of
symbiont population, particularly in the midsummer season, whereas the insects reared outside did not. Rearing at 30°C or
32.5°C resulted in similar defective phenotypes of the insects, whereas no adult insects emerged at 35°C. Notably, experimental
symbiont suppression by an antibiotic treatment also induced similar defective phenotypes of the insects, indicating that the
host’s defective phenotypes are attributable not to the heat stress itself but to the suppression of the symbiont population in-
duced by elevated temperature. These results strongly suggest that high temperature in the midsummer season negatively affects
the insects not directly but indirectly via the heat-vulnerable obligate bacterial symbiont, which highlights the practical rele-
vance of mutualism collapse in this warming world. IMPORTANCE Climate change is among the biggest environmental issues in the contemporary world, and its impact on the
biodiversity and ecosystem is not only of scientific interest but also of practical concern for the general public. On the basis
of our laboratory data obtained under strictly controlled environmental conditions and our simulated warming data ob-
tained in seminatural settings (elevated 2.5°C above the normal temperature), we demonstrate here that Nezara viridula,
the notorious stinkbug pest, suffers serious fitness defects in the summer season under the simulated warming conditions,
wherein high temperature acts on the insect not directly but indirectly via suppression of its obligate gut bacterium. Our
finding highlights that heat-susceptible symbionts can be the “Achilles’ heel” of symbiont-dependent organisms under
climate change conditions. E
levated temperature associated with global climate change
impacts diverse organisms not only directly but also indi-
rectly through other organisms with which they interact (1–4). Received 27 August 2016 Accepted 7 September 2016 Published 4 October 2016
Citation Kikuchi Y, Tada A, Musolin DL, Hari N, Hosokawa T, Fujisaki K, Fukatsu T. 2016. Collapse of insect gut symbiosis under simulated climate change. mBio 7(5):e01578-16.
doi:10.1128/mBio.01578-16.
Editor Margaret J. McFall-Ngai, University of Hawaii
Copyright © 2016 Kikuchi et al. This is an open-access article distributed under the terms of the Creative Commons Attribution 4.0 International license.
Address correspondence to Takema Fukatsu, t-fukatsu@aist.go.jp.
This article is a direct contribution from a Fellow of the American Academy of Microbiology. External solicited reviewers: Shana Goffredi, Occidental College; Hassan Salem,
Emory University. September/October 2016
Volume 7
Issue 5
e01578-16 ®
mbio.asm.org
1 Collapse of Insect Gut Symbiosis under Simulated Climate Change
Yoshitomo Kikuchi,a Akiyo Tada,b Dmitry L. Musolin,c Nobuhiro Hari,b Takahiro Hosokawa,d Kenji Fujisaki,b Takema Fukatsue
National Institute of Advanced Industrial Science and Technology (AIST) Hokkaido, Sapporo, Japana; Graduate School of Agriculture, Kyoto University, Kyoto, Japanb; Saint
Petersburg State Forest Technical University, Saint Petersburg, Russiac; Faculty of Science, Kyushu University, Fukuoka, Japand; National Institute of Advanced Industrial
Science and Technology (AIST), Tsukuba, Japane
RESEARCH ARTICLE
crossmark viridula stinkbugs on a soybean
leaf. (B) A dissected midgut of the insect. An arrow indicates the symbiotic
organ bearing a number of crypts, which are filled with symbiotic bacteria (see
inset). (C) The incubator for the simulated warming condition and adjacent
open metal shelves for the quasinatural condition. These facilities were set
outdoors, with only a canopy tent cover for protection from direct sunlight
and rain. (D) Environmental conditions during the experiment: black line,
natural day length; blue line, temperature under the quasinatural condition;
red line, temperature under the simulated warming condition. Arrows indi-
cate the dates when egg masses of the insect were allocated to the experimental
conditions (Jun, June; Jul, July, Aug, August; Sep, September). Note that the
SW condition mimicked the QN condition except that the temperature was
2.5°C higher. FIG 1
The southern green stinkbug N. viridula and simulated warming
experimental system. (A) A mating pair of N. viridula stinkbugs on a soybean
leaf. (B) A dissected midgut of the insect. An arrow indicates the symbiotic
organ bearing a number of crypts, which are filled with symbiotic bacteria (see
inset). (C) The incubator for the simulated warming condition and adjacent
open metal shelves for the quasinatural condition. These facilities were set
outdoors, with only a canopy tent cover for protection from direct sunlight
and rain. (D) Environmental conditions during the experiment: black line,
natural day length; blue line, temperature under the quasinatural condition;
red line, temperature under the simulated warming condition. Arrows indi-
cate the dates when egg masses of the insect were allocated to the experimental
conditions (Jun, June; Jul, July, Aug, August; Sep, September). Note that the
SW condition mimicked the QN condition except that the temperature was
2.5°C higher. ward in association with global warming (17, 18). N. viridula is
easily maintained in the laboratory and is experimentally tractable
(11, 18, 19), providing an ideal opportunity to investigate the field
observations in the context of experimental settings simulating
current and future climate change (6, 20). In this study, using a
special rearing incubator whose inner temperature is controllable
with reference to outside temperature, we experimentally investi-
gated biological effects of future global warming on N. viridula
and its gut symbiotic bacterium. Collapse of Insect Gut Symbiosis under Simulated Climate Change
Yoshitomo Kikuchi,a Akiyo Tada,b Dmitry L. Musolin,c Nobuhiro Hari,b Takahiro Hosokawa,d Kenji Fujisaki,b Takema Fukatsue
National Institute of Advanced Industrial Science and Technology (AIST) Hokkaido, Sapporo, Japana; Graduate School of Agriculture, Kyoto University, Kyoto, Japanb; Saint
Petersburg State Forest Technical University, Saint Petersburg, Russiac; Faculty of Science, Kyushu University, Fukuoka, Japand; National Institute of Advanced Industrial
Science and Technology (AIST), Tsukuba, Japane
RESEARCH ARTICLE
crossmark Recent studies have emphasized the possibility that global cli-
mate change can substantially affect the biodiversity and eco-
system via disruption of mutualistic/parasitic associations such as
coral-dinoflagellate
mutualism,
plant-pollinator
mutualism,
amphibian-trematode parasitism, and many others (5–8). A
number of animals and plants harbor symbiotic microorganisms
inside their bodies, wherein the symbionts play pivotal roles in the
metabolism of their hosts (9, 10), but empirical investigations of
how global climate change affects these symbiotic associations
have been scarce. E
l
i associated with a specific gammaproteobacterial symbiont in a
posterior region of the midgut (Fig. 1B). Upon oviposition, fe-
males of N. viridula smear symbiont-containing excretion onto
the egg surface, which newborn nymphs orally acquire to establish
vertical transmission of the symbiont (12). Elimination of the
symbiont by egg surface sterilization causes severe fitness defects,
such as retarded nymphal growth and elevated nymphal mortal-
ity, with few juveniles reaching adulthood (12). These results in-
dicate that the obligate nature of the symbiotic association is likely
based on provisioning of nutritional components deficient in
plant sap diet (12, 13). Field monitoring of N. viridula in mainland Japan has shown
that its northern distribution limit had shifted northward by
85 km during the past 50 years (14–16), which has been dis-
cussed as a potential case of expanded distribution range north- The southern green stinkbug Nezara viridula (Fig. 1A), a no-
torious insect pest infesting diverse crop plants worldwide (11), is Kikuchi et al. RESULTS AND DISCUSSION Fitness defects under simulated warming conditions in mid-
summer. We collected egg masses of an N. viridula strain derived
from the current northern limit of the species and reared the sib-
ling insects inside and outside the simulated warming incubator
that was placed outdoors (Fig. 1C and D). Within the incubator,
temperature was controlled at 2.5°C higher than outside, which is
close to the average of the temperature increase range of global
warming predicted to occur by 2100 (i.e., 0.3°C to 4.8°C) (21). Fresh egg masses were divided and randomly allocated to either
the quasinatural (QN) condition (i.e., outside the incubator) or
the simulated warming (SW) condition (i.e., inside the incuba-
tor) on 5 June, 5 July, 5 August, and 5 September 2009 (Fig. 1D;
see also Fig. S1A in the supplemental material). 2
®
mbio.asm.org September/October 2016
Volume 7
Issue 5
e01578-16 Collapse of Insect Gut Symbiosis under Simulated Climate Change
Yoshitomo Kikuchi,a Akiyo Tada,b Dmitry L. Musolin,c Nobuhiro Hari,b Takahiro Hosokawa,d Kenji Fujisaki,b Takema Fukatsue
National Institute of Advanced Industrial Science and Technology (AIST) Hokkaido, Sapporo, Japana; Graduate School of Agriculture, Kyoto University, Kyoto, Japanb; Saint
Petersburg State Forest Technical University, Saint Petersburg, Russiac; Faculty of Science, Kyushu University, Fukuoka, Japand; National Institute of Advanced Industrial
Science and Technology (AIST), Tsukuba, Japane
RESEARCH ARTICLE
crossmark Nymphs
hatched soon, and their fitness parameters, including survival
rate (i.e., survival rate from hatching to adult emergence),
nymphal period (i.e., period from hatching to adult emergence),
adult body length, and adult body coloration, were recorded. Overall, the fitness parameters tended to be significantly different
between the QN condition and the SW condition, whereas the
patterns contrasted between the moderately warm early summer/
autumn (June/September) and hot midsummer (July/August)
(Fig. 2). Specifically, under the SW condition, the nymphal period
tended to be shorter in June and September, whereas it tended to
be longer in July and August (Fig. 2B and F), and adult body size
tended to be smaller in July and August, whereas no size differ-
ences were detected between the treatments in June and Septem-
ber (Fig. 2C and G). In addition to the reduced body size, many
adult insects reared under the SW condition in midsummer ex-
hibited yellowish abnormal body coloration, whereas those reared
under the QN condition in midsummer were normally green in
color (Fig. 2E; see also Fig. S2). These patterns, namely, a pro-
longed nymphal period, a reduced body size, and abnormal body
coloration under the SW condition in midsummer, were concor-
dant with those reported in our previous study (22) in that the
effects of the simulated warming were deleterious in the midsum-
mer season. Fitness defects under high temperature conditions in the
laboratory. In order to experimentally verify whether the fitness
defects occurring under the SW condition in midsummer are at-
tributable to high temperature, we allocated fresh egg masses of
N. viridula to different constant temperature conditions at 25.0°C,
27.5°C, 30.0°C, 32.5°C, and 35.0°C using a long-day regime (16 h
light/8 h dark) in laboratory climate incubators, reared them to
adulthood, and measured their fitness parameters. As the rear-
ing temperature increased from 25.0°C to 32.5°C, the survival
rate declined, the nymphal period tended to be prolonged, and
the adult body size became smaller. No nymphs reached the
adult stage at the highest temperature of 35.0°C (Fig. 3). Whereas
the insects reared at 25.0°C and 27.5°C exhibited a normal green
color, the insects reared at 30.0°C and 32.5°C developed abnormal
yellowish
coloration
in
a
temperature-dependent
manner
(Fig. 3E; see also Fig. S3 in the supplemental material). FIG 1
The southern green stinkbug N. viridula and simulated warming
experimental system. (A) A mating pair of N. Collapse of Insect Gut Symbiosis under Simulated Climate Change
Yoshitomo Kikuchi,a Akiyo Tada,b Dmitry L. Musolin,c Nobuhiro Hari,b Takahiro Hosokawa,d Kenji Fujisaki,b Takema Fukatsue
National Institute of Advanced Industrial Science and Technology (AIST) Hokkaido, Sapporo, Japana; Graduate School of Agriculture, Kyoto University, Kyoto, Japanb; Saint
Petersburg State Forest Technical University, Saint Petersburg, Russiac; Faculty of Science, Kyushu University, Fukuoka, Japand; National Institute of Advanced Industrial
Science and Technology (AIST), Tsukuba, Japane
RESEARCH ARTICLE
crossmark The fitness defects were not observed under the QN conditions
in midsummer (mean temperatures of 25.9 1.6°C in July and
26.6 1.8°C in August), whereas the fitness defects were promi-
nent under the SW conditions in midsummer (mean tempera-
tures of 28.6 1.6°C in July and 29.4 1.8°C in August)
(Fig. 1D). These patterns are in agreement with the results ob- Climate Change and Symbiosis G 2 Effects of the simulated warming condition on N. viridula and its symbiont population. (A) Survival rate (i.e., proportion of the eggs that reach
lthood, including both sexes). (B to E) Female insects: (B) nymphal period; (C) adult body length; (D) symbiont titer; (E) typical body color of adult inse
emerged in August. (F to H) Male insects: (F) nymphal period; (G) adult body length; (H) symbiont titer. Blue and red indicate the QN condition and t
condition, respectively. Means and standard deviations are shown in panels B, C, F, and G. Asterisks indicate statistically significant differences (*, P 0.0
P 0.001; ***, P 0.0001). n.s., not statistically significant. Sample sizes are shown on the bars or below the plots. Climate Change and Symbio FIG 2 Effects of the simulated warming condition on N. viridula and its symbiont population. (A) Survival rate (i.e., proportion of the eggs that reached
adulthood, including both sexes). (B to E) Female insects: (B) nymphal period; (C) adult body length; (D) symbiont titer; (E) typical body color of adult insects
that emerged in August. (F to H) Male insects: (F) nymphal period; (G) adult body length; (H) symbiont titer. Blue and red indicate the QN condition and the
SW condition, respectively. Means and standard deviations are shown in panels B, C, F, and G. Asterisks indicate statistically significant differences (*, P 0.01
**, P 0.001; ***, P 0.0001). n.s., not statistically significant. Sample sizes are shown on the bars or below the plots. FIG 2 Effects of the simulated warming condition on N. viridula and its symbiont population. (A) Survival rate (i.e., proportion of the eggs that reached
adulthood, including both sexes). (B to E) Female insects: (B) nymphal period; (C) adult body length; (D) symbiont titer; (E) typical body color of adult insects
that emerged in August. (F to H) Male insects: (F) nymphal period; (G) adult body length; (H) symbiont titer. ®
mbio.asm.org
3 September/October 2016
Volume 7
Issue 5
e01578-16 Collapse of Insect Gut Symbiosis under Simulated Climate Change
Yoshitomo Kikuchi,a Akiyo Tada,b Dmitry L. Musolin,c Nobuhiro Hari,b Takahiro Hosokawa,d Kenji Fujisaki,b Takema Fukatsue
National Institute of Advanced Industrial Science and Technology (AIST) Hokkaido, Sapporo, Japana; Graduate School of Agriculture, Kyoto University, Kyoto, Japanb; Saint
Petersburg State Forest Technical University, Saint Petersburg, Russiac; Faculty of Science, Kyushu University, Fukuoka, Japand; National Institute of Advanced Industrial
Science and Technology (AIST), Tsukuba, Japane
RESEARCH ARTICLE
crossmark (F to H) Male
insects: (F) nymphal period; (G) adult body length; (H) symbiont titer. Means and standard deviations are shown in panels B, C, F, and G. Different letters
indicate statistically significant differences (P 0.05). Sample sizes are shown on the bars or below the plots. FIG 3 Effects of the constant temperature conditions on N. viridula and its symbiont population. (A) Survival rate (i.e., proportion of the eggs that reached
adulthood, including both sexes). (B to E) Female insects: (B) nymphal period; (C) adult body length; (D) symbiont titer; (E) typical body color. (F to H) Male
insects: (F) nymphal period; (G) adult body length; (H) symbiont titer. Means and standard deviations are shown in panels B, C, F, and G. Different letters
indicate statistically significant differences (P 0.05). Sample sizes are shown on the bars or below the plots. to thermal tolerance of the host insect (33). As a consequence of
increasing awareness of the potential impact of current and future
climate change on ecological interactions among diverse organ-
isms (1–4, 19), the possibility that heat-susceptible symbionts can
be the “Achilles’ heel” of symbiont-dependent organisms under
conditions of global warming has been pointed out (5, 6, 20). In
this context, it is of interest to see how the QN, SW, and different
constant temperature conditions influence the obligate gut sym-
biont of N. viridula. condition were drastically suppressed to 103 to 104 per insect spe-
cifically in midsummer (Fig. 2D and H). When the insects reared
under different constant temperatures were subjected to symbiont
quantification, notable differences in symbiont titers between the
temperature conditions were also detected: whereas symbiont ti-
ters under the lower temperatures (25.0°C and 27.5°C) were
around 108 per insect, symbiont titers under the higher tempera-
tures were significantly suppressed to 104 to 106 per insect at
30.0°C and to less than 104 per insect at 32.5°C (Fig. 3D and H). These results indicate that the high temperature conditions (i.e.,
the SW condition in midsummer and the constant laboratory
temperatures of 30.0°C and 32.5°C) resulted in not only the host’s
fitness defects but also the symbiont’s population decline. Suppressed symbiont population under simulated warming
and high temperature conditions. 4
®
mbio.asm.org Collapse of Insect Gut Symbiosis under Simulated Climate Change
Yoshitomo Kikuchi,a Akiyo Tada,b Dmitry L. Musolin,c Nobuhiro Hari,b Takahiro Hosokawa,d Kenji Fujisaki,b Takema Fukatsue
National Institute of Advanced Industrial Science and Technology (AIST) Hokkaido, Sapporo, Japana; Graduate School of Agriculture, Kyoto University, Kyoto, Japanb; Saint
Petersburg State Forest Technical University, Saint Petersburg, Russiac; Faculty of Science, Kyushu University, Fukuoka, Japand; National Institute of Advanced Industrial
Science and Technology (AIST), Tsukuba, Japane
RESEARCH ARTICLE
crossmark Blue and red indicate the QN condition and the
SW condition, respectively. Means and standard deviations are shown in panels B, C, F, and G. Asterisks indicate statistically significant differences (*, P 0.01;
**, P 0.001; ***, P 0.0001). n.s., not statistically significant. Sample sizes are shown on the bars or below the plots. tained under the constant temperature conditions in the labora-
tory, wherein rearing at 25.0°C and 27.5°C caused no fitness de-
fects, whereas rearing at 30.0°C resulted in remarkable defective
phenotypes (Fig. 3). These results indicate that the fitness defects
observed in N. viridula under the SW condition in midsummer
were due to high-temperature stress. often exhibit retarded growth, elevated mortality, reduced fertil-
ity, abnormal body color, and other defective phenotypes (20,
23–27). In other animal-microbe symbiotic systems such as coral-
dinoflagellate associations, it was also reported that high temper-
ature conditions often lead to collapse of the associations (28–30). Recent advances in microbial genomics and ecology suggest that
some, if not all, aspects of vulnerability of symbionts to high tem-
perature are relevant to the general trend of degenerative evolu-
tion of their genomes (31, 32). In the aphid-Buchnera mutualism,
a point mutation in the Buchnera genome was shown to be related Conventionally, although the underlying mechanisms were
unknown, researchers have documented that symbiotic microor-
ganisms of many insects are vulnerable to high temperature and
that heat-challenged insects with a disrupted symbiotic system September/October 2016
Volume 7
Issue 5
e01578-16 Kikuchi et al. 3 Effects of the constant temperature conditions on N. viridula and its symbiont population. (A) Survival rate (i.e., proportion of the eggs that
thood, including both sexes). (B to E) Female insects: (B) nymphal period; (C) adult body length; (D) symbiont titer; (E) typical body color. (F to
cts: (F) nymphal period; (G) adult body length; (H) symbiont titer. Means and standard deviations are shown in panels B, C, F, and G. Differen
cate statistically significant differences (P 0.05). Sample sizes are shown on the bars or below the plots. FIG 3 Effects of the constant temperature conditions on N. viridula and its symbiont population. (A) Survival rate (i.e., proportion of the eggs that reached
adulthood, including both sexes). (B to E) Female insects: (B) nymphal period; (C) adult body length; (D) symbiont titer; (E) typical body color. September/October 2016
Volume 7
Issue 5
e01578-16 Collapse of Insect Gut Symbiosis under Simulated Climate Change
Yoshitomo Kikuchi,a Akiyo Tada,b Dmitry L. Musolin,c Nobuhiro Hari,b Takahiro Hosokawa,d Kenji Fujisaki,b Takema Fukatsue
National Institute of Advanced Industrial Science and Technology (AIST) Hokkaido, Sapporo, Japana; Graduate School of Agriculture, Kyoto University, Kyoto, Japanb; Saint
Petersburg State Forest Technical University, Saint Petersburg, Russiac; Faculty of Science, Kyushu University, Fukuoka, Japand; National Institute of Advanced Industrial
Science and Technology (AIST), Tsukuba, Japane
RESEARCH ARTICLE
crossmark When the insects reared under
the QN condition and the SW condition were subjected to sym-
biont quantification, remarkable differences between the treat-
ments in symbiont titers were detected: whereas symbiont titers
under the QN condition were constantly around 108 to 109 per
insect from June to September, symbiont titers under the SW y
p p
Experimental suppression of symbiont population mimics
defective phenotypes associated with simulated warming and
high temperature conditions. There are two alternative hypoth- September/October 2016
Volume 7
Issue 5
e01578-16 Climate Change and Symbiosis G 4 Effects of the low-dose antibiotic treatment on N. viridula and its symbiont population. (A) Survival rate (i.e., proportion of the eggs that reach
lthood, including both sexes). (B to E) Female insects: (B) nymphal period; (E) adult body length; (D) symbiont titer; (E) typical body color. (F to H) M
cts: (F) nymphal period; (G) adult body length; (H) symbiont titer. Green and orange indicate the nontreated control group and the rifampicin-trea
up, respectively. Means and standard deviations are shown in panels B, C, F, and G. Asterisks indicate statistically significant differences (*, P 0.01; *
0.0001). Sample sizes are shown on the bars or below the plots. FIG 4 Effects of the low-dose antibiotic treatment on N. viridula and its symbiont population. (A) Survival rate (i.e., proportion of the eggs that reached
adulthood, including both sexes). (B to E) Female insects: (B) nymphal period; (E) adult body length; (D) symbiont titer; (E) typical body color. (F to H) Male
insects: (F) nymphal period; (G) adult body length; (H) symbiont titer. Green and orange indicate the nontreated control group and the rifampicin-treated
group, respectively. Means and standard deviations are shown in panels B, C, F, and G. Asterisks indicate statistically significant differences (*, P 0.01; ***,
P 0.0001). Sample sizes are shown on the bars or below the plots. the supplemental material). Interestingly, the symbiont suppres-
sion by the antibiotic treatment, in which symbiont titers of
around 108 in the control insects were reduced to 104 or less in the
antibiotic-treated insects (Fig. 4D and H), resulted in induction of
defective phenotypes for the host that were quite similar to those
observed under the high temperature conditions, namely, re-
duced survival rate, prolonged nymphal period, smaller body size,
and abnormal yellowish body color (Fig. 4; see also Fig. S4). ®
mbio.asm.org
5 September/October 2016
Volume 7
Issue 5
e01578-16 MATERIALS AND METHODS DNA extraction and sequencing. Insects preserved in acetone were
dissected in PBS with fine forceps and microscissors under the dissection
microscope, and the symbiotic midgut region was isolated. Total DNA
was extracted from the dissected symbiotic organ using a QIAamp DNA
Mini Kit (Qiagen, Hilden, Germany). Successful extraction of DNA was
confirmed by the use of a NanoDrop 1000 spectrophotometer (Thermo
Fisher Scientific, Waltham, MA, USA) based on the optical density at 260
nm. A 1.6-kb region of the bacterial groEL gene was amplified by PCR with
primers Gro-F1 (5=-ATG GCA GCW AAA GAC GTA AAT TYG G-3=)
and Gro-R1 (5=-TTA CAT CAT KCC GCC CAT GC-3=) using AmpliTaq
gold DNA polymerase (Applied Biosystems, Foster City, CA) and a tem-
perature profile of 95°C for 10 min followed by 30 cycles of 95°C for 30 s,
55°C for 1 min, and 72°C for 2 min (35). Cloning and sequencing of the
amplified product were performed as described previously (36). Insects. N. viridula stinkbugs were collected around Osaka (Japan,
34.7°N, 135.5°E) in May 2009 and transferred to Kyoto (Japan, 35.0°N,
135.8°E), close to the current northern distribution limit of the species in
Japan (16, 19). Culture stock of the insect was reared at 25°C under a
long-day regime (16 h light/8 h dark) and supplied with dry soybean seeds
(Glycine max), raw peanuts (Arachis hypogaea), and distilled water con-
taining 0.05% ascorbic acid (18, 22). For rearing experiments, egg masses
were collected from the culture stock, divided, and randomly allocated to
the experimental conditions. Rearing under quasinatural and simulated warming conditions. Climate warming was experimentally simulated by using a specially mod-
ified LH-350NSZ incubator (NK Systems, Osaka, Japan; for details, see
reference 22), whose inner temperature was constantly controlled at 2.5°C
higher than the outside temperature (Fig. 1D). On 5 June, 5 July, 5 August,
and 5 September 2009, fresh egg masses from the culture stock were allo-
cated to either the quasinatural (QN, i.e., outdoor) condition or the sim-
ulated warming (SW) condition (Fig. 1C). Figure S1A in the supplemental
material depicts the experimental design. The temperature ranges under
the QN condition were 22.9 2.1°C in June, 25.9 1.6°C in July, 26.6 Quantitative PCR. Real-time quantitative PCR was performed using
SYBR green and an Mx3000P QPCR system (Stratagene, La Jolla, CA)
essentially as described previously (37). Collapse of Insect Gut Symbiosis under Simulated Climate Change
Yoshitomo Kikuchi,a Akiyo Tada,b Dmitry L. Musolin,c Nobuhiro Hari,b Takahiro Hosokawa,d Kenji Fujisaki,b Takema Fukatsue
National Institute of Advanced Industrial Science and Technology (AIST) Hokkaido, Sapporo, Japana; Graduate School of Agriculture, Kyoto University, Kyoto, Japanb; Saint
Petersburg State Forest Technical University, Saint Petersburg, Russiac; Faculty of Science, Kyushu University, Fukuoka, Japand; National Institute of Advanced Industrial
Science and Technology (AIST), Tsukuba, Japane
RESEARCH ARTICLE
crossmark These
results strongly favor the former hypothesis in that the suppres-
sion of symbiont population without the heat stress can reproduce eses to account for these patterns: (i) the high temperature condi-
tions primarily affected the heat-vulnerable symbiont and the
suppression of the obligate symbiont resulted in the host’s fitness
defects or (ii) the high temperature conditions primarily damaged
the host insect and, as a consequence of the disturbed physiology/
performance of the host, the symbiont population was sup-
pressed. In an attempt to test these hypotheses, we experimentally
suppressed the symbiont population without heat stress (rearing
at 25.0°C) using a low dose of antibiotic (0.001 mg/ml rifampicin)
administered via drinking water to the host insects (see Fig. S1B in September/October 2016
Volume 7
Issue 5
e01578-16 Kikuchi et al. the host’s defective phenotypes. Meanwhile, the possibility should
be kept in mind that the antibiotic treatment may have directly
damaged not only the symbiont but also the host to some extent. 1.8°C in August, and 22.9 2.1°C in September. The temperature ranges
in the SW condition were 25.7 2.1°C in June, 28.6 1.6°C in July,
29.4 1.8°C in August, and 25.6 2.2°C in September. Under these
conditions, insects were reared until adult emergence (for approximately
40 to 50 days). Insects were preserved in acetone after adult emergence
until DNA extraction (34). 1.8°C in August, and 22.9 2.1°C in September. The temperature ranges
in the SW condition were 25.7 2.1°C in June, 28.6 1.6°C in July,
29.4 1.8°C in August, and 25.6 2.2°C in September. Under these
conditions, insects were reared until adult emergence (for approximately
40 to 50 days). Insects were preserved in acetone after adult emergence
until DNA extraction (34). Conclusion and perspective. From all these results taken to-
gether, we conclude that high temperature conditions can sup-
press the obligate bacterial symbiont of N. viridula, thereby dam-
aging the host insect indirectly and causing the heat-associated
defective host phenotypes. Our laboratory data obtained under
the strictly controlled environmental conditions (see Fig. 3 and 4)
and our simulated warming data obtained in the seminatural set-
tings (see Fig. Collapse of Insect Gut Symbiosis under Simulated Climate Change
Yoshitomo Kikuchi,a Akiyo Tada,b Dmitry L. Musolin,c Nobuhiro Hari,b Takahiro Hosokawa,d Kenji Fujisaki,b Takema Fukatsue
National Institute of Advanced Industrial Science and Technology (AIST) Hokkaido, Sapporo, Japana; Graduate School of Agriculture, Kyoto University, Kyoto, Japanb; Saint
Petersburg State Forest Technical University, Saint Petersburg, Russiac; Faculty of Science, Kyushu University, Fukuoka, Japand; National Institute of Advanced Industrial
Science and Technology (AIST), Tsukuba, Japane
RESEARCH ARTICLE
crossmark The whole midgut was dissected from an
adult insect using a pair of fine forceps under a binocular microscope in a
plastic petri dish filled with phosphate-buffered saline (PBS; 137 mM
NaCl, 8.1 mM Na2HPO4, 2.7 mM KCl, 1.5 mM KH2PO4 [pH 7.5]) and
photographed by the use of a digital camera (EC3; Leica, Wetzlar, Ger-
many) connected to a dissection microscope (S8APO; Leica, Wetzlar,
Germany). The crypt-bearing midgut region (Fig. 1B) was collected from
the whole midgut and homogenized in PBS. The suspension of crypt
contents was stained with 4 M 4=,6-diamidino-2-phenylindole (DAPI)
(Invitrogen, Carlsbad, CA) and observed under an epifluorescence micro-
scope (DMI 4000 B; Leica, Wetzlar, Germany). p
y
Fitness measurement. The following fitness parameters were re-
corded for the experimental insects: survival rate (the proportion of eggs
that reached adulthood); nymphal period (the number of days from egg
hatching to adult emergence); and adult body length (the distance from
the front edge of clypeus to the caudal tip). For the nymphal period and
adult body length data, males and females were analyzed separately be-
cause females are larger than males in N. viridula. For survival rate data,
males and females were analyzed together because nymphal sexing of
N. viridula is difficult. The body length of the adult insects was measured
by use of a digital caliper. For recording body color, the adult insects were
photographed by using the same digital camera and the same light and
distance settings. Fitness measurement. The following fitness parameters were re-
corded for the experimental insects: survival rate (the proportion of eggs
that reached adulthood); nymphal period (the number of days from egg
hatching to adult emergence); and adult body length (the distance from
the front edge of clypeus to the caudal tip). For the nymphal period and
adult body length data, males and females were analyzed separately be-
cause females are larger than males in N. viridula. For survival rate data,
males and females were analyzed together because nymphal sexing of
N. viridula is difficult. The body length of the adult insects was measured
by use of a digital caliper. For recording body color, the adult insects were
photographed by using the same digital camera and the same light and
distance settings. Collapse of Insect Gut Symbiosis under Simulated Climate Change
Yoshitomo Kikuchi,a Akiyo Tada,b Dmitry L. Musolin,c Nobuhiro Hari,b Takahiro Hosokawa,d Kenji Fujisaki,b Takema Fukatsue
National Institute of Advanced Industrial Science and Technology (AIST) Hokkaido, Sapporo, Japana; Graduate School of Agriculture, Kyoto University, Kyoto, Japanb; Saint
Petersburg State Forest Technical University, Saint Petersburg, Russiac; Faculty of Science, Kyushu University, Fukuoka, Japand; National Institute of Advanced Industrial
Science and Technology (AIST), Tsukuba, Japane
RESEARCH ARTICLE
crossmark 2) in combination with the field monitoring data
that have been accumulated for decades (14–19) provide an in-
sightful and integrated perspective as to how elevated temperature
associated with global warming can impact insects and other or-
ganisms indirectly via affecting symbiotic/mutualistic microbial
associates. For example, the northern distribution limit of
N. viridula, which is temperature dependent and has recently been
shown to be shifting northward in the Northern Hemisphere (14–
19), might be substantially influenced not only by the host geno-
type but also by the symbiont genotype. How symbiont-mediated
vulnerability to high temperature is relevant to the southern dis-
tribution limit of N. viridula is also of great interest and deserves
future studies. It is conceivable, although speculative, that host-
symbiont interactions, including symbiont-mediated heat vulner-
ability, could differ among local populations of N. viridula (14–
18), a cosmopolitan species widely distributed from the temperate
to tropical regions in the world (11). On account of the notorious
pest status of N. viridula, such symbiont-mediated constraints on
its distribution range are not only of ecological interest but also of
practical relevance to, for example, prediction of its potential dis-
tribution range as an introduced insect pest. Rearing under constant temperature conditions. Fresh egg masses
were randomly allocated to one of five different constant temperature
conditions (25.0°C, 27.5°C, 30.0°C, 32.5°C, or 35.0°C) under the long-day
regime and reared until the nymphs either molted to the adult stage or
died. Insects were preserved in acetone after adult emergence until DNA
extraction (34). Antibiotic treatment. Hatchlings from the stock culture were divided
into two groups and randomly allocated to either the antibiotic-treated
condition or the nontreated control condition. In the former group, dis-
tilled water containing 0.001 mg/ml rifampicin was continuously supplied
during the entire nymphal period until the hatchlings reached adulthood
or died (up to 56 days after hatching). In the latter group, water without
the antibiotic was supplied. In both treatments, water was replaced every
third day. Figure S1B in the supplemental material depicts the experimen-
tal design. The insects were reared using a long-day regime at 25°C. Insects
were preserved in acetone after adult emergence until DNA extraction. Microscopic observation. Collapse of Insect Gut Symbiosis under Simulated Climate Change
Yoshitomo Kikuchi,a Akiyo Tada,b Dmitry L. Musolin,c Nobuhiro Hari,b Takahiro Hosokawa,d Kenji Fujisaki,b Takema Fukatsue
National Institute of Advanced Industrial Science and Technology (AIST) Hokkaido, Sapporo, Japana; Graduate School of Agriculture, Kyoto University, Kyoto, Japanb; Saint
Petersburg State Forest Technical University, Saint Petersburg, Russiac; Faculty of Science, Kyushu University, Fukuoka, Japand; National Institute of Advanced Industrial
Science and Technology (AIST), Tsukuba, Japane
RESEARCH ARTICLE
crossmark Considering the omnipresence of microbial symbioses in na-
ture, such phenomena, rather than being restricted to insect-
microbe symbiotic associations, must also be found in other sym-
biotic
systems
such
as
coral-dinoflagellate
photosynthetic
associations, wherein high temperature-induced symbiosis col-
lapse is called “coral bleaching” (28–30). In evaluating the ecolog-
ical impact of global climate change, we must not forget to take
into account the unseen microbial entities that are ubiquitously
associated with a myriad of organisms and often play substantial
biological roles therein. 6
®
mbio.asm.org September/October 2016
Volume 7
Issue 5
e01578-16 MATERIALS AND METHODS For
calculation of the absolute numbers of the groEL gene copies, 10-fold
serial dilutions of the target PCR product, ranging from 101 to 107 gene
copies per reaction, were also quantified, and a standard curve was gen-
erated for the gene. 5. Kiers ET, Palmer TM, Ives AR, Bruno JF, Bronstein JL. 2010. Mutual-
isms in a changing world: an evolutionary perspective. Ecol Lett 13:
1459–1474. http://dx.doi.org/10.1111/j.1461-0248.2010.01538.x. 6. Wernegreen JJ. 2012. Mutualism meltdown in insects: bacteria constrain
thermal adaptation. Curr Opin Microbiol 15:255–262. http://dx.doi.org/
10.1016/j.mib.2012.02.001. j
7. Altizer S, Ostfeld RS, Johnson PT, Kutz S, Harvell CD. 2013. Climate
change and infectious diseases: from evidence to a predictive framework. Science 341:514–519. http://dx.doi.org/10.1126/science.1239401. ence 341:514–519. http://dx.doi.org/10.1126/science.1239401 8. Miller-Struttmann NE, Geib JC, Franklin JD, Kevan PG, Holdo RM,
Ebert-May D, Lynn AM, Kettenbach JA, Hedrick E, Galen C. 2015. Functional mismatch in a bumble bee pollination mutualism under cli-
mate change. Science 349:1541–1544. http://dx.doi.org/10.1126/
science.aab0868. 9. McFall-Ngai M, Hadfield MG, Bosch TC, Carey HV, Domazet-Lošo T,
Douglas AE, Dubilier N, Eberl G, Fukami T, Gilbert SF, Hentschel U,
King N, Kjelleberg S, Knoll AH, Kremer N, Mazmanian SK, Metcalf JL,
Nealson K, Pierce NE, Rawls JF, Reid A, Ruby EG, Rumpho M, Sanders
JG, Tautz D, Wernegreen JJ. 2013. Animals in a bacterial world, a new
imperative for the life sciences. Proc Natl Acad Sci U S A 110:3229–3236. http://dx.doi.org/10.1073/pnas.1218525110. Statistical analysis. In the simulated warming experiments and the
antibiotic treatment experiments, Fisher’s exact probability test (used to
compare survival rates between treatments), Mann-Whitney U test (used
to analyze duration of the nymphal period and body length), and median
test (used to analyze symbiont quantity) were employed. In the constant-
temperature rearing experiments, the Tukey-type multiple-comparison
test for proportions (used to compare survival rates between treatments),
Tukey HSD (honestly significant difference) multiple-comparison test
(used to analyze the duration of the nymphal period and the body length),
and Kruskal-Wallis test followed by multiple comparisons of mean ranks
test (used to analyze symbiont quantity) were adopted. Multiple compar-
isons were corrected by the Bonferroni method. All statistical analyses
were performed using the program Statistica 7.0 (StatSoft). p
g
p
10. Margulis L, Fester R (ed). 1991. Symbiosis as a source of evolutionary
innovation. MIT Press, Cambridge, MA. 11. Todd JW. 1989. Ecology and behavior of Nezara viridula. Annu Rev Entomol
34:273–292. http://dx.doi.org/10.1146/annurev.en.34.010189.001421. 12. ACKNOWLEDGMENT 16. Tougou D, Musolin DL, Fujisaki K. 2009. Some like it hot! Rapid climate
change promotes changes in distribution ranges of Nezara viridula and
Nezara antennata in Japan. Entomol Exp Appl 130:249–258. http://
dx.doi.org/10.1111/j.1570-7458.2008.00818.x. We thank S. Reznik and D. Kucherov for assistance with statistical analysis
of the data. This study was supported by the Ministry of Education, Culture,
Sports, Science and Technology (MEXT) of Japan via the 21st Century
COE Program at Kyoto University and by MEXT KAKENHI grants no. 26117732 and 25221107. 17. Kiritani K. 2011. Impacts of global warming on Nezara viridula and its
native congeneric species. J Asia Pac Entomol 14:221–226. http://
dx.doi.org/10.1016/j.aspen.2010.09.002. 18. Musolin DL. 2012. Surviving winter: diapause syndrome in the southern
green stink bug Nezara viridula in the laboratory, in the field, and under
climate change conditions. Physiol Entomol 37:309 –322. http://
dx.doi.org/10.1111/j.1365-3032.2012.00846.x. MATERIALS AND METHODS Tada A, Kikuchi Y, Hosokawa T, Musolin DL, Fujisaki K, Fukatsu T. 2011. Obligate association with gut bacterial symbiont in Japanese popu-
lations of the southern green stinkbug Nezara viridula (Heteroptera: Pen-
tatomidae). Appl Entomol Zool 46:483–488. http://dx.doi.org/10.1007/
s13355-011-0066-6. 13. Salem H, Florez L, Gerardo N, Kaltenpoth M. 2015. An out-of-body
experience: the extracellular dimension for the transmission of mutualis-
tic bacteria in insects. Proc Biol Sci 282:20142957. http://dx.doi.org/
10.1098/rspb.2014.2957. Accession number(s). The groEL gene sequence of the gut bacterial
symbiont of N. viridula determined in this study has been deposited in the
DNA Data Bank of Japan database under accession number AB979531. 14. Yukawa J, Kiritani K, Gyoutoku N, Uechi N, Yamaguchi D, Kamitani
S. 2007. Distribution range shift of two allied species, Nezara viridula and
N. Antennata (Hemiptera: Pentatomidae), in Japan, possibly due to global
warming. Appl Entomol Zool 42:205–215. SUPPLEMENTAL MATERIAL Supplemental material for this article may be found at http://mbio.asm.org/
lookup/suppl/doi:10.1128/mBio.01578-16/-/DCSupplemental. Supplemental material for this article may be found at http://mbio.asm.org/
lookup/suppl/doi:10.1128/mBio.01578-16/-/DCSupplemental. 15. Yukawa J, Kiritani K, Kawasawa T, Higashiura Y, Sawamura N, Nakada
K, Gyotoku N, Tanaka A, Kamitani S, Matsuo K, Yamauchi S, Take-
matsu Y. 2009. Northward range expansion by Nezara viridula
(Hemiptera: Pentatomidae) in Shikoku and Chugoku districts, Japan,
possibly due to global warming. Appl Entomol Zool 44:429–437. http://
dx.doi.org/10.1303/aez.2009.429. Figure S1, PDF file, 0.6 MB. Figure S2, PDF file, 0.8 MB. Figure S3, PDF file, 0.7 MB. Figure S4, PDF file, 0.8 MB. FUNDING INFORMATION This work, including the efforts of Yoshitomo Kikuchi, was funded by
Ministry of Education, Culture, Sports, Science, and Technology (MEXT)
(26117732). This work, including the efforts of Takema Fukatsu, was
funded by Ministry of Education, Culture, Sports, Science, and Technol-
ogy (MEXT) (25221107). This work, including the efforts of Yoshitomo Kikuchi, was funded by
Ministry of Education, Culture, Sports, Science, and Technology (MEXT)
(26117732). This work, including the efforts of Takema Fukatsu, was
funded by Ministry of Education, Culture, Sports, Science, and Technol-
ogy (MEXT) (25221107). g
j
19. Musolin DL. 2007. Insects in a warmer world: ecological, physiological
and life-history responses of true bugs (Heteroptera) to climate change. Glob Chang Biol 13:1565–1585. http://dx.doi.org/10.1111/j.1365
-2486.2007.01395.x. 20. Prado SS, Hung KY, Daugherty MP, Almeida RP. 2010. Indirect effects
of temperature on stink bug fitness, via maintenance of gut-associated
symbionts. Appl Environ Microbiol 76:1261–1266. http://dx.doi.org/
10.1128/AEM.02034-09. MATERIALS AND METHODS On the basis of the 1.6-kb se-
quence of the symbiont groEL gene, specific internal primers MMAOgroF
(5=-AAG CAA ATG ACG CTG CAG GAG-3=) and MMAOgroR (5=-GCT
CAA CAG CAG CCA CAA CG-3=) targeting a 140-bp region for quanti- 6
®
mbio.asm.org September/October 2016
Volume 7
Issue 5
e01578-16 Climate Change and Symbiosis tative PCR were designed. The PCR mixture (in total, 20 l) contained
2.0 l of 10 PCR buffer (Applied Biosystems, Foster City, CA), 2.0 l of
GeneAmp deoxynucleoside triphosphate (dNTP) mix (Applied Biosys-
tems, Foster City, CA) (2 mM [each] dATP, dTTP, dGTP, and dCTP),
1.2 l of 25 mM MgCl2 solution (Applied Biosystems, Foster City, CA),
0.2 l of SYBR green I (Molecular Probes, Eugene, OR, USA), 0.4 l of
primer mixture solution (5 M [each] forward and reverse primers), 0.1
l of AmpliTaq gold DNA polymerase (Applied Biosystems, Foster City,
CA), 9.1 l of distilled water, 1.0 l of dimethyl sulfoxide, and 4 l of
extracted DNA. The PCR temperature profile was 95°C for 10 min fol-
lowed by 40 cycles of 95°C for 10 s, 60°C for 15 s, and 72°C for 15 s. For
calculation of the absolute numbers of the groEL gene copies, 10-fold
serial dilutions of the target PCR product, ranging from 101 to 107 gene
copies per reaction, were also quantified, and a standard curve was gen-
erated for the gene. tative PCR were designed. The PCR mixture (in total, 20 l) contained
2.0 l of 10 PCR buffer (Applied Biosystems, Foster City, CA), 2.0 l of
GeneAmp deoxynucleoside triphosphate (dNTP) mix (Applied Biosys-
tems, Foster City, CA) (2 mM [each] dATP, dTTP, dGTP, and dCTP),
1.2 l of 25 mM MgCl2 solution (Applied Biosystems, Foster City, CA),
0.2 l of SYBR green I (Molecular Probes, Eugene, OR, USA), 0.4 l of
primer mixture solution (5 M [each] forward and reverse primers), 0.1
l of AmpliTaq gold DNA polymerase (Applied Biosystems, Foster City,
CA), 9.1 l of distilled water, 1.0 l of dimethyl sulfoxide, and 4 l of
extracted DNA. The PCR temperature profile was 95°C for 10 min fol-
lowed by 40 cycles of 95°C for 10 s, 60°C for 15 s, and 72°C for 15 s. September/October 2016
Volume 7
Issue 5
e01578-16 REFERENCES 1. Walther GR. 2010. Community and ecosystem responses to recent cli-
mate change. Philos Trans R Soc Lond B Biol Sci 365:2019–2024. http://
dx.doi.org/10.1098/rstb.2010.0021. 1. Walther GR. 2010. Community and ecosystem responses to recent cli-
mate change. Philos Trans R Soc Lond B Biol Sci 365:2019–2024. http://
dx.doi.org/10.1098/rstb.2010.0021. 21. Stocker TF, Qin D, Plattner GK, Tignor MMB, Allen SK, Boschung J,
Nauels A, Xia Y, Bex V, Midgley PM. 2013. IPCC 2013: summary for
policy makers. Climate change 2013: the physical science basis. Contribu-
tion of Working Group I to the Fourth Assessment Report of the Inter-
governmental Panel on Climate Change. Cambridge University Press,
Cambridge, United Kingdom. 2. Gilman SE, Urban MC, Tewksbury J, Gilchrist GW, Holt RD. 2010. A
framework for community interactions under climate change. Trends
Ecol Evol 25:325–331. http://dx.doi.org/10.1016/j.tree.2010.03.002. 2. Gilman SE, Urban MC, Tewksbury J, Gilchrist GW, Holt RD. 2010. A
framework for community interactions under climate change. Trends
Ecol Evol 25:325–331. http://dx.doi.org/10.1016/j.tree.2010.03.002. 3. Harley CD. 2011. Climate change, keystone predation, and biodiversity
loss. Science 334:1124–1127. http://dx.doi.org/10.1126/science.1210199. 3. Harley CD. 2011. Climate change, keystone predation, and biodiversity
loss. Science 334:1124–1127. http://dx.doi.org/10.1126/science.1210199. g
g
22. Musolin DL, Tougou D, Fujisaki K. 2010. Too hot to handle? Phenolog-
ical and life-history responses to simulated climate change of the southern
green stink bug Nezara viridula (Heteroptera: Pentatomidae). Glob Chang
Biol 16:73–87. http://dx.doi.org/10.1111/j.1365-2486.2009.01914.x. 4. Blois JL, Zarnetske PL, Fitzpatrick MC, Finnegan S. 2013. Climate
change and the past, present, and future of biotic interactions. Science
341:499–504. http://dx.doi.org/10.1126/science.1237184. September/October 2016
Volume 7
Issue 5
e01578-16 ® 7 mbio.asm.org
7 mbio.asm.org
7 Kikuchi et al. Hatziolos ME. 2007. Coral reefs under rapid climate change and ocean
acidification. Science 318:1737–1742. http://dx.doi.org/10.1126/
science.1152509. 23. Noda H, Saito T. 1979. The role of intracellular yeastlike symbiotes in the
development of Laodelphax striatellus (Homoptera: Delphacidae). Appl
Entomol Zool 14:453–458. 24. Ohtaka C, Ishikawa H. 1991. Effects of heat treatment on the symbiotic
system of an aphid mycetocyte. Symbiosis 11:19–30. 31. Wernegreen JJ. 2002. Genome evolution in bacterial endosymbionts of
insects. Nat Rev Genet 3:850–861. http://dx.doi.org/10.1038/nrg931. 32. Moran NA, McCutcheon JP, Nakabachi A. 2008. Genomics and evolu-
tion of heritable bacterial symbionts. Annu Rev Genet 42:165–190. http://
dx.doi.org/10.1146/annurev.genet.41.110306.130119. 25. Sacchi L, Grigolo A, Biscaldi G, Laudani U. 1993. Effects of heat treat-
ment on the symbiotic system of Blattoidea: morphofunctional alterations
of bacteriocytes. Boll Zool 60:271–279. http://dx.doi.org/10.1080/
11250009309355823. 33. September/October 2016
Volume 7
Issue 5
e01578-16 8
®
mbio.asm.org REFERENCES Dunbar HE, Wilson AC, Ferguson NR, Moran NA. 2007. Aphid thermal
tolerance is governed by a point mutation in bacterial symbionts. PLoS
Biol 5:e96. http://dx.doi.org/10.1371/journal.pbio.0050096. 26. Fan Y, Wernegreen JJ. 2013. Can’t take the heat: high temperature de-
pletes bacterial endosymbionts of ants. Microb Ecol 66:727–733. http://
dx.doi.org/10.1007/s00248-013-0264-6. 34. Fukatsu T. 1999. Acetone preservation: a practical technique for molecu-
lar analysis. Mol Ecol 8:1935–1945. http://dx.doi.org/10.1046/j.1365
-294x.1999.00795.x. g
27. Chang KP. 1974. Effects of elevated temperature on the mycetome and
symbiotes of the bed bug Cimex lectularius (Heteroptera). J Invertebr
Pathol 23:333–340. http://dx.doi.org/10.1016/0022-2011(74)90098-6. 35. Hosokawa T, Kikuchi Y, Shimada M, Fukatsu T. 2007. Obligate symbi-
ont involved in pest status of host insect. Proc Biol Sci 274:1979–1984. http://dx.doi.org/10.1098/rspb.2007.0620. p
g
28. Rosenberg E, Koren O, Reshef L, Efrony R, Zilber-Rosenberg I. 2007. The role of microorganisms in coral health, disease and evolution. Nat Rev
Microbiol 5:355–362. http://dx.doi.org/10.1038/nrmicro1635. g
36. Kikuchi Y, Hosokawa T, Fukatsu T. 2007. Insect-microbe mutualism
without vertical transmission: a stinkbug acquires a beneficial gut symbi-
ont from the environment every generation. Appl Environ Microbiol 73:
4308–4316. http://dx.doi.org/10.1128/AEM.00067-07. g
29. PandolfiJM, Connolly SR, Marshall DJ, Cohen AL. 2011. Projecting
coral reef futures under global warming and ocean acidification. Science
333:418–422. http://dx.doi.org/10.1126/science.1204794. p
g
30. Hoegh-Guldberg O, Mumby PJ, Hooten AJ, Steneck RS, Greenfield
P, Gomez E, Harvell CD, Sale PF, Edwards AJ, Caldeira K, Knowlton
N, Eakin CM, Iglesias-Prieto R, Muthiga N, Bradbury RH, Dubi A, g
37. Kikuchi Y, Hosokawa T, Fukatsu T. 2011. Specific developmental win-
dow for establishment of an insect-microbe gut symbiosis. Appl Environ
Microbiol 77:4075–4081. http://dx.doi.org/10.1128/AEM.00358-11. 8
®
mbio.asm.org September/October 2016
Volume 7
Issue 5
e01578-16
|
https://openalex.org/W4392876581
|
https://journals-uoli.com/index.php/SRJ/article/download/41/40
|
English
| null |
Qualitative Exploration of Challenges and Management of Migraine among Pakistani Female University Students
|
Siazga Research Journal
| 2,024
|
cc-by
| 6,429
|
Abstract A migraine is a health condition of recurrent headaches with symptoms
such as nausea, vomiting, dizziness, and sensitivity to light and sound. Migraine attacks can last up to a few hours to several days. Although it is a
physiological condition, it is reported to cause psychological problems such
as mood disorders and social issues. This study aimed to gain insight into the
experiences associated with migraines among female university students. Challenges associated with migraines at emotional, cognitive, social, and
physical levels were explored. Migraine management mechanisms were
also explored. A qualitative study was conducted where in-depth interviews
were taken from 10 participants. The participants were approached through
snowball sampling with inclusion criteria of being a female university student
diagnosed with migraine for at least three months. The thematic analysis
was conducted to analyze participants’ verbatims. Emotional challenges
associated with migraines included feelings of anxiety, depression, and
helplessness. The cognitive challenges were distressing thoughts about the
future, thoughts about death, and orientation and attention issues. The social
challenges included social isolation and maintaining good relationships. The
physical challenges reported were related to sleep, appetite, fatigue, and
hypersensitivity to sensory stimuli. Further, most of the participants used
avoidant/passive mechanisms for management and only a few participants
used positive management mechanisms such as meditation. The study
provides insight into the experiences of female university students living with
migraine and highlights the need for integrated management approaches that
address the physical, social, and psychological aspects of migraine. Copyright © The Author(s). 2024
This
is
an
open-access
article
distributed under the terms of the
Creative
Commons
Attribute
4.0
International License, which permits
unrestricted use, distribution, and
reproduction in any medium, provided
the original author(s) and source are
credited. Qualitative Exploration of Challenges and Management
of Migraine among Pakistani Female University Students Maryum Firdous*, &
Tooba Nisar Maryum Firdous*, &
Tooba Nisar
Mohammad Ali Jinnah University - Pakistan Mohammad Ali Jinnah University - Pakistan Mohammad Ali Jinnah University - Pakistan ent
nts
2-SRJ-100-41 ent
nts
2-SRJ-100-41 2-SRJ-100-41 SIAZGA RESEARCH JOURNAL, 2024
VOL. 03, NO. 01, 10 – 19
DOI: https://doi.org/10.58341/srj.v3i1.41 Keywords: Migraine, challenges, management, female students, qualitative
exploration 1. INTRODUCTION Migraine is a prevalent health issue that is characterized by recurrent unilateral episodes of headache
which often occurs with sensitivity to sound and light, nausea, and vomiting (Amani et al., 2023). The word
migraine was derived from the word ‘hemicrania’ meaning ‘half-head’ (Gupta & Gaurkar, 2022). Migraine
has two main types. One type is migraine with aura, which has sensory or neurological symptoms before
the attack. It is also known as classical migraine. Another type is migraine without aura which occurs
without such prior symptoms. It is also known as a common migraine (Gupta & Gaurkar, 2022). Moreover,
migraines can either be episodic or chronic. Episodic migraine is less than 5 days of headache per month
while chronic migraine is 15 or more days of headache per month (Seng et al., 2017). Migraine affects more than one billion people worldwide (Ashina et al., 2021). According to a study
of Global Burden Disease, migraine is the second leading cause of years lived with disability (Vos et al.,
2020). It is associated with various comorbidities such as psychiatric disorders, cardiovascular disorders,
neurological diseases, sleep conditions, and inflammatory conditions (Buse et al., 2020). *Corresponding Author: Maryum Firdous, Mohammad Ali Jinnah University - Pakistan
maryum.firdous@jinnah.edu
© 2024 | University of Loralai, Balochistan - Pakistan 11 SIAZGA RESEARCH JOURNAL - 2024 A study by Wang and his colleagues (2016) demonstrated that migraine prevalence in university
students is 16.1%. They also pointed out that gender may have a significant influence on the prevalence
of migraine. Later, a study with medical students concluded that the female gender is a potential positive
predictor of suffering from migraine (Ragab et al., 2023). Ragab et al. (2023) also reported a negative
correlation between the degree of disability of students and their academic performance. Studies have
also found that migraines cause stress and distress in female university students (Ragab et al., 2023). Therefore, this study aimed to gain insight into the experiences associated with migraines among female
university students. We explored their challenges at emotional, cognitive, social, and physical levels. We
also explored their management mechanisms. The study is important because it gives an account of an
important health issue and the way it affects the daily life of female students. 2. LITERATURE REVIEW Scientists believe in the involvement of the nervous system in migraines. Studies have identified brain
structure differences during comparison between migraine and tension-type headaches (Chen et al.,
2018). MRI studies report an association of abnormal cortex thickness with migraine (Amin et al., 2021). Furthermore, Potassium ATP channels are involved in the pathophysiology of migraine. These channels
are activated by elevated levels of cyclic adenosine monophosphate and cyclic guanosine monophosphate
that trigger a migraine attack (Kokoti et al., 2020). The role of genetics in the susceptibility to migraines is significant and a family history of migraine
attacks is common among individuals with migraine tendencies. Furthermore, a stronger family history
of migraine is associated with migraine with aura, earlier onset, and increased medication usage (Pelzer
et al., 2019). Triggers The occurrence of migraine attacks is associated with various triggers, including sleep disturbances,
high levels of stress, excessive screen time, exposure to loud noises, skipping meals, and hormonal
changes in females (Athar et al., 2022). There is a strong association between migraine headaches and
both mental and physical stress. A narrative review study of migraine triggers in Asian countries revealed
that stress and sleep disturbance are the most common triggering factors of migraine (Iba et al., 2023). It is suggested that stress may potentially lead to sensitization and alteration in cortical excitability that
partially account for triggering migraine attacks and progression to chronic migraine (Stubberud et al.,
2021). Besides, visual discomfort by exposure to light such as bright sunlight reflected sunlight, and
flickering light was reported as a trigger of migraine attack by 69% of the patients (Artemenko et al.,
2022). Prevalence The global prevalence of migraine is 9.7% in males and 20.7% in females (Burch, 2019). Studies in India
and Pakistan have stated that the occurrence of migraine is more common in females than in males
(Athar et al., 2022; Ramasamy et al., 2019). Several factors including genetic variations, brain structures,
neuronal activity, hormones, and stress are involved in modulating the predisposition of migraine in
females (Allais et al. 2020). Moreover, a study on menstrual migraines highlighted the important role
of estrogen and prostaglandin in migraine onset (Vetvik & MacGregor, 2021). In a study in Pakistan
conducted with 393 individuals who were suffering from migraine aged between 10-69 years, 78.1% were
females and 76.1% were students (Athar et al., 2022). Similarly, the study by Alatawi et al. (2023) with 374
participants demonstrated females’ comparatively higher percentage (54.5%) than males (45.5%) as well
as majority were students (60.2%). Impacts Migraine not only significantly affects daily functioning but also impacts psychological well-being. The
unpredictable nature of migraine attacks is believed to be a significant contributor to its negative impact
on the quality of life. The findings of a survey with 11,266 adult individuals with migraines demonstrated
that 85% of the participants stated at least one negative impact of migraine. The most reported impacts
included being misunderstood by people, depression, hating their lives, and feeling that migraine has
control over their lives (Martelletti et al., 2018). Additionally, 78% of the participants reported migraine’s
impact on their social activities including not being able to participate in their hobbies, stopping from
attending social events, and not engaging in exercise or sports (Martelletti et al., 2018). 12
FIRDOUS & NISAR 12 It is estimated that approximately 25% of individuals with migraines meet the criteria for mood
and anxiety disorders (Corallo et al., 2015; Malik et al., 2023). However, a larger number of individuals
experience symptoms of mood and anxiety even without meeting the full diagnostic criteria for a specific
disorder (Corallo et al., 2015). A qualitative study evaluated the impact of migraine on multiple domains
of life. The findings highlighted that anger, frustration, guilt, and isolation were more expressed by the
participants than formal depression (Estave et al., 2021). Several studies have concluded that migraine leads to cognitive dysfunction. It is linked to deficits in
orientation, attention, executive functioning, calculation, language, memory, and psychomotor speed (De
Dhaem & Robbins, 2022). Moreover, negative automatic thoughts were found more in individuals with
migraine than in healthy participants. The frequency of migraine headaches is significantly correlated
to negative beliefs about danger and uncontrollability, stress, anxiety, and depression which further
increases the severity of disability due to migraines (Goksan et al., 2022). Studies have also suggested
a higher prevalence of suicidal ideations and suicidal attempts in individuals living with migraine. Suicidal ideation was found higher in individuals with migraine with aura than in migraine without
aura. Also, a significant relationship was indicated between migraines and suicide attempts (Wei et al.,
2023). Migraines also impact sleep and appetite. Studies have identified that brainstem and diencephalic
regions are involved in the pathogenesis of migraine as well as in sleep-wake cycle regulation (Holland et
al., 2018). Therefore, people with migraine are at risk of developing insomnia (Tiseo et al., 2020). Management Two types of management mechanisms are used by individuals with migraines, positive and avoidant/
passive. Positive strategies include stress management and relaxation while avoidant ones include social
withdrawal, disengagement, and avoidance of perceived triggers (Thelakkad et al., 2018). The most
commonly employed management strategy by individuals experiencing migraines in a study conducted
in Pakistan was taking rest with a percentage of 65.9%. Additionally, to seek relief from the pain,
medication, staying in a dark and quiet place and massage were also used (Athar et al., 2022). Besides,
migraine was found to be significantly managed in quiet and dark environments, reducing noise, and
massage as relieving factors. Thematic Analysis of Participants’ Responses Thematic Analysis of Participants Responses
Themes
Challenges Associated
with Migraine
Emotional Challenges
Cautious, Anxious, and Fearful
Irritation and Anger
Down and Depressed
Feels Helpless and useless
Cognitive Challenges
Worst thing ever to happen
Lifelong illness
Inability to complete the task
Reduced functioning
Inattention at university
Social Challenges
Isolation
Quietness
Avoidance of interaction by family
Bad encounters with family
Physical Challenges
Difficulty falling asleep
Short sleep
Lost appetite
Nausea and fear of vomit
Sensitivity to lights and sounds
Weakness and Lethargy
Management of Migraine
Meditation
Avoidance of sensory stimulus
Avoidance of workload
Avoidance of tension/stress
Medication Table 1 Demographic characteristics of participants (N=10) Demographic characteristics of participants (N=10) emographic characteristics of participants (N=10)
participant
Age (years)
Diagnosis duration
Other health issues
Family structure
Socioeconomic status
1
22
3 months
No
Nuclear
Middle
2
21
3 years
No
Nuclear
Middle
3
21
4 years
No
Nuclear
Upper middle
4
23
6 years
No
Nuclear
Upper Middle
5
22
5 years
No
Nuclear
Upper Middle
6
20
2 years
Liver Disease
Joint
Upper Middle
7
22
3 years
Iron and vitamin D deficiency
Nuclear
Upper Middle
8
22
5 years
No
Nuclear
Upper Middle
9
23
2 years
No
Joint
Middle
10
24
9 years
Chronic Constipation, Chronic
Sinusitis
Nuclear
Middle 3. SAMPLE & METHODOLOGY A qualitative study with individual in-depth interviews was conducted. The inclusion criteria were
being 18 years or older and having a diagnosis of migraine for at least three months. The participants were
approached through snowball sampling. The interviews were conducted face-to-face or over video call. A total sample of 10 individuals participated in the study. Informed consent was taken from participants
before the interview. Participants were informed about the study and were assured of anonymity and
confidentiality. For face-to-face interviews, written consent was taken while for video calls, consent
was taken through Google form. Then, a demographic section was filled that was intended to obtain
information about participants. It included age, gender, diagnosis duration, marital status, family
structure, and socioeconomic status. After consent and demographic data, semi-structured interview
questions were used to gain insight into the experiences of the participants. The questions were designed
to gain insight into the experiences of individuals diagnosed with migraine. The questions were aimed to
reveal physical, emotional, cognitive, and social challenges associated with migraine. We also explored
the management strategies used by the participants. The interviews were conducted bilingually in English and Urdu. Each interview took around 25 minutes. Then thematic analysis was conducted to extract the themes from the interviews. All the participants
were females and single. They were students of a private or public sector university based in Karachi,
Pakistan. Table 1 demonstrates that their ages ranged between 20 to 24 years. Their diagnosis duration
varied from 3 months to 9 years. Three (30%) participants reported other health issues also. Six (60%)
participants belonged to upper-middle whereas 4 (40%) belonged to middle socioeconomic status. SIAZGA RESEARCH JOURNAL - 2024 13 Qualitative Analysis Qualitative Analysis Table 2 Thematic Analysis of Participants’ Responses Emotional Challenges One of the highlighted points in the verbatim of participants was emotional disturbance. According to
them, the overwhelming pain and uncertainty surrounding potential migraines lead to emotional distress,
stress, and anxiety. Some of them felt cautious that unintentionally they might trigger a migraine. They
were in constant fear and anxious state that migraine may occur and there would be unbearable pain. “I always have to consider the fact that I might get attacked. I am in a constant stressed and anxious
state” (P10). A few participants also shared that they felt irritated due to the constant unbearable pain and
discomfort which makes them more sensitive to their surroundings. A few participants also shared that they felt irritated due to the constant unbearable pain and
discomfort which makes them more sensitive to their surroundings. “I get irritated often even if someone is trying to help me” (P4). Besides, three of the participants expressed their feelings of helplessness. They feel powerless when FIRDOUS & NISAR 14 they are unable to control the throbbing pain and associated symptoms. Also, when they are uncertain
about its intensity and duration. “No one has any idea when it gets triggered and how long it will take to leave” (P2). Some of the participants reported that the pain and helplessness of not having control over it, makes
them feel depressed. “I feel exhausted physically as well as mentally. I feel kind of depressed with my situation” (P8). “I feel exhausted physically as well as mentally. I feel kind of depressed with my situation” (P8). Few participants mentioned that when the pain is present as well as when it subsides it leaves them
with the feeling of being unworthy. Few participants mentioned that when the pain is present as well as when it subsides it leaves them
with the feeling of being unworthy. “I survive the worst time of my life when I am having it because its symptoms make me feel useless
during the pain” (P2). Cognitive Challenges “I often take time off from university or leave class in middle” (P6). Cognitive Challenges It was identified that participants had constant distressing thoughts during and after migraine. Two
of the participants said that the desperation to get relief from the pain led them to desire something
extreme like death. “One wishes for nothing but death when experiences migraine” (P3). “One wishes for nothing but death when experiences migraine” (P3). “I think when it occurs to anyone, he/she might wish to end their life because of its intensity and its
symptoms” (P2). “I think when it occurs to anyone, he/she might wish to end their life because of its intensity and its
symptoms” (P2). Few of them said that it was the worst thing to deal with and they had to bear it throughout their life. “My constant thought is that will I be able to live a life without migraine?” (P4) Few of them said that it was the worst thing to deal with and they had to bear it throughout their life. “My constant thought is that will I be able to live a life without migraine?” (P4). “My constant thought is that will I be able to live a life without migraine?” (P4). Migraines disrupted their daily routine. Participants shared the difficulties they faced in their daily
routine: Migraines disrupted their daily routine. Participants shared the difficulties they faced in their daily
routine: “If I have a migraine attack then it’s my day wasted” (P10). “If I have a migraine attack then it’s my day wasted” (P10). “If I have a migraine attack then it’s my day wasted” (P10). Moreover, due to orientation and attention issues, participants’ productivity was reduced. They are
not able to accomplish daily tasks and complete assignments. The seventh participant reported: Moreover, due to orientation and attention issues, participants’ productivity was reduced. They are
not able to accomplish daily tasks and complete assignments. The seventh participant reported: “I cannot complete my tasks, cannot concentrate in class, I am not able to submit my assignments on
time” (P7). “I cannot complete my tasks, cannot concentrate in class, I am not able to submit my assignments on
time” (P7). A few participants also found it difficult to be regular and active in class and reported the negative
impact migraine has on their academic life. A few participants also found it difficult to be regular and active in class and reported the negative
impact migraine has on their academic life. Social Challenges Migraine’s impact on socialization and relationships was prominent in the verbatim of participants. Almost all the participants reported that they felt immense pain during migraine that led them to go
towards isolation. “I need to isolate myself” (P2). An avoidance of social gatherings and meeting with people was also found in the verbatim. An avoidance of social gatherings and meeting with people was also found in the verbatim. “I cannot attend social gatherings” (P5). “I cannot attend social gatherings” (P5). Participants also felt emotional pain because of the isolation. “I feel down because of pain, I isolate myself that causes me so much distress” (P1). “I feel down because of pain, I isolate myself that causes me so much distress” (P1). Moreover, they avoided having conversations with anyone and felt annoyed even if someone was
trying to help. A participant shared that her family also avoided talking to her due to her mood swings. However, some participants mentioned that their family was supportive and understanding, therefore
there was no impact on their relationships. Physical Challenges 15 SIAZGA RESEARCH JOURNAL - 2024 Three physical challenges were reported in the study, which were sleep disturbance, appetite
disturbance, and increased sensitivity to sensory stimuli. It was difficult for the participants to find a
comfortable sleeping position during a migraine attack. “It is extremely difficult to sleep as even keeping the head on pillow feels painful” (P3). The impact on sleep duration was also prominent which had reduced to only a few hours. Few of them
were only able to have restless and fragmented sleep. “It’s difficult to sleep in pain. My sleeping hours are 3 to 4 hours” (P1). “It’s difficult to sleep in pain. My sleeping hours are 3 to 4 hours” (P1). “I sleep in chunks only” (P8). Regarding appetite disturbance, participants reported that the pain and associated symptoms caused
a reluctance to eat. The participants either didn’t feel like eating or feared that they might vomit. It was
demonstrated in the verbatim that there was a disturbance in appetite and diet due to migraine. “For almost 2 to 3 days, my appetite gets totally disturbed” (P2). “For almost 2 to 3 days, my appetite gets totally disturbed” (P2). “For almost 2 to 3 days, my appetite gets totally disturbed” (P2). ipants also shared having a sensory sensitivity. Participants also shared having a sensory sensitivity. “There is sensitivity to light” (P2). Social Challenges “By having a good routine that includes exercise, meditation, good quality sleep, healthy diet and do
not stress out” (P5). “By having a good routine that includes exercise, meditation, good quality sleep, healthy diet and do
not stress out” (P5). Social Challenges Besides, the attacks make them physically drained. They experience extreme weakness. The fifth
participant shared that: “Migraine leads to weakness” (P5). “Migraine leads to weakness” (P5). Also, when the pain subsides, the tiredness lingers around and there is a lethargy that restrains them
from accomplishing tasks. Also, when the pain subsides, the tiredness lingers around and there is a lethargy that restrains them
from accomplishing tasks. “I feel a lack of energy, unable to do anything the whole day!” (P9). “I feel a lack of energy, unable to do anything the whole day!” (P9). “I feel a lack of energy, unable to do anything the whole day!” (P9). Migraine Management It was identified that some of the participants managed migraines by trying to identify, avoid, or
manage the triggering factors such as television, phone, workload, etc. It was identified that some of the participants managed migraines by trying to identify, avoid, or
manage the triggering factors such as television, phone, workload, etc. ’t have coffee or chocolates (dark) as it triggers migraine” (P3). “I don’t have coffee or chocolates (dark) as it triggers migraine” (P3). Most of the participants reported managing their sensitivity to lights to avoid a migraine attack or
reduce its potential of worsening. They avoid direct sunlight or bright lights. Most of the participants reported managing their sensitivity to lights to avoid a migraine attack or
reduce its potential of worsening. They avoid direct sunlight or bright lights. “I avoid sunlight and I use sunglasses so that it won’t directly impact my eyes. My phone brightness
is at 0% always” (P10). “I avoid sunlight and I use sunglasses so that it won’t directly impact my eyes. My phone brightness
is at 0% always” (P10). Moreover, almost all of the participants rely on medical management. They use prescribed medication
to alleviate the pain. Moreover, almost all of the participants rely on medical management. They use prescribed medication
to alleviate the pain. “I consume medicine if it becomes unbearable” (P6). Additionally, few of the participants opted for maintaining a healthy lifestyle to manage their migraine
attacks. They try to incorporate meditation and exercise into their daily routine. Additionally, few of the participants opted for maintaining a healthy lifestyle to manage their migraine
attacks. They try to incorporate meditation and exercise into their daily routine. Discussion They shared that they missed deadlines at university and could not
attend lectures during the migraine attacks. Results of the previous studies support that migraine leads
to substantial functional impairment, reduced productivity, decreased regular activity, and incapacity to
work (Wong et al., 2020). Our participants also reported the social isolation due to migraines and distress that it created for
them. They shared an inability to attend gatherings which may also influence their ability to maintain
social relationships. Migraines have been linked to poor social functioning in previous studies too (Lui
et al., 2020). Migraines not only impact relationships with others but also with family members (Raggi
et al., 2012). One of our participants shared that her family kept a distance from her during migraines
because of her moods during the attack. Our participants also reported physical challenges of sleeping, eating, sensory sensitivities, and
weakness, which are usually reported by people suffering from migraines (Amani et al., 2023). The
difficulty was not only in falling asleep but also in maintaining a healthy sleep, challenges which are well
explained in other studies too (Tiseo et al., 2020). Eating was restricted mainly because of the feeling
and fear of vomiting. This is because appetite pathways have an overlap with migraine pathophysiology
(Martins-Oliveira et al., 2021). Sensory sensitivity, especially towards light was present. Participants
stated that a feeling of tiredness and fatigue continued to persist after the migraine attack. Previous
studies show that individuals with migraine are at increased risk of developing chronic fatigue syndrome
(Lau et al., 2015). Most of the participants used avoidant/passive mechanisms for management. For example, they
reported avoidance of sunlight and chocolates. A few participants used positive management mechanisms
and reported using meditation, and a healthy lifestyle for the management of migraines. This finding of
the study was similar to the findings of the research (Battista et al., 2023) where the majority of the
individuals with migraines were focused on avoidant/passive mechanisms by identifying triggers to have
control over them. They were always in a state of readiness to control the attack by avoiding the triggers. None of our participants considered taking rest as a management mechanism, which is in contrast to
previous research that reported 66% of the responses were about resting (Athar et al., 2022). This may be
due to the diverse nature of their sample (children to old age) when our participants were all university
students. Discussion Migraines, which are recurrent headaches, are associated with multiple challenges. Migraines are
common among university students and the female gender. Therefore, this study aimed to gain insight
into the experiences associated with migraines among female university students. Challenges associated
with migraines at emotional, cognitive, social, and physical levels were explored. Migraine management
mechanisms were also explored. The findings of the study reveal that migraines have a significant impact on the well-being and
functioning of an individual. There was an extreme emotional disturbance associated with migraine in
our participants. During a migraine attack, neurons in the posterior hypothalamus, lateral hypothalamus,
and adjacent midbrain are active. These areas have a connection with the limbic system which may FIRDOUS & NISAR 16 explain the mood changes in an individual (Kumar et al., 2022). Our participants reported anxiety and
depression which have also been reported in earlier research (Corallo et al., 2015). Earlier research also
reports that anxiety precedes migraines (Jahangir et al., 2020). This was also shared by one participant
in our study that she remained in a constant state of anxiety about getting a migraine attack. Moreover,
our participants’ feelings of helplessness, uselessness, and exhaustion are also supported by the existing
literature (Estave et al., 2021). explain the mood changes in an individual (Kumar et al., 2022). Our participants reported anxiety and
depression which have also been reported in earlier research (Corallo et al., 2015). Earlier research also
reports that anxiety precedes migraines (Jahangir et al., 2020). This was also shared by one participant
in our study that she remained in a constant state of anxiety about getting a migraine attack. Moreover,
our participants’ feelings of helplessness, uselessness, and exhaustion are also supported by the existing
literature (Estave et al., 2021). It was identified that migraine impacts our participants’ daily functioning by affecting their cognitive
abilities. There is an association between higher levels of maladaptive cognitions and migraine in the
existent literature (e.g., Seng et al., 2017). Distressing thoughts during and after migraines were unbearable
for the participants and sometimes led them to think about death. None of the participants shared suicidal
ideation, which has been reported in migraine patients in earlier research (Pei et al., 2020). The thought
that the illness was lifelong gave them so much emotional pain. Our participants also reported a concern
for the wasted time due to migraines. Discussion University students may not be able to take a proper rest because of their university routine. It may also be possible that our participants might not consider rest as a management mechanism, but
rather a compulsion in their hectic schedules. In the survey with more than 11000 adults, 85% of the
participants stated at least one negative impact of migraine (Martelletti et al., 2018). Along with that,
57% of the participants reported at least one positive aspect of existing with migraine such as gaining
strength and resilience. However, our participants did not report any positive aspect of having migraine. 4. CONCLUSION The findings of the study highlight that migraine is a physical condition that has a significant impact on
various aspects of the lives of female students. Migraine impacts them emotionally, cognitively, socially,
and physically. These challenges make them unable to perform like other students. They cannot attend
the lectures regularly or with full attention. Also, their use of passive/avoidant strategies over positive
strategies for the management of migraines may make the condition even more challenging for them. This study has a few limitations. The types of migraine, with and without aura, were not differentiated
for the participants. The two types may have distinct symptoms and impacts on individuals. Future 17 SIAZGA RESEARCH JOURNAL - 2024 studies may focus on exploring the challenges and management of participants suffering from each type. Second, to fulfill the purpose of the study, the sample was comprised of females. The experiences of
males and gender differences in the experiences of migraines could not be explored in the current study. Future research may recruit male participants to qualitatively study their experiences. Future studies
may also consider gender differences in studying the two types of migraine and the prevalence of the two
types in both genders. Follow-up studies may also be considered to understand the long-term impact of
migraine. Additionally, integrated management approaches must be designed to address several aspects
of migraine. Students suffering from migraine should be counseled to use positive strategies for migraine
management. University-wide campaigns can be introduced to give students an awareness of positive
management strategies. Competing Interests The authors did not declare any competing interest. https://doi.org/10.1186/s10194-021-01312-9 Artemenko, A. R., Filatova, E., Vorobyeva, Y. D., Do, T. P., Ashina, M., & Danilov, A. B. (2022). Migraine and light: a
narrative review. Headache: The Journal of Head and Face Pain, 62(1), 4-10. https://doi.org/10.1111/head.14250 Ashina, M., Katsarava, Z., Do, T. P., Buse, D. C., Pozo-Rosich, P., Özge, A., ... Sacco, S. (2021). Migraine: epidemiology and
systems of care. The Lancet, 397(10283), 1485-1495. ttps://doi.org/10.1007/s10072-020-04643-8 Amani Tirani, S., Askari, G., Khorvash, F., As’habi, A., & Arab, A. (2023). Associations between dietary diversity score
and migraine headaches: the results from a cross-sectional study. Frontiers in Nutrition, 10, 1206278. https://doi.org/10.3389/fnut.2023.1206278 Amin, F. M., De Icco, R., Al-Karagholi, M. A. M., Raghava, J. M., Wolfram, F., Larsson, H. B., & Ashina, M. (2021). Investigation
of cortical thickness and volume during spontaneous attacks of migraine without aura: a 3-Tesla MRI study. The
Journal of Headache and Pain, 22(1), 98. https://doi.org/10.1016/s0140-6736(20)32160-7 Athar, F., Zahid, A., Farooq, M., Ayyan, M., Ashraf, M., ... Ilyas, M. A. (2022). Frequency of migraine according to the
ICHD-3 criteria and its association with sociodemographic and triggering factors in Pakistan: A cross-sectional
study. Annals of Medicine and Surgery, 82, 104589. https://doi.org/10.1016/j.amsu.2022.104589 Battista, S., Lazzaretti, A., Coppola, I., Falsiroli Maistrello, L., Rania, N., & Testa, M. (2023). Living with migraine: A meta-
synthesis of qualitative studies. Frontiers in Psychology, 14, 1129926. Begasse de Dhaem, O., & Robbins, M. S. (2022). Cognitive impairment in primary and secondary headache disorders. Current Pain and Headache Reports, 26(5), 391-404. References Alatawi, A. M., Moria, H. A., Alharfy, A. A. N., Alotaibi, J. T. A., Ali, M., Alyami, M., Alzahrani, A. M. M. M., Albalawi, Z. S. D.,
& Albalawi, M. B. (2023). The prevalence of migraine headaches among the general population and its impact on
quality of life in Tabuk city, Saudi Arabia. Medical Science, 27, e48ms2692. https://doi.org/10.54905/disssi/v27i131/e48ms2692 Allais, G., Chiarle, G., Sinigaglia, S., Airola, G., Schiapparelli, P., & Benedetto, C. (2020). Gender-related differences in
migraine. Neurological Sciences, 41, 429-436. htt
//d i
/10 1007/ 10072 020 04643 8 https://doi.org/10.1007/s11916-022-01039-5 Burch, R. (2019). Migraine and tension-type headache: diagnosis and treatment. Medical Clinics, 103(2), 215-233. https://doi.org/10.1016/j.mcna.2018.10.003 Buse, D. C., Reed, M. L., Fanning, K. M., Bostic, R., Dodick, D. W., Schwedt, T. J., ... Lipton, R. B. (2020). Comorbid and
co-occurring conditions in migraine and associated risk of increasing headache pain intensity and headache 18 FIRDOUS & NISAR frequency: results of the migraine in America symptoms and treatment (MAST) study. The Journal of headache
and pain, 21(1), 1-16. frequency: results of the migraine in America symptoms and treatment (MAST) study. The Journal of headache
and pain, 21(1), 1-16. https://doi.org/10.1186/s10194-020-1084-y Chen, W. T., Chou, K. H., Lee, P. L., Hsiao, F. J., Niddam, D. M., Lai, K. L., ... Wang, S. J. (2018). Comparison of gray matter
volume between migraine and “strict-criteria” tension-type headache. The Journal of headache and pain, 19, 1-11. https://doi.org/10.1186/s10194-018-0834-6 Chen, W. T., Chou, K. H., Lee, P. L., Hsiao, F. J., Niddam, D. M., Lai, K. L., ... Wang, S. J. (2018). Comparison of gray matter
volume between migraine and “strict-criteria” tension-type headache. The Journal of headache and pain, 19, 1-11. https://doi.org/10.1111/head.141 Goksan Yavuz, B., Acar, E., Sancak, B., Sayin, E., Yalinay Dikmen, P., & Ilgaz Aydinlar, E. (2022). The role of metacognition,
negative automatic thoughts and emotions in migraine-related disability among adult migraine patients. Psychology, Health & Medicine, 1-13. https://doi.org/10.1186/s10194-018-0834-6 Corallo, F., De Cola, M. C., Lo Buono, V., Grugno, R., Pintabona, G., & Presti, L. (2015). Assessment of anxiety, depressive
disorders and pain intensity in migraine and tension headache patients. Acta Medica Mediterranea, 31(3), 615-620. Estave, P. M., Beeghly, S., Anderson, R., Margol, C., Shakir, M., George, G., ... Powers, S. W. (2021). Learning the full
impact of migraine through patient voices: a qualitative study. Headache: The Journal of Head and Face Pain, 61(7),
1004-1020. https://doi.org/10.3389/fneur.2023.1169795 Jahangir, S., Adjepong, D., Al-Shami, H. A., Malik, B. H., & Dennis Adjepong, M.B.A. (2020). Is there an association
between migraine and major depressive disorder? a narrative review. Cureus, 12(6). Kokoti, L., Al-Karagholi, M. A. M., & Ashina, M. (2020). Latest insights into the pathophysiology of migraine: the ATP-
sensitive potassium channels. Current Pain and Headache Reports, 24, 1-8. https://doi.org/10.1007/s11916-020-00911-6 https://doi.org/10.1007/s11916-020-00911-6 Kumar, R., Asif, S., Bali, A., Dang, A. K., & Gonzalez, D. A. (2022). The development and impact of anxiety with migraines:
a narrative review. Cureus, 14(6). Lau, C. I., Lin, C. C., Chen, W. H., Wang, H. C., & Kao, C. H. (2015). Increased risk of chronic fatigue syndrome in patients
with migraine: A retrospective cohort study. Journal of Psychosomatic Research, 79(6), 514-518. Lui, J. Z., Young, N. P., Ebbert, J. O., Rosedahl, J. K., & Philpot, L. M. (2020). Loneliness and migraine self-management:
a cross-sectional assessment. Journal of Primary Care & Community Health, 11, 2150132720924874. Malik, M., Masood, R., Rana, M. T., Fatima, S., & Farooq, S. (2023). Frequency of Depression in Migraine Patients: A
Multicentre Cross-Sectional Study from Pakistan. Pakistan Journal of Medical & Health Sciences, 17(05), 525-525. Martelletti, P., Schwedt, T. J., Lanteri-Minet, M., Quintana, R., Carboni, V., Diener, H. C., ... Sacco, S. (2018). My Migraine
Voice survey: a global study of disease burden among individuals with migraine for whom preventive treatments
have failed. The journal of headache and pain, 19(1), 1-10. https://doi.org/10.1080/13548506.2022.2104884 https://doi.org/10.1080/13548506.2022.2104884 Gupta, J., & Gaurkar, S. S. (2022). Migraine: An underestimated neurological condition affecting billions. Cureus, 14(8). https://doi.org/10.7759/cureus.28347 Holland, P. R., Barloese, M., & Fahrenkrug, J. (2018). PACAP in hypothalamic regulation of sleep and circadian rhythm:
importance for headache. The journal of headache and pain, 19(1), 1-8. Iba, C., Ohtani, S., Lee, M. J., Huh, S., Watanabe, N., Nakahara, J., ... Takizawa, T. (2023). Migraine triggers in Asian
countries: a narrative review. Frontiers in Neurology, 14, 1169795. https://doi.org/10.1186/s10194-018-0946-z https://doi.org/10.1186/s10194-018-0946-z Martins-Oliveira, M., Tavares, I., & Goadsby, P. J. (2021). Was it something I ate? Understanding the bidirectional
interaction of migraine and appetite neural circuits. Brain Research, 1770, 147629. Pei, J. H., Wang, X. L., Yu, Y., Zhang, Y. B., Gou, L., Nan, R. L., ... Han, Z. J. (2020). Prevalence of suicidal ideation and
suicide attempt in patients with migraine: a systematic review and meta-analysis. Journal of affective disorders,
277, 253-259. https://doi.org/10.1016/j.jad.2020.08.019 19 SIAZGA RESEARCH JOURNAL - 2024 Pelzer, N., Louter, M. A., van Zwet, E. W., Nyholt, D. R., Ferrari, M. D., van den Maagdenberg, A. M., ... Terwindt, G. M. (2019). Linking migraine frequency with family history of migraine. Cephalalgia, 39(2), 229-236. https://doi.org/10.1016/s0140-6736(20)30925-9 https://doi.org/10.1016/s0140-6736(20)30925-9 Wang, X., Zhou, H.B., Sun, J.M., Xing, Y.H., Zhu, Y.L. and Zhao, Y.S. (2016). The prevalence of migraine in university
students: A systematic review and meta‐analysis. European journal of neurology, 23(3), 464-475. https://doi.org/10.18203/2320-6012.ijrms20191083 https://doi.org/10.18203/2320-6012.ijrms20191083 Seng, E.K., Buse, D.C., Klepper, J.E., J. Mayson, S., Grinberg, A.S., Grosberg, B.M., Pavlovic, J.M., Robbins, M.S., Vollbracht,
S.E. and Lipton, R.B. (2017). Psychological factors associated with chronic migraine and severe migraine‐related
disability: An observational study in a tertiary headache center. Headache: The Journal of Head and Face Pain,
57(4), 593-604. Stubberud, A., Buse, D.C., Kristoffersen, E.S., Linde, M. and Tronvik, E. (2021). Is there a causal relationship between
stress and migraine? Current evidence and implications for management. The journal of headache and pain, 22(1),
1-11. https://doi.org/10.1111/ene.12784 https://doi.org/10.1111/ene.12784 Wei, H., Li, Y., Lei, H. and Ren, J. (2023). Associations of migraines with suicide ideation or attempts: A meta-analysis. Frontiers in public health, 11, p.1140682. https://doi.org/10.3389/fpubh.2023.1140682 Wei, H., Li, Y., Lei, H. and Ren, J. (2023). Associations of migraines with suicide ideation or attempts: A meta-analysis. Frontiers in public health, 11, p.1140682. https://doi.org/10.1080/21679169.2018.1468812 Tiseo, C., Vacca, A., Felbush, A., Filimonova, T., Gai, A., Glazyrina, T., Hubalek, I. A., Marchenko, Y., Overeem, L. H., Piroso,
S., Tkachev, A., Martelletti, P., & Sacco, S. (2020). Migraine and sleep disorders: a systematic review. Journal of
Headache and Pain, 21(1). Vetvik, K.G. and MacGregor, E.A. (2021). Menstrual migraine: a distinct disorder needing greater recognition. The
Lancet Neurology, 20(4), 304-315. https://doi.org/10.1186/s10194-021-01369-6 Thelakkad Mana, D., Kumar, S. and Muragod, A.R. (2019). Correlation between migraine originated disability and
coping up strategies in early adult female population: a cross-sectional study. European Journal of Physiotherapy,
21(1), 35-38. https://doi.org/10.1186/s41983-023-00665-z https://doi.org/10.1186/s41983-023-00665-z https://doi.org/10.1186/s41983-023-00665-z Raggi, A., Giovannetti, A. M., Quintas, R., D’Amico, D. J., Cieza, A., Sabariego, C., Bickenbach, J., & Leonardi, M. (2012). A systematic review of the psychosocial difficulties relevant to patients with migraine. Journal of Headache and
Pain, 13(8), 595–606. Ramasamy, B., Karri, M., Venkat, S. and Andhuvan, G. (2019). Clinical profile and triggers of migraine: an Indian
perspective. Int J Res Med Sci, 7(4), 1050-4. https://doi.org/10.1016/s1474-4422(20)30482-8 Vos, T., Lim, S.S., Abbafati, C., Abbas, K.M., Abbasi, M., Abbasifard, M., Abbasi-Kangevari, M., Abbastabar, H., Abd-
Allah, F., Abdelalim, A. and Abdollahi, M. (2020). Global burden of 369 diseases and injuries in 204 countries and
territories, 1990–2019: a systematic analysis for the Global Burden of Disease Study 2019. The Lancet, 396(10258),
1204-1222. https://doi.org/10.1177/0333102418783295 Ragab, S., Zaitoun, N., Elrafie, A., el-Ansarey, H., Srour, A., Nabil, N., Elshoura, Y., Elshafei, M. and Elgamal, S. (2023). Migraine among Egyptian medical students: prevalence, disability and psychological distress-cross sectional
study. The Egyptian Journal of Neurology, Psychiatry and Neurosurgery, 59(1), 1-10. https://doi.org/10.3389/fpubh.2023.1140682 Wong, L.P., Alias, H., Bhoo-Pathy, N., Chung, I., Chong, Y.C., Kalra, S. and Shah, Z.U. (2020). Impact of migraine
on workplace productivity and monetary loss: a study of employees in banking sector in Malaysia. The
journal of headache and pain, 21(1), 1-11.
|
https://openalex.org/W2093247167
|
https://europepmc.org/articles/pmc4409717?pdf=render
|
English
| null |
MiR-133a is downregulated in non-small cell lung cancer: a study of clinical significance
|
European journal of medical research
| 2,015
|
cc-by
| 6,497
|
* Correspondence: chen_gang_triones@163.com
†Equal contributors
2Department of Pathology, First Affiliated Hospital of Guangxi Medical
University, No. 6 Shuangyong Road, Nanning, Guangxi Zhuang Autonomous
Region 530021, People’s Republic of China
Full list of author information is available at the end of the article RESEARCH Open Access Open Access © 2015 Lan et al.; licensee BioMed Central. This is an Open Access article distributed under the terms of the Creative
Commons Attribution License (http://creativecommons.org/licenses/by/4.0), which permits unrestricted use, distribution, and
reproduction in any medium, provided the original work is properly credited. The Creative Commons Public Domain
Dedication waiver (http://creativecommons.org/publicdomain/zero/1.0/) applies to the data made available in this article,
unless otherwise stated. Lan et al. European Journal of Medical Research (2015) 20:50
DOI 10.1186/s40001-015-0139-z Lan et al. European Journal of Medical Research (2015) 20:50
DOI 10.1186/s40001-015-0139-z EUROPEAN JOURNAL
OF MEDICAL RESEARCH MiR-133a is downregulated in non-small cell lung
cancer: a study of clinical significance Dong Lan1†, Xin Zhang2†, Rongquan He1, Ruixue Tang2, Ping Li2, Qiancheng He3 and Gang Chen2* Abstract Background: Despite present studies which suggested miR-133a as a promising biomarker for several cancers,
there still exist no articles concerning the validated clinical significance of miR-133a in non-small cell lung cancer
(NSCLC). Therefore, in this study, we targeted the correlation between miR-133a expression and clinicopathological
significance in NSCLC patients. g
p
Methods: The expression of miR-133a in 125 cases of NSCLC and their paired adjacent non-cancerous tissues was
evaluated by quantitative reverse transcription polymerase chain reaction (qRT-PCR). Meanwhile, the relationship
between miR-133a expression and several clinicopathological parameters and patient survival was analyzed. Results: The relative level of miR-133a was 2.0108 ± 1.3334 in NSCLC tissues, significantly lower than that of the
adjacent non-cancerous lung tissues (3.6430 ± 2.2625, P = 0.019). The area under curve (AUC) of low expression of
miR-133a to diagnose NSCLC was 0.760 (95% CI: 0.702 ~ 0.819, P < 0.001). MiR-133a expression was negatively
correlated to lymphatic metastasis (r = −0.182, P = 0.042), tumor size (r = −0.253, P = 0.04), clinical TNM stages
(r = −0.154, P = 0.087), and EGFR protein expression (r = −0.612, P < 0.001). Methods: The expression of miR-133a in 125 cases of NSCLC and their paired adjacent non-cancerous tissues was
evaluated by quantitative reverse transcription polymerase chain reaction (qRT-PCR). Meanwhile, the relationship
between miR-133a expression and several clinicopathological parameters and patient survival was analyzed. Results: The relative level of miR-133a was 2.0108 ± 1.3334 in NSCLC tissues, significantly lower than that of the
adjacent non-cancerous lung tissues (3.6430 ± 2.2625, P = 0.019). The area under curve (AUC) of low expression of
miR-133a to diagnose NSCLC was 0.760 (95% CI: 0.702 ~ 0.819, P < 0.001). MiR-133a expression was negatively
correlated to lymphatic metastasis (r = −0.182, P = 0.042), tumor size (r = −0.253, P = 0.04), clinical TNM stages
(r = −0.154, P = 0.087), and EGFR protein expression (r = −0.612, P < 0.001). Conclusions: MiR-133a serves as a tumor-suppressive miRNA in human NSCLC, and its downregulation suggests
deterioration in NSCLC patients. Keywords: MiR-133a, NSCLC, Downregulate, Clinical significance Keywords: MiR-133a, NSCLC, Downregulate, Clinical significance Background carcinomas and plays a significant role in cancer pro-
gression [10-12]. It is generally believed that certain
miRNAs, which are aberrantly expressed, can serve as
potential biomarkers in terms of diagnosis and prognosis
[13-16]. Recent studies about miRNAs in NSCLC unveiled
that certain deregulated miRNAs are associated with the
regulation of cell growth, apoptosis, migration, and inva-
sion in NSCLC, such as miR-34a, miR-125a, miR-145,
miR-451, and miR-17-92 cluster [17,18]. The discoveries
suggested that the dysregulation of miRNA expression
might be strongly associated with oncogenesis and pro-
gression of NSCLC. Lung cancer is the major cause of cancer mortality
worldwide with an approximation of 80% non-small cell
lung cancer (NSCLC) [1-3]. Although tremendous im-
provements have been made in diagnosis and treatment,
poor prognosis still exists in a large number of NSCLC
patients with a low 5-year overall survival rate and a
high recurrence rate [4-6]. Thus, it is utterly important
to discover reliable biomarkers of profound prognostic
value in NSCLC patients [7]. MicroRNAs
(miRNAs)
are
short
single-stranded
non-coding RNA molecules containing about 19 to 25
nucleotides, which regulate RNA silencing and post-
transcriptional regulation of gene expression [8,9]. The
malfunction
of
miRNAs
is
frequent
in
different The expression of miR-133a was reported to be down-
regulated in various malignancies when cancerous tissue
was compared with normal adjacent tissue, including
bladder cancer, head and neck squamous cell carcinoma,
and colorectal cancer [19-21]. Also, the aberrant expres-
sion of miR-133a emerged among breast cancer, renal
cell carcinoma, and prostate cancer [22-24]. Nevertheless,
to date, there are very few studies attempting to expound * Correspondence: chen_gang_triones@163.com
†Equal contributors
2Department of Pathology, First Affiliated Hospital of Guangxi Medical
University, No. 6 Shuangyong Road, Nanning, Guangxi Zhuang Autonomous
Region 530021, People’s Republic of China
Full list of author information is available at the end of the article Page 2 of 8 Lan et al. European Journal of Medical Research (2015) 20:50 staining individually, and discrepancies were determined
by consensus. the relationship between the expression of miR-133a and
the clinicopathological parameters in NSCLC, except the
research by Wang et al. [25], in which only Kaplan-Meier
survival rate was taken into account. Further investiga-
tions are hence required to define the clinical significance
of miR-133a in NSCLC. Concerning the EGFR gene amplification, gene copy
number per cell in NSCLC was investigated by FISH. EGFR status detection We detected the EGFR status in the way previously re-
ported [28]. Briefly, for immunohistochemistry (IHC) to
detect EGFR protein expression, NSCLC tissue sections
were de-paraffinized and antigen retrieval was performed
with citrate buffer (pH 6.0) with 0.05% Tween-20. Slides
were incubated with primary EGFR polyclonal antibody
(sc-03, Santa Cruz Biotechnology, Inc., Santa Cruz, CA,
USA) at 4°C overnight. The expression level of EGFR
protein was documented with the quickscore (Q score)
which is based on the percentage (P) of positive staining
tumor cells (0% to 100%) and the intensity (I) of staining
(0, complete nonappearance of staining; 1, weak cyto-
plasmic staining; 2, moderate and incomplete membran-
ous staining; 3, solid membranous staining). Both the
intensity and percentage of staining were assessed with
objective magnification × 10, while the distribution of
staining on membrane or cytoplasm was evaluated with
objective magnification × 40. The result of each case was
calculated by multiplying the percentage of positive
tumor cells with the intensity (Q = P × I; maximum = 3). When Q score was ≥1, the result was regarded as posi-
tive. The Q score ≤2 was considered as low expression
of EGFR, while >3 was high expression. An overview of
all the IHC results was performed by two independent
pathologists (GC and PL). Two persons estimated the Background The LSI EGFR Spectrum Orange/CEP7 Spectrum Green
probe (Vysis, Abbott Laboratories, Chicago, IL, USA)
was used following the manufacturer instructions. FISH
signals were assessed under the fluorescence microscope
Olympus BX41 (Olympus, Tokyo, Japan) equipped with
single filters: DAPI, SpectrumOrange, and FITC as well
as a triple-filter DAPI/FITC/SpectrumOrange. FISH ana-
lysis was individualistically performed by two patholo-
gists who were unaware of the clinicopathological and
molecular features of patients. Negative results for FISH
in NSCLCs were determined if it was with no or low
genomic gain (≤four copies of gene in >40% of the cells),
and positive results included gene amplification and high
polysomy. Gene amplification was defined by the pres-
ence of tight gene clusters, a gene/chromosome per cell
ratio ≥2, or ≥15 copies of the genes per cell in ≥10% of
the analyzed cells, and high polysomy was identified as ≥
four copies of the gene in ≥40% of the cells. Tissue samples In the current study, we collected the formalin-fixed,
paraffin-embedded (FFPE) samples of cancerous and
non-cancerous adjacent lung tissues from 125 NSCLC
patients (75 males and 50 females; mean age, 61.10 years;
range, 23 to 90 years), who were hospitalized in the First
Affiliated Hospital of the Guangxi Medical University
(Nanning, Guangxi, China) between January 2012 and
February 2014. The research was approved by The Ethical
Committee of the First Affiliated Hospital of Guangxi
Medical University, China, and informed written consent
was obtained from all patients who participated. All tissue
samples were reviewed and diagnosed by two pathologists
independently. The
clinicopathological
characteristics
were summarized in Table 1. The defining criteria for age
and pathological grading were consulted from the report
by Li et al. [26] Also, the tumor size and TNM definition
criterion complies with the gauge from IASLC 2009 [27]. As for the EGFR mutation detection, the QIAamp
DNA FFPE Tissue Kit (QIAGEN, Hilden, Germany) was
used to extract DNA from paraffin-embedded tissues
and the operational tumor samples with histological
control for the presence of tumor cells (>75%) that was
obtained by trimming the non-cancerous tissue and nec-
rotic tissue. For mutational analysis of the kinase domain
of EGFR coding sequence, exons 18, 19, 20, and 21 were
amplified with specific pairs of primers, specific to the
flanking sequences of individual exon with the EGFR ref-
erence sequence (NM_005228.3, NCBI). The assay was
carried out according to the manufacturer’s protocol with
the ABI Step-one Plus real-time PCR system. RT-qPCR b Table 1 Relationship between miR-133a and clinicopathological parameters in NSCLC xsÞ
ð
Clinicopathological feature
n
miRNA-133a relevant exp
Mean ± SD Table 1 Relationship between miR-133a and clinicopathological parameters in NSCLC xsÞ
ð
Clinicopathological feature
n
miRNA 133a relevant exp Table 1 Relationship between miR-133a and clinicopathological parameters in NSCLC xsÞ
ð p between miR-133a and clinicopathological parameters in NSCLC xsÞ
ð d clinicopathological parameters in NSCLC xsÞ
ð aPaired t student’s test was performed. bOne-way analysis of variance (ANOVA) test was performed. bOne-way analysis of variance (ANOVA) test was performed. RT-qPCR RNA isolation and RNA normalization were performed
as described formerly [29]. We applied reverse transcrip-
tion (RT) and qPCR kits based on precedents in order to
examine the expression of miR-133a as reported previ-
ously [30]. RT process for microRNA complied strictly
with the instructions of the manufacturer. Previously, we
discovered that the aggregation of miR-191 and miR-103
was the most stable housekeeping miRNA by using
NormFinder and geNorm. This combination was adopted
in the current study for the evaluation of miR-133a
expression. The primers for miR-133a, miR-191, and
miR-103 were included in TaqMan® MicroRNA Assays
(4427975, Applied Biosystems, Life Technologies, Grand
Island, NY, USA). Sequences of targeted miRNAs and ref-
erence miRNAs used were as follows: miR-133a (Applied
Biosystems Cat. No. 4427975-000458): UUGGUCCC-
CUUCAACCAGCUGU; miR-191 (Applied Biosystems Lan et al. European Journal of Medical Research (2015) 20:50 Page 3 of 8 Page 3 of 8 Table 1 Relationship between miR-133a and clinicopathological parameters in NSCLC xsÞ
ð
Clinicopathological feature
n
miRNA-133a relevant expression (2−Δcq)
Mean ± SD
t
P value
Tissuea
NSCLC
125
2.0108 ± 1.3334
6.949
<0.001
Adjacent non-cancerous lung
125
3.6430 ± 2.2625
Age (years)
<60
57
1.8321 ± 1.2583
1.377
0.171
≥60
68
2.1606 ± 1.3846
Gender
Male
75
1.9552 ± 1.2893
0.569
0.570
Female
50
2.0942 ± 1.4060
Smoke
No
38
1.7792 ± 1.2891
1.565
0.122
Yes
30
2.3217 ± 1.5689
Tumor size (cm)
≤3 (pT1)
60
2.3058 ± 1.2512
−2.423
0.017
>3 (pT2, pT3, pT4)
65
1.7385 ± 1.3581
Lymph node metastasis
No
56
2.2662 ± 1.3316
−1.951
0.053
Yes
69
1.8035 ± 1.3079
Vascular invasion
No
90
2.0787 ± 1.3777
−0.912
0.364
Yes
35
1.8363 ± 1.2134
TNM
I-II
54
2.2480 ± 1.3434
−1.749
0.083
III-IV
71
1.8304 ± 1.3063
Pathological gradingb
I
17
2.2965 ± 1.5570
−1.074
0.345
II
78
1.8772 ± 1.3135
III
30
2.1963 ± 1.2459
Histological classificationc
Adenocarcinoma
101
2.0638 ± 1.3517
4.980
0.008
Squamous carcinoma
23
1.6222 ± 0.9795
Large cell carcinoma
1
5.6000 ± 0.0000
EGFR amplification
No
39
2.0159 ± 1.3763
−0.889
0.378
Yes
18
1.6533 ± 1.5483
EGFR protein expression
Low
40
2.2843 ± 1.3288
−3.379
0.001
High
17
1.0006 ± 1.2706
EGFR mutation
Wild type
44
1.9625 ± 1.4570
−0.590
0.557
Mutationd
13
1.6946 ± 1.3646
aPaired t student’s test was performed. Correlations between the miR-133a expression and
clinicopathological parameters in NSCLC carcinoma with large cell carcinoma (P = 0.001). As for
the association between miR-133a level and EGFR sta-
tus, we first detected EGFR expression by IHC. All 57
cases assessed for IHC showed positive EGFR staining
with the Q score more than 1. Among them, 40 had low
expression
and
17
had
high
expression
of
EGFR. Relatively lower level of miR-133a expression was also
perceived in cases of high EGFR protein expression
(2.2843 ± 1.3288) while higher level was detected in
those with low EGFR protein expression (1.0006 ±
1.2706, P = 0.001, Figure 3B). Even though considered to
be insignificant statistically, in NSCLC patients with
lymphatic metastasis, we detected a higher level of miR-
133a, that is, 2.2662 ± 1.3316 while there was a lower
level in those without lymphatic metastasis, namely
1.8035 ± 1.3079 with the
P value 0.053. Furthermore, a
decreasing trend of miR-133a could be found in the
clinical TNM stages. The expression of miR-133a in
advanced stages (III and IV, 1.8304 ± 1.3063) was rela-
tively decreased when compared with that in early stages
(I and II, 2.2480 ± 1.3434, P = 0.083). MiR-133a was identified to be associated with certain
clinicopathological parameters. The relative level of
miR-133a expression in patients with tumor greater than
3 cm (1.7385 ± 1.3581) was significantly lower when
compared to that in those with tumor less than or equal
to 3 cm (2.3058 ± 1.2512, P = 0.017, Figure 3A). We also
observed certain differences in histological classification,
with the expression level 2.0638 ± 1.3517 in adenocarcin-
oma,
1.6222 ± 0.9795
in
squamous
carcinoma,
and
5.6000 ± 0 in large cell carcinoma. Statistical significance
existed in situations where we compared adenocarcin-
oma with large cell carcinoma (P = 0.011) and squamous Figure 1 The expression of miR-133a in lung cancer and non-cancerous
lung tissues. qRT-PCR was employed to detect the expression of
miR-133a in lung cancer tissue and adjacent non-cancerous lung
tissue. ***P < 0.001. Fi
1 Th
i
f
iR 133 i l
d Meanwhile, Spearman correlation test was employed for
further analysis, which revealed the consistent relationship
between miR-133a expression and the following clinico-
pathological parameters: lymphatic metastasis (r = −0.182,
P = 0.042), tumor size (r = −0.253, P = 0.04), and EGFR
protein expression (r = −0.612, P < 0.001). Statistical analysis Cat. No. 4427975-000490): CAACGGAAUCCCAAAAG
CAGCU; miR-103 (Applied Biosystems Cat. No. 4427975-
000439): AGCAGCAUUGUACAGGGCUAUGA. The re-
verse primers were also used for the reverse transcription
with TaqMan® MicroRNA Reverse Transcription Kit
(4366596, Applied Biosystems, Life Technologies, Grand
Island, NY, USA) in a total volume of 10 μl. We carried
out real-time qPCR for miRNA using Applied Biosystems
PCR7900. The expression of miR-133a was determined
with the formula 2−Δcq [31]. We employed SPSS 20.0 for statistical analysis. Student’s
t test was conducted to discover the significance of dif-
ference between groups. We also adopted one-way ana-
lysis
of
variance
(ANOVA)
test
to
identify
the
relationship between the expression level of miR-133a
and pathological grading and histological classification. Receiver operating characteristic (ROC) curves were cre-
ated by SPSS 20.0 to evaluate how potent miR-133a is
when it came to distinguish the NSCLC tissues from Lan et al. European Journal of Medical Research (2015) 20:50 Page 4 of 8 Figure 2 ROC curve of miR-133a for lung cancer. The area under
curve (AUC) of miR-133a was 0.760 (95% CI: 0.702 ~ 0.819, P < 0.001). non-cancerous lung tissues. Survival analysis was gauged
by the Kaplan-Meier method while the log-rank test was
conducted to compare the survival status between
groups. It was considered to be statistically significant
when the P value calculated by two-tailed test was less
than 0.05. Decreased expression of miR-133a in NSCLC p
The relative level of miR-133a in NSCLC tissues was
2.0108 ± 1.3334, which was significantly lower than that
in the adjacent non-cancerous lung tissues (3.6430 ±
2.2625, P = 0.019, Figure 1 and Table 1). Moreover, the
ROC curve was applied in order to evaluate the diagnos-
tic performance of miR-133a in NSCLC. The area under
curve (AUC) of miR-133a was 0.760 (95% CI: 0.702 ~
0.819, P < 0.001, Figure 2), and the optimal cut-off value
was 1.690. Figure 2 ROC curve of miR-133a for lung cancer. The area under
curve (AUC) of miR-133a was 0.760 (95% CI: 0.702 ~ 0.819, P < 0.001). Correlations between the miR-133a expression and
clinicopathological parameters in NSCLC ROC curves of clinicopathological parameters ROC curves of clinicopathological parameters survival time of 20.012 ± 3.132 months in contrast to
17.296 ± 3.424
months
in
low
miR-133a
expression
group. It is worth mentioning that there existed a dis-
tinct difference of 2.716 months in the survival between
the two groups even though no statistical significance of
miR-133a expression was shown in survival of NSCLC
(P = 0.325, Figure 5). ROC curves were applied to evaluate the predictive sig-
nificance of miR-133a level in NSCLC patients for clinico-
pathological factors. The AUC in terms of size was 0.646
(95% CI: 0.550 ~ 0.743, P = 0.005, cut-off value: 1.620, sen-
sitivity: 61.7%, 1-specificity: 33.8%) (Figure 4A). The area
under curve (AUC) in patients with lymphatic metastasis
was 0.606 (95% CI: 0.507 ~ 0.705, P = 0.043, cut-off value:
2.940, sensitivity: 32.1%, 1-specificity: 14.5%) (Figure 4B). As for other clinicopathological factors, there appeared to
be inferior diagnostic significance. Discussion To our knowledge, this study was the first one to illu-
minate the relationship between miR-133a and clinico-
pathological parameters in NSCLC. There were only two
publications concerning the role of miR-133a in NSCLC,
which concentrated more on its regulating mechanism
than the clinical significance [25,32]. In the perspective
of clinical significance, Wang et al. [25] concluded that
miR-133a expression levels indicate the clinical outcome Correlations between the miR-133a expression and
clinicopathological parameters in NSCLC Nevertheless, other clinicopathological features which
proved to be independent of miR-133a expression were as
follows: age, gender, differentiation grades, pathological
types, smoke, vascular infiltration, metastasis, EGFR amp-
lification, or EGFR mutation status. Figure 1 The expression of miR-133a in lung cancer and non-cancerous
lung tissues. qRT-PCR was employed to detect the expression of
miR-133a in lung cancer tissue and adjacent non-cancerous lung
tissue. ***P < 0.001. Figure 1 The expression of miR-133a in lung cancer and non-cancerous
lung tissues. qRT-PCR was employed to detect the expression of
miR-133a in lung cancer tissue and adjacent non-cancerous lung
tissue. ***P < 0.001. Lan et al. European Journal of Medical Research (2015) 20:50 Page 5 of 8 Figure 3 Correlations between the expression of miR-133a and some clinicopathological parameters in lung cancer. (A) tumor size; (B) EGFR
protein expression. *P < 0.05. Figure 3 Correlations between the expression of miR-133a and some clinicopathological parameters in lung cancer. (A)
protein expression. *P < 0.05. Overall survival analysis of NSCLC patients No
statistical significance of survival emerged in patients with low or
high miR-133a expression (P = 0.325). in NSCLC and could serve as a suitable prognostic
factor merely based on the multivariable Cox regression
analysis. Moriya et al. [32] paid substantial attention to
the molecular mechanisms but none to its clinical
significance. What makes our current study potent and
novel is that we examined the miR-133a expression in
relatively larger sample sizes, 125 cases of NSCLC tis-
sues, and their paired non-cancerous lung tissues, which
minimized individual difference, and ran a full-panel
analysis between the expression levels of miR-133a and
clinicopathological parameters in NSCLC. However, our results seem to contradict Wang et al. [25] with regard to survival. According the their report,
the underexpression of miR-133a was significantly asso-
ciated with poor overall survival with a P value of
0.0409, which later inferred that miR-133a could be a
prognostic indicator when combined with the results of
multivariable Cox regression analyses. However, in our
study, there emerged no statistical significance of miR-
133a expression in the survival of NSCLC. We assume
that four main factors should account for the situation. Firstly, the sample sizes were different with 57 followed-
up cases in our study and 112 in theirs. Secondly, the
conditions of patients also differed. For instance, all
cases of NSCLC patients used to analyze survival in our
study were adenocarcinoma, while it was not specified
which subtype the 112 cases in the study of Wang et al. [25] were. Thirdly, different calculating methods of rela-
tive gene expression might also contribute to the dis-
crepancy. We used the formula 2−Δcq when determining
the expression of miR-133a while Wang et al. did not
specify the calculating method of gene expression in
their article [25]. Last but not least, endogenous controls
might result in the difference. In the study of Wang
et al. [25], they employed RNU48 as the endogenous
control while we adopted a combination of miR-191 and
miR-103 as the endogenous control in our research. We
hence plan to collect more followed-up cases and their
corresponding data for the purpose of further study in
terms of survival. We found the role of miR-133a as a tumor suppressor
in NSCLC. The relative expression level of miR-133a
was significantly lower than that in the non-cancerous
lung tissues. Overall survival analysis of NSCLC patients Among the 57 patients followed up, 27 had relatively
low miR-133a level (lower than the median level of 1.60)
while 30 possessed relatively high level of miR-133a ex-
pression. The high miR-133a expression group showed a Figure 4 ROC curves of miR-133a for clinicopathological factors of lung cancer. (A) ROC curve of miR-133a level for tumor size. The AUC was
0.646 (95% CI: 0.550 ~ 0.743, P = 0.005). (B) ROC curve of miR-133a level for lymphatic metastasis. The AUC was 0.606 (95% CI: 0.507 ~ 0.705, P = 0.043). Figure 4 ROC curves of miR-133a for clinicopathological factors of lung cancer. (A) ROC curve of miR-133a level for tumor size. The AUC was
0.646 (95% CI: 0.550 ~ 0.743, P = 0.005). (B) ROC curve of miR-133a level for lymphatic metastasis. The AUC was 0.606 (95% CI: 0.507 ~ 0.705, P = 0.043). Lan et al. European Journal of Medical Research (2015) 20:50 Page 6 of 8 with lymphatic metastasis while a lower level, 1.8035 ±
1.3079, was observed in those without lymphatic metasta-
sis. The difference should never be ignored despite the
boardline statistical significance (P = 0.053). A larger
cohort is needed to further determine the relationships
between miR-133a expression and tumor size as well as
lymphatic metastasis. It was actually supported by the
study of Wang et al. [25], in which they claimed that miR-
133a can inhibit cell invasiveness. Furthermore, the
expression of miR-133a suggested the deterioration of the
disease to certain degree in spite of inferior statistical
significance (P = 0.083), since the miR-133a expression in
advanced stages (III and IV, 1.8304 ± 1.3063) was lower
than that in early stages (I and II, 2.2480 ± 1.3434). As to
histological classification, we considered it to be fortuitous
owing to the sole case of large cell carcinoma, even
though there existed a statistical significance in the cases
of adenocarcinoma vs large cell carcinoma and squamous
carcinoma vs large cell carcinoma. The above results of
the study reveal a remarkable significance between miR-
133a and tumor growth, metastasis, and progression of
NSCLC. However, further study with a larger size of
cohort is required to confirm the current finding. Figure 5 Kaplan-Meier curve for survival in miR-133a expression. No
statistical significance of survival emerged in patients with low or
high miR-133a expression (P = 0.325). Figure 5 Kaplan-Meier curve for survival in miR-133a expression. Received: 9 November 2014 Accepted: 8 April 2015 Received: 9 November 2014 Accepted: 8 April 2015 Overall survival analysis of NSCLC patients EGFR protein (r = −0.612, P < 0.001) as assessed by
Spearman’s correlation. They were obviously correlated
negatively, which strongly backed the perspective of
Wang et al. [25], who assumed that several oncogenic
receptors in NSCLC cells might be direct targets of miR-
133a, including EGFR. Putative miR-133a binding sites
of EGFR have also been identified by computational
algorithms from several online miRNA-target gene predic-
tion softwares, including Targetscan (www.targetscan.org,
data not shown). Treating strategy using EGFR has gained
growing attention, which provides a significant response
and survival benefit. Nevertheless, resistance has already
emerged regardless of unexpanded usage [33,34]. Thus, it
is rational that a trend of resorting to miR-133a as a thera-
peutic strategy has become increasingly popular. Previ-
ously, we found that EGFR was a target gene of miR-146a
in NSCLS and we attempted to investigate the effect of
miR-146a in the treatment of NSCLC. MiR-146a did show
therapeutic efficiency on NSCLC cells to a certain degree. Unfortunately, the impact was suboptimal [28], thus mak-
ing us curious about the potential of miR-133a as thera-
peutic strategy. Successive experiments are undergoing. Natural Science Foundation of China (NSFC 81360327). The funders had no
role in study design, data collection and analysis, decision to publish, or
preparation of the manuscript. Dong Lan and Xin Zhang contributed equally
to this paper. Natural Science Foundation of China (NSFC 81360327). The funders had no
role in study design, data collection and analysis, decision to publish, or
preparation of the manuscript. Dong Lan and Xin Zhang contributed equally
to this paper. Authors’ contributions
d
b
d DL and XZ contributed equally in proposing, designing, and conducting the
experiments, analyzing the data, and composing the manuscript. RH and RT
performed the experiments and analyzed the data. PL and QH conducted
the experiments and corrected the manuscript. GC proposed, designed, and
supervised the experiments and corrected the manuscript. All authors read
and approved the final manuscript. 16. Hui A, How C, Ito E, Liu FF. Micro-RNAs as diagnostic or prognostic markers
in human epithelial malignancies. BMC Cancer. 2011;11:500. 17. Fortunato O, Boeri M, Verri C, Moro M, Sozzi G. Therapeutic use of
microRNAs in lung cancer. BioMed Res Int. 2014;2014:756975. 18. Del Vescovo V, Grasso M, Barbareschi M, Denti MA. MicroRNAs as lung
cancer biomarkers. World J Clin Oncol. 2014;5(4):604–20. Author details
1 1Department of Medical Oncology, First Affiliated Hospital of Guangxi
Medical University, No. 6 Shuangyong Road, Nanning, Guangxi Zhuang
Autonomous Region 530021, People’s Republic of China. 2Department of
Pathology, First Affiliated Hospital of Guangxi Medical University, No. 6
Shuangyong Road, Nanning, Guangxi Zhuang Autonomous Region 530021,
People’s Republic of China. 3Department of General Medicine, First Affiliated
Hospital of Wenzhou Medical University, No. 2 Fuxue Alley, Wenzhou,
Zhejiang 325000, People’s Republic of China. References
1
L
PN 1. Lee PN, Forey BA. Indirectly estimated absolute lung cancer mortality rates
by smoking status and histological type based on a systematic review. BMC Cancer. 2013;13:189. 2. Hirose T, Murata Y, Oki Y, Sugiyama T, Kusumoto S, Ishida H, et al. Relationship of circulating tumor cells to the effectiveness of cytotoxic
chemotherapy in patients with metastatic non-small-cell lung cancer. Oncol Res. 2012;20(2–3):131–7. 2. Hirose T, Murata Y, Oki Y, Sugiyama T, Kusumoto S, Ishida H, et al. Relationship of circulating tumor cells to the effectiveness of cytotoxic
chemotherapy in patients with metastatic non-small-cell lung cancer. Oncol Res. 2012;20(2–3):131–7. 3. Barrow TM, Michels KB. Epigenetic epidemiology of cancer. Biochem
Biophys Res Commun. 2014;455(1–2):70–83. 3. Barrow TM, Michels KB. Epigenetic epidemiology of cancer. Biochem
Biophys Res Commun. 2014;455(1–2):70–83. 4. De Mello RA, Araujo A, Hespanhol V, Reis RM. Loci identified through
genome-wide association studies and lung cancer risk: is there anything
more? Sao Paulo Med J. 2013;131(2):135–6. The molecular mechanisms between miR-133a and the
tumorigenesis of NSCLC may be concerned with other tar-
gets. Moriya et al. [32] stated that miR-133a regulates
ARPC5 and GSTP1 to perform a tumor-suppressive func-
tion. It remains a long way to go when it comes to the mo-
lecular mechanism of miR-133a and its target genes in
NSCLC. 5. Gazala S, Pelletier JS, Storie D, Johnson JA, Kutsogiannis DJ, Bedard EL. A
systematic review and meta-analysis to assess patient-reported outcomes
after lung cancer surgery. Scientific World Journal. 2013;2013:789625. 6. Luo L, Dong LY, Yan QG, Cao SJ, Wen XT, Huang Y, et al. Research progress
in applying proteomics technology to explore early diagnosis biomarkers of
breast cancer, lung cancer and ovarian cancer. Asian Pac J Cancer Prev. 2014;15(20):8529–38. 7. Brothers JF, Hijazi K, Mascaux C, El-Zein RA, Spitz MR, Spira A. Bridging the
clinical gaps: genetic, epigenetic and transcriptomic biomarkers for the early
detection of lung cancer in the post-National Lung Screening Trial era. BMC
Med. 2013;11:168. Competing interests
h
h
d
l
h Competing interests
The authors declare that they have no competing interests. Overall survival analysis of NSCLC patients Moreover, the ROC analysis results demon-
strated that miR-133a had a moderate diagnostic value
for NSCLC with the AUC of 0.760. Moriya et al. [32]
and Wang et al. [25] also reported the suppressive role
of miR-133a in NSCLC. In consideration of literatures
and the current study [25,32], it strongly suggests the
potential tumor-suppressive role of miR-133a and the pos-
sibility to be regarded as a promising diagnostic biomarker
as well as a target of treatment in NSCLC. Our main focus in the current study lied in the correl-
ation between miR-133a and clinicopathological parame-
ters in NSCLC. To begin with, miR-133a was significantly
downregulated in NSCLC tissues with larger tumor diam-
eter (P = 0.017), which unveiled that miR-133a might cor-
relate with the growth of tumor in NSCLC positively. However, although statistically significant, the correlation
between tumor size and miR-133a expression was quite
weak. Then, we came to the relationship between the
miR-133a expression and lymphatic metastasis. A higher
level of miR-133a, 2.2662 ± 1.3316, was shown in patients It would be hard for us to neglect the distinct correl-
ation between the miR-133a level and the expression of Lan et al. European Journal of Medical Research (2015) 20:50 Page 7 of 8 Page 7 of 8 EGFR protein (r = −0.612, P < 0.001) as assessed by
Spearman’s correlation. They were obviously correlated
negatively, which strongly backed the perspective of
Wang et al. [25], who assumed that several oncogenic
receptors in NSCLC cells might be direct targets of miR-
133a, including EGFR. Putative miR-133a binding sites
of EGFR have also been identified by computational
algorithms from several online miRNA-target gene predic-
tion softwares, including Targetscan (www.targetscan.org,
data not shown). Treating strategy using EGFR has gained
growing attention, which provides a significant response
and survival benefit. Nevertheless, resistance has already
emerged regardless of unexpanded usage [33,34]. Thus, it
is rational that a trend of resorting to miR-133a as a thera-
peutic strategy has become increasingly popular. Previ-
ously, we found that EGFR was a target gene of miR-146a
in NSCLS and we attempted to investigate the effect of
miR-146a in the treatment of NSCLC. MiR-146a did show
therapeutic efficiency on NSCLC cells to a certain degree. Unfortunately, the impact was suboptimal [28], thus mak-
ing us curious about the potential of miR-133a as thera-
peutic strategy. Successive experiments are undergoing. Conclusions 2013;8(4):e61008. sequences or binding sites and lung cancer: a meta-analysis and systematic
review. PLoS One. 2013;8(4):e61008. 14. Oom AL, Humphries BA, Yang C. MicroRNAs: novel players in cancer
diagnosis and therapies. BioMed Res Int. 2014;2014:959461. 15. Di Leva G, Briskin D, Croce CM. MicroRNA in cancer: new hopes for
antineoplastic chemotherapy. Ups J Med Sci. 2012;117(2):202–16. 16. Hui A, How C, Ito E, Liu FF. Micro-RNAs as diagnostic or prognostic markers
in human epithelial malignancies. BMC Cancer. 2011;11:500. 17. Fortunato O, Boeri M, Verri C, Moro M, Sozzi G. Therapeutic use of Conclusions The current research along with other related studies
firmly
suggest
that
miR-133a
serves
as
a
tumor-
suppressive miRNA, which plays a crucial part in the
oncogenesis and progression of human NSCLC. The
downregulation of miR-133a indicates deterioration in
NSCLC patients. MiR-133a might be quite a promising
predictive biomarker as well as probable therapeutic
strategy for NSCLC. Our team intends to undergo fur-
ther in vitro and in vivo studies to illuminate the role
and mechanism of miR-133a in the malignant phenotype
of NSCLC cell lines. 8. Sen R, Ghosal S, Das S, Balti S, Chakrabarti J. Competing endogenous RNA:
the key to posttranscriptional regulation. Scientific World Journal. 2014;2014:896206. 8. Sen R, Ghosal S, Das S, Balti S, Chakrabarti J. Competing endogenous RNA:
the key to posttranscriptional regulation. Scientific World Journal. 2014;2014:896206. 9. Callari M, Tiberio P, De Cecco L, Cavadini E, Dugo M, Ghimenti C, et al. Feasibility of circulating miRNA microarray analysis from archival plasma
samples. Anal Biochem. 2013;437(2):123–5. 9. Callari M, Tiberio P, De Cecco L, Cavadini E, Dugo M, Ghimenti C, et al. Feasibility of circulating miRNA microarray analysis from archival plasma
samples. Anal Biochem. 2013;437(2):123–5. 10. Guz M, Rivero-Muller A, Okon E, Stenzel-Bembenek A, Polberg K, Słomka M,
et al. MicroRNAs-role in lung cancer. Dis Markers. 2014;2014:218169. 10. Guz M, Rivero-Muller A, Okon E, Stenzel-Bembenek A, Polberg K, Słomka M,
et al. MicroRNAs-role in lung cancer. Dis Markers. 2014;2014:218169. 11. Daniels MG, Bowman RV, Yang IA, Govindan R, Fong KM. An emerging
place for lung cancer genomics in 2013. J Thorac Dis. 2013;5 Suppl 5:S491–7. 11. Daniels MG, Bowman RV, Yang IA, Govindan R, Fong KM. An emerging
place for lung cancer genomics in 2013. J Thorac Dis. 2013;5 Suppl 5:S491–7. 12. Yasui W, Sentani K, Sakamoto N, Anami K, Naito Y, Oue N. Molecular
pathology of gastric cancer: research and practice. Pathol Res Pract. 2011;207(10):608–12. 12. Yasui W, Sentani K, Sakamoto N, Anami K, Naito Y, Oue N. Molecular
pathology of gastric cancer: research and practice. Pathol Res Pract. 2011;207(10):608–12. 13. Chen Z, Xu L, Ye X, Shen S, Li Z, Niu X, et al. Polymorphisms of microRNA
sequences or binding sites and lung cancer: a meta-analysis and systematic
review. PLoS One. 2013;8(4):e61008. 13. Chen Z, Xu L, Ye X, Shen S, Li Z, Niu X, et al. Polymorphisms of microRNA
sequences or binding sites and lung cancer: a meta-analysis and systematic
review. PLoS One. Acknowledgements
Th
d 19. Chiyomaru T, Enokida H, Tatarano S, Kawahara K, Uchida Y, Nishiyama K,
et al. miR-145 and miR-133a function as tumour suppressors and directly
regulate FSCN1 expression in bladder cancer. Br J Cancer. 2010;102(5):883–91. 19. Chiyomaru T, Enokida H, Tatarano S, Kawahara K, Uchida Y, Nishiyama K,
et al. miR-145 and miR-133a function as tumour suppressors and directly
regulate FSCN1 expression in bladder cancer. Br J Cancer. 2010;102(5):883–91. The study was supported by the Fund of Guangxi Provincial Health Bureau
Scientific Research Project (Z2013201, Z2014055) and the Fund of National Page 8 of 8 Page 8 of 8 Lan et al. European Journal of Medical Research (2015) 20:50 20. Kano M, Seki N, Kikkawa N, Fujimura L, Hoshino I, Akutsu Y, et al. miR-145,
miR-133a and miR-133b: tumor-suppressive miRNAs target FSCN1 in
esophageal squamous cell carcinoma. Int J Cancer. 2010;127(12):2804–14. 21. Zhao L, Wang H, Liu C, Liu Y, Wang X, Wang S, et al. Promotion of
colorectal cancer growth and metastasis by the LIM and SH3 domain
protein 1. Gut. 2010;59(9):1226–35. 22. Wu ZS, Wang CQ, Xiang R, Liu X, Ye S, Yang XQ, et al. Loss of miR-133a
expression associated with poor survival of breast cancer and restoration of
miR-133a expression inhibited breast cancer cell growth and invasion. BMC Cancer. 2012;12:51. 23. Kawakami K, Enokida H, Chiyomaru T, Tatarano S, Yoshino H, Kagara I, et al. The functional significance of miR-1 and miR-133a in renal cell carcinoma. Eur J Cancer. 2012;48(6):827–36. 24. Kojima S, Chiyomaru T, Kawakami K, Yoshino H, Enokida H, Nohata N, et al. Tumour suppressors miR-1 and miR-133a target the oncogenic function of
purine nucleoside phosphorylase (PNP) in prostate cancer. Br J Cancer. 2012;106(2):405–13. 25. Wang LK, Hsiao TH, Hong TM, Chen HY, Kao SH, Wang WL, et al. MicroRNA-
133a suppresses multiple oncogenic membrane receptors and cell invasion
in non-small cell lung carcinoma. PLoS One. 2014;9(5):e96765. 26. Li Y, Li Y, Yang T, Wei S, Wang J, Wang M, et al. Clinical significance of
EML4-ALK fusion gene and association with EGFR and KRAS gene mutations
in 208 Chinese patients with non-small cell lung cancer. PLoS One. 2013;8(1):e52093. 27. Butnor KJ, Beasley MB, Cagle PT, Grunberg SM, Kong FM, Marchevsky A,
et al. Protocol for the examination of specimens from patients with primary
non-small cell carcinoma, small cell carcinoma, or carcinoid tumor of the
lung. Arch Pathol Lab Med. 2009;133(10):1552–9. 28. Acknowledgements
Th
d Chen G, Umelo IA, Lv S, Teugels E, Fostier K, Kronenberger P, et al. miR-146a
inhibits cell growth, cell migration and induces apoptosis in non-small cell
lung cancer cells. PLoS One. 2013;8(3):e60317. 29. Chen G, Kronenberger P, Teugels E, Umelo IA, De Greve J. Targeting the
epidermal growth factor receptor in non-small cell lung cancer cells: the
effect of combining RNA interference with tyrosine kinase inhibitors or
cetuximab. BMC Med. 2012;10:28. 30. Rong M, He R, Dang Y, Chen G. Expression and clinicopathological
significance of miR-146a in hepatocellular carcinoma tissues. Ups J Med Sci. 2014;119(1):19–24. 31. Dang YW, Zeng J, He RQ, Rong MH, Luo DZ, Chen G. Effects of miR-152 on
cell growth inhibition, motility suppression and apoptosis induction in
hepatocellular carcinoma cells. Asian Pac J Cancer Prev. 2014;15(12):4969–76. 32. Moriya Y, Nohata N, Kinoshita T, Mutallip M, Okamoto T, Yoshida S, et al. Tumor suppressive microRNA-133a regulates novel molecular networks in
lung squamous cell carcinoma. J Hum Genet. 2012;57(1):38–45. 33. Zheng DJ, Yu GH, Gao JF, Gu JD. Concomitant EGFR inhibitors combined
with radiation for treatment of non-small cell lung carcinoma. Asian Pac J
Cancer Prev. 2013;14(8):4485–94. 34. Roy M, Luo YH, Ye M, Liu J. Nonsmall cell lung cancer therapy: insight into
multitargeted small-molecule growth factor receptor inhibitors. BioMed Res
Int. 2013;2013:964743. 34. Roy M, Luo YH, Ye M, Liu J. Nonsmall cell lung cancer therapy: insight into
multitargeted small-molecule growth factor receptor inhibitors. BioMed Res
Int. 2013;2013:964743. Lan et al. European Journal of Medical Research (2015) 20:50 Acknowledgements
Th
d Submit your next manuscript to BioMed Central
and take full advantage of:
• Convenient online submission
• Thorough peer review
• No space constraints or color figure charges
• Immediate publication on acceptance
• Inclusion in PubMed, CAS, Scopus and Google Scholar
• Research which is freely available for redistribution
Submit your manuscript at
www.biomedcentral.com/submit Submit your next manuscript to BioMed Central
and take full advantage of:
• Convenient online submission
• Thorough peer review
• No space constraints or color figure charges
• Immediate publication on acceptance
• Inclusion in PubMed, CAS, Scopus and Google Scholar
• Research which is freely available for redistribution
Submit your manuscript at
www.biomedcentral.com/submit Submit your next manuscript to BioMed Central
and take full advantage of:
• Convenient online submission
• Thorough peer review
• No space constraints or color figure charges
• Immediate publication on acceptance
• Inclusion in PubMed, CAS, Scopus and Google Scholar
• Research which is freely available for redistribution
Submit your manuscript at
www.biomedcentral.com/submit Submit your next manuscript to BioMed Central
and take full advantage of: Submit your next manuscript to BioMed Central
and take full advantage of: • Convenient online submission • Thorough peer review
|
https://openalex.org/W4365145069
|
https://www.scienceopen.com/document_file/f15aa84b-c254-4053-b162-7e993c713591/ScienceOpenPreprint/Manuscript%20with%20author%20details_Leadership%20revisited_2nd%20Draft.pdf
|
English
| null |
Leadership revisited
| null | 2,023
|
cc-by
| 6,194
|
Abstract Most people have an intuitive understanding of what leadership is. However, leadership is not an
easy phenomenon to define, and no universally accepted definition exists. The present paper calls
for the integration of person-oriented constructs and contextual variables which can help define a
new frame of understanding of the phenomenon of leadership. The point of departure for such an
integration entails an understanding of competence and essential perspectives on leadership, as
well as the recognition that differences in leadership contexts call for different forms of leadership. The phenomenon of leadership should be understood as both an intra-psychic and inter-active
process, where the leader exerts situational behaviours and interacts with followers to solve tasks
embedded in the concrete leadership context. Thus, definitions of leadership and effective
leadership must be made at the micro-level of the individual leader. Key words: Leadership, competence, leadership contexts Article title: Leadership revisited: Towards an integrative understanding of leadership License information: This work has been published open access under 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. Conditions, terms of use and publishing policy can be found at
https://www.scienceopen.com/. Preprint statement: This article is a preprint and has not been peer-reviewed, under consideration and submitted to
ScienceOpen Preprints for open peer review. ScienceOpen Preprints for open peer review. DOI: 10.14293/S2199-1006.1.SOR-.PPXNTLZ.v2 Preprint first posted online: 12 April 2023 Keywords: Leadership, Competence, Leadership contexts, Leadership developmen Keywords: Leadership, Competence, Leadership contexts, Leadership development 1 1 Introduction Personality can be understood as the totality of interrelated clusters of dependent and independent
intrapsychic variables, which together modulate the individual's thoughts, feelings and behaviour in 2 given contexts or “interrelated conditions in which something exists or occur” (Webster’s Third New
International Dictionary, 1993). Yet, there exists no universally accepted definition of personality. By the same token, leadership is also an elusive phenomenon, and there is conceptual disagreement
about what the phenomenon is and how it should be understood: “Students of leadership – academics
and practitioners alike – have no doubt discovered three things: (1) the number of integrated models,
theories, prescriptions, and conceptual schemes of leadership is mind-boggling; (2) much of
leadership literature is fragmentary, trivial, unrealistic, or dull; and (3) the research results are
characterized by Type III errors (solving the wrong problems precisely) and by contradictions”
(McCall and Lombardo, 1978). There is a remarkable interest in understanding the phenomenon of leadership. If the phenomenon
can be understood and defined, effective leadership can be determined. Once effective leadership can
be determined, qualified assessment and development can commence. The challenge is, though, that
there exists no universally accepted definition of the phenomenon of leadership. This paper offers a frame for an integrative conceptualisation of leadership and highlights important
points of attention which can adjust existing approaches to the study, assessment and development of
leadership. Leadership – Problematic approaches Early research in leadership was primarily focused on the search for unique personal characteristics
of leaders, which unambiguously distinguished leaders from followers. The challenge, though, was
that it was difficult to determine a direct correlation between personality and leadership. In fact, the
relationship between the two phenomena was unclear and often jarring (Stogdill, 1948 and Mann,
1959). 3 Obviously, a fundamental problem was related to the lack of universally accepted definitions of
personality and leadership. Even research findings with regard to the connection between personality
traits – or relatively stable dispositions to act in certain ways in certain situations – and leadership
were also weak (Heslin, 1964). A need arose to focus on situational factors when researchers sought to understand the correlation
between the innate personal characteristics of leaders and the performance of work units. The shift in
focus caused leadership researchers to become interested in what leaders did, and how they behaved
towards followers. The attention thus shifted from innate qualities in the leader towards leadership
behaviours. Although researchers operated with dozens of different ways of categorising leadership
behaviours (Bass, 1990), most researchers oriented themselves toward four overarching behavioural
styles: person and task-oriented leadership behaviours, and participative and directive leadership
behaviours. Here too, challenges quickly arose. Some leaders turned out to be very directing in certain
situations and very participatory in other situations. Some leaders turned out to be focused on results
and overall goal achievement, while also engaging in various forms of care-taking behaviours towards
followers. The problem was that theorists in leadership styles fell into the same trap as trait theorists
had done. Leadership style theorists simply assumed that it was indeed possible to identify particular
leadership behaviours or sets of leadership styles which, without a doubt, could be associated with
effective leadership – regardless of the situations in which the behaviours or leadership styles were
performed. From the 1960s until the mid-1970s, theorists began to focus on ways in which situations could be
incorporated into their theories. The problem was that situational style theories of leadership turned
out to have their limitations – i.e., concerning complexity, specificity, culture, and weak results in
validation studies (Vecchio, 1987; Blank et al, 1990). 4 Newer situational style theories of leadership encompassed a relatively large number of situational
variables but had a tendency to describe leadership styles in terms of very few dimensions – e.g. Leadership – Problematic approaches from
autocratic to participative leadership (Vroom and Jargo, 1973 and 1988). Naturally, the use of very
few dimensions such as autocratic and participative leadership styles could only provide fragmentary
explanations of leadership – simply because there were many other ways in which leaders’ behaviours
could vary and influence effectiveness in work units. Although situational leadership theories could
indeed help leaders to become more aware of the factors involved in given leadership situations, they
did not, in themselves and in detail, describe how to perform different leadership styles. Furthermore,
they did not provide descriptions of how to perform different leadership styles well. While research into existing theories continued to be carried out from the mid-1970s, growing
disappointment with situational style theories reactivated the interest in the study of personality
characteristics associated with effective leadership (Bass and Avolio, 1990 and 1994; Burns, 1978;
Conger, 1989; Lord et al, 1986 and 1993; Schriesheim & Kerr, 1977; Shamir et al, 1993; Stogdill,
1974; Yukl. 1994; Zaccaro et al, 1991). This also included what could be conceptualised as alternative
approaches to leadership behaviour and the study thereof – i.e., leader-member exchange models of
Leadership (Graen and Cashman, 1975), attribution processes and leadership behaviours (Green and
Mitchel, 1979), and interpersonal skills models of leadership (Wright and Taylor, 1994). A common
theme in alternative approaches to leadership behaviour was skills – which have conceptual, technical
and interpersonal dimensions and which can be understood as learned forms of simple or advanced
behaviour; not only in terms of specific leadership behaviours, but also in relation to how leaders
accurately assessed and interpreted given work-related situations. Today, there exist many leadership theories that try to explain what leadership is, as well as how and
why certain individuals become leaders. Some leadership theories are primarily behaviourally
oriented, some focus on how leaders make use of power and influence, some focus on leaders’ 5 interactions with and involvement of followers, some are focused on the context of leaders, and some
are focused on organisation and group performance. However, a universally accepted definition of
leadership still does not exist. And since theorists and researchers have a keen focus on specific facets
of leadership, it is doubtful if a catch-all and universally accepted definition of the phenomenon will
emerge on the horizon within the near future. Therefore, it is time to carve out another path towards
an integrative understanding of the phenomenon of leadership. The leadership context To oversimplify matters, and if we try to define the phenomenon of swimming, it becomes clear why
it is difficult to define leadership as a universal construct. Intuitively, most people in the World
understand what swimming is. Swimming entails water and physical movement. But is there a
difference between swimming to win the 100-meter Olympic final and rescuing someone from
drowning? Between tactical surface swimming in military contexts and leisure time swimming in a
pool? Between swimming in a river with a strong current or in freezing water? The answers are
affirmative, and it is evident that the context must be taken into account before we try to determine
what swimming is and consists of – let alone: when we try to determine what effective swimming is. Most leadership activities take place within organisations. Apart from being frames for and of
behaviour, and in terms of leadership, organisations can be understood as contextual representations
in which the phenomenon of leadership is exerted. Organisations are complex social systems where
activities at the individual level, the social level and the organisational level respectively influence
each other reciprocally. What occurs on one level will inevitably influence and be influenced by the
other levels – as well as by the surrounding environment. Mcgregor operates with four main variables which are involved in leadership (1960): 6 -
The leader him- or herself – his or her personality traits, attitudes, skills and qualities, etc. -
The followers – their personality traits, attitudes, skills and qualities, etc. -
The organisation – Its characteristics, type, purpose, internal structures and processes, etc. -
The social, economic and political milieu. There are, though, other important variables which are involved in leadership, and which vary from
organisation to organisations – e.g.: -
Contextual and situational variables in the form of technology, equipment, engines and machines,
atmosphere, time frames, coincidences, risks, varying degrees of unpredictability and uncertainty,
etc. -
More or less ever-changing environments with shifting conditions, and for most: increased
competition, constant demands for efficiency and profitability, as well as a constant challenge to
adjust organisational structures and processes in accordance with changes in the environment. -
Cultural aspects – both national and organisational. -
Legislation, which may have both national and international dimensions. It can therefore be said that individual leadership contexts contain several variables, which impact
each other reciprocally, and which are distinct for any given organisation. The leadership context It can therefore be said that individual leadership contexts contain several variables, which impact
each other reciprocally, and which are distinct for any given organisation. Adding to the intricacy of leadership contexts, many organisations function differently under extreme
conditions than under normal conditions. For instance, maritime leaders not only have to navigate in
a cross-pressure between the condition of the vessel and its crew, ever-changing crews with varying
levels of qualifications and different cultural backgrounds, demands from land-based organisations,
the sea, and the weather. Maritime leaders are also equipped with special authority and means of
formal power and must be able to lead under extreme conditions where lives are at risk. 7 In typical Tayloristic organisations (Taylor, 1967) that exist in relatively stable environments, low
levels of technical complexity and in-clarity makes it possible for leaders to lead in accordance with
the principle of one-to-one mapping and allows them to be the focal point for the distribution of work. However, in environments with rapidly changing demands and conditions, there may be a need for
other forms of organising and organisation, where followers are set free to utilise their qualifications
to handle changing demands. Some work conditions thus also lead to high levels of technical
interdependence, which refer to the need for employees to interact and cooperate when solving tasks
(Ulich et al, 1996). In some organisations, there may thus be a strong need for employees to engage
in decision-making processes during work, which again increases the demand for information
processing in and between employees. In such organisations, changing demands and conditions, high
levels of technical complexity and in-clarity simply necessitate interaction and employee influence –
and in some cases: autonomy in groups of employees. This not only changes the leadership context –
in turn, it changes the role and function of leadership. Just like swimming, leadership is exerted in given contexts. Differences in leadership contexts simply
call for different forms of leadership. Cognitively, emotionally, as well as behaviourally. Because
although there may be similarities when it comes to activities and processes, there is a tremendous
difference in between, for example, leadership in an operational-military context entailing
warfighting and leadership in a kindergarten context. The above-mentioned clearly illustrates that a one-size-fits-all definition of leadership is inadequate. And it is clear, that it is not possible to conceptualise leadership strictly from a singular perspective. Competence and leadership These contextual variables must be
of such a nature that the leader must engage in behaviours that are exploratory, and are prompted as
a result of attempting to deal with the context. Something, then, speaks in favour of the existence of
unique elements in these situations which distinguish them from routine situations. If the
characteristics of the contexts contain anything other than that which can be dealt with through routine
actions and knowledge-based approaches, it must necessarily be that the context: Contexts in which the leader is to unfold competence, must contain elements that necessitate that the
leader must turn his or her attention towards contextual variables. These contextual variables must be
of such a nature that the leader must engage in behaviours that are exploratory, and are prompted as
a result of attempting to deal with the context. Something, then, speaks in favour of the existence of
unique elements in these situations which distinguish them from routine situations. If the
characteristics of the contexts contain anything other than that which can be dealt with through routine
actions and knowledge-based approaches, it must necessarily be that the context: -
Is constituted in such a manner, that it does not immediately make sense to the lead -
Is constituted in such a manner, that it does not immediately make sense to the leader. -
Is characterized by – seemingly – lack of immediate possibilities to act. -
Appear to have a low degree of predictability – and is perhaps even entail “limited time,
uncertainty, high stakes, vague goals, and unstable conditions” (Klein, 2008, p. 456). -
Contains variables which must be dealt with. In an attempt to understand leadership, and as already mentioned, it only makes sense to understand
the phenomenon when it is exerted in specific contexts. But already now it becomes clear that it is
also necessary to understand what is happening in the leader when he or she has to manage him- or
herself in the given context. And as we now operate with the existence of what could be coined
competence-unfolding contexts that are characterized by lack of meaning, unpredictability and an
immediate inability to act, the consequence must be that the leader is affected by his or her leadership
context to a lesser or higher degree. Competence and leadership Leadership must be understood as a contextual phenomenon that entails a range of psychological
mechanisms within the leader who exerts given behaviours in given leadership contexts, and a detour 8 into the phenomenon of competence and a number of other psychological constructs will be
introduced in this section, as they can highlight important points of attention with regard to the
phenomenon of leadership. R. W. White is the first to use the term competence as a scientific construct (1959). Instead of focusing
on ego processes and adaptive mechanisms in the individual with regard to dealing with the
environment, White is interested in behaviours that entail ”effective interaction with the environment”
(1959, p. 317), and he defines competence as ”[…] an organism’s capacity to interact effectively with
it’s environment” (1959, p. 297). Stating that “[…] mental capacities such as memory and ideational
thinking, become […] high-level methods of dealing with the environment” (1959, pp. 316-317),
White points towards how cognition and the ability to create meaning – in the sense of the process
by which situations are interpreted in light of existing knowledge and experience – in given contexts
are important prerequisites for the unfolding of competence. Naturally, it must be presumed that the
unfolding of competence must be regulated by the individual for it to be able to interact efficiently
with the environment. However, in response to what is happening in the environment, the response
of the individual must not only be adapted to the variables in the environment, but rather ”dealing
with the environment means carrying on a continuing transaction which gradually changes [the
individual’s] relation to the environment” (1959, p. 322). In this manner, White points out that action
or behaviour is the very expression of competence – and that it is a continuous intra-psychic and
behavioural process, as competence requires ”focal attention” (ibid.) and entails the ”focalizing of
action upon this object” (ibid.). Hereby, dealing with the environment becomes ”directing focal
attention to some part of it and organizing actions to have some effect on this part” (ibid.). The above-mentioned serves as an important stepping stone towards understanding what leadership
is The above-mentioned serves as an important stepping stone towards understanding what leadership is. 9 Contexts in which the leader is to unfold competence, must contain elements that necessitate that the
leader must turn his or her attention towards contextual variables. Competence and leadership Without venturing into stress, it thus follows that the leader must
be able to cope with his or her reactions towards what is taking place in the specific context. The
unfolding of competence by the leader thus requires self-regulation. In other words, a domain-specific
regulatory mechanism must exist in the leader that influences confidence in his or her abilities through
the perception of his or her efficacy (Bandura, 1997; Meichenbaum & Asarnov, 1979). And this
mechanism must partly mediate the integration of cognitive, social and behavioural capacities into 10 action – and influence the degree of persistence in relation to the leadership behaviour which is to be
exerted in the specific context. Therefore, for the leader to be able to deal with the context effectively,
he or she must be able to manage him- or herself. If the leader fails to manage him- or herself, the
leader will never be able to act appropriately – let alone interact with the surroundings effectively. Something is at play in the leader. And something is at play between the leader and the context. Something is at play in the leader. And something is at play between the leader and the To reach the point where it is possible to unfold competence, the leader must seek to create meaning
in the context wherein he or she must act competently. This is done through the use of knowledge,
skills and thinking. Thinking can be defined as an organised intellectual process, through which the individual makes use
of knowledge (Gilhooly, 1995). To be able to reach the point where the leader engages in adequate
activities and acts efficiently in the leadership context, knowledge must necessarily be domain
specific – meaning: applicable in the context where the knowledge is to be used. Thus, there must be
a cognitive process in play, through which the involvement of thinking and knowledge leads to
coherent organising of the leadership context by the leader. When a given leadership context appears
without making immediate sense to the leader, has a low degree of predictability, and contains
variables that need to be acted upon, it can be said to be characterised by complexity (Elstrup, 1998). Per se, coherent organising of the leadership context is carried out through the reduction of contextual
complexity into meaningful and manageable elements (Elstrup, 1998; Pitt & Clarke, 1999). However,
when contextual information flow exceeds the possibility to create meaning, the leader must not only
be able to structure and re-structure existing ideas but must be able to generate new ideas. In this
manner, and seen from a cognitive psychological perspective, the phenomenon of competence can be
viewed as an ability which serves the purpose of creating meaning in complexity. This ability entails 11 structuring and restructuring existing ideas, but also generation of new ideas when the flow of
information exceeds the individual's ability to immediately create meaning. Complexity will inevitably, to a lesser or larger extent and as previously indicated, affect the leader
in the sense that he or she must be able to cope with his or her reactions, create meaning in the
surroundings and orchestrate adequate levels of knowledge and skills before we can say that the leader
unfolds competence. The cognitive subcomponents of leadership – coping, utilisation of knowledge and skills, as well as
sensemaking – constitute a flexible system, in which a continuous sequentiality does not seem
possible as the interaction between the subcomponents is defined by the very leadership context in
which the leader finds him- or herself. Something is at play in the leader. And something is at play between the leader and the We must thus understand the cognitive foundation of
leadership as an interaction between different subcomponent processes within the leader, which are
textualized in the couplings between the subcomponents in relation to specific leadership contexts. This can be expressed as a synthetic ability in the leader who aims to make sense of complexity to
reach a state that can enable him or her to deal with contextual complexity. Furthermore, leadership must be understood as a social activity, which takes place in the here-and-
now and which involves followers. Thus, leadership can not just be a personal, subjective
phenomenon. It is also relationally conditioned. Borrowing from Lave and Wenger (1991), leadership
must hence also be understood as the elicitation of situational behaviours through participation in
social praxis – in the sense of a concrete relational aspect of contexts, which consists of different
forms of social interaction in the framework of social structures – through the mobilisation and use
of knowledge and skills for the effective solving of socially defined tasks. Seen from this praxis
leadership perspective, the unfolding of competence can indeed be viewed as the leaders’ situated
and relational behaviour in social praxis, through which he or she mobilises and utilises relevant 12 knowledge and skills. And this is in order to effectively solve socially defined tasks. In contrast to
the cognitive psychology perspective, action and participation – where the latter can be understood
as the individual's contribution to and interaction with relational others in meaningful forms of
interaction – should be understood as aspects that must be included in the understanding of the
phenomenon of leadership. In light of the above stated, leadership should not just be understood as a specific characteristic in the
leader. Rather, from a competence perspective, leadership should be understood as both an intra-
psychic and inter-active process; Intra-psychic because of the interaction between cognitive
components and personality variables taking place in the leader; inter-active because the leader
necessarily must interact with his or her context to be able to deal with the self-same context. In this
way, an understanding of the phenomenon of leadership requires an understanding of both the
cognitive psychology perspective, as well as the praxis leadership perspective. The one becomes a
prerequisite for the other in the sense that processes take place in the leader who must act contextually. Something is at play in the leader. And something is at play between the leader and the Naturally, the relative importance or weighting of the intra-psychic and inter-active processes
necessary for the leader to be able to deal with the leadership context effectively, varies from
leadership context to leadership context. Integration Most people have an intuitive understanding of what leadership is. However, even in our common
sense understanding of leadership, it becomes clear that the phenomenon entails imprecise categories
of varying behaviours, skills and personality constructs. In an attempt to define leadership, we can choose to view leadership as a phenomenon which can be
understood in terms of social contexts and interaction with others. Seen through this ocular we can
seek to highlight visible and social aspects of the leader or how the leader appears to and impacts 13 others. Social aspects and activities, for example, include communication and communication styles,
how the leader executes and solves tasks through others, how the leader influences and guides others,
and how he or she controls and regulates social processes. However, leadership also entail something that is not visible to others. For example in terms of
personality, thinking and experience. Therefore, leadership must also be conceptualised in relation to
qualities or characteristics in the leader – i.e. everything about the leader in terms of physical,
emotional and cognitive characteristics, as well as a wide range of intrapsychic variables which play
a role in modulating the thoughts, emotions and behaviour of the leader. A change of perspectives can make it possible to create new frames of understanding; new frames of
understanding can make it possible to create new meaning; new meaning can function as a foundation
for new possibilities of action (Andersen, 1994). It is only through a combination of perspectives on
the phenomenon of leadership that we can begin to understand leadership as a contextual phenomenon
that entails a range of psychological mechanisms within the leader who exerts given behaviours. Attempts towards creating a one-size-fits-all definition of leadership have historically been
disheartening. The problem lies in the endeavour to integrate most subjects taught from most
subdisciplines of psychology and related academic disciplines into one singular and overarching
framework for the understanding of leadership. And evidently, any attempt to examine all possible
factors influencing social interaction and the behaviours of leaders at a generic level would be an
impossible task – even if the plethora of generic factors continuously interacting and impacting on
one another reciprocally in given leadership situations were ignored. Integration At the theoretical level, effective leadership can be defined as that which ensures effective dealing
with the context – where effective can be conceptualised as specifically orchestrated behaviours 14 aimed at meeting specific contextual needs. And hereby an understanding of leadership is only
possible when one for example does away with the idea that leadership should only entail some
particular sets of behaviours. Concurrently, the term effective carries with it the meaning that
leadership must necessarily be seen as both focused on results and focused on relations, as it is
unfolded through the leader's interaction with the context – and because the result depends on the
very same interaction. Again: leadership is necessarily context-dependent. Leadership in one context
is not necessarily effective in another. Leadership must be understood in relation to specific tasks to
be solved in specific leadership contexts. Taken together, leadership can be understood to be consisting of various psychological layers. And
within this frame of understanding, leadership can be viewed as an organised phenomenon with goal-
oriented, relational-oriented and context-dependent characteristics. Since the phenomenon of
leadership consists of several components and aspects, it can be said that it is multifaceted. Furthermore, leadership can also be viewed as a synthetic process in that it combines several elements
into a whole. Leadership can not be viewed as something specific but must be understood as a generating
phenomenon consisting of a multitude of inextricably interlinked psychological and contextual
variables. The question is, therefore, whether it makes sense to attempt to create a catch-all definition
of leadership, which will probably never reach universal acceptance – or whether it makes more sense
to operate with a working template for a definition of leadership. Since the very phenomenon of leadership is unfolded situated and contextually, a working template
is suitable to serve as a starting point for the creation of definitions of leadership at the micro level of
the individual leader. Based on the content of this paper, a working template for a definition of
leadership could be formulated as: 15 15 A multifaceted synthetic process, where the leader, through the usage of
adequate qualifications, manages him- or herself, creates meaning in
complexity, unfolds situational behaviours and interacts with followers to
effectively solve socially defined tasks which are embedded in the
leadership context. Closing comments Much literature on leadership and leadership theories tells us quite a lot about leadership at the generic
level, just as it raises our consciousness about the phenomenon. But for the most part, there is very
little literature which describes precisely how to lead. In a very practical sense, the aim of leadership theories and research must be to help leaders to be as
effective as possible. Points of attention and approaches stemming from leadership theories and
research must not be reduced to superficial prescriptions. Instead, they must mirror the very real
complexities of the particular situations that particular leaders face in their particular leadership
contexts, whilst also providing applicable methods of improving leadership performance. This means
helping leaders understand their specific leadership contexts, as well as identifying what particular
skills should be developed, and which particular capacities should be enhanced for them to function
as optimally as possible in their particular leadership contexts. Simple and generalised prescriptions
that ignore the complexity of leadership exerted in particular leadership contexts will be irrelevant
and potentially even counterproductive. If we ask ourselves the question ‘what is a forest’, we quickly realise that there is no point in trying
to answer it with statements about either flora or fauna. To elucidate what a forest is, we must both
conceptualise and understand fauna and flora. The same principle applies to the phenomenon of 16 leadership, in that one can fall into the trap of 'not being able to see the forest for all the trees'. The
point here is that by focusing on selected, yet overarching, components of leadership, there is a danger
of losing insight into the individual leader's orchestration of actions that can ensure effective handling
of his or her leadership context. This paper aimed to offer a frame for a novel conceptualisation of leadership and to highlight
important points of attention which can perhaps adjust existing approaches to the study, assessment
and development of the phenomenon. Overall, and in order to take into account the complexity of
leadership at the micro level, attention should be paid towards: -
Development of fine-grained methods for categorising leadership contexts and leadership
situations. -
Identification of specific conditions and contextual demands that the individual leader can be
expected to face in his or her specific leadership contexts. Closing comments -
Identification of specific skills and knowledge requirements, as well as required abilities of the
individual leader needed to engage in successful coping and sensemaking activities when leading
others in specific leadership contexts. The assessment and development of leadership should be based on these specific findings. This also
means that when studying leadership behaviours, power and influence, the interaction of leaders and
their involvement of followers, organisation and group performance, etc., researchers must recognise
that these elements can not be treated as generic variables detached from reality. To have true value
to leaders and practitioners of leadership, such elements must be studied in light of specific leadership
contexts in which they are exerted and enacted. 17 “Definitions are the guardians of rationality, the first line of defence against the chaos of mental
disintegration” (Ayn Rand, 1975, p. 77). Concerning the phenomenon of leadership, we need working
templates which can help us create meaningful working definitions of leadership that are rational –
and which can help leaders solve the right problems precisely, and enable them to effectively deal
with their particular leadership contexts. Acknowledgements I thank Margareta Holtensdotter Lützhöft and Ulrich vom Hagen for their very helpful comments and
criticisms in reviewing an earlier draft of this position paper. I also appreciate the helpful suggestions
from Lysander Doulgerof, Sahiha Sultana and Jacob Thorsen. Conger, J.A. (1989). The Charismatic Leader: Behind the Mystique of Exceptional Leadership, San
Francisco, Jossey-Bass. References Andersen, T. (1994). Reflekterende processer. Samtaler og samtaler om samtalerne., Dansk
Psykologisk Forlag. CPH. Bandura, A. (1997). Self-Efficacy – The exercise of control, W.H. Freeman and Company, NY. Bass, B.M. (1990). Bass and Stogdill’s Handbook of Leadership: Theory, Research and Managerial
Applications, NY. Free Press (3. ed.). Bass, B.M. and Avolio, B.J. (1990). Developing Transformational Leadership: 1992 and beyond,
Journal of European Industrial Training 14(5). Bass, B.M. and Avolio, B.J. (1994). Introduction, in Bass, B.M. and Avolio, B.J. (eds) Improving
Organizational Effectiveness Through Transformational Leadership, Thousand Oaks, Sage. Bass, B.M. and Avolio, B.J. (1994). Introduction, in Bass, B.M. and Avolio, B.J. (eds) Improving Organizational Effectiveness Through Transformational Leadership, Thousand Oaks, Sage. Blank, W., Weitzel, J.R. and Green, S.G. (1990). A test of the situational leadership theory, Personnel Psychology, 43(3) Burns, J.M. (1978). Leadership, NY, Harper & Row. Conger, J.A. (1989). The Charismatic Leader: Behind the Mystique of Exceptional Leadership, San
Francisco, Jossey-Bass. Francisco, Jossey-Bass. 18 Elstrup Rasmussen, O. (1996). A strategy for the development of a theory of organisational
leadership and administration i Engelsted, N. et al, Psychological Yearbook University of
Copenhagen vol. 2, Museum Tusculanum Press, KBH. Elstrup Rasmussen, O. (1996). A strategy for the development of a theory of organisational
leadership and administration i Engelsted, N. et al, Psychological Yearbook University of
Copenhagen vol. 2, Museum Tusculanum Press, KBH. Elstrup Rasmussen, O. (1998). Modellering af forholdet mellem kompetence og lederskab,
kvalifikationer og administration – en oversigt, Psyke og Logos, nr. 19. København. Gilhooly, K.J. (1995). Thinking: Directed, undirected and creative, Academic Press, London, 3rd
Ed. Graen, G. and Cashman, J.F. (1975). A role-making model of leadership in formal organizations: A
developmental approach, in Hunt, J.G. and Larson, L.L. (eds) Leadership Frontiers, Kent, OH, Kent
State University Press. Green, S.G. and Mitchel, T.R. (1979). Attributional processes of leaders in leader-member interactions, Organizational Behavior and Human Performance 23(3). Heslin, R. (1964). Predicting group task effectiveness from member characteristics, Psychological
Bulletin 62(4). Klein, G. (2008). Naturalistic Decision Making, Human Factors, Vol. 50, No. 3) Lave, J. & Wenger, E. (1991). Situated Learning. Legitimate peripheral participation, Cambridge
University Press, UK. Lord, R.G. and Maher, K.J. (1993). Leadership and Information Processing: Linking Perceptions
and Performance, London, Routledge. Lord, R.G., De Vader, C.L. and Alliger, G.M. (1986). A meta-analysis of the relation between
personality traits and leadership perceptions: An application of validity generalization procedures,
Journal of Applied Psychology 71(3). Lord, R.G., De Vader, C.L. References and Alliger, G.M. (1986). A meta-analysis of the relation between personality traits and leadership perceptions: An application of validity generalization procedures,
Journal of Applied Psychology 71(3). Mann, R.D. (1959), A review of the relationships between personality and performance in small
groups, Psychological Bulletin 56(4). McCall, M.W. and Lombardo, M.M. (1978), Leadership, in McCall, M.W. and Lombardo, M.M. Leadership: Where Else Can We Go?, Durham, NC, Duke University Press. 19 McGregor, D. (1960) The Human Side of Enterprise, McGraw Hill Book Company, NY regor, D. (1960) The Human Side of Enterprise, McGraw Hill Book Company, NY McGregor, D. (1960) The Human Side of Enterprise, McGraw Hill Book Company, NY
Meichenbaum, D. & Asarnov, J. (1979). Cognitive behavior modification: An integrative approach,
NY., Plenum. Pitt, M. & Clarke, K (1999), Competing on Competence: A knowledge perspective on the
management of strategic innovation, Technology Analysis & Strategic Management, UK. Schriesheim, C.A. & Kerr, S. (1977), Psychometric properties of the Ohio State leadership scales,
Psychological Bulletin 81. Pitt, M. & Clarke, K (1999), Competing on Competence: A knowledge perspective on the
management of strategic innovation, Technology Analysis & Strategic Management, UK. Schriesheim, C.A. & Kerr, S. (1977), Psychometric properties of the Ohio State leadership scales,
Psychological Bulletin 81. Shamir, B., House, R.J. and Arthus, M.B. (1993), The motivational effects of charismatic
Leadership: A self-concept based theory, Organization Science 4(4). Leadership: A self-concept based theory, Organization Science 4(4). Stogdill, R.M. (1948), Personal factors associated with leadership: A survey of the literature,
Journal of Psychology 25. Stogdill, R.M. (1974), Handbook of Leadership: A survey of research and Research, NY., Free
Press. Taylor, F. W. (1967). Principles of Scientific management, Norton, USA. Ulrich, E. & Wolfgang, G.W. (1996), Dimensions, Criteria and Evaluation of workgroup autonomy, Handbook of group psychology, red. West, M.A., John Wiley and Sons Ltd, USA. Vecchio, K. (1987), n Achievement, n Power and effectiveness of research and development,
Human Relations 28(6) utonomy, Handbook of group psychology, red. West, M.A., John Wiley and Sons Ltd, U Vecchio, K. (1987), n Achievement, n Power and effectiveness of research and development,
Human Relations 28(6). Vroom, V.H. and Jargo, A.G. (1988), The New Leadership: Managing Participation in
Organizations, Englewood Cliffs, NJ, Prentice Hall. Vroom, V.H. and Jargo, A.G. (1988), The New Leadership: Managing Participation in Organizations, Englewood Cliffs, NJ, Prentice Hall. Vroom, V.H. and Yetton, P.W. (1973), Leadership and Decision-making, Pittsburgh, University of
Pittsburgh Press. References Webster’s Third New International Dictionary (1993), Merriam-Webster, Inc. White, R. W. (1959). Motivation reconsidered: The concept of competence, Psychological review
vol. 66, USA. 20 Wright, P.L. and Taylor, D.s. (1994), Improving Leadership Performance: Interpersonal Skills for
Effective Leadership, 2nd Ed., Hemel Hempstad, Herts, Prentice-Hall. Wright, P.L. and Taylor, D.s. (1994), Improving Leadership Performance: Interpersonal Skills for
Effective Leadership, 2nd Ed., Hemel Hempstad, Herts, Prentice-Hall. Yukl, G. A. (1994). Managerial Traits and Skills, in Leadership in Organizations, 3rd Edition
Englewood Cliffs, Prentice Hall, N.Y., USA. Yukl, G.A. (1994), Leadership in Organizations, 3rd Ed., Englewood Cliffs, NJ, Prentice Hall. Zaccaro, S.J., Foti, R.J. and Kenny, D.A. (1991), Self-monitoring and trait-based variance in
leadership: An investigation of leader flexibility across multiple group situations, Journal of
Applied Psychology 76(2).
|
https://openalex.org/W4300127306
|
https://zenodo.org/records/6573407/files/403-409.pdf
|
English
| null |
STUDIES ON THE GELATION OF SILICIC ACID SOLS. PART IV. ON THE DEVELOPMENT OF YIELD VALUE .AND STRUCTURE OF SILICIC ACID SOLS
|
Zenodo (CERN European Organization for Nuclear Research)
| 1,956
|
cc-by
| 2,877
|
STUDIES ON THE CELATION OF SILICIC ACID SOLS. PAR'f IV. ON
THE DEVELOPMENT OF YIELD VALUE 1\ND STRUCTURE OF
SILICIC ACID SOLS Bv K. C. Sli:N AND B. N. GHOSH 1'hE' rate or chauge of turbiditv 1\iith time of silick acid sols increases, become~ maximum approxi-
mately at or near the time of gelation and then gradually decreases. The time of gelation ~an be deler-
minf'd graphically from turbidity measurements. 'l'he viscosity of freshly prepared silicic acid sols is
ver~· low. i\s ageing continnes it increases at fir~t vet·y slowly, then with appreciable speEd and finally,
a little bebre gelation, it shoats np to a very high vallle. ..o\ gradual incnase in the exte11t of aggregation
of silicic acid in the sol state is noticeable from the visco~ily data of different systems by the applicati011
of Staundi;ger's viscosity rr-lation
Yield value de,·elops rongb1y at about 75%, So% and 86% of the
time of gelation in the cases of sols prepared •by aaing HC'l, HJS04 and H 3P01 respectively at room
temperatures. Shaking pre11ents the formation of 'macro-stractareq' bllt does not himle< the formation
of 'micro-structnres' in silidc acid sols. Ultrafiltration of silicic add sols in HCl ~y~tem iDdicates that
appreciable aggregation of silicic acid sols doe~ not take place before 82% of the time of gelation at room
temperatures. The gelation of silicic acid accompanies changes in optical, viscous and polymerisa-
tiou properties of the sol. Physical properties. such as turbidity and l<iscosity of the sol
which an: amenable to more uccurate measurements, have been determined for the pur·
pose of obtaining a more exact and reproducible value of the time of gelation. Since
such measurements are easy to make, it has been p(lSsible to study the rate of R"elatioq,
starting from the
freshly prepared sol, aud thereby to gniu an insight into the kinetics
c>f the process. Furthermore, viscosity measure1nents enable calculation of the sizes of
th~ particles. Iu this way it bas been possible to get an idea of the state of aggregation
of silicic acid molecnles at various stages of gelation. Gelation is usually accompanied
by the development of a certain kind of plasticity and the formalli.on of structures. "iscosity measurements have also indicated at. wbat stages of gelation plasticity develops. An attempt has also been made to asceitain whether physical factors lil.:e shaking
have any ~!feet ou gelation. Ultrafiltration of a silicic acid sol has indicated ,the stag~
of gelation at whicl1 apl~reciable structure formation of silicic ncid takes place. 11•>u•·· llu1•an Ch"''"· Soc., Vol. 33, :~oru. 6, t9sl>) 11•>u•·· llu1•an Ch"''"· Soc., Vol. 33, :~oru. 6, t9sl>) 11•>u•·· llu1•an Ch"''"· Soc., Vol. 33, :~oru. 6, t9sl>) ExPERIMENTAl. A freshly prepared silicic acid sol, irrespective of the acid .used in its preparation,
is tr¥sparent, at10ost like water, and the turbidity, r, is very low. With ageing turbidity 404 E. C. Si•:N AND B. N. GHOStt t
l
increased at first slowly, then with appreciable speed, lhen rapidly as. the time of
~telation
was approached. after which it increased rath!!r slowly and finally app10acbed or tended
FIG I
2'~------------------------------~e~=~3~s~•~c~------,
3" S:&Q.z S<>LS. ao
~-c·ze p11
.6-CI·9!11 ,. m-r·57 ·••
JC-1·?4 ,. "$-.R·O!II"
240
to approach a limiting value. Some of lhese data are illus-
trated in Fig. 1. The turbi-
dity of the sols was measured
by Zeiss's Trub1mgsmesser
in combination witb a PJilf. rich
photometer. In the
measurements done by the
authors, red light and tbe
same container for the sol
were used throughout. The
rate of change of tubidity,
~r/t:..t, with time has been
plotted against the corres-
ponding time and tbe differ-
ential curves slJowlf in Fig. 2
illustrate a few of them .. It
is
found that in all
the
systems the time, t', corres-
ponding to the maximum
rale of increase in turbidity,
is nearly equal to the time of gelation, t. '!'he two from Fig. 2 are compared in Table I. t
l
FIG I
2'~------------------------------~e~=~3~s~•~c~------,
3" S:&Q.z S<>LS. ao
~-c·ze p11
.6-CI·9!11 ,. m-r·57 ·••
JC-1·?4 ,. "$-.R·O!II"
240 FIG I is nearly equal to the time of gelation, t. '!'he two from Fig. 2 are compa is nearly equal to the time of gelation, t. '!'he two from Fig. 2 are compared in Table I. to the time of gelation, t. '!'he two from Fig. 2 are compared in Table I. TABLI I
Temperature = 35". Curve No. ::,
3
4
5
t' lbrN). ~74
IQ3
u8
II6
92
t (h.rs.l
1911
211
139
ns
94 TABLI I
Temperature = 35". Curve No. ::,
3
4
5
t' lbrN). ~74
IQ3
u8
II6
92
t (h.rs.l
1911
211
139
ns
94 The time required for attaioiDg the maximum rate of increase in turbidity-may there-
fore be taken as a measure. of the time of gelation, Q.c., the time of gelation of silicic
acid sols can be determined graphically from tubidity measurements. ExPERIMENTAl. If the rate of change of turbidity is considered as a measure of the rate of gelatioo, the
maxituum rate of change of turbidity would correspond to the malfimum rate of 'gelation. It sugge5ts that the gelation 11rocess involves a chain mechanism} and the maximum rate
of increase in turbidity corresponds t.u the completion of a definite fracticm ~oof the
reaction. 1'heorelically therefore the m!111:imum rate of increase hi turbidity see~ to HTU:t:HtS ON GELATIOJ.II OF SILICiC
Al.~llJ SOLS 40~ rate method of determining the time of gelalion than tile direct ones,
all method. I.Jc a more accurate method of determining the time of gelalion than tile direct ones,
e.g., the falling ball method. e.g., the falling ball method. t
[.I .. <J~
F1G 2
9---------------------------------,
9= 3.5"C
(I) 2•5 J1. SiOe, P'f=I.•:Hi
{2) 3·0 'l' Si02 •f"t= 1·51'
9
(3) .J-O'ji. SI02, /"'=2.-oa
(4) 3·S J6 5lO,o •f'H=/•02
(::>! 4,·0,.. SIO.o, pH=2·07
7
6
s
('I)
(5)
4
3
2
0
lJ
The limiting trubidjty appean; to be greater, tbe higher the temperature at which
gelation occurs (studied only in the case of sols prepared by using HCI.). F1G 2 The limiting trubidjty appean; to be greater, tbe higher the temperature at which
gelation occurs (studied only in the case of sols prepared by using HCI.). The limiting trubidjty appean; to be greater, tbe higher the temperature at which
gelation occurs (studied only in the case of sols prepared by using HCI.). Viscosity The relative viscosity of a large nmnber of silicic add sols was determined by the
Ostwald viscometer at a constant temperature in the thermostat at different stages of
ageing. Some of these data are illt1strated in Fig. 3·
The visc'lsity of the freshly pre-
pared. silicic acid sol was very IC?W· irrespective of the acid used in its pret>arution. As
ageing continued, it increased at first very slowly. then with appreciable speed aad
6na1ly, a little while before gelation, it shot up to a very high value suc:h that it became
very difficult to take measurements with the viscometer. In the ca!le of sols. prepared
by using HCI or.H1SO., the initial visc:osity was ahno!lt equal to that of water. It is
possi15le in these cases to pred1ct the approximate time of gelation from the viscosity-time
curves. Thus, the relative viscocities, q~., of sols obtaiued wjth .HCI and HaSO. attain vaJu_. i<. C. SEN AND U. N. I~HO::HI equal to 2.0 aud J.o at 55° at approximately 71% and So% and at approximatt-ly 66% and
78% of Lhe time of g~lation respectively. The initial viscositii!S of sol:; obtain~::d with oLlu:r
acids, although low, can vary within wide limits due to the presence of variable quanti-
ties of free acids, and so the approximate proportionaliLy of viscosity to the time of
gelation does not hold good. This is, however, applicable in a !tmited sense to the
case of sols of a puticular system, initial viscosities of which are almost identicaL 16
14
t li!. "8. 2. 0
!t'IG. 3
B= !ii5
111C:
O:-;l·!i ~ SIO,.,f'N~/·6~
.a- ,.. , •.S:2•26
~- "
.,. ,;; 2•99
EJ-~fa .,,
., =1•57
C!)- n
''
u =2-tJS
From the rate of change of viscosity with time it has bee1,1 possible to vis
d
f
i
f ili i
id i
h
l
b
h
li
i
f !t'IG. 3 From the rate of change of viscosity with time it has bee1,1 possible to visualise tbet
degree of aggregation of silicic acid in the sol state by the application of ::>tau.ndinger's
viscosity relation, "'i••· = 71 -·'lo = I(.C.M
7Jo "'i••· = 71 -·'lo = I(.C.M. 7Jo
,-,..,
(IJ where -., ••. is the specific viscosity and '11•• the viscosity coeflici~::nt of the m.:dium, K is
a co!lstant for the polymer, Cis its concentration and 111, the molecutar weight. where -., ••. Viscosity If 11
frf'shly (.:repared silicic acid sol is forced through
a capillary tcbe, the rate of flow is directly
proportional
to the applied pressure aud the
plot of the rote of the flow against tbeepressu~e
giv~s a straight lim passing through the origin. When plastkity develops, the plot of the flow
against pressure, although a straight line, makes
an intercept on the! pres:o.ure axis, which is called
the yield value. It has been fouad that t'he yie)d
value
develops
rou-?;hly
at about 75%. So%
and 86% of the time of gelation in lhe case of
sols prepared by using hydrochloric, sulphuric 'iDd
phosphoric acids at the room temperatures. The
development of yield value in a particular a;ol,
prepared \~ith hyJrocbloric acid, is illu~trated in Pig 4· The development of yield vahte hy the sili~ic acid
~ols has been s~udied with the
Bingham viscometer. Viscosity measurements of standard cane sugar solutions by this
FIG. 4
·6r---:.::;..,l';r:•""'• .. =,..::::,)~P"=-·;:,,;o.------,
O-
a':H H. w- 14GSUIS
.... ~~~ "' ,. .. a-
284 ••••
·S"
E>-
,31:1. •• • •
..,_
383 .,
,
I
i"·f
~
f. a:· .. 1;:
~
apparatlls are found to be reproducible. If 11
frf'shly (.:repared silicic acid sol is forced through
a capillary tcbe, the rate of flow is directly
proportional
to the applied pressure aud the
plot of the rote of the flow against tbeepressu~e
giv~s a straight lim passing through the origin. When plastkity develops, the plot of the flow
against pressure, although a straight line, makes
an intercept on the! pres:o.ure axis, which is called
the yield value. It has been fouad that t'he yie)d
value
develops
rou-?;hly
at about 75%. So%
and 86% of the time of gelation in lhe case of
sols prepared by using hydrochloric, sulphuric 'iDd
phosphoric acids at the room temperatures. The
development of yield value in a particular a;ol,
prepared \~ith hyJrocbloric acid, is illu~trated in Pig 4· FIG. 4
·6r---:.::;..,l';r:•""'• .. =,..::::,)~P"=-·;:,,;o.------,
O-
a':H H. w- 14GSUIS
.... ~~~ "' ,. .. a-
284 ••••
·S"
E>-
,31:1. •• • •
..,_
383 .,
,
I
i"·f
~
f. a:· .. 1;:
~ FIG. 4 prepared \~ith hyJrocbloric acid, is illu~trated in Pig 4· Viscosity is the specific viscosity and '11•• the viscosity coeflici~::nt of the m.:dium, K is
a co!lstant for the polymer, Cis its concentration and 111, the molecutar weight. The molecular weight of silicic acid in a number of sols at difl.erent stages of ageiDg
has been calculated from equation (x) in terms of .M 0 , the assumed molecular weight•iD a
freshly prepared sol. A gradual increase iD the extent of aggregation of silicic: .1cid 407 RTUDIF.S ON GJU,ATION OF SH.JC'IC ACID SOLS in the sol state is uoticeable from the viscosity data o different systenas. Results of two
such sols in HCl system are illustrated in Table II. in the sol state is uoticeable from the viscosity data o different systenas. Results of two
such sols in HCl system are illustrated in Table II. Molecvlar ·weight (M) from .sPecific 'IJi.~cosity. Temp. : 35o. (ll Si01 ~on~ ... J.n%. f>rt = 1.57·
(ii) Si(lj con~.=3.n'}l.. Pn =z.~8. t. , ... 1\l. t. ., ... M. o hr. 0.12
I.oo l\Io
ohr. o.t6
t.oo Mo
74
0.2g
2-42
20
0 ZI
1-31
122
o.6J
S-25
sr
0.36
2.25
lSI
1.20
IO.OO
73
o.6s
3-94
lil
2.25
t8.75
!)8
r.63
IO.I9
19.~
Jn.r>l
Hll.~z
116
4-76
<19-75"
124
16.ss
IOJ.6n
Yield Vtdue The development of yield vahte hy the sili~ic acid
~ols has been s~udied with the
Bingham viscometer. Viscosity measurements of standard cane sugar solutions by this
FIG. 4
·6r---:.::;..,l';r:•""'• .. =,..::::,)~P"=-·;:,,;o.------,
O-
a':H H. w- 14GSUIS
.... ~~~ "' ,. .. a-
284 ••••
·S"
E>-
,31:1. •• • •
..,_
383 .,
,
I
i"·f
apparatlls are found to be reproducible. If 11
frf'shly (.:repared silicic acid sol is forced through
a capillary tcbe, the rate of flow is directly
proportional
to the applied pressure aud the
plot of the rote of the flow against tbeepressu~e
giv~s a straight lim passing through the origin. The development of yield vahte hy the sili~ic acid
~ols has been s~udied with the
Bingham viscometer. Viscosity measurements of standard cane sugar solutions by this
FIG. 4
·6r---:.::;..,l';r:•""'• .. =,..::::,)~P"=-·;:,,;o.------,
O-
a':H H. w- 14GSUIS
.... ~~~ "' ,. .. a-
284 ••••
·S"
E>-
,31:1. •• • •
..,_
383 .,
,
I
i"·f
~
f. a:· .. 1;:
~
apparatlls are found to be reproducible. E.fjecl of Slzaking An attempt has also been made in the fol1o\"''ng way to gain information re~arding
tlre ltage where structtlrc formation preceding the gelation of~silicic acid tnkes place,. The K. C. 8RN AND R. Ill. GHOSH silicic acid soi, prepared with HCI, was divided into two parts. One was kept static, while
the otl1er was kept stirred continuously, except during measurements. The turbidity and
viscosity (by Ostw:~ld viscometer) of the two samples were delt:rminc!d at regular intervals. The turbidity of the sol in the shaker was always slightly greater than ths.t of the sol
at rest. lt was alsu found that initially at any stage of ageing, the viscosities Qf the Sill
at rest were ideutical with those in the shaker,
Sometime bcfor~ gelation the viseosii_
of the sol in the shaker became slightly greater than that of the sol at rest:
The sol
in th~ shaker, however, never ::et to a gel ; when the sol at" rest set to a gel the sample
in the shaker wus a very thic-k sof of high turbidity. If, however, a part of the thick sol
in the shaker is allowed to remain at rest, gelation takes place within a few lnnrs. This gel is generally weak and highly tn rhid. The viscosity-time cllrves iudic:Jte that the viscosity of the snl in the shaker becornu
slightly. greater than that ot the sol at rest at about n% of the time of gelation,
C'omrarrng t1Iis observation with that noticed previously, it appears that the development
of greater viscosity of the sol in the shaker roughly corresponds to lhe development of
yield value.of silkic add :o;o\s. It is likely that shaking does not prevent the formation
of micro-struC'tures IJttt perhap!i hinders the clevelntmtent of macro-structures in silicir·
add sols. PHYSICAL CHI!!\IISTRY DI!I'Ailrtli!NT,
UNI\'IiRSirY COI.Liil;li OF 5CI1i'IC8 & TKCHNOI,OGY,
CAI.CUTIA- ll It mfi 1 t m /.i o ~~ Some information regarding the stnt:=ture formation may possibly be obtained from
a study of the ttltrafiltrate of a
silicic acid sol. A silidc acid sol !3.0% SiO:),
prepared with HCI, was allowed to uge at the room temperature. A small fraction of tbe
sol wa;; filtered through cellOJlhane paper at regular intervals and the sdica concentration
of the ttltrafiltrate was determined. If structure iorrnation of ~ilicic acid takes place
gradually tbe concentration of silica in the ultrafiltrate would diminish in a similar
manner 11nd becomes zero when the sol sets to a strcng gel. The results obtaiued
are recorded in Table Ill. The sol, when just prepared, completely passed throngh the
cellophaue. As ageing proceeded, the concentration of :;ilica in the ultrafiltrate very
slightly diminished and then remainecl practically constant up to about S:z% of the lime
of gelation. A little before gelation the sol could not be filtered through the cellophane
at all. An attemr;t to sep.uate the dispersion medittm of tbe sol hy means of ceutriiugal
forces, teo times as strong as the suction pressure used for nltrafiltratiou, failed. .\gain,
when the sol hat! set loa strong gel but no syneresis had lak~r; place, it was ueither possi-
hle to filter nor to separate the dispersion medium hy means of centrifuging (3.200 r.p.m._l. TABU: Ill
J.O% Si03 sol (HCl). Time of gelation = :z64 hours. Pu = 2·30-
'fime (Ins.}
Si02 cone. in the
nltrafiltrate
2.5
2.944
~16
240
264
~88
336
2.!184
2.85" Could n.ot lie lilte,ed. I-004
a.88q Some time after gelation when syneresis "took place, the gel cottld be separated· from
its disper!i!ion mediutn with the help of a centrifuge. The complete separation ':Yu, 409 S'l.1UDIBS ON GELATION OF SILICIC ACID SOLS however, effected by ultrafiltration. The silica content of the ultrafiltrate was then
determined. It is found that in this ultrafiltrate silicic acid is present only in relatively
small amount. Assutnin~ that the difficulty in the ultrafiltration or in the separation of the diaper·
sion medium is associated with the formation of macro-structures, it appears that the
latter take~ place in an appreciable extent not earlier than 8z% of the time of gelation.
|
https://openalex.org/W4237526267
|
https://www.researchsquare.com/article/rs-2459/v4.pdf
|
English
| null |
A preliminary assessment of vital-signs-integrated patient-assisted intravenous opioid analgesia (VPIA) for postsurgical pain
|
Research Square (Research Square)
| 2,020
|
cc-by
| 5,242
|
A preliminary assessment of vital-signs-integrated
patient-assisted intravenous opioid analgesia
(VPIA) for postsurgical pain Ban Leong SNG
(
sng.ban.leong@singhealth.com.sg
)
KK Women's and Children's Hospital
https://orcid.org/00 Daryl Jian'an Tan
KK Women's and Children's Hospital
Chin Wen TAN
KK Women's and Children's Hospital
Nian-Lin Reena HAN
KK Women's and Children's Hospital
Rehena SULTANA
Duke-NUS Medical School
Alex Tiong Heng SIA
KK Women's and Children's Hospital Research article Keywords: infusion pump, postoperative pain, vital sign monitoring, oxygen desaturation. 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 Anesthesiology on June 8th, 2020. See the published version at https://doi.org/10.1186/s12871-020-01060-4. Page 1/15 Abstract Background: We developed a Vital-signs-integrated Patient-assisted Intravenous opioid Analgesia (VPIA)
analgesic infusion pump, a closed-loop vital signs monitoring and drug delivery system which embodied
in a novel algorithm that took into account patients’ vital signs (oxygen saturation, heart rate). The
system aimed to allow responsive titration of personalized pain relief to optimize pain relief and reduce
the risk of respiratory depression. Moreover, the system would be important to enable continuous
monitoring of patients during delivery of opioid analgesia. Methods: Nineteen patients who underwent elective gynecological surgery with postoperative patient
controlled analgesia (PCA) with morphine were recruited. The subjects were followed up from their
admission to the recovery room/ ward for at least 24 hours until assessment of patient satisfaction on
the VPIA analgesic infusion pump. Results: The primary outcome measure of incidence of oxygen desaturation showed all patients had at
least one episode of oxygen desaturation (<95%) during the study period. Only 6 (31.6%) patients had
oxygen desaturation that persisted for more than 5 minutes. The median percentage time during
treatment that oxygen saturation fell below 95% was 1.9%. Fourteen (73.7%) out of 19 patients
encountered safety pause, due to transient oxygen desaturation or bradycardia. The patients’ median
[IQR] pain scores at rest and at movement after post-op 24 hours were 0.0 [2.0] and 3.0 [2.0], respectively. The average morphine consumption in the first 24 hours was 12.5 ± 7.1mg. All patients were satisfied
with their experience with the VPIA analgesic infusion pump. Conclusions: The use of VPIA analgesic infusion pump, when integrated with continuous vital sign
monitor and variable lockout algorithm, was able to provide pain relief with good patient satisfaction. Trial registration: This study was registered on clinicaltrials.gov registry (NCT02804022) on 28 Feb 2016. Methods This study was approved by the SingHealth Centralized Institutional Review Board, Singapore
(SingHealth CIRB Ref: 2015/3062), and registered on Clinicaltrials.gov (NCT02804022). Written informed
consent was obtained from every patient before any study procedure. The study period was between
January 2017 and June 2017 and was conducted at KK Women’s and Children’s Hospital, Singapore We recruited female patients aged 21 to 70 years old with American Society of Anesthesiologists (ASA)
status I or II, undergoing elective surgery and intending to use postoperative PCA with morphine for
postoperative analgesia. The exclusion criteria were patients with allergies to morphine, history of
significant respiratory disease or obstructive sleep apnea, unwilling to wear oxygen saturation monitoring
devices throughout the study duration, pregnancy and unable to comprehend the use of PCA. Recruitment
was performed either in the pre-operative assessment clinic or on the same day of surgery if they had not
attended pre-operative assessment clinic. An information brochure describing the use of VPIA analgesic
infusion pump for post-operative analgesia, including potential side effects and complications was
provided to patients. Background More than 230 million major surgeries are performed annually in the world that could result in moderate
to severe post-surgical pain [1]. Patient-controlled analgesia (PCA) with an opioid pump is often the
commonly used technique to relief pain. Opioids adverse effects such as nausea, vomiting, sedation and
respiratory depression may occur especially in high risk patients. The risk of opioid-induced respiratory
depression was significantly increased in patients with advanced age, respiratory disease and obstructive
sleep apnoea [2, 3], leading to the increased length of stay and overall costs [4]. Intermittent monitoring
measures were highly labor intensive, yet not reliably recognized opioid-induced respiratory depression in
the postoperative period [5]. According to Anaesthesia Patient Safety Foundation, patients having vital
signs charted every 4 hours were usually left unmonitored >90% of the time. Since these patients were
commonly administered with supplemental oxygen, this might eventually complicate the monitoring by
masking hypoventilation, causing the signs of respiratory depression to be recognized only in its later
stage [6]. Page 2/15 Our overall aim was to develop a Vital-signs-integrated Patient-assisted Intravenous opioid Analgesia
(VPIA) analgesic infusion pump with closed-loop vital signs monitoring and drug delivery system which
embodied a novel algorithm that accounted for patients’ vital signs (oxygen saturation, heart rate). In this
preliminary study, our primary aim was to investigate the incidence of oxygen desaturation (defined as
oxygen saturation <95% in a patient for more than 60 seconds) in post-operative patients using our VPIA
analgesic infusion pump. The side effects of opioid administration (nausea, vomiting and sedation),
patients’ satisfaction and vital signs monitoring data were also evaluated. Setting up of Infusion Pump The algorithm and the VPIA analgesic infusion pump (“Intellifuse pump”; Model: Opiva) was designed by
Innovfusion Pte Ltd, Singapore (Figure 1). Intravenous morphine used in the VPIA analgesic infusion
pump was administered according to institutional guidelines: morphine diluted in normal saline to a
concentration of 1 mg/ml, with bolus doses of 1 mg morphine delivered as per patient demand. In the
VPIA analgesic infusion pump, vital signs monitoring (oxygen saturation, pulse rate) was programmed
into the VPIA variable lockout algorithm, in which a temporary pause to the pump was triggered when
vital signs safety threshold was breached; and subsequently the lockout interval was increased upon re-
starting thereby improving the safety of intravenous morphine administration. That means when the vital
signs were within normal range, the system was able to increase or decrease the lockout interval
according to the analgesic needs of the patient. This lockout interval was a safety mechanism that
limited the frequency of demands. By allowing an adequately long interval between each dose, patients
were given sufficient time to achieve the opioid’s effects before the next dose. However, if the interval
were prolonged, the effectiveness of patient controlled analgesia would be reduced. Page 3/15 The detailed VPIA variable lockout algorithm was illustrated in Figure 2. The bolus lockout interval was
empirically set at 7 minutes, and was adjusted automatically according to the patient successful
demands and the patient safety in the event of abnormal vital signs monitoring. The monitoring data was
performed by taking average epochs of 15 seconds to summarize the vital signs. Missing vital signs were
dropped from the analysis. However, if there was no available vital sign for the whole duration of each
epoch, a safety pause would be triggered. The VPIA variable lockout algorithm reassessed for the
recovery of the patient’s’ vital signs at the end of the safety lockout period. If the patient’s vital signs did
not recover to safe levels, the pump automatically raised the on-board alarm. Conversely, if the patient’s
vital signs recovered beyond the threshold limits by the end of the safety lockout period, the lockout
interval would be prolonged. If at any time, there were critically abnormal vital sign parameters, the
system would trigger the “emergency safety stop” function to cease the patient’s boluses. The system
would be manually restarted by the clinician or the nurse after reviewing the patient. All patients had established intravenous access before surgery. Setting up of Infusion Pump The patients were instructed on the use of
the VPIA analgesic infusion pump prior to the study and educated to press the demand button whenever
they needed pain relief. While in the recovery room after surgery, the VPIA analgesic infusion pump was
secured with a 50 ml syringe filled with1 mg/ml morphine that was connected to the patient’s intravenous
line for analgesia. The patient’s oxygen saturation and heart rate was continuously monitored by the
VPIA analgesic system at least for 24 hours after surgery. Data Collection We collected and analyzed three sets of data: (1) patient demographic, surgical and anesthetic
characteristics; (2) VPIA analgesic infusion pump data including opioid consumption, patient demands,
successful demands, pattern of demands, oxygen saturation and heart rate; and (3) VPIA analgesic
infusion pump user feedback survey that was conducted at the end of the study. Following the initiation of VPIA analgesic infusion pump, attending nurses who were educated on the
usage and side effects of morphine therapy would monitor the patient at regular intervals and document
pain scores (0-10 numeric rating scale), blood pressure, heart rate, oxygen saturation and sedation score
(0 for “awake, alert”, 1 for “occasionally drowsy, easy to rouse, responds to calling”, 2 for “occasionally
drowsy, difficult to rouse, responds to shaking only”; 3 for “unresponsive and unarousable-- defined as no
response to voice or physical stimulation”; D for “distressed -- defined as awake and in great pain”). Side
effects such as nausea and vomiting were also recorded. An independent observer would assess the patient during the period she was placed on the VPIA
analgesic infusion pump. The patient’s overall satisfaction (numerical score between 0-100%) with the
postoperative analgesia provided, the feedback on pain relief effectiveness and any side effect from the
therapy were also gathered. Once the indications for PCA opioid for pain management were deemed
unnecessary by the patient’s primary care team, the VPIA analgesic infusion pump was disconnected. Sample size calculation and statistical analysis Sample size calculation and statistical analysis Page 4/15 Page 4/15 The primary outcome measure of the study was the incidence of oxygen desaturation (defined as oxygen
saturation < 95% in a patient for more than 60 seconds) in patients using the VPIA analgesic infusion
pump. The secondary outcome measures were bradycardia, sedation, nausea/vomiting, pain scores, total
consumption of morphine, patient’s satisfaction score. Patient’s oxygen saturation and heart rate were
measured every minute for at least 24 hours. Assuming that a patient had < 3% oxygen desaturation,
0.005 width of interval and 95% confidence interval, we would require 18,000 oxygen saturation readings. Each patient would prvide at least 1200 readings. Therefore, the study was adequately powered for 18
patients with 1200 readings (= 18 X 1200 ~ 21,600) for both primary and secondary aims. The primary outcome measure of the study was the incidence of oxygen desaturation (defined as oxygen
saturation < 95% in a patient for more than 60 seconds) in patients using the VPIA analgesic infusion
pump. The secondary outcome measures were bradycardia, sedation, nausea/vomiting, pain scores, total
consumption of morphine, patient’s satisfaction score. Patient’s oxygen saturation and heart rate were
measured every minute for at least 24 hours. Assuming that a patient had < 3% oxygen desaturation,
0.005 width of interval and 95% confidence interval, we would require 18,000 oxygen saturation readings. Each patient would prvide at least 1200 readings. Therefore, the study was adequately powered for 18
patients with 1200 readings (= 18 X 1200 ~ 21,600) for both primary and secondary aims. Patient demographics, surgical and anesthetic characteristics were summarized as frequency with
corresponding proportion, as mean ± standard deviation (SD) or median [range], whichever applicable. The incidence rate and 95% confidence intervals (CI) of binary outcomes (such as desaturation,
bradycardia) were estimated based on the exact method by Wilson [7], which demonstrated to have good
statistical properties even for small number of subjects and/or extreme probabilities [8, 9]. Significance
level was set at 0.05 and all tests were two-tailed. SAS version 9.3 software (SAS Institute; Cary, North
Carolina, USA) was used for the analysis. Results Nineteen patients were recruited for this study over a 6-month period (January 2017 to June 2017), with
their baseline and demographic characteristics shown in Table 1. The mean age of patients was 51.5 ±
8.8 years (range 36 - 66 years), the average body mass index (BMI) was 24.7 ± 4.4 kg/m2. All patients
recruited went through scheduled open surgery, with the majority (n=15) under total abdominal
hysterectomy and bilateral salpingo-oophorectomy (TAHBSO). The rest were open myomectomy (n=2)
and salpingo-oophorectomy (n=2). Intraoperative morphine and fentanyl was administered with a
meandosage of 8.7 ± 1.3 mg and 102.0 ± 35.3 µg respectively. The patients were offered pain relief via VPIA analgesic infusion pump once they were transferred to the
Post-Anesthesia Care Unit (PACU). The primary outcome measure of incidence of oxygen desaturation
(Table 2) showed that all patients had at least one episode of oxygen saturation (SpO2) below 95%
transiently during the study period. Only 13 (68.4%, 95%CI 46.0% - 84.6%) patients had oxygen
desaturations that persisted for more than 60 seconds. However, only 8 (42.1%, 95%CI 23.1% - 63.7%) and
6 (31.6%, 95%CI 15.4% - 54.0%) patients had persisted oxygen desaturation for 3 and 5 minutes,
respectively. The median total time spent and percentage of time that SpO2 fell below 95% was 35.3
minutes and 1.9%, respectively. During the 1st 4 hours post-surgery, the median time period and
percentage of time that SpO2 fell below 95% was 2.08 minutes and 0.87%, respectively; whereas the
median time period and percentage of time that SpO2 fell below 95% was 26.8 min and 1.4%, respectively
after 4 hours until the removal of VPIA infusion pump. All patients had at least one episode of heart rate (HR) <60/min with 3 (15.8%, 95%CI 5.5% - 37.6%)
patients experiencing their HR < 60/min for longer than 60 seconds duration (Table 2). The median time Page 5/15 period and percentage of time that HR fell below 60/min was 1.2 minutes and 0.13%, respectively. Only 1
(5.3%, 95%CI 1.0% - 24.6%) patient had HR <60 for both 3 and 5 minutes. There was no clinically
significant respiratory event of note. period and percentage of time that HR fell below 60/min was 1.2 minutes and 0.13%, respectively. Only 1
(5.3%, 95%CI 1.0% - 24.6%) patient had HR <60 for both 3 and 5 minutes. There was no clinically
significant respiratory event of note. Results Fourteen out of 19 (73.7%) patients encountered safety pause, whereas ten (52.6%) patients had
experienced emergency safety stop during the study period. Median [range] number of safety pause was
5 [1 - 21]. Reasons for safety pause included either occurrence of oxygen desaturation or bradycardia. Eleven (57.9%) patients had safety pause due to SpO2 < 95% but all had HR > 60/min during the episode. Six (31.6%) patients had HR < 60/min but all had SpO2 > 95% during the episode. There were 2 (10.6%)
patients experiencing oxygen desaturation <90% for more than one minute. The median number of
demands of bolus was 21 per patient. Post-operative side effects included nausea / vomiting (6/19) and
pruritus (1/19). The average morphine consumption during the stay was 3.6 ± 3.0 mg (Table 3), whereas the last pain
score before sending to ward was 3 [0 - 6]. Minimal to moderate sedation was observed in 15 patients,
whereas 4 other patients exhibited no sedation, having a median of overall sedation scoring of 1 [0 - 2]. Only one patient showed nausea or vomiting during this period. At 12 hours post-surgery, the pain score
at rest and movement in 19 patients was 2 [0 - 6] and 5 [0 -10], respectively (Table 3). At 24 hours post-
surgery, patients had pain scores of 0 [0 - 7] and 3 [0 - 8] at rest and movement, respectively. The average
morphine consumption in the first 24 hours was 12.5 ± 7.1 mg. User feedback received on VPIA analgesic infusion pump showed that all patients agreed that the pump
was safe and effective to use, although they remained neutral on the mobility of the pole where the pump
was mounted onto (Table 4). Discussion The results of this preliminary assessment on our novel VPIA analgesic infusion pump suggested that the
use of this drug delivery system, when integrated with continuous physiological monitoring and a
variable lockout algorithm, was able to provide pain relief with good patient satisfaction in post-operative
acute pain management. No significant adverse event was observed in this study. Several studies have evaluated the incidence of oxygen desaturation after different types of analgesia,
but few has analyzed the oxygen saturation continuously for 24-60 hours after surgery [10]. Our results
showed that all patients had at least one episode of oxygen desaturation (SpO2 < 95%) transiently,
whereas only 13 (68.4%) patients had persistent oxygen desaturations more than 60 seconds. Moreover,
only 8 (42.1%) and 6 (31.6%) patients had persisted oxygen desaturation for 3 and 5 minutes,
respectively. It was important to understand the percentage of time spent with oxygen desaturation. Motamed et al [11] demonstrated that the time spent with SpO2 <95% was about 65% and 40% during 1st
and 2nd postoperative night, respectively. This was much higher than our results that showed the median
time period and percentage of time that SpO2 fell below 95% was 35.3 minutes and 1.9%, respectively. Motamed et al [11] demonstrated that the time spent with SpO2 <95% was about 65% and 40% during 1st
and 2nd postoperative night, respectively. This was much higher than our results that showed the median
time period and percentage of time that SpO2 fell below 95% was 35.3 minutes and 1.9%, respectively. Page 6/15 Page 6/15 The reason behind this might due to our novel VPIA analgesic infusion system that integrated with
continuous vital sign monitor and variable lockout algorithm. The reason behind this might due to our novel VPIA analgesic infusion system that integrated with
continuous vital sign monitor and variable lockout algorithm. Hospital practice of intermittent vital signs monitoring with opioid delivery became an increasing
concern. More than 75% of patients with moderate to severe sleep apnea were undiagnosed, and
conventional risk stratification for heightened post-op monitoring could potentially miss patients at
increased risk of respiratory depression [12]. Respiratory depression was reported in up to 5% patients
with the use of PCA opioids [5, 13]. A retrospective study on Chinese patients receiving PCA intravenous
morphine showed that the incidence of respiratory depression (as defined by oxygen desaturation < 90%
for longer than one minute) was 1.62%. Discussion This study showed a higher incidence due to differences in
definition of oxygen desaturation and continuous monitoring system, because conventional intermittent
routine monitoring could under-diagnose the events of oxygen desaturation [14]. Early recognition and
detection of risk of opioid-induced respiratory depression by continuous monitoring vital signs could
mitigate the chance of patients’ increased length of stay, risk of hospital-acquired infections and
increased costs [15]. This study concentrated on varying the duration of the lockout interval as a safety mechanism. This
safety of margin allowed an interval to be long enough for patient to receive the drug effect from the
bolus dose before the next bolus was delivered. There was no recommended optimal lockout interval,
hence this would need to be individualized to the patient’s pain relief and safety requirements [16]. Our
results showed that the morphine consumption was 12.5 mg in 24 hours after surgery which was
comparable with other groups. Chou et al. found that an average morphine consumption of 40 mg in 48
hours in 80 patients that underwent total abdominal hysterectomy and later given acute postoperative
morphine analgesia [17]. Another study on patients after total knee arthroplasty showed an average
morphine consumption of 27 mg in 48 hours, indicating the different opioid consumption and pain
scores across various surgical procedures [18]. We also gathered patient centric outcomes through patient’s feedback on device setup (patient handset,
pole stand) and overall treatment experiences (interference with treatment, safety and effectiveness). The
overall feedback was positive, but patients remained neutral on the reduced mobility of the pump due to
vital signs monitor integration. Future design of a more portable setup would be desirable. This preliminary study was part of our initial assessment of newly developed VPIA analgesic infusion
pump. The limitations of the study would include the small number of subjects conducted in
gynecological surgeries. The results from this study could not be compared with large registry studies. Patients with different gender and surgical procedures would need to be investigated in future larger trials
that may require different predefined critical values. More details on the episodes of oxygen desaturation,
such as the when and where the events happen should be included in the future studies. Both the
physical design and software of the pump could be further improved. The present system might have
artefact interfering with the algorithms and led to false alert to the users. Conclusions In conclusion, this preliminary assessment on the VPIA analgesic infusion pump system has found that
this novel pump was able to detect and automatically respond to oxygen desaturation and bradycardia
by instituting safety pause, and to provide pain relief with good patient satisfaction in post-operative
acute pain management. Larger studies with adequate number of subjects would be needed to evaluate
the efficiency of this drug delivery system. Consent to publish Not applicable. Discussion Future study plans will also Page 7/15 Page 7/15 include refining new vital signs sensors, incorporating respirator rate monitoring and better integration
with the delivery system to ensure better data capture. include refining new vital signs sensors, incorporating respirator rate monitoring and better integration
with the delivery system to ensure better data capture. Availability of data and materials The datasets used and/or analysed during the current study are available from the corresponding author
on reasonable request. Abbreviations ASA: American Society of Anesthesiologists; BMI: Body mass index; CI: Confidence intervals; IQR:
Interquartile range; PACU: Post-Anesthesia Care Unit; PCA: Patient controlled analgesia; SD: Standard
deviation; SpO2: Oxygen saturation; TAHBSO: Total Abdominal Hysterectomy and Bilateral Salpingo-
oophorectomy; VAS: Visual analogue scale; VPIA: Vital-signs-integrated Patient-assisted Intravenous
opioid Analgesia. Ethical approval and consent to participate This study was approved by the SingHealth Centralized Institutional Review Board, Singapore
(SingHealth CIRB Ref: 2015/3062), and registered on Clinicaltrials.gov (NCT02804022). Written informed
consent was obtained from all participants prior to start of the study. This work was conducted in
accordance with the Declaration of Helsinki. Funding This work was supported by the funding from the National Health Innovation Centre Innovation to
Develop (I2D) grant (Grant no. NHIC-I2D-1409017). The aforementioned sponsor had no involvement in
the study activities. This work was supported by the funding from the National Health Innovation Centre Innovation to
Develop (I2D) grant (Grant no. NHIC-I2D-1409017). The aforementioned sponsor had no involvement in
the study activities. Acknowledgments We would like to thank Miss Agnes Teo (Senior Clinical Research Coordinator) and Miss Denise Anne
(Clinical Research Coordinator) for their administrative support in this work. The design and layout of the
algorithm was performed by Innovfusion Pte Ltd, Singapore. Authors’ contributions All authors (BLS, DJT, CWT, NLRH, RS, ATHS) contributed to the study design, data analysis and
discussion, drafting and/or revising the manuscript. All authors approved the final version of the
manuscript, and agree to be accountable for all aspects of this work. Competing interests Ban Leong Sng is an associate editor of BMC Anesthesiology. Ban Leong Sng and Alex Sia Tiong Heng
have filed a patent related to this work (SG 10201801161P, filed 12 Feb 2018, Singapore). Alex Sia Tiong
Heng has intellectual property ownership and is the founding scientific director of Innovfusion Pte Ltd. All
other authors reports no conflicts of interest in this work. Page 8/15 References 1. Weiser TG, Regenbogen SE, Thompson KD, Haynes AB, Lipsitz SR, Berry WR, et al. An estimation of
the global volume of surgery: a modelling strategy based on available data. The Lancet. 2008;372(9633):139-44.Anesthesiology: The Journal of the American Society of Anesthesiologists. 2014;120(1):97-109. 1. Weiser TG, Regenbogen SE, Thompson KD, Haynes AB, Lipsitz SR, Berry WR, et al. An estimation of
the global volume of surgery: a modelling strategy based on available data. The Lancet. 2008;372(9633):139-44.Anesthesiology: The Journal of the American Society of Anesthesiologists. 2014;120(1):97-109. 2. Maddox RR, Williams CK, Oglesby H, Butler B, Colclasure B. Clinical experience with patient-controlled
analgesia using continuous respiratory monitoring and a smart infusion system. American journal of
health-system pharmacy. 2006;63(2):157-64. 2. Maddox RR, Williams CK, Oglesby H, Butler B, Colclasure B. Clinical experience with patient-controlled
analgesia using continuous respiratory monitoring and a smart infusion system. American journal of
health-system pharmacy. 2006;63(2):157-64. 3. Schein JR, Hicks RW, Nelson WW, Sikirica V, Doyle DJ. Patient-controlled analgesia-related
medication errors in the postoperative period. Drug safety. 2009;32(7):549-59. 3. Schein JR, Hicks RW, Nelson WW, Sikirica V, Doyle DJ. Patient-controlled analgesia-related
medication errors in the postoperative period. Drug safety. 2009;32(7):549-59. 4. Etches RC. Respiratory depression associated with patient-controlled analgesia: a review of eight
cases. Canadian journal of anaesthesia. 1994;41(2):125. 4. Etches RC. Respiratory depression associated with patient-controlled analgesia: a review of eight
cases. Canadian journal of anaesthesia. 1994;41(2):125. 5. Paul JE, Buckley N, McLean RF, Antoni K, Musson D, Kampf M, et al. Hamilton Acute Pain Service
Safety StudyUsing Root Cause Analysis to Reduce the Incidence of Adverse Events. 5. Paul JE, Buckley N, McLean RF, Antoni K, Musson D, Kampf M, et al. Hamilton Acute Pain Service
Safety StudyUsing Root Cause Analysis to Reduce the Incidence of Adverse Events. 6. Weinger MB, Lee LA. No patient shall be harmed by opioid-induced respiratory depression. APsF
Newsletter. 2011;26(2):21-8. 7. Wilson EB. Probable inference, the law of succession, and statistical inference. Journal of the
American Statistical Association. 1927;22(158):209-12. 8. Newcombe RG. Interval estimation for the difference between independent proportions: comparison
of eleven methods. Statistics in medicine. 1998;17(8):873-90. Page 9/15 Page 9/15 9. Brown LD, Cai TT, DasGupta A. Interval estimation for a binomial proportion. Statistical science. 2001:101-17. 10. Madej TH, Whetaley R G, Jackson I.J.B, Hunter D. Hypoxaemia and pain relief after lower abdominal
surgery: comparison of extradural and patient controlled analgesia. Br J Anaesth. 1992; 69: 554–
557. 11. References Motamed C, Spencer A, Farhat F, Bourgain JL, Lasser P, Jayr C. Postoperative hypoxaemia:
continuous extradural infusion of bupivacaine and morphine vs patient-controlled analgesia with
intravenous morphine. Br J Anaesth. 1998; 80: 742–747. 12. Ankichetty S, Chung F. Considerations for patients with obstructive sleep apnea undergoing
ambulatory surgery. Current Opinion in Anesthesiology. 2011;24(6):605-11. 13. Macintyre P, Loadsman J, Scott D. Opioids, ventilation and acute pain management. Anaesthesia
and intensive care. 2011;39(4):545-58. 14. Tsui S, Tong W, Irwin M, Ng K, Lo J, Chan W. The efficacy, applicability and side-effects of
postoperative intravenous patient-controlled morphine analgesia: an audit of 1233 Chinese patients. Anaesthesia and intensive care. 1996;24(6):658-64. 15. Cohen MJ, Schecter WP. Perioperative pain control: a strategy for management. Surgical Clinics. 2005;85(6):1243-57. 15. Cohen MJ, Schecter WP. Perioperative pain control: a strategy for management. Surgical Clinics. 2005;85(6):1243-57. 16. Ginsberg B, Gil KM, Muir M, Sullivan F, Williams DA, Glass PS. The influence of lockout intervals and
drug selection on patient-controlled analgesia following gynecological surgery. Pain. 1995;62(1):95-
100. 16. Ginsberg B, Gil KM, Muir M, Sullivan F, Williams DA, Glass PS. The influence of lockout intervals and
drug selection on patient-controlled analgesia following gynecological surgery. Pain. 1995;62(1):95-
100. 17. Chou W-Y, Wang C-H, Liu P-H, Liu C-C, Tseng C-C, Jawan B. Human opioid receptor A118G
polymorphism affects intravenous patient-controlled analgesia morphine consumption after total
abdominal hysterectomy. Anesthesiology: The Journal of the American Society of Anesthesiologists. 2006;105(2):334-7. 17. Chou W-Y, Wang C-H, Liu P-H, Liu C-C, Tseng C-C, Jawan B. Human opioid receptor A118G
polymorphism affects intravenous patient-controlled analgesia morphine consumption after total
abdominal hysterectomy. Anesthesiology: The Journal of the American Society of Anesthesiologists. 2006;105(2):334-7. 18. Chou WY, Yang LC, Lu HF, Ko JY, Wang CH, Lin SH, et al. Association of μ‐opioid receptor gene
polymorphism (A118G) with variations in morphine consumption for analgesia after total knee
arthroplasty. Acta Anaesthesiologica Scandinavica. 2006;50(7):787-92. 18. Chou WY, Yang LC, Lu HF, Ko JY, Wang CH, Lin SH, et al. Association of μ‐opioid receptor gene
polymorphism (A118G) with variations in morphine consumption for analgesia after total knee
arthroplasty. Acta Anaesthesiologica Scandinavica. 2006;50(7):787-92. Tables Table 1 Baseline and demographic characteristics of recruited subjects Table 1 Baseline and demographic characteristics of recruited subjects Page 10/15 Parameters
No. of patients
Mean (SD)/ Percentage
Age; years
19
51.5 (8.8)
Race
19
Chinese
13
68.4%
Indian
3
15.8%
Malay
2
10.5%
Others
1
5.3%
Weight; kg
19
62.0 (9.9)
BMI; kg/m2
19
24.7 (4.4)
ASA Status
19
I
5
26.3%
II
14
73.7%
Intraoperative morphine (mg)
19
8.7 (1.3)
Intraoperative fentanyl (mcg)
19
102.0 (35.3) Table 2 The characteristics of oxygen saturation and heart rate in recruited subjects
Parameters
No. of patients
Incidence of oxygen desaturation
Percentage % (95% CI)
At least one episode SpO2 < 95%
19
100
SpO2 < 95% persisted for > 60 seconds
13
68.4 (46.0 - 84.6)
SpO2 < 95% persisted for > 3 min
8
42.1 (23.1 - 63.7)
SpO2 < 95% persisted for > 5 min
6
31.6 (15.4 - 54.0)
Median [IQR]
Post-surgery 0 hours until the removal of pump
Total time spent of SpO2 < 95%, min
35.3 [6.8 - 73.8]
The % of time of SpO2 < 95%
1.9 [0.4 - 4.2]
0 - 4 hours post-surgery
Total time spent of SpO2 < 95%, min
2.1 [0.2 - 9.2]
The % of time of SpO2 < 95%
0.87 [0.07 - 3.8]
> 4 hours post-surgery
Total time spent of SpO2 < 95%, min
26.8 [2.7 - 68.8]
The % of time of SpO2 < 95%
1.4 [0.3 - 3.4]
Incidence of bradycardia
Percentage % (95% CI)
At least one episode of HR < 60/min
19
100
HR < 60/min persisted for > 60 seconds
3
15.8 (5.5 - 37.6)
HR < 60/min persisted for > 3 min
1
5.3 (1.0% - 24.6)
HR < 60/min persisted for > 5 min
1
5.3 (1.0% - 24.6) Page 11/15 Table 3 Pain characteristics during Post Anesthesia Care Unit (PACU) and ward stay
Parameters
No. Tables of patients
Mean (SD) / Median [range] / Percentage
During PACU stay
19
Morphine (mg)
19
3.6 (3.0)
Last pain score before discharge (0-10)
19
3[0-6]
Last sedation score before discharge (0-3)
19
1[0-2]
Nausea/vomiting before discharge (0-3)
19
0[0-1]
During Ward stay
12 hours Post-op
19
Pain score (at rest) (0-10)
19
2[0-6]
Pain score (movement) (0-10)
19
5[0-10]
Sedation score (0-3)
19
0[0-1]
Nausea/vomiting (0-3)
18
0[0-3]
24 hours Post-op
19
Pain score (at rest) (0-10)
19
0[0-7]
Pain score (movement) (0-10)
19
3[0-8]
Sedation score (0-3)
19
0[0-1]
Nausea/vomiting (0-3)
19
0[0-1]
Morphine consumption (24 hours; mg)
19
12.5 (7.1)
Side effect
Nausea / vomiting
6
31.6%
Pruritus
1
5.3% Table 4 Post-operative feedback (n=19) on the VPIA analgesic infusion pump
Parameters
Values [range]
Feedback (1-5; 1: Strongly disagree; 5: strongly agree)
Patient handset button
4 [4-5]
Mobility of pole with mounted pump
3[3-4]
No interference of vital signs monitoring with treatment
4[1-5]
Pump safety
4[3-5]
Pump effectiveness
4[3-5] Figures Page 12/15 Page 12/15 Figure 1 An illustration of Vital-signs-integrated Patient-assisted Intravenous opioid Analgesia (VPIA) analgesic
infusion pump. Page 13/15 Page 13/15 Figure 2 The proposed Vital-signs-integrated Patient-assisted Intravenous opioid Analgesia (VPIA) analgesic
infusion pump and the variable lockout algorithm. infusion pump and the variable lockout algorithm. Figure 3
Level of oxygen saturation (SpO2) versus time (hour) in all 19 patients expressed in different colors. Level of oxygen saturation (SpO2) versus time (hour) in all 19 patients expressed in different colors. Page 14/15 Page 14/15 Figure 4
Heart rate (HR) versus time (hour) in all 19 patients expressed in different colors. Figure 4
Heart rate (HR) versus time (hour) in all 19 patients expressed in different colors. Figure 4 Heart rate (HR) versus time (hour) in all 19 patients expressed in different colors. Heart rate (HR) versus time (hour) in all 19 patients expressed in different colors. Page 15/15
|
https://openalex.org/W2748106066
|
https://archimer.ifremer.fr/doc/00398/50970/55883.pdf
|
English
| null |
Coupling physics and biogeochemistry thanks to high-resolution observations of the phytoplankton community structure in the northwestern Mediterranean Sea
|
Biogeosciences
| 2,018
|
cc-by
| 461
|
Table S1: Comparison of Prochlorococcus, Synechococcus and 2µm beads abundances measured wit
the benchtop FACSCalibur flow cytometer and the CytoSense flow cytometer on five replicates.
Sample
Prochlorococcus
Synechococcus
2µm beads
(cell.cm-3)
(cell.cm-3)
(beads.cm-3)
FACS
CS
FACS
CS
FACS
CS
#1
18436
18236
27766
27906
5646
5376
#2
17762
17764
27153
26758
5371
5329
#3
17469
17102
27117
27564
5362
5613
#4
17759
17953
27797
27852
5553
5679
#5
18017
17291
28214
27050
5734
5443
Mean
17888
17669
27610
27426
5533
5488
StdDev
270
357
380
418
133
126
t.test p=0,4326
t.test p=0,568
t.test p=0,573 Table S1: Comparison of Prochlorococcus, Synechococcus and 2µm beads abundances measured wit
the benchtop FACSCalibur flow cytometer and the CytoSense flow cytometer on five replicates. Sample
Prochlorococcus
Synechococcus
2µm beads
(cell.cm-3)
(cell.cm-3)
(beads.cm-3)
FACS
CS
FACS
CS
FACS
CS
#1
18436
18236
27766
27906
5646
5376
#2
17762
17764
27153
26758
5371
5329
#3
17469
17102
27117
27564
5362
5613
#4
17759
17953
27797
27852
5553
5679
#5
18017
17291
28214
27050
5734
5443
Mean
17888
17669
27610
27426
5533
5488
StdDev
270
357
380
418
133
126
t.test p=0,4326
t.test p=0,568
t.test p=0,573 Table S1: Comparison of Prochlorococcus, Synechococcus and 2µm beads abundances measured with
the benchtop FACSCalibur flow cytometer and the CytoSense flow cytometer on five replicates. Table S1: Comparison of Prochlorococcus, Synechococcus and 2µm beads abundances measured with
the benchtop FACSCalibur flow cytometer and the CytoSense flow cytometer on five replicates. Figure S1: Temperature (°C), salinity, Chl-a (µg.dm-3, converted from fluorescence) and density
profiles (kg.m-3) at 6 stations. profiles (kg.m ) at 6 stations. Figure S2: Temperature (°C), salinity, fluorescence (a.u.) and PAR (µE.m-2.d-1) profiles recorded by
the CTD-Rosette, with associated Prochlorococcus, Synechococcus and picoeukaryotes abundances
(cells.cm-3) and nitrate, nitrite, silicate and phosphate concentrations (µmol.dm-3) at Station 11. Figure S2: Temperature (°C), salinity, fluorescence (a.u.) and PAR (µE.m-2.d-1) profiles recorded by
the CTD-Rosette, with associated Prochlorococcus, Synechococcus and picoeukaryotes abundances
(cells.cm-3) and nitrate, nitrite, silicate and phosphate concentrations (µmol.dm-3) at Station 11. Figure S2: Temperature (°C), salinity, fluorescence (a.u.) and PAR (µE.m-2.d-1) profiles recorded by
the CTD-Rosette, with associated Prochlorococcus, Synechococcus and picoeukaryotes abundances
(cells.cm-3) and nitrate, nitrite, silicate and phosphate concentrations (µmol.dm-3) at Station 11. Figure S3: Mean abundances and standard deviation (green circles and error bars) during and at the
vicinity of fixed stations 1 to 11 of Prochlorococcus, Synechococcus and picoeukaryotes (cells.cm-3)
by the CytoSense AFCM in surface waters compared to abundances recorded by benchtop flow
cytometry at the 2 first depths (from 1 to 5 m depth) during PASTIS-HVR vertical samplings (yellow
triangles). Figure S4: Mean SWS and FLR of Prochlorococcus and Synechococcus recorded by benchtop flow
cytometry at fixed station 6 to 11 from PASTIS-HVR vertical samplings and at Station 11 (SWS :
black circles, FLR : with squares).
|
https://openalex.org/W2226112487
|
https://journals.iucr.org/e/issues/2010/04/00/rn2067/rn2067.pdf
|
English
| null |
Bis(4,4′-bipyridyl)bis{2-[4,6-bis(carboxymethylsulfanyl)-1,3,5-triazin-2-ylsulfanyl]acetato}zinc(II)
|
Acta crystallographica. Section E
| 2,010
|
cc-by
| 4,601
|
metal-organic compounds Data collection: SMART (Bruker, 2000); cell refinement: SAINT
(Bruker, 2000); data reduction: SAINT; program(s) used to solve
structure: SHELXTL (Sheldrick, 2008); program(s) used to refine Bis(4,4000-bipyridyl)bis{2-[4,6-bis(carboxy-
methylsulfanyl)-1,3,5-triazin-2-yl-
sulfanyl]acetato}zinc(II) Table 1 In the title compound, [Zn(C9H8N3O6S3)2(C10H8N2)2], the
central ZnII ion, situated on a center of inversion, adopts an
octahedral geometry coordinated by four O atoms from two
carboxylate groups and two carboxylic groups of two
symmetry-related TTTA ligands and two N atoms from two
bpy molecules {TTTA is 2,20,200-[1,3,5-triazine-2,4,6-triyltris-
(sulfanediyl)]triacetic acid and bpy is 4,40-bipyridine}. These
mononuclear units are connected through complementary
O—H X hydrogen bonds, as well as through weak C—
H X (X = O and N) interactions, resulting in a three-
dimensional supramolecular architecture. Table 2
Hydrogen-bond geometry (A˚ , ). D—H A
D—H
H A
D A
D—H A
O2—H2 O4i
0.82
1.64
2.460 (3)
175
O5—H5 N5ii
0.82
1.74
2.554 (3)
174
C13—H13 O6iii
0.93
2.47
3.335 (4)
156
C19—H19 O6iii
0.93
2.34
3.245 (4)
164
C6—H6A N1iv
0.97
2.58
3.533 (4)
168
Symmetry
codes:
(i)
x þ 1; y 1; z þ 1;
(ii)
x; y þ 1; z þ 2;
(iii)
x þ 1; y þ 1; z þ 2; (iv) x þ 1; y; z. metal-organic compounds Supplementary data and figures for this paper are available from the
IUCr electronic archives (Reference: RN2067). Bis(4,4000-bipyridyl)bis{2-[4,6-bis(carboxy-
methylsulfanyl)-1,3,5-triazin-2-yl-
sulfanyl]acetato}zinc(II) Suna Wang,* Yan Yang, Dacheng Li, Jianmin Dou and
Daqi Wang College of Chemistry and Chemical Engineering, Liaocheng University, Liaocheng
252059, People’s Republic of China
Correspondence e-mail: wangsuna@lcu.edu.cn
Received 3 December 2009; accepted 26 February 2010 College of Chemistry and Chemical Engineering, Liaocheng University, Liaocheng
252059, People’s Republic of China
Correspondence e-mail: wangsuna@lcu.edu.cn College of Chemistry and Chemical Engineering, Liaocheng University, Liaocheng
252059, People’s Republic of China
Correspondence e-mail: wangsuna@lcu.edu.cn
Received 3 December 2009; accepted 26 February 2010
Key indicators: single-crystal X-ray study; T = 293 K; mean (C–C) = 0.005 A˚;
R factor = 0.041; wR factor = 0.116; data-to-parameter ratio = 12.2. College of Chemistry and Chemical Engineering, Liaocheng University, Liaocheng
252059, People’s Republic of China
Correspondence e-mail: wangsuna@lcu.edu.cn 306 parameters
H-atom parameters constrained
max = 0.55 e A˚ 3
min = 0.63 e A˚ 3 Received 3 December 2009; accepted 26 February 2010 Received 3 December 2009; accepted 26 February 2010 Key indicators: single-crystal X-ray study; T = 293 K; mean (C–C) = 0.005 A˚;
R factor = 0.041; wR factor = 0.116; data-to-parameter ratio = 12.2. Key indicators: single-crystal X-ray study; T = 293 K; mean (C–C) = 0.005 A˚;
R factor = 0.041; wR factor = 0.116; data-to-parameter ratio = 12.2. metal-organic compounds Experimental
Crystal data
[Zn(C9H8N3O6S3)2(C10H8N2)2]
Mr = 1078.47
Triclinic, P1
a = 8.6025 (7) A˚
b = 8.7606 (7) A˚
c = 15.3187 (12) A˚
= 99.518 (1)
= 105.802 (2)
= 98.805 (1)
V = 1071.41 (15) A˚ 3
Z = 1
Mo K radiation
= 0.94 mm1
T = 293 K
0.28 0.24 0.23 mm
Data collection
Bruker SMART APEX CCD
diffractometer
Absorption correction: multi-scan
(SADABS; Sheldrick, 1996)
Tmin = 0.81, Tmax = 0.84
5465 measured reflections
3745 independent reflections
3103 reflections with I > 2(I)
Rint = 0.067
Refinement
R[F 2 > 2(F 2)] = 0.041
wR(F 2) = 0.116
S = 1.05
3745 reflections
306 parameters
H-atom parameters constrained
max = 0.55 e A˚ 3
min = 0.63 e A˚ 3 Acta Crystallographica Section E
Structure Reports
Online
ISSN 1600-5368 Acta Crystallographica Section E
Structure Reports
Online
ISSN 1600-5368 [Zn(C9H8N3O6S3)2(C10H8N2)2]
Mr = 1078.47
Triclinic, P1
a = 8.6025 (7) A˚
b = 8.7606 (7) A˚
c = 15.3187 (12) A˚
= 99.518 (1)
= 105.802 (2)
= 98.805 (1)
V = 1071.41 (15) A˚ 3
Z = 1
Mo K radiation
= 0.94 mm1
T = 293 K
0.28 0.24 0.23 mm
Data collection
Bruker SMART APEX CCD
diffractometer
Absorption correction: multi-scan
(SADABS; Sheldrick, 1996)
Tmin = 0.81, Tmax = 0.84
5465 measured reflections
3745 independent reflections
3103 reflections with I > 2(I)
Rint = 0.067
Refinement
R[F 2 > 2(F 2)] = 0.041
wR(F 2) = 0.116
S = 1.05
3745 reflections
306 parameters
H-atom parameters constrained
max = 0.55 e A˚ 3
min = 0.63 e A˚ 3
Table 1
Selected bond lengths (A˚ ). Zn1—O3
2.1145 (19)
Zn1—N4
2.135 (2)
Zn1—O1
2.189 (2)
Table 2
Hydrogen-bond geometry (A˚ , ). D—H A
D—H
H A
D A
D—H A
O2—H2 O4i
0.82
1.64
2.460 (3)
175
O5—H5 N5ii
0.82
1.74
2.554 (3)
174
C13—H13 O6iii
0.93
2.47
3.335 (4)
156
C19—H19 O6iii
0.93
2.34
3.245 (4)
164
C6—H6A N1iv
0.97
2.58
3.533 (4)
168
Symmetry
codes:
(i)
x þ 1; y 1; z þ 1;
(ii)
x; y þ 1; z þ 2;
(iii)
x þ 1; y þ 1; z þ 2; (iv) x þ 1; y; z. Related literature For crystal engineering of carboxylates, see: Moulton &
Zaworotko (2001); Rao et al. (2004); Ferey et al. (2005). For
interactions involved in the self-assembly process, see: Braga
& Grepioni (2000); Roesky & Andruh (2003); Chen et al. (2009). For our work on the coordination chemistry of semi-
rigid polycarboxylate ligands with functional groups intro-
duced between the aromatic ring and carboxylate groups, see:
Wang et al. (2007); Hong et al. (2005); Sun et al. (2007). Data collection: SMART (Bruker, 2000); cell refinement: SAINT
(Bruker, 2000); data reduction: SAINT; program(s) used to solve
structure: SHELXTL (Sheldrick, 2008); program(s) used to refine
structure: SHELXTL; molecular graphics: SHELXTL; software used
to prepare material for publication: SHELXTL. We acknowledge the National Natural Science Foundation
of China (grant No. 20801025 and 20671048) for financial
support. m370
Wang et al. Acta Cryst. (2010). E66, m370–m371 doi:10.1107/S160053681000735X metal-organic compounds Moulton, B. & Zaworotko, M. J. (2001). Chem. Rev. 101, 1629–1658. References
Braga, D. & Grepioni, F. (2000). Acc. Chem. Res. 33, 601–608.
Bruker (2000). SMART and SAINT. Bruker AXS Inc., Madison, Wisconsin,
USA.
Chen, J. Q., Cai, Y. P., Fang, H. C., Zhou, Z. Y., Zhan, X. L., Zhao, G. & Zhang,
Z. (2009). Cryst. Growth Des. 9, 1605–1613.
Ferey, G., Mellot-Draznieks, C., Serre, C. & Millange, F. (2005). Acc. Chem.
Res. 38, 217–225.
Hong, X.-L., Li, Y.-Z. & Bai, J.-F. (2005). Acta Cryst. E61, m1863–m1865. Rao, C. N. R., Natarajan, S. & Vaidhyanathan, R. (2004). Angew. Chem. Int.
Ed. 43, 1466–1496. Braga, D. & Grepioni, F. (2000). Acc. Chem. Res. 33, 601–608. Bruker (2000). SMART and SAINT. Bruker AXS Inc., Madison, Wisconsin,
USA. Wang, S. N., Sun, R., Wang, X. S., Li, Y. Z., Pan, Y., Bai, J. F., Scheer, M. & You,
X. Z. (2007). CrystEngComm, 9, 1051–1061. Roesky, H. W. & Andruh, M. (2003). Coord. Chem. Rev. 236, 91–119. Acta Cryst. (2010). E66, m370–m371 Moulton, B. & Zaworotko, M. J. (2001). Chem. Rev. 101, 1629–1658.
Rao, C. N. R., Natarajan, S. & Vaidhyanathan, R. (2004). Angew. Chem. Int.
Ed. 43, 1466–1496.
Roesky, H. W. & Andruh, M. (2003). Coord. Chem. Rev. 236, 91–119.
Sheldrick, G. M. (1996). SADABS. University of Go¨ttingen, Germany.
Sheldrick, G. M. (2008). Acta Cryst. A64, 112–122.
Sun, R., Wang, S. N., Xing, H., Bai, J. F., Li, Y. Z., Pan, Y. & You, X. Z. (2007).
Inorg. Chem. 46, 8451–8453.
Wang, S. N., Sun, R., Wang, X. S., Li, Y. Z., Pan, Y., Bai, J. F., Scheer, M. & You,
X. Z. (2007). CrystEngComm, 9, 1051–1061. Sheldrick, G. M. (1996). SADABS. University of Go¨ttingen, Germany. S1. Comment Recent years have witnessed rapid development of the construction of metal-organic assemblies with fascinating
structures and properties in coordination chemistry and crystal engineering. (Moulton & Zaworotko, 2001; Rao et al.,
2004; Ferey et al., 2005). Besides metal-ligand coordination bonding, various kinds of intermolecular weak interactions,
such as hydrogen bonds, weak C—H···X (X = O, N, π) interactions and π···π stacking, are also vital in the self-assembly
process. (Braga & Grepioni, 2000; Roesky & Andruh, 2003; Chen et al., 2009) Our interest is the coordination chemistry
of semirigid polycarboxylate ligands by introducing functional groups between the aromatic ring and carboxylate groups
(Hong et al., 2005; Wang et al., 2007; Sun et al., 2007). Herein we report the title compound [Zn(TTTA)2(bpy)2] (TTTA = 2,2′,2′′-[1,3,5-triazine-2,4,6-triyltris(thio)]tris-acetic
acid, bpy = 4,4′-bipyridine), as illustrated in Scheme 1 and Figure 1. The ZnII ion, situated on a center of inversion, adopts
octahedral geometry with four oxygen atoms from two carboxylate groups and two carboxylic groups of two different
TTTA ligands and two nitrogen atoms from two coordinated bpy molecules. Only one carboxylate group of the TTTA
ligand is deprotonated and coordinated to the metal center in a monodentate mode. The atoms in the central triazine ring
are almost coplanar with a very small deviation of only 0.0085 Å from the mean plane and the dihedral angle of the
carboxylate group with the triazine ring is 75.6 (2)°. The other two -COOH groups, one of which is coordinated and the
other uncoordinated, form the dihedral angles of 80.0 (2) and 175.0 (4)° with the triazine ring, respectively. As shown in Figure 2, significant O—H···N hydrogen bonding interactions are generated between hydroxyl groups (O5-
H5) of the carboxylic acid and uncoordinated nitrogen atom (N5) from adjacent molecules. As a result, one-dimensional
hinged chains containing M2L2(bpy)2 macrocyclic rings are formed along the b axis. These chains are further linked
together in a parallel fashion to form a two-dimensional sheet through O—H···O hydrogen bonds between the carboxylate
group (O2) and carboxyl oxygen atom (O4) from adjacent chains. Between neighboring sheets, bpy (C13 and C18) CH
groups form weak C—H···O weak interactions with TTTA carboxyl oxygen atoms (O6). Simultaneously, these sheets are
consolidated further through weak C—H···N interactions between CH2 groups (C6) and N atoms (N1) of the triazine ring
(Figure 3 and Table 2). S1. Comment Thus, the mononuclear units are connected together through the complementary interactions of
several kinds of hydrogen bonds, which ultimately extend into a three-dimensional framework. supporting information Acta Cryst. (2010). E66, m370–m371 [doi:10.1107/S160053681000735X] a Cryst. (2010). E66, m370–m371 [doi:10.1107/S160053681000735X] Acta Cryst. (2010). E66, m370–m371 [doi:10.1107/S160053681000735X] References Rao, C. N. R., Natarajan, S. & Vaidhyanathan, R. (2004). Angew. Chem. Int. Ed. 43, 1466–1496. Roesky, H. W. & Andruh, M. (2003). Coord. Chem. Rev. 236, 91–119. Sheldrick, G. M. (1996). SADABS. University of Go¨ttingen, Germany. Sheldrick, G. M. (2008). Acta Cryst. A64, 112–122. (
)
Sun, R., Wang, S. N., Xing, H., Bai, J. F., Li, Y. Z., Pan, Y. & You, X. Z. (2007). Inorg. Chem. 46, 8451–8453. Wang, S. N., Sun, R., Wang, X. S., Li, Y. Z., Pan, Y., Bai, J. F., Scheer, M. & You,
X. Z. (2007). CrystEngComm, 9, 1051–1061. Wang et al. [Zn(C9H8N3O6S3)2(C10H8N2)2]
m371 Acta Cryst. (2010). E66, m370–m371 supporting information S2. Experimental A mixture of TTTA (0.025 mmol, 0.010 g), bpy (0.05 mmol, 0.008 g), Zn(NO3)2.6H2O (0.025 mmol, 0.013 g) with H2O
(10 ml) was placed in a Parr Teflon-lined stainless steel vessel and heated to 80 °C for 24 h. Then the reaction system was
cooled to room temperature slowly and light yellow block crystals were obtained. After filtration, the crystals were
washed with water and dried in air. Elemental analysis calculated for C38H32N10O12S6Zn (Mr = 1078.47) : C 42.32, H 2.99,
N 12.99%; found: C 42.13, H 2.92, N 13.08%. sup-1 sup-1 Acta Cryst. (2010). E66, m370–m371 supporting information Figure 1 Figure 1 The local coordination environment for the ZnII centers in 1. Hydrogen atoms have been omitted for clarity, and thermal
ellipsoids are drawn at the 30% probability level. Selected bonds information is listed in Table 1. Symmetry codes: (i) 1-
x, -y, 1-z. Figure 2
View of the two-dimensional layer, constructed by O—H···N and O—H···O hydrogen bonding between the adjacent
mononuclears. Only the hydrogen atoms in hydrogen bonds are shown for clarity. S3. Refinement S3. Refinement
All H atoms were placed geometrically and treated as riding on their parent atoms with C—H 0.93(pyridine,benzene), C
—H 0.97 (methylene) Å [Uiso(H) = 1.2Ueq(C)] and O—H 0.82 Å (hydroxyl) [Uiso(H) = 1.5Ueq(O)]. Figure 1
The local coordination environment for the ZnII centers in 1. Hydrogen atoms have been omitted for clarity, and thermal
ellipsoids are drawn at the 30% probability level. Selected bonds information is listed in Table 1. Symmetry codes: (i) 1-
x, -y, 1-z. All H atoms were placed geometrically and treated as riding on their parent atoms with C—H 0.93(pyridine,benzene), C
—H 0.97 (methylene) Å [Uiso(H) = 1.2Ueq(C)] and O—H 0.82 Å (hydroxyl) [Uiso(H) = 1.5Ueq(O)]. All H atoms were placed geometrically and treated as riding on their parent atoms with C All H atoms were placed geometrically and treated as riding on their parent atoms with C—H 0.93(pyridine,benzene), C —H 0.97 (methylene) Å [Uiso(H) = 1.2Ueq(C)] and O—H 0.82 Å (hydroxyl) [Uiso(H) = 1.5Ueq ethylene) Å [Uiso(H) = 1.2Ueq(C)] and O—H 0.82 Å (hydroxyl) [Uiso(H) = 1.5Ueq(O)]. —H 0.97 (methylene) Å [Uiso(H) = 1.2Ueq(C)] and O—H 0.82 Å (hydroxyl) [Uiso(H) = 1.5Ueq(O)]. Figure 2 g
View of the two-dimensional layer, constructed by O—H···N and O—H···O hydrogen bonding between the adjacent
mononuclears. Only the hydrogen atoms in hydrogen bonds are shown for clarity. g
View of the two-dimensional layer, constructed by O—H···N and O—H···O hydrogen bonding between the adjacent
mononuclears. Only the hydrogen atoms in hydrogen bonds are shown for clarity. View of the two-dimensional layer, constructed by O—H···N and O—H···O hydrogen bonding between the adjacent
mononuclears. Only the hydrogen atoms in hydrogen bonds are shown for clarity. sup-2 Acta Cryst. (2010). E66, m370–m371 supporting information Fi
3 Figure 3 Figure 3 g
View of the C—H···O and C—H···N weak interactions between the layers. Only the hydrogen atoms in hydrogen bonds
are shown for clarity. Bis(4,4′-bipyridyl)bis{2-[4,6-bis(carboxymethylsulfanyl)-1,3,5-triazin-2- ylsulfanyl]acetato}zinc(II) 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 > σ(F2) is used
only for calculating R-factors(gt) etc. and is not relevant to the choice of reflections for refinement. R-factors based on F2
are statistically about twice as large as those based on F, and R- factors based on ALL data will be even larger. Bis(4,4′-bipyridyl)bis{2-[4,6-bis(carboxymethylsulfanyl)-1,3,5-triazin-2- ylsulfanyl]acetato}zinc(II) Crystal data
[Zn(C9H8N3O6S3)2(C10H8N2)2]
Mr = 1078.47
Triclinic, P1
Hall symbol: -P 1
a = 8.6025 (7) Å
b = 8.7606 (7) Å
c = 15.3187 (12) Å
α = 99.518 (1)°
β = 105.802 (2)°
γ = 98.805 (1)°
V = 1071.41 (15) Å3
Data collection
Bruker SMART APEX CCD
diffractometer
Radiation source: fine-focus sealed tube
Graphite monochromator
phi and ω scans
Absorption correction: multi-scan
(SADABS; Sheldrick, 1996)
Tmin = 0.81, Tmax = 0.84
Refinement
Refinement on F2
Least-squares matrix: full
R[F2 > 2σ(F2)] = 0.041
wR(F2) = 0.116
S = 1.05
3745 reflections
306 parameters
0 restraints
Primary atom site location: structure-invariant
direct methods Crystal data
[Zn(C9H8N3O6S3)2(C10H8N2)2]
Mr = 1078.47
Triclinic, P1
Hall symbol: -P 1
a = 8.6025 (7) Å
b = 8.7606 (7) Å
c = 15.3187 (12) Å
α = 99.518 (1)°
β = 105.802 (2)°
γ = 98.805 (1)°
V = 1071.41 (15) Å3
Z = 1
F(000) = 552
Dx = 1.671 Mg m−3
Mo Kα radiation, λ = 0.71073 Å
Cell parameters from 2836 reflections
θ = 2.5–28.1°
µ = 0.94 mm−1
T = 293 K
Block, colorless
0.28 × 0.24 × 0.23 mm Secondary atom site location: difference Fourier
map
Hydrogen site location: inferred from
neighbouring sites
H-atom parameters constrained
w = 1/[σ2(Fo2) + (0.0632P)2]
where P = (Fo2 + 2Fc2)/3
(Δ/σ)max = 0.001
Δρmax = 0.55 e Å−3
Δρmin = −0.63 e Å−3 sup-3 Acta Cryst. (2010). E66, m370–m371 supporting information supporting information Special details supporting information supporting information
H11
0.0278
0.1896
0.5950
0.039*
C12
0.2330 (4)
0.2856 (3)
0.7048 (2)
0.0269 (6)
C13
0.4010 (4)
0.2880 (3)
0.7317 (2)
0.0309 (7)
H13
0.4681
0.3470
0.7896
0.037*
C14
0.4687 (4)
0.2032 (3)
0.6729 (2)
0.0297 (7)
H14
0.5815
0.2061
0.6932
0.036*
C15
0.1554 (4)
0.3774 (3)
0.7653 (2)
0.0277 (6)
C16
−0.0110 (4)
0.3372 (4)
0.7560 (2)
0.0388 (8)
H16
−0.0784
0.2503
0.7110
0.047*
C17
−0.0762 (4)
0.4272 (4)
0.8142 (2)
0.0447 (9)
H17
−0.1885
0.3999
0.8068
0.054*
C18
0.1757 (4)
0.5904 (4)
0.8904 (2)
0.0383 (8)
H18
0.2401
0.6770
0.9367
0.046*
C19
0.2497 (4)
0.5074 (4)
0.8345 (2)
0.0352 (7)
H19
0.3622
0.5382
0.8431
0.042*
Atomic displacement parameters (Å2)
U11
U22
U33
U12
U13
U23
Zn1
0.0323 (3)
0.0258 (3)
0.0252 (3)
0.0085 (2)
0.0130 (2)
0.0003 (2)
N1
0.0275 (14)
0.0362 (14)
0.0309 (14)
0.0065 (11)
0.0110 (11)
−0.0026 (11)
N2
0.0244 (13)
0.0290 (13)
0.0244 (13)
0.0052 (11)
0.0077 (10)
0.0012 (11)
N3
0.0256 (13)
0.0322 (13)
0.0241 (13)
0.0078 (11)
0.0089 (10)
−0.0001 (11)
N4
0.0286 (13)
0.0230 (12)
0.0266 (13)
0.0066 (10)
0.0109 (11)
0.0013 (10)
N5
0.0369 (16)
0.0439 (16)
0.0404 (16)
0.0147 (13)
0.0159 (13)
−0.0018 (13)
O1
0.0389 (13)
0.0255 (12)
0.0460 (13)
0.0062 (9)
0.0162 (10)
0.0056 (10)
O2
0.0511 (14)
0.0299 (11)
0.0338 (12)
0.0098 (11)
0.0192 (10)
0.0071 (10)
O3
0.0352 (12)
0.0253 (10)
0.0276 (11)
0.0089 (9)
0.0110 (9)
0.0028 (9)
O4
0.0466 (14)
0.0284 (11)
0.0301 (12)
0.0123 (10)
0.0124 (10)
0.0000 (9)
O5
0.0359 (14)
0.0519 (15)
0.0437 (14)
0.0148 (11)
0.0142 (11)
−0.0129 (11)
O6
0.0462 (16)
0.0648 (17)
0.0614 (18)
0.0071 (14)
0.0157 (13)
−0.0295 (14)
S1
0.0239 (4)
0.0386 (5)
0.0307 (4)
−0.0020 (3)
0.0090 (3)
−0.0085 (3)
S2
0.0220 (4)
0.0406 (5)
0.0236 (4)
0.0047 (3)
0.0050 (3)
−0.0051 (3)
S3
0.0272 (4)
0.0481 (5)
0.0387 (5)
0.0078 (4)
0.0134 (4)
−0.0135 (4)
C1
0.0253 (15)
0.0254 (15)
0.0257 (15)
0.0063 (12)
0.0099 (12)
0.0032 (12)
C2
0.0250 (15)
0.0265 (15)
0.0222 (14)
0.0062 (12)
0.0070 (12)
0.0034 (12)
C3
0.0281 (16)
0.0310 (16)
0.0275 (16)
0.0085 (13)
0.0107 (13)
0.0022 (13)
C4
0.0273 (15)
0.0241 (14)
0.0272 (15)
0.0048 (12)
0.0096 (12)
−0.0005 (12)
C5
0.0266 (16)
0.0238 (16)
0.0294 (16)
0.0050 (12)
0.0085 (12)
0.0013 (12)
C6
0.0248 (15)
0.0309 (16)
0.0289 (16)
0.0088 (13)
0.0090 (12)
0.0023 (13)
C7
0.0232 (15)
0.0267 (15)
0.0259 (15)
0.0057 (12)
0.0113 (12)
0.0013 (12)
C8
0.0281 (16)
0.0381 (17)
0.0300 (16)
0.0106 (14)
0.0094 (13)
−0.0002 (14)
C9
0.0316 (18)
0.0373 (18)
0.0320 (17)
0.0084 (14)
0.0100 (14)
−0.0018 (14)
C10
0.0335 (17)
0.0319 (16)
0.0318 (17)
0.0054 (14)
0.0117 (14)
−0.0030 (13)
C11
0.0290 (16)
0.0347 (17)
0.0329 (17)
0.0068 (13)
0.0112 (13)
−0.0013 (14)
C12
0.0293 (16)
0.0259 (15)
0.0274 (15)
0.0074 (12)
0.0118 (12)
0.0044 (12)
C13
0.0308 (17)
0.0325 (16)
0.0279 (16)
0.0080 (14)
0.0098 (13)
−0.0003 (13)
C14
0.0293 (16)
0.0312 (16)
0.0290 (16)
0.0094 (13)
0.0097 (13)
0.0033 (13) Atomic displacement parameters (Å2)
U11
U22
U33
U12
U13
U23
Zn1
0.0323 (3)
0.0258 (3)
0.0252 (3)
0.0085 (2)
0.0130 (2)
0.0003 (2)
N1
0.0275 (14)
0.0362 (14)
0.0309 (14)
0.0065 (11)
0.0110 (11)
−0.0026 (11)
N2
0.0244 (13)
0.0290 (13)
0.0244 (13)
0.0052 (11)
0.0077 (10)
0.0012 (11)
N3
0.0256 (13)
0.0322 (13)
0.0241 (13)
0.0078 (11)
0.0089 (10)
−0.0001 (11)
N4
0.0286 (13)
0.0230 (12)
0.0266 (13)
0.0066 (10)
0.0109 (11)
0.0013 (10)
N5
0.0369 (16)
0.0439 (16)
0.0404 (16)
0.0147 (13)
0.0159 (13)
−0.0018 (13)
O1
0.0389 (13)
0.0255 (12)
0.0460 (13)
0.0062 (9)
0.0162 (10)
0.0056 (10)
O2
0.0511 (14)
0.0299 (11)
0.0338 (12)
0.0098 (11)
0.0192 (10)
0.0071 (10)
O3
0.0352 (12)
0.0253 (10)
0.0276 (11)
0.0089 (9)
0.0110 (9)
0.0028 (9)
O4
0.0466 (14)
0.0284 (11)
0.0301 (12)
0.0123 (10)
0.0124 (10)
0.0000 (9)
O5
0.0359 (14)
0.0519 (15)
0.0437 (14)
0.0148 (11)
0.0142 (11)
−0.0129 (11)
O6
0.0462 (16)
0.0648 (17)
0.0614 (18)
0.0071 (14)
0.0157 (13)
−0.0295 (14)
S1
0.0239 (4)
0.0386 (5)
0.0307 (4)
−0.0020 (3)
0.0090 (3)
−0.0085 (3)
S2
0.0220 (4)
0.0406 (5)
0.0236 (4)
0.0047 (3)
0.0050 (3)
−0.0051 (3)
S3
0.0272 (4)
0.0481 (5)
0.0387 (5)
0.0078 (4)
0.0134 (4)
−0.0135 (4)
C1
0.0253 (15)
0.0254 (15)
0.0257 (15)
0.0063 (12)
0.0099 (12)
0.0032 (12)
C2
0.0250 (15)
0.0265 (15)
0.0222 (14)
0.0062 (12)
0.0070 (12)
0.0034 (12)
C3
0.0281 (16)
0.0310 (16)
0.0275 (16)
0.0085 (13)
0.0107 (13)
0.0022 (13)
C4
0.0273 (15)
0.0241 (14)
0.0272 (15)
0.0048 (12)
0.0096 (12)
−0.0005 (12)
C5
0.0266 (16)
0.0238 (16)
0.0294 (16)
0.0050 (12)
0.0085 (12)
0.0013 (12)
C6
0.0248 (15)
0.0309 (16)
0.0289 (16)
0.0088 (13)
0.0090 (12)
0.0023 (13)
C7
0.0232 (15)
0.0267 (15)
0.0259 (15)
0.0057 (12)
0.0113 (12)
0.0013 (12)
C8
0.0281 (16)
0.0381 (17)
0.0300 (16)
0.0106 (14)
0.0094 (13)
−0.0002 (14)
C9
0.0316 (18)
0.0373 (18)
0.0320 (17)
0.0084 (14)
0.0100 (14)
−0.0018 (14)
C10
0.0335 (17)
0.0319 (16)
0.0318 (17)
0.0054 (14)
0.0117 (14)
−0.0030 (13)
C11
0.0290 (16)
0.0347 (17)
0.0329 (17)
0.0068 (13)
0.0112 (13)
−0.0013 (14)
C12
0.0293 (16)
0.0259 (15)
0.0274 (15)
0.0074 (12)
0.0118 (12)
0.0044 (12)
C13
0.0308 (17)
0.0325 (16)
0.0279 (16)
0.0080 (14)
0.0098 (13)
−0.0003 (13)
C14
0.0293 (16)
0.0312 (16)
0.0290 (16)
0.0094 (13)
0.0097 (13)
0.0033 (13) Atomic displacement parameters (Å2) sup-5 Acta Cryst. Special details Fractional atomic coordinates and isotropic or equivalent isotropic displacement parameters (Å2)
x
y
z
Uiso*/Ueq
Zn1
0.5000
0.0000
0.5000
0.02725 (17)
N1
0.1818 (3)
−0.1424 (3)
0.74960 (17)
0.0324 (6)
N2
0.4260 (3)
−0.1972 (3)
0.71830 (15)
0.0265 (5)
N3
0.4458 (3)
−0.0022 (3)
0.85212 (16)
0.0276 (6)
N4
0.3822 (3)
0.1179 (3)
0.58899 (16)
0.0260 (5)
N5
0.0151 (3)
0.5510 (3)
0.88027 (19)
0.0402 (7)
O1
0.3126 (3)
−0.2111 (2)
0.48345 (15)
0.0365 (5)
O2
0.3316 (3)
−0.4383 (2)
0.40496 (14)
0.0368 (5)
H2
0.3378
−0.5271
0.4142
0.044*
O3
0.6664 (2)
−0.0338 (2)
0.62169 (13)
0.0291 (5)
O4
0.6623 (3)
−0.2886 (2)
0.57706 (14)
0.0352 (5)
O5
0.1025 (3)
0.2799 (3)
1.01154 (16)
0.0456 (6)
H5
0.0713
0.3389
1.0476
0.055*
O6
0.3494 (3)
0.4151 (3)
1.09911 (19)
0.0634 (8)
S1
0.13117 (9)
−0.35869 (9)
0.60274 (5)
0.0338 (2)
S2
0.72472 (9)
−0.03437 (9)
0.82517 (5)
0.0308 (2)
S3
0.17169 (10)
0.05612 (10)
0.89085 (6)
0.0401 (2)
C1
0.2626 (3)
−0.2188 (3)
0.69989 (19)
0.0252 (6)
C2
0.5103 (3)
−0.0856 (3)
0.79407 (19)
0.0247 (6)
C3
0.2811 (4)
−0.0367 (3)
0.8256 (2)
0.0287 (7)
C4
0.2717 (4)
−0.4370 (3)
0.5489 (2)
0.0267 (6)
H4A
0.3749
−0.4300
0.5965
0.032*
H4B
0.2259
−0.5481
0.5205
0.032*
C5
0.3071 (4)
−0.3530 (3)
0.4759 (2)
0.0272 (6)
C6
0.7620 (4)
−0.1775 (3)
0.73879 (19)
0.0282 (7)
H6A
0.8804
−0.1675
0.7521
0.034*
H6B
0.7170
−0.2824
0.7447
0.034*
C7
0.6901 (3)
−0.1647 (3)
0.63890 (19)
0.0250 (6)
C8
0.3335 (4)
0.2042 (4)
0.9770 (2)
0.0325 (7)
H8A
0.4075
0.1532
1.0167
0.039*
H8B
0.3968
0.2662
0.9465
0.039*
C9
0.2604 (4)
0.3118 (4)
1.0352 (2)
0.0346 (7)
C10
0.2189 (4)
0.1151 (4)
0.5617 (2)
0.0334 (7)
H10
0.1555
0.0562
0.5031
0.040*
C11
0.1411 (4)
0.1955 (4)
0.6167 (2)
0.0329 (7) Fractional atomic coordinates and isotropic or equivalent isotropic displacement parameters (Å2)
x
y
z
Uiso*/Ueq l atomic coordinates and isotropic or equivalent isotropic displacement parameters (Å2)
U */U sup-4 Acta Cryst. (2010). E66, m370–m371 supporting information supporting information (2010). E66, m370–m371 supporting information
C15
0.0287 (16)
0.0298 (15)
0.0258 (15)
0.0099 (13)
0.0099 (12)
0.0034 (12)
C16
0.0355 (18)
0.0409 (19)
0.0383 (19)
0.0095 (15)
0.0137 (15)
−0.0015 (15)
C17
0.0361 (19)
0.052 (2)
0.046 (2)
0.0134 (17)
0.0169 (16)
−0.0018 (17)
C18
0.0390 (19)
0.0377 (18)
0.0368 (18)
0.0103 (15)
0.0142 (15)
−0.0026 (15)
C19
0.0319 (17)
0.0356 (17)
0.0378 (18)
0.0089 (14)
0.0148 (14)
−0.0018 (14)
Geometric parameters (Å, º)
Zn1—O3i
2.1145 (19)
S3—C3
1.739 (3)
Zn1—O3
2.1145 (19)
S3—C8
1.800 (3)
Zn1—N4i
2.135 (2)
C4—C5
1.507 (4)
Zn1—N4
2.135 (2)
C4—H4A
0.9700
Zn1—O1
2.189 (2)
C4—H4B
0.9700
Zn1—O1i
2.189 (2)
C6—C7
1.516 (4)
N1—C1
1.331 (4)
C6—H6A
0.9700
N1—C3
1.342 (4)
C6—H6B
0.9700
N2—C1
1.333 (4)
C8—C9
1.513 (4)
N2—C2
1.334 (3)
C8—H8A
0.9700
N3—C3
1.334 (4)
C8—H8B
0.9700
N3—C2
1.346 (4)
C10—C11
1.382 (4)
N4—C14
1.325 (4)
C10—H10
0.9300
N4—C10
1.347 (4)
C11—C12
1.394 (4)
N5—C17
1.327 (4)
C11—H11
0.9300
N5—C18
1.331 (4)
C12—C13
1.386 (4)
O1—C5
1.222 (3)
C12—C15
1.486 (4)
O2—C5
1.299 (3)
C13—C14
1.379 (4)
O2—H2
0.8200
C13—H13
0.9300
O3—C7
1.252 (3)
C14—H14
0.9300
O4—C7
1.261 (3)
C15—C16
1.383 (4)
O5—C9
1.279 (4)
C15—C19
1.388 (4)
O5—H5
0.8200
C16—C17
1.380 (4)
O6—C9
1.204 (4)
C16—H16
0.9300
S1—C1
1.747 (3)
C17—H17
0.9300
S1—C4
1.795 (3)
C18—C19
1.379 (4)
S2—C2
1.740 (3)
C18—H18
0.9300
S2—C6
1.797 (3)
C19—H19
0.9300
O3i—Zn1—O3
180.00 (7)
C7—C6—H6A
108.4
O3i—Zn1—N4i
86.91 (8)
S2—C6—H6A
108.4
O3—Zn1—N4i
93.09 (8)
C7—C6—H6B
108.4
O3i—Zn1—N4
93.09 (8)
S2—C6—H6B
108.4
O3—Zn1—N4
86.91 (8)
H6A—C6—H6B
107.4
N4i—Zn1—N4
180.00 (9)
O3—C7—O4
123.7 (3)
O3i—Zn1—O1
84.73 (8)
O3—C7—C6
119.5 (2)
O3—Zn1—O1
95.27 (8)
O4—C7—C6
116.8 (2)
N4i—Zn1—O1
94.10 (8)
C9—C8—S3
110.2 (2)
N4—Zn1—O1
85.90 (8)
C9—C8—H8A
109.6
O3i—Zn1—O1i
95.27 (8)
S3—C8—H8A
109.6 C15
0.0287 (16)
0.0298 (15)
0.0258 (15)
0.0099 (13)
0.0099 (12)
0.0034 (12)
C16
0.0355 (18)
0.0409 (19)
0.0383 (19)
0.0095 (15)
0.0137 (15)
−0.0015 (15)
C17
0.0361 (19)
0.052 (2)
0.046 (2)
0.0134 (17)
0.0169 (16)
−0.0018 (17)
C18
0.0390 (19)
0.0377 (18)
0.0368 (18)
0.0103 (15)
0.0142 (15)
−0.0026 (15)
C19
0.0319 (17)
0.0356 (17)
0.0378 (18)
0.0089 (14)
0.0148 (14)
−0.0018 (14) Acta Cryst. (2010). E66, m370–m371 sup-6 supporting information Acta Cryst. (2010). E66, m370–m371 supporting information O3—Zn1—O1i
84.73 (8)
C9—C8—H8B
109.6
N4i—Zn1—O1i
85.90 (8)
S3—C8—H8B
109.6
N4—Zn1—O1i
94.10 (8)
H8A—C8—H8B
108.1
O1—Zn1—O1i
180.00 (7)
O6—C9—O5
125.3 (3)
C1—N1—C3
113.8 (3)
O6—C9—C8
120.2 (3)
C1—N2—C2
113.8 (2)
O5—C9—C8
114.4 (3)
C3—N3—C2
113.4 (2)
N4—C10—C11
123.2 (3)
C14—N4—C10
116.8 (3)
N4—C10—H10
118.4
C14—N4—Zn1
121.0 (2)
C11—C10—H10
118.4
C10—N4—Zn1
122.14 (19)
C10—C11—C12
119.7 (3)
C17—N5—C18
118.6 (3)
C10—C11—H11
120.1
C5—O1—Zn1
136.6 (2)
C12—C11—H11
120.1
C5—O2—H2
109.5
C13—C12—C11
116.5 (3)
C7—O3—Zn1
125.67 (18)
C13—C12—C15
121.9 (3)
C9—O5—H5
109.5
C11—C12—C15
121.7 (3)
C1—S1—C4
103.09 (14)
C14—C13—C12
120.1 (3)
C2—S2—C6
100.14 (13)
C14—C13—H13
119.9
C3—S3—C8
101.90 (14)
C12—C13—H13
119.9
N1—C1—N2
126.4 (3)
N4—C14—C13
123.7 (3)
N1—C1—S1
113.1 (2)
N4—C14—H14
118.1
N2—C1—S1
120.6 (2)
C13—C14—H14
118.1
N2—C2—N3
126.3 (3)
C16—C15—C19
117.5 (3)
N2—C2—S2
120.1 (2)
C16—C15—C12
122.0 (3)
N3—C2—S2
113.6 (2)
C19—C15—C12
120.5 (3)
N3—C3—N1
126.3 (3)
C17—C16—C15
119.4 (3)
N3—C3—S3
121.1 (2)
C17—C16—H16
120.3
N1—C3—S3
112.6 (2)
C15—C16—H16
120.3
C5—C4—S1
113.8 (2)
N5—C17—C16
122.6 (3)
C5—C4—H4A
108.8
N5—C17—H17
118.7
S1—C4—H4A
108.8
C16—C17—H17
118.7
C5—C4—H4B
108.8
N5—C18—C19
122.3 (3)
S1—C4—H4B
108.8
N5—C18—H18
118.9
H4A—C4—H4B
107.7
C19—C18—H18
118.9
O1—C5—O2
121.7 (3)
C18—C19—C15
119.6 (3)
O1—C5—C4
121.3 (3)
C18—C19—H19
120.2
O2—C5—C4
116.9 (2)
C15—C19—H19
120.2
C7—C6—S2
115.7 (2) Hydrogen-bond geometry (Å, º)
D—H···A
D—H
H···A
D···A
D—H···A
O2—H2···O4ii
0.82
1.64
2.460 (3)
175
O5—H5···N5iii
0.82
1.74
2.554 (3)
174
C13—H13···O6iv
0.93
2.47
3.335 (4)
156 sup-7 Acta Cryst. (2010). E66, m370–m371 supporting information
C19—H19···O6iv
0.93
2.34
3.245 (4)
164
C6—H6A···N1v
0.97
2.58
3.533 (4)
168
Symmetry codes: (ii) −x+1, −y−1, −z+1; (iii) −x, −y+1, −z+2; (iv) −x+1, −y+1, −z+2; (v) x+1, y, z. supporting information
C19—H19···O6iv
0.93
2.34
3.245 (4)
164
C6—H6A···N1v
0.97
2.58
3.533 (4)
168
Symmetry codes: (ii) −x+1, −y−1, −z+1; (iii) −x, −y+1, −z+2; (iv) −x+1, −y+1, −z+2; (v) x+1, y, z. C19—H19···O6iv
C6—H6A···N1v Symmetry codes: (ii) −x+1, −y−1, −z+1; (iii) −x, −y+1, −z+2; (iv) −x+1, −y+1, −z+2; (v) x+1, y, z. sup-8 Acta Cryst. (2010). E66, m370–m371
|
https://openalex.org/W4287324458
|
https://zenodo.org/records/5739318/files/92.pdf
|
Ukrainian
| null |
Scientific and Methodological Approaches to the Assessment of the Level of Competitiveness of the Domestic Enterprise in the International Market
|
Zenodo (CERN European Organization for Nuclear Research)
| 2,021
|
cc-by
| 3,918
|
НАУКОВО-МЕТОДИЧНІ ПІДХОДИ ДО ОЦІНКИ РІВНЯ
КОНКУРЕНТОСПРОМОЖНОСТІ ВІТЧИЗНЯНОГО ПІДПРИЄМСТВА НА
МІЖНАРОДНОМУ РИНКУ
SCIENTIFIC AND METHODOLOGICAL APPROACHES TO THE ASSESSMENT
OF THE LEVEL OF COMPETITIVENESS OF THE DOMESTIC ENTERPRISE IN
THE INTERNATIONAL MARKET Valentyna V. Khachatryan, DEcon, Associate Professor
Vinnytsia Institute of Trade and Economics of KNUTE, Vinnytsia, Ukraine
ORCID: 0000-0002-9532-0116
Email: v.khachatrian@vtei.edu.ua Received 15.02.2021 У сучасних умовах основним критерієм
успішності
діяльності
суб’єктів
господарювання на світовому ринку є
рівень
їх
міжнародної
конкурентоспроможності,
що
являється
характеристикою підприємства, формою прояву
ступеня реалізації його потенційної спроможності
формувати, утримувати та використовувати стійкі
конкурентні переваги на міжнародному ринку, які
відображаються його конкурентним потенціалом. У к
м
м
З
о
м
Х
п
В
р
з
п
щ
у
з
к
к
і
t
E
i
t
c
c Хачатрян В.В. Науково-методичні підходи до оцінки рівня
конкурентоспроможності
вітчизняного
підприємства
на
міжнародному ринку. Оглядова стаття. В статті обґрунтовано концептуальні основи оцінки
міжнародної
конкурентоспроможності
підприємства. Запропоновано класифікацію наявної сукупності методів
оцінки міжнародної конкурентоспроможності. Обґрунтовано
основні
аналітичні
методи
оцінки
міжнародної конкурентоспроможності підприємства: індекс
Херфіндаля-Хіршмана, індекс Розенблюта, чотиричастковий
показник концентрації CR4, модель з ідеальною точкою. Визначено, що досліджені методи дають можливість визначити
рівень міжнародної конкурентоспроможності підприємства
застосовуючи різні характеристики діяльності підприємства,
проте проведення оцінки передбачає вибір комплексу методів,
що будуть застосовуватися, адже здійснення аналізу на основі
усіх відомих сучасній науці методів практично неможливе,
завдяки тому, що потребує великої трудомісткості. Ключові
слова:
конкурентоспроможність,
міжнародна
конкурентоспроможність підприємства, оцінка міжнародної
конкурентоспроможності, методи оцінки, матричні методи,
індексні методи, графічні методи, аналітичні методи
Khachatryan V.V. Scientific and Methodological Approaches
to the Assessment of the Level of Competitiveness of the Domestic
Enterprise in the International Market. Review article. The article substantiates the conceptual basis for assessing the
international competitiveness of the enterprise. The classification of
the available
set of
methods
for assessing international
competitiveness is proposed. The main analytical methods for assessing the international
competitiveness of the enterprise are substantiated: Herfindahl-
Hirschman index, Rosenblut index, four-particle concentration
index CR4, model with a perfect point. It is determined that the
studied methods make it possible to determine the level of
international competitiveness of the enterprise using different
characteristics of the enterprise, but the assessment involves
choosing a set of methods to be used, because the analysis based on
all known methods of modern science is almost impossible. Keywords: competitiveness, international competitiveness of
the enterprise, assessment of international competitiveness,
assessment methods, matrix methods, index methods, graphical
methods, analytical methods Хачатрян В.В. Науково-методичні підходи до оцінки рівня конкурентоспроможності
вітчизняного
підприємства
на
міжнародному ринку. Оглядова стаття. конкурентоспроможності
вітчизняного
підприємства
на
міжнародному ринку. Оглядова стаття. В статті обґрунтовано концептуальні основи оцінки
міжнародної
конкурентоспроможності
підприємства. Запропоновано класифікацію наявної сукупності методів
оцінки міжнародної конкурентоспроможності. НАУКОВО-МЕТОДИЧНІ ПІДХОДИ ДО ОЦІНКИ РІВНЯ
КОНКУРЕНТОСПРОМОЖНОСТІ ВІТЧИЗНЯНОГО ПІДПРИЄМСТВА НА
МІЖНАРОДНОМУ РИНКУ
SCIENTIFIC AND METHODOLOGICAL APPROACHES TO THE ASSESSMENT
OF THE LEVEL OF COMPETITIVENESS OF THE DOMESTIC ENTERPRISE IN
THE INTERNATIONAL MARKET Ступінь реалізації конкурентного потенціалу
підприємства визначається тим, наскільки вдало, з
точки зору досягнення конкретної мети, воно
комбінує
ресурси,
створюючи
конкурентні
переваги. Тобто
максимальний
рівень
міжнародної конкурентоспроможності означає не
«краще, ніж у конкурентів», а «найбільше
(найкраще), на що здатне підприємство». поняття
«міжнародна
конкурентоспроможність»
стосується не підприємства, як окремої юридичної
особи, а його господарської діяльності, оскільки
створюється
суто
у
межах
процесу
господарювання. Обґрунтовано
основні
аналітичні
методи
оцінки
міжнародної конкурентоспроможності підприємства: індекс
Херфіндаля-Хіршмана, індекс Розенблюта, чотиричастковий
показник концентрації CR4, модель з ідеальною точкою. Визначено, що досліджені методи дають можливість визначити
рівень міжнародної конкурентоспроможності підприємства
застосовуючи різні характеристики діяльності підприємства,
проте проведення оцінки передбачає вибір комплексу методів,
що будуть застосовуватися, адже здійснення аналізу на основі
усіх відомих сучасній науці методів практично неможливе,
завдяки тому, що потребує великої трудомісткості. Ключові
слова:
конкурентоспроможність,
міжнародна
конкурентоспроможність підприємства, оцінка міжнародної
конкурентоспроможності, методи оцінки, матричні методи,
індексні методи, графічні методи, аналітичні методи Проблема
методології
оцінювання
міжнародної
конкурентоспроможності
підприємства є багатоаспектною, що проявляється
у наявності великої кількості методів оцінки
міжнародної конкурентоспроможності. Khachatryan V.V. Scientific and Methodological Approaches
to the Assessment of the Level of Competitiveness of the Domestic
Enterprise in the International Market. Review article. The article substantiates the conceptual basis for assessing the
international competitiveness of the enterprise. The classification of
the available
set of
methods
for assessing international
competitiveness is proposed. Науково-методичні підходи до оцінки рівня конкурентоспроможності вітчизняного
підприємства на міжнародному ринку Науково-методичні підходи до оцінки рівня конкурентоспроможності вітчизняного
підприємства на міжнародному ринку Хачатрян В.В. DOI: 10.15276/ETR.02.2021.12
DOI: 10.5281/zenodo.5739318
UDC: 658.821.003.12
JEL: M2, O2 Аналіз останніх досліджень і публікацій Обґрунтуванням
методичних
підходів
до
оцінки міжнародної конкурентоспроможності та
визначенням основних способів її підвищення
займалися такі вітчизняні вчені-економісти, як
Т.В. Андросова, Р.Я. Баран, Н.М. Богацька,
С.М. Бондаренко, Т.В. Гаврилова, С.О. Даниліна,
О.Ф. Крайнюченко,
М.В. Криванич,
А.О. Левицька, В.О. Літвінова, В.М. Олейник,
С.Д. Супрун,
В.І. Фучеджи,
Т.В. Шталь,
Л.Т. Штимер та інші, які обґрунтували безліч
методик
щодо
оцінки
міжнародної The main analytical methods for assessing the international
competitiveness of the enterprise are substantiated: Herfindahl-
Hirschman index, Rosenblut index, four-particle concentration
index CR4, model with a perfect point. It is determined that the
studied methods make it possible to determine the level of
international competitiveness of the enterprise using different
characteristics of the enterprise, but the assessment involves
choosing a set of methods to be used, because the analysis based on
all known methods of modern science is almost impossible. Keywords: competitiveness, international competitiveness of
the enterprise, assessment of international competitiveness,
assessment methods, matrix methods, index methods, graphical
methods, analytical methods methods, analytical methods 92 ECONOMICS: time realities №2(54), 2021 ISSN:2226-2172 конкурентоспроможності з урахуванням умов
діяльності та функціональних особливостей різних
видів підприємств та запропонували шляхи
підвищення
міжнародної підприємства
на
міжнародному
ринку
та
запропонувати шляхи підвищення та зміцнення
конкурентоспроможності. Міжнародна
конкурентоспроможність
підприємства характеризується багаторівневістю
та широким спектром економічної взаємодії, що
зумовлює розробку великої кількості методичних
підходів
до
оцінки
міжнародної
конкурентоспроможності. конкурентоспроможності. конкурентоспроможності. Виділення
невирішених
раніше
частин
загальної проблеми Постійне удосконалення існуючих методів
оцінки
міжнародної
конкурентоспроможності,
виокремлення як суб’єктивних, так і об’єктивних
методик оцінювання зумовлює необхідність їх
обґрунтування
для
полегшення
можливосте
вибору конкретних показників для окремого
підприємства залежно від особливостей його
господарювання, а також зважаючи на те, що
кількісна
оцінка
конкурентних
позицій
є
обов’язковим
елементом
системи
управління
будь-якого господарюючого суб’єкта. Особливість
оцінки
міжнародної
конкурентоспроможності підприємств полягає у
необхідності поєднання інформації, яка надходить
із зовнішнього та внутрішнього середовища. Зовнішнє оточення характеризується складністю
(яка проявляється у множинності чинників) та
нестабільністю. Внутрішнє
середовище
підприємства також є варіативним, оскільки
сприймає та реагує на зміни зовнішнього. Отже, у
разі
оцінки
міжнародної\
конкурентоспроможності виокремлюються два
типи
інформаційних
потоків:
внутрішній
і
зовнішній,
які
необхідно
інтегрувати
у
комплексну оцінку та визначити конкурентний
статус підприємства Метою статті є дослідження методичних
підходів до оцінки рівня конкурентоспроможності
вітчизняного
підприємства
на
міжнародному
ринку. Виклад основного матеріалу дослідження Одним із найважливіших елементів системи
забезпечення
високого
рівня
міжнародної
конкурентоспроможності підприємства виступає
оцінка
його
конкурентоспроможності
на
міжнародному ринку, адже саме на основі оцінки
можна
здійснити
аналіз
існуючої
позиції На сьогоднішній день вченими розроблено ряд
методів,
що
застосовують
з
урахуванням
особливостей певного підприємства. Розглянемо
класифікацію наявної сукупності методів оцінки
міжнародної
конкурентоспроможності,
представивши їх на рисунку 1 [4, c.156]. Рисунок 1. Методи оцінки міжнародної конкурентоспроможності
Джерело: складено автором за матеріалами [4, c.156]. За способом оцінки
За особливістю представлення
результату
За способом діяльності підприємства
Залежно від можливості прийняття
стратегічних рішень
За об’єктом оцінки
Залежно від результату формування
інформаційної бази
якісні; кількісні
індексні; матричні; графічні. спеціальні; комплексні. критеріальні; експертні. поточні; стратегічні. оцінка продукції; оцінка
підприємства; оцінка персоналу. Методи оцінки міжнародної
конкурентоспроможності підприємства Залежно від можливості прийняття
стратегічних рішень Рисунок 1. Методи оцінки міжнародної конкурентоспроможності
Джерело: складено автором за матеріалами [4, c.156]. Залежно
від
специфіки
діяльності
підприємства та доступної інформації щодо
зовнішнього
середовища
підприємства
здійснюють вибір методу оцінки. Зазначена на
рис. 1
методологія
оцінки
міжнародної
конкурентоспроможності
досить
узагальнена,
кожен вид методів включає ще кілька. матричні методи, графічні методи, індексні та
аналітичні методи. Перша група методів включає матричні методи
оцінки міжнародної конкурентоспроможності, які
передбачають
формування
матриць
із
впорядкованими
за
рядками
та
стовпцями
елементами. Даний метод дозволяє здійснити
аналіз середовища функціонування підприємства,
визначити його позицію на ринку, результатом Тому
розглянемо
дані
методи
більш
деталізовано, згрупувавши їх у такі блоки: 93 Науково-методичні підходи до оцінки рівня конкурентоспроможності вітчизняного
підприємства на міжнародному ринку Хачатрян В.В. науковці як І. Ансофф, М. Портер, А. Томпсон,
Р. Стрікленд
та
інші [4,
с.157]. Розглянемо
особливості застосування кожного із матричних
методів, результати висвітлимо у табл. 1. оцінки за допомогою даного методу є визначення
основних
напрямків
подальшого
розвитку
підприємства. Як
трактує
А.О. Левицька,
формуванням даних методів займалися такі Таблиця 1. Характеристика основних матричних методів оцінки міжнародної конкурентоспроможності
підприємства
Назва методу
Характеристика
Схематичне зображення
Матриця БКГ
Метод
оцінки
міжнародної
конкурентоспроможності товару, що залежить
від двох показників діяльності підприємства:
відносної частки ринку та темпу приросту ринку. В результаті аналізу товар може знаходитись у
одному з чотирьох полів матриці. «Знаки
запитання» – товари, що потребують значних
коштів для подальшого розвитку. «Зірки» –
товари, що є найкращими на ринку проте
потребують
коштів
для
підтримки. «Дійні
корови» – товари, що приносять найбільші
прибутки. «Собаки» – найменш привабливі на
ринку товари. Матриця
«МакКінсі»
Метод, що характеризується використанням
сукупності певних економічних індикаторів та
формуванням багатофакторної моделі. Вибір
даних показників здійснюється індивідуально
для кожного підприємства. Виклад основного матеріалу дослідження Як результат аналізу
дані індикатори формують два блоки показників,
що
визначають
рівень
міжнародної
конкурентоспроможності
підприємства:
показники привабливості ринку та показники
конкурентного
статусу
підприємства. За
результатами даних індикаторів визначається
місце підприємства на міжнародному ринку. Матриця
конкурентних
стратегій
М. Портера
Даний метод характеризується використанням
співвідношення
конкурентних
преваг
на
міжнародному ринку та масштабу конкуренції. Виходячи з аналізу даних переваг, М. Портер
пропонує підприємствам використання таких
стратегій: лідерства, широкої диференціації,
фокусування. Матриця
Ансоффа
Дана матриця базується на аналізі інформації про
ринок,
на
якому
працює
підприємство
(внутрішній,
зовнішній)
та
характеристиках
товару підприємства. Згідно даного методу,
виділяються такі стратегії: проникнення на
ринок, стратегія розвитку ринку, розвитку товару
та диверсифікації. Матриця SWOT-
аналізу
SWOT-аналіз – це метод, що дозволяє провести
аналіз сильних, слабких сторін підприємства,
його можливостей та загроз. Матриця даного
методу наочно показує стан підприємства на
ринку та можливості його подальшого розвитку в
міжнародному середовищі. Джерело: складено автором за матеріалами [4] Таблиця 1. Характеристика основних матричних методів оцінки міжнародної конкурентоспроможності
підприємства лиця 1. Характеристика основних матричних методів оцінки міжнародної конкурентоспроможност
підприємства визначити
кількісне
значення
показника
міжнародної конкурентоспроможності, проте вони
є
досить
широковживаними
в
сучасних
дослідженнях. визначити
кількісне
значення
показника
міжнародної конкурентоспроможності, проте вони
є
досить
широковживаними
в
сучасних
дослідженнях. Розглянемо основні графічні методи оцінки
міжнародної
конкурентоспроможності
підприємства (табл. 2). Таблиця 2. Графічні методи оцінки міжнародної конкурентоспроможності підприємства
Назва методу
Характеристика
Схематичне зображення
Багатокутник
конкуренто-
спроможності
Метод
оцінки
конкурентоспроможності,
що
базується
на
побудові
графічної
моделі
багатокутника, на кожному куті якого відзначаються
певні критерії оцінки (якість продукції, ціна,
післяпродажний
сервіс
тощо),
які
графічно
з’єднуються між собою. На одному багатокутнику
зображуються показники кількох підприємств, що
дозволяє оцінити підприємство в конкурентному
середовищі. Метод профілю
об’єкта
Даний
метод
характеризується
використанням
профілю
(характеристики
підприємства
на
міжнародному ринку), для комплексної оцінки місця
підприємства
на
міжнародному
ринку. Метод
профілю застосовується для наочного представлення
основних характеристик підприємства в порівнянні з
конкурентами. Метод радарів
Метод
радарів
характеризується
побудовою
багатокутника,
на
осях
якого
позначаються
показники
конкурентоспроможності. В
процесі
аналізу коло, що описує багатокутник поділяють на
сегменти. Рівень зростання певного показника
означає його віддалення від центра кола. Дану оцінку
проводять
в
порівнянні
з
конкурентами
та
зображають
на
одному
колі
для
наочного
порівняння. Загальний
показник
конкурентоспроможності
підприємства
на
міжнародному чи вітчизняному ринку визначається
як співвідношення площі багатокутника цього
підприємства до площі кола. Карта
стратегічних
груп
Метод побудови карти стратегічних груп базується
на аналізі двох показників, що впливають на рівень
конкурентоспроможності підприємства: ціна (якість)
та асортимент. Результатом даного аналізу є
побудова системи координат із впорядкованим
розміщенням на ній підприємств-конкурентів. Джерело: складено автором за матеріалами [5]. 0
5
10Ціна
Якість
Упаков
ка
Сервіс
Асорти
мент
Реклам
а Таблиця 2. Графічні методи оцінки міжнародної конкурентоспроможності підприємства
Назва методу
Характеристика
Схематичне зображення
Багатокутник
конкуренто-
спроможності
Метод
оцінки
конкурентоспроможності,
що
базується
на
побудові
графічної
моделі
багатокутника, на кожному куті якого відзначаються
певні критерії оцінки (якість продукції, ціна,
післяпродажний
сервіс
тощо),
які
графічно
з’єднуються між собою. На одному багатокутнику
зображуються показники кількох підприємств, що
дозволяє оцінити підприємство в конкурентному
середовищі. Метод профілю
об’єкта
Даний
метод
характеризується
використанням
профілю
(характеристики
підприємства
на
міжнародному ринку), для комплексної оцінки місця
підприємства
на
міжнародному
ринку. Метод
профілю застосовується для наочного представлення
основних характеристик підприємства в порівнянні з
конкурентами. Метод радарів
Метод
радарів
характеризується
побудовою
багатокутника,
на
осях
якого
позначаються
показники
конкурентоспроможності. В
процесі
аналізу коло, що описує багатокутник поділяють на
сегменти. Рівень зростання певного показника
означає його віддалення від центра кола. Дану оцінку
проводять
в
порівнянні
з
конкурентами
та
зображають
на
одному
колі
для
наочного
порівняння. Загальний
показник
конкурентоспроможності
підприємства
на
міжнародному чи вітчизняному ринку визначається
як співвідношення площі багатокутника цього
підприємства до площі кола. Джерело: складено автором за матеріалами [4]. 94 ECONOMICS: time realities №2(54), 2021 №2(54), 2021 ISSN:2226-2172 До другої групи методів належать графічні
методи
оцінки
міжнародної
конкурентоспроможності, які характеризуються
наочністю результатів аналізу та нескладністю у
проведенні оцінки. Це досить прості методи, які
не
потребують
складних
математичних
розрахунків, використовуючи їх неможливо точно визначити
кількісне
значення
показника
міжнародної конкурентоспроможності, проте вони
є
досить
широковживаними
в
сучасних
дослідженнях. визначити
кількісне
значення
показника
міжнародної конкурентоспроможності, проте вони
є
досить
широковживаними
в
сучасних
дослідженнях. Карта
стратегічних
груп
Метод побудови карти стратегічних груп базується
на аналізі двох показників, що впливають на рівень
конкурентоспроможності підприємства: ціна (якість)
та асортимент. Результатом даного аналізу є
побудова системи координат із впорядкованим
розміщенням на ній підприємств-конкурентів. Джерело: складено автором за матеріалами [5]. 0
5
10Ціна
Якість
Упаков
ка
Сервіс
Асорти
мент
Реклам
а Таблиця 2. Графічні методи оцінки міжнародної конкурентоспроможності підприємства Схематичне зображення
0
5
10Ціна
Якість
Упаков
ка
Сервіс
Асорти
мент
Реклам
а Сервіс Сервіс Джерело: складено автором за матеріалами [5]. Наступною групою методів є індексні методи
оцінки міжнародної конкурентоспроможності, які
вважаються більш комплексними, ніж зазначені
вище матричні та графічні методи. Дані методи
передбачають застосування поетапного аналізу,
що ґрунтується на оцінці ряду показників, до яких
належать як галузеві показники, так і показники
діяльності підприємства-лідера на ринку [2, с.5]. Найвідомішими в сучасній науці індексними
методами
оцінки
міжнародної
конкурентоспроможності є: метод, який базується на оцінці конкурентних
переваг основних конкурентів та визначається
головними положеннями теорії міжнародного
поділу праці. Відповідно до даної теорії, будь-
яке
підприємство
спеціалізується
на
виробництві того товару чи послуги, у
виробництві яких в підприємства існують
порівняльні
переваги
з
точки
зору
конкурентних позицій. Результатом високого
рівня
конкурентоспроможності
даного
підприємства є забезпечення низьких витрат на
виробництво продукції, високої частки ринку метод, який базується на оцінці конкурентних
переваг основних конкурентів та визначається
головними положеннями теорії міжнародного
поділу праці. Відповідно до даної теорії, будь-
яке
підприємство
спеціалізується
на
виробництві того товару чи послуги, у
виробництві яких в підприємства існують
порівняльні
переваги
з
точки
зору
конкурентних позицій. Результатом високого
рівня
конкурентоспроможності
даного
підприємства є забезпечення низьких витрат на
виробництво продукції, високої частки ринку 95 Науково-методичні підходи до оцінки рівня конкурентоспроможності вітчизняного
підприємства на міжнародному ринку Хачатрян В.В. та обсягів реалізації продукції за рахунок
використання наявних конкурентних переваг. підходу полягає в бальній оцінці певних груп
показників діяльності підприємства, залежно
від
авторських
методик
спектр
даних
показників може бути досить різноманітним
(показники фінансової стійкості, собівартості,
ступінь адаптації підприємства до змін тощо). На основі математичної обробки отриманих
балів розраховується комплексний показник
конкурентоспроможності
підприємства
з
урахуванням питомої ваги кожного показника
у загальному. р
ур
р
метод,
що
характеризується
оцінкою
конкурентоспроможності
продукції. Особливістю даного методу є можливість
екстраполювати
рівень
міжнародної
конкурентоспроможності
продукції
підприємства на комплексний показник його
конкурентоспроможності. Основними
параметрами для оцінки даним методом є
якість та ціна продукту, що виготовляє
підприємство. Згідно з даним методом високий
рівень
конкурентоспроможності
забезпечується
різницею
між
споживчою
вартістю та ціною товару, чим вищим є даний
показник,
тим
вищим
буде
рівень
конкурентоспроможності. визначити
кількісне
значення
показника
міжнародної конкурентоспроможності, проте вони
є
досить
широковживаними
в
сучасних
дослідженнях. метод, що базується на теорії ефективної
конкуренції. Згідно з даним методом рівень
міжнародної
конкурентоспроможності
залежить
від
внутрішнього
становища
підприємства. Сутнісна характеристика даного До
четвертої
групи
методів
оцінки
міжнародної конкурентоспроможності віднесемо
аналітичні або розрахункові методи. Дана група
методів характеризується здійсненням складних
математичних
розрахунків
та
проведенням
аналітичних
операцій
з
розрахованими
показниками. Охарактеризуємо основні аналітичні
методи
оцінки
міжнародної
конкурентоспроможності
вітчизняного підприємства, результати відобразимо у табл. 3. Таблиця 3. Аналітичні методи оцінки міжнародної конкурентоспроможності підприємства
Назва методу
Загальна характеристика
Формула
Індекс
Херфіндаля-
Хіршмана
Метод,
що
дозволяє
розрахувати
та
проаналізувати
структуру
міжнародного
ринку. Даний індекс розраховується як сума
квадратів
часток
всіх
підприємств,
які
функціонують
на
ринку. В
результаті
розрахунку робиться висновок про ситуацію
на ринку – чим більший даний показник, тим
більш концентрованим є ринок. HHI = Y²i
୬
୧ୀଵ
Y – частка ринку;
n – кількість підприємств на ринку . Індекс Розенблюта
Показник,
в
процесі
розрахунку
якого
враховується
порядковий
номер
підприємства в загальній сукупності, що
залежить від частки ринку, яку займає дане
підприємство. В
процесі
аналізу
середньозваження часток ринку проводиться
на основі натуральних логарифмів ринкових
часток. ܫr =
1
2 ∑
(i ∗Di) −1
୬
୧ୀଵ
Di – частка ринку підприємства;
n – кількість підприємств на ринку. Чотиричастковий
показник
концентрації CR
Показник, що розраховується для оцінки
ринкових
часток
підприємств
на
міжнародному ринку. Використання даного
показника дозволяє визначити яку частку
ринку займають чотири найбільших на ринку
підприємства. CRn = Si
୬
୧ୀଵ
CR4=S1+S2+S3+S4
Si – частка ринку підприємства;
n – кількість підприємств. Модель з ідеальною
точкою
Модель, що застосовується для оцінки
конкурентоспроможності
продукції
підприємства. Особливістю даного методу є
використання
ідеальної
характеристики
продукту. Рівень
міжнародної
конкурентоспроможності
характеризується
ступенем відхилення від ідеального товару
даної
галузі
з
точки
зору
іноземних
споживачів. Рівень конкурентоспроможності
товару визначається ступенем відхилення
визначеного
показника
від
ідеальної
характеристики товару. Вибір ідеального
параметру
залежить
від
продукту,
що
оцінюється (ціна, якість, сервіс тощо). ܳ݅= ܹ݇
ୀଵ
(ܤ݅݇−ܫ݇)
Qi – оцінка товару споживачами;
Wk – важливість параметра k (k = 1, ...,
n);
Bjk – оцінка споживачами параметра k
товару;
Ik – ідеальне значення параметра k;
r – параметр, що характеризує граничну
користь товару. Джерело: складено автором за матеріалами [2]. Проаналізовані вище методи дають можливість
визначити
рівень
міжнародної
конкурентоспроможності
підприємства
застосовуючи різні характеристики діяльності Таблиця 3. Аналітичні методи оцінки міжнародної конкурентоспроможності підприємства Y – частка ринку; Di – частка ринку підприємства; Di – частка ринку підприємства;
n – кількість підприємств на ринку. р
у
р
;
n – кількість підприємств на ринку. Висновки На основі проведеного аналізу, можна зробити
висновок про те, що методичне забезпечення
оцінки
міжнародної
конкурентоспроможності
характеризується широким спектром науково
обґрунтованих методів, що дозволяють оцінити
міжнародну конкурентоспроможність враховуючи визначити
кількісне
значення
показника
міжнародної конкурентоспроможності, проте вони
є
досить
широковживаними
в
сучасних
дослідженнях. конкурентоспроможності
підприємства
застосовуючи різні характеристики діяльності Проаналізовані вище методи дають можливість
визначити
рівень
міжнародної 96 ECONOMICS: time realities №2(54), 2021 ISSN:2226-2172 підприємства. Проте
проведення
оцінки
передбачає вибір комплексу методів, що будуть
застосовуватися,
залежно
від
особливостей
функціонування конкретного підприємства, адже
здійснення аналізу на основі усіх відомих сучасній
науці методів практично неможливе, завдяки
тому, що потребує великої трудомісткості. специфіку кожного підприємства. Відомі сучасній
науці
методи
дозволяють
розрахувати,
проаналізувати та наочно представити результати
досліджень у вигляді графіків, діаграм, матриць. Враховуючи багатоваріантність використання тих
чи інших методів, комплексний багатоаспектний
аналіз
основних
результатів
діяльності
підприємства
дозволить
оцінити
місце
підприємства на міжнародному ринку та в
перспективі допоможе керівництву прийняти вірні
управлінські
рішення
для
забезпечення
та
підвищення
рівня
його
міжнародної
конкурентоспроможності. Abstract The article substantiates the conceptual basis for assessing the international competitiveness of the enterprise. The classification of the available set of methods for assessing international competitiveness is proposed. The
peculiarities of using the main matrix methods of assessing the international competitiveness of the enterprise are
described, including the BCG matrix, McKinsey matrix, M. Porter's matrix of competitive strategies, Ansoff
matrix, SWOT-analysis matrix. The main graphic methods of assessing the international competitiveness of the
enterprise are considered: the polygon of competitiveness, the method of object profile, the method of radars, the
map of strategic groups. The most well-known in modern science index methods, involving the use of step-by-
step analysis, are based on the assessment of a number of indicators, which include both industry indicators and
performance indicators of the market leader: a method based on assessing the competitive advantages of major
competitors. The main provisions of the theory of international division of labor, a method characterized by
assessing the competitiveness of products, a method based on the theory of effective competition. The main
analytical methods for assessing the international competitiveness of the enterprise are substantiated: Herfindahl-
Hirschman index, Rosenblut index, four-particle concentration index CR4, model with a perfect point. It is
determined that the studied methods make it possible to determine the level of international competitiveness of
the enterprise using different characteristics of the enterprise, but the assessment involves choosing a set of
methods to be used, because the analysis based on all known methods of modern science is almost impossible. Список літератури: Список літератури: 1. Баран Р.Я. Інструментарій забезпечення конкурентоспроможності вітчизняних підприємств на
зовнішніх ринках / Р. Я. Баран, М. Й. Романчукевич // Актуальні проблеми розвитку економіки
регіону. – 2012. – Вип. 8(2). – С. 116-125. р
у
( )
2. Бондаренко С.М. Оцінка конкурентоспроможності підприємства / С. М. Бондаренко, А. А. Невмержицька // Технології та дизайн. – 2014. – № 2. – С. 1-6. 3. Гаврилова Т.В. Практичні аспекти застосування матриці бостонської консультативної групи / Т. В. Гаврилова, О. Ф. Крайнюченко, Т. Г. Бєлова // Наукові праці НУХТ. – 2012. – № 45. – С. 150-
154. 4. Левицька А.О. Методи оцінки конкурентоспроможності підприємства: вітчизняні та закордонні
підходи до класифікації / А. О. Левицька // Механізм регулювання економіки. – 2013. – № 4. – С. 155-163. 5. Літвінова В.О. Графічні методи дослідження у аналізі рівня конкурентоспроможності продукції /
В. О. Літвінова // БізнесІнформ. – 2012. – № 4. – С. 53-56. Посилання на статтю: Хачатрян В.В. Науково-методичні підходи до оцінки рівня конкурентоспроможності вітчизняного
підприємства на міжнародному ринку / В. В. Хачатрян // Економіка: реалії часу. Науковий журнал. – 2021. – № 2 (54). – С. 92-98. – Режим доступу до журн.: https://economics.net.ua/files/archive/2021/Nо2/92.pdf. DOI: 10.15276/ETR.02.2021.12. DOI: 10.5281/zenodo.5739318. domestic and foreign approaches to classification]. The mechanism of economic regulation, 4, 155-163
[in Ukrainian]. domestic and foreign approaches to classification]. The mechanism of economic regulation, 4, 155-163
[in Ukrainian]. [
]
5. Litvinova V.O. (2012). Hrafichni metody doslidzhennia u analizi rivnia konkurentospromozhnosti
produktsii. [Graphic research methods in the analysis of the level of product competitiveness]. Business
Inform, 4, 53-56 [in Ukrainian]. 5. Litvinova V.O. (2012). Hrafichni metody doslidzhennia u analizi rivnia konkurentospromozhnosti
produktsii. [Graphic research methods in the analysis of the level of product competitiveness]. Business
Inform, 4, 53-56 [in Ukrainian]. Хачатрян В.В. Хачатрян В.В. This is an open access journal and all published articles are licensed under aCreative Commons "Attribution" 4.0 This is an open access journal and all published articles are licensed under aCreative Commons "Attribution" 4.0. References: References: 1. Baran R.Ya., Romanchukevich M.Y. (2012). Instrumentarii zabezpechennia konkurentospromozhnosti
vitchyznianykh pidpryiemstv na zovnishnikh rynkakh [Tools for ensuring the competitiveness of
domestic enterprises in foreign markets]. Actual problems of economic development of the region, 8
(2), 116-125 [in Ukrainian]. 1. Baran R.Ya., Romanchukevich M.Y. (2012). Instrumentarii zabezpechennia konkurentospromozhnosti
vitchyznianykh pidpryiemstv na zovnishnikh rynkakh [Tools for ensuring the competitiveness of
domestic enterprises in foreign markets]. Actual problems of economic development of the region, 8
(2), 116-125 [in Ukrainian]. 2. Bondarenko S.M., Nevmerzhytska A.A. (2014). Otsinka konkurentospromozhnosti pidpryiemstva. [Assessment of the competitiveness of the enterprise]. Technology and design, 2, 1-6 [in Ukrainian]. il
i
h
k
l
(
)
k
h i
k
i
i 3. Gavrilova T.V., Krainyuchenko O.F., Belova T.G. (2012). Praktychni aspekty zastosuvannia matrytsi
bostonskoi konsultatyvnoi hrupy [Practical aspects of applying the Boston Advisory Group matrix]. Scientific works of NUHT, 45, 150-144 [in Ukrainian]. 4. Levitskaya A.O. (2013). Metody otsinky konkurentospromozhnosti pidpryiemstva: vitchyzniani ta
zakordonni pidkhody do klasyfikatsii. [Methods for assessing the competitiveness of the enterprise: 97 Науково-методичні підходи до оцінки рівня конкурентоспроможності вітчизняного
підприємства на міжнародному ринку This is an open access journal and all published articles are licensed under aCreative Commons "Attribution" 4.0. Reference a Journal Article: f
Khachatryan V.V. Scientific and Methodological Approaches to the Assessment of the Level of Competitiveness of
the Domestic Enterprise in the International Market / V. V. Khachatryan // Economics: time realities. Scientific
journal. – 2021. – № 2 (54). – P. 92-98. – Retrieved from https://economics.net.ua/files/archive/2021/Nо2/92.pdf. DOI: 10.15276/ETR.02.2021.12. DOI: 10.5281/zenodo.5739318. 98
|
https://openalex.org/W3206041056
|
https://seer.ufrgs.br/index.php/RevistadaFaculdadeOdontologia/article/download/117945/64210
|
Portuguese
| null |
Estudo do movimento de Bennett
|
Revista da Faculdade de Odontologia de Porto Alegre
| 2,021
|
cc-by
| 3,146
|
*Professor Regente da disciplina de Oclusão do Departamento de Odontologia @nservadora
da Faculdade de Odontologia da U.F.R.G.S. Descritores: Oclusão dentária - Mandibula, Movimentos - Mandibula, Cabeça de
côndilo Descritores: Oclusão dentária - Mandibula, Movimentos - Mandibula, Cabeça de
côndilo ESTUDO DO MOVIMENTO DE BENNETT Dr. Ezio Tesn Mainieri*
c.D.,M.S.D. IA|NlERl, Ézio Teseo - Estudo do movimento de Bennett,
' de Odontologia, Porto Alegre, 25:23-31, 1983.
Revista da Faculdade IA|NlERl, Ézio Teseo - Estudo do movimento de Bennett,
' de Odontologia, Porto Alegre, 25:23-31, 1983. Revista da Faculdade RESUMO dia de 1,5 mm e isso pode ser relatado
aos esquemas oclusais para cada pacien-
te. Ouarenta pacientes, sendo vinte do
sexo masculino e vinte do sexo femini-
no, foram selecionados a partir de um
grupo individual. Todos os pacientes
eram portadores de no minimo vinte e
seis dentes. lmpressões em alginato fo-
ram tomadas de cada paciente em suas
arcadas superior e inferior. Após cada
impressão individual foram realizadas
determinações de eixo-intercondilar pa-
ra cada paciente sendo que o eixo deter-
minado foi tatuado em todos os pacien-
tes. Para localização do modelo superior
no gnathothesiometer um arco facial ar-
bitrário foi utilizado, assim como um re-
gistro de relaçâo cêntrica para cada pa-
ciente foi realizado para relacionamento
do modelo inferior ao modelo superior. Após a montagem final dos modelos,
dois registros laterais foram determina-
dos no paciente (um direito, um esquer-
do) e transferídos ao instrumento para
medições. . TNTRODUçÃO Basicamente os movimentos laterais
da mandibula iniciam na posição de re-
laçâo cêntrica e são identificados pela
excursâ'o mandibular para o lado direito
e esquerdo, enfim uma combinaçâ'o de
movimentos rotatórios com uma trans-
lação, formando um movimento assimé-
trico. O lado em questão e de maior im-
portância para o nosso trabalho é aquele
no qual o movimento orienta-se, chama-
do lado funcional ou de trabalho, o qual
apresenta um nitido movimento lateral
chamaôo Mouimento de Bennett. Du-
rante muitos anos Gysi determinou esse
movimento através de seu traçado em
forma de arco gótico. Ao analisarmos uma excursão late-
ral, a mandÍbula gira sobre um eixo ima-
ginário localizado mais atrás e fora do
côndilo funcional, e ao passo que este ç
Os resultados mostraram que o mo-
vimento de Bennett ocorreu numa mé- R. Fac. Odont. P.A. 25:23-31, 1983 24 côndilo funcional desvia-se para fora e
as vezes também para baixo. Esta movi-
mentação total correspondente a uma
lateralização condilar conhecida como
movimento inicial de deslocamento do
côndilo "side shift". me individual prévio. Os referidos pa-
cientes todos portadores de no mini-
mo 26 dentes, nâo apresentavam proble-
mas de oclusão bem como sintomatolo-
gia articulrt ã, mesmo muscular. O exa-
me das alterações do sistema mastigató-
rio foram levadas a efeito por meio de
exame clínico de palpaçâo dos princi-
pais músculos mastigatórios a saber mas-
seter, pterigoideo interno, pterigoideo
externo e músculo tempoial bem como
análise imediata da oclusão a qual cons-
tou de detecção de interferências oclu-
sais, em posições básicas da mandibula
como relação cêntrjca, oclusão cêntrica,
lateralidade direita e esquerda. Foram
ainda realizados exames individqais re-
gistrando possíveis ruidos articulares,
interferências na abertura máxima fun-
cional e mal posicionamento dentário. Alguns individuos não apresentam
o deslocamento lateral do côndilo fun-
cional, apenas rotaçâo, não havendo
portanto transla!ões. A média encon-
trada em outros grupos técnicos, por
outros pesquisadores é em média 1,5
mm. A explicação básica do Movimento
de Bennett segundo alguns autores é de
que a parede interna da fossa glenóide
no lado de balanceio é mais aberta que
a direçâo geral do movimento de rota-
ção e por ação do músculo pterigoideo
externo o côndilo é tracionado para
dentro, o qual orienta toda a mandibu-
la para o lado oposto. Outros autores
sustentam que ao puro sinergismo de
ação dos Pterigoideos Externos. TNTRODUçÃO A
d Após o rninucioso exame de cada
paciente os mesmos foram moldados
individualmente, com alginato em suas
arcadas superior e inferior e a partir
daí obtidos modelos em gesso pedra es-
pecial os quais não apresentavam qual-
quer defeito para evitar interferências
nas montagens futuras. Moldados os 40
pacientes, os modelos foram numerados
e colocados em ordem, de tal forma que
os pacientes observassem o mesmo esca-
lonamento determinado durante a fase
de moldagem. Com o auxílio de um
instrumento, o arco facial cinemático,
determinamos o eixo intercondilar real
de cada paciente. A determinação indi-
vidual do eixo tornou muito mais preci-
so o estabelecimento dos pontos coloca-
dos sobre o plano superficial cutâneo,
evitando-se a determinação tradicional
desses pontos através dos planos de refe-
rência arbitrários. O arco facial cinemá-
tico com suas hastes laterais reguláveis
tanto verticalmente quanto antero-pos- A importância do Movimento de
Bennett inicial é sempre expressado em
décimos de milímetro, e sua influência
sobre a oclusão dá-se primeiramente
influenciando a largura dos sulcos cen-
trais dos dentes posteriores e sua impor-
tância ainda está relacionada com o ou-
tro elemento do movimento que é o ân-
gulo de Bennett, que sofre influência
quantitativa do Movimento de Bennett
e torna-se importante para evitar futu-
ras interferências oclusais, tanto em
procedimentos de diagnóstico como
clínicos. R. Fac. Odont. P.A. R. Fac. Odont. P.A. MATERIAL E MÉTODOS Executamos esta operação indivi-
dualmente nos 40 casos selecionados,
coletando os dados correspondentes em
fíchas individuais as quais relatam toda a
seqüência de passos executados no pa-
ciente e finalmente transportamos todos
esses dados finais para uma ficha geral a
fim de que tabulando e analisando em
conjunto pudéssemos obter os resulta-
dos propostos no inÍcio da pesquisa. podem ser aprecíados p
da tabela 1 e 2 vendo-s
casos que apresentavam
veis de "immediate sid
para o lado'direito com
esquerdo. Houve uma maior c
movimentos laterais em
2.O quando o movime
foi registrado do lado e
vimentação lateral esqu
bula. (TABELA 2)
A TABELA 1 nos
concentração maior de
terais foi em torno 1.2
Movimento de Bennet
do lado direito na mo
teral direita da mandíbula
Pela tabulação po
classe a incidência maio
movimentaçâo lateral p
querdo como para o lado
ram nos intervalos de cl
didos entre 0.6 a 2.4 mm
A medida média de
lateral direita obtida qu
bula movimentou-se para
portanto Movimento de B
direito foi de 1.53 mrn. média de movimentação
lado esquerdo foi regist
em torno de 1.48. Po
geral estabelecida de mo
teral do côndilo de trab
mandibula executa mov
ralidade ativa (trabalho
mm. RESULTADOS Cera Alluwax e Cupenruax impreg-
nadas respectivamente com pó de alu-
mÍnio e cobre, foi usada pelas suas ca-
racterísticas de manter por mais tempo
a sua plasticidade proporcionando maior
tempo de trabalho e impressões mais
precisas. podem ser aprecíados pela observação
da tabela 1 e 2 vendo-se o número de
casos que apresentavam medidas variá-
veis de "immediate side shift", tanto
para o lado'direito como para o lado
esquerdo. Houve uma maior concentração de
movimentos laterais em torno de 1.8 a
2.O quando o movimento de Bennett
foi registrado do lado esquerdo na mo-
vimentação lateral esquerda da mandÍ-
bula. (TABELA 2)
A
1 Uma placa de registro em alumínio
na formação do elemento de fixação da
cera foi aplicada sobre as superf ícies
oclusais dos dentes correspondentes à
arcada inferior, impressionando assim
na cera após a sua plastificação, todos
os dentes do modelo inferior. A TABELA 1 nos mostra que a
concentração maior de movimentos la-
terais foi em torno 1.2 a 2.4 quando o
Movimento de Bennett foi registrado
do lado direito na movimentação la-
teral direita da mandíbula. MATERIAL E MÉTODOS De posse desses registros estabele-
cemos condições de transferi-los ao
Gnathothesiometer e fixá-lo ao apare-
lho por meio de gesso comum. Completada a moldagem estabelece-
mos condições de iniciarmos as medi-
ções que se processarão sobre um dispo-
sitivo milimetrado colocado na parte
posterior do Gnathothesiometro e que
nos dá a dimensâ'o exata do movimento
a que nos propomos medir, o Movimen-
to de Bennett. Pela tabulação por intervalos de
classe a incidência maior tanto para a
movimentaçâo lateral para o lado es-
querdo como para o lado direito ocorre-
ram nos intervalos de classe compreen-
didos entre 0.6 a 2.4 mm. A medida média de movimentação
lateral direita obtida quando a mandí-
bula movimentou-se para o lado direito,
portanto Movimento de Bennett do lado
direito foi de 1.53 mrn. Ao passo que a
média de movimentação lateral para o
lado esquerdo foi registrada em média
em torno de 1.48. Portanto a média
geral estabelecida de movimentação la-
teral do côndilo de trabalho quando a
mandibula executa movimento de late-
ralidade ativa (trabalho), foi de 1.51
mm. Recolhidos esses dados através de
duas mordidas em cera laterais (laterali-
dade direita e esquerda). Executamos esta operação indivi-
dualmente nos 40 casos selecionados,
coletando os dados correspondentes em
fíchas individuais as quais relatam toda a
seqüência de passos executados no pa-
ciente e finalmente transportamos todos
esses dados finais para uma ficha geral a
fim de que tabulando e analisando em
conjunto pudéssemos obter os resulta-
dos propostos no inÍcio da pesquisa. R. Fac. Odont. P.A. MATERIAL E MÉTODOS Ouarenta pacientes, sendo 20 do
sexo feminino e 20 do sexo masculino,
foram selecionados a partir de um exa- R. Fac. Odont. P.A. 25:23-31 , 1983 25 FIGURA 1 _ DESENHO ESOUEMATICO DO GNATHO-THESIOMETER FIGURA 1 _ DESENHO ESOUEMATICO DO GNATHO-THESIOMETER nhado para relacionamento do eixo in-
tercondilar real do paciente determina-
do previamente através do arco facial
cinemático. teriormente, nos proporcionaram não
só precisão como maior acesso às con-
dições reais de cada paciente. Obtido o
ponto de referência intercondilar o
mesmo Íoi tatuado com tinta nanquim
com o próprio pino condilar do arco
facial cinemático permanecendo indelé-
vel sobre a pele. O uso de pasta zin-
co-enólica foi adotado como meio de
fixação da forquilha ao paciente, para
posterior conexão aó arco. Registrada esta relação transferimos
para o Gnathothesiometer, adaptando o
modelo do caso em questão ao registro
inserido na forquilha do arco facial e só
entâo fixamos com gesso todo o conjun-
to. . Montado o modelo superior com as
faces oclusais voltadas para cima (posi-
ção ínvertida) inÍciamos a obtenção de
registros visando montar o modelo infe-
rior. Com os quarenta pacientes tatuados
individualmente, foram iniciadas as
montagens do modelo superíor com um
arco facial estático especialmente dese- R. Fac. Odont. P.A. 25:23-31, 1983 26 Cera Alluwax e Cupenruax impreg-
nadas respectivamente com pó de alu-
mÍnio e cobre, foi usada pelas suas ca-
racterísticas de manter por mais tempo
a sua plasticidade proporcionando maior
tempo de trabalho e impressões mais
precisas. Uma placa de registro em alumínio
na formação do elemento de fixação da
cera foi aplicada sobre as superf ícies
oclusais dos dentes correspondentes à
arcada inferior, impressionando assim
na cera após a sua plastificação, todos
os dentes do modelo inferior. De posse desses registros estabele-
cemos condições de transferi-los ao
Gnathothesiometer e fixá-lo ao apare-
lho por meio de gesso comum. Completada a moldagem estabelece-
mos condições de iniciarmos as medi-
ções que se processarão sobre um dispo-
sitivo milimetrado colocado na parte
posterior do Gnathothesiometro e que
nos dá a dimensâ'o exata do movimento
a que nos propomos medir, o Movimen-
to de Bennett. Recolhidos esses dados através de
duas mordidas em cera laterais (laterali-
dade direita e esquerda). RESULTADOS OBTIDOS Os dados obtidos a partir das medi-
ções realizadas nos 40 casos estudados
podem ser analisados a partir das Tabe-
las que se seguem. Os resultados obtidos a partir das
medições realizadas nos quarenta casos R. Fac. Odont. P.A. 25:23-31, 1983 TABELA 1
DistribuiSo das freqüências absolutas e relativas das medidas obtidas em
lateralidade direita, correspondente ao Movimento de Bennett em 40
pacientes (sexo masculino e feminino)
lntervalo de classe
N9 de casos
Porcentagem
o,o ................ 0,6 ................ 1,2...... 1,8 ................ 2,4 ................ 0,6
1,2
1,9
2,4
3,0
6
I
8
15
2
15,Oo/o
22,50/o
20,oo/o
37,50/o
5,Oo/o
TOTA L
100,0%
TABËLA2
Distribuição das freqüências absolutas e relativas das medidas obtidas em
lateralídade esquerda correspondentes ao Movimento de Bennett em 40
pacientes (sexo feminino e masculino)
lntervalo de classe
N9 de casos
Porcentagem
0,0 ................ 0,6 ................ 1,2 ................ 1,8....... 2,4 ................ 0,6
1,2
1,9
2,4
3,0
3
15
8
I
5
7,50/o
37,50/o
20,oo/o
22,50/o
12,50/o
TOTA L
100,0% R. Fac. Odont. P.A. Número Total de casos MEDIDA DO MOVIMENTO EM MM. MEDIDA DO MOVIMENTO EM MM. NÚMERO DE CASOS 0,1
o,4
0,5
0,7
0,8
1,0
1,1
1,2
1,3
1,4
1,6
1,9
1,9
2,0
2,1
2,2
2,5
2,7
2,8
2,9
1
1
1
2
2
4
3
1
3
2
1
4
3
4
1
1
2
Número Total de casos
40 0,1
o,4
0,5
0,7
0,8
1,0
1,1
1,2
1,3
1,4
1,6
1,9
1,9
2,0
2,1
2,2
2,5
2,7
2,8
2,9
1
1
1
2
2
4
3
1
3
2
1
4
3
4
1
1
2
Número Total de casos
40 Número Total de casos 40 TABELA 1 TABELA 1 lntervalo de classe
N9 de casos
Porcentagem
o,o ................ 0,6 ................ 1,2...... 1,8 ................ 2,4 ................ 0,6
1,2
1,9
2,4
3,0
6
I
8
15
2
15,Oo/o
22,50/o
20,oo/o
37,50/o
5,Oo/o
TOTA L
100,0% Distribuição das freqüências absolutas e relativas das medidas obtidas em
lateralídade esquerda correspondentes ao Movimento de Bennett em 40
pacientes (sexo feminino e masculino) R. Fac. Odont. P.A. 25:23-31, 1983 28 TABELA 3 Deslocamento lateral dd côndilo direito (immediate side shift) em
lateralidade direita em 40 paclentes
MEDIDA DO MOVIMENTO EM MM. NÚMERO DE CASOS
0,1
, O,4
0,5
0,8
0,9
1,0
1,1
1,2
1,3
1,4
1,7
1,9
1,9
2,O
2,1
2,3
2,4
2,5
3,0
1
2
3
1
1
2
3
2
1
1
3
3
3
3
7
1
1
1
1
Número Total de casos Deslocamento lateral dd côndilo direito (immediate side shift) em
lateralidade direita em 40 paclentes
MEDIDA DO MOVIMENTO EM MM. NÚMERO DE CASOS
0,1
, O,4
0,5
0,8
0,9
1,0
1,1
1,2
1,3
1,4
1,7
1,9
1,9
2,O
2,1
2,3
2,4
2,5
3,0
1
2
3
1
1
2
3
2
1
1
3
3
3
3
7
1
1
1
1
Número Total de casos Deslocamento lateral dd côndilo direito (immediate side shift) em
lateralidade direita em 40 paclentes R. Fac. Odont. P.A. 25:23-31, 1983 29 TABELA 4 TABELA 4 Deslocamento lateral do côndilo esquerdo (immediate side shift) em
lateralidade esquerda em 40 pacientes
MEDIDA DO MOVIMENTO EM MM. NÚMERO DE CASOS
0,1
o,4
0,5
0,7
0,8
1,0
1,1
1,2
1,3
1,4
1,6
1,9
1,9
2,0
2,1
2,2
2,5
2,7
2,8
2,9
1
1
1
2
2
4
3
1
3
2
1
4
3
4
1
1
2
Número Total de casos
40 Deslocamento lateral do côndilo esquerdo (immediate side shift) em
lateralidade esquerda em 40 pacientes SUMMARY Forty patients, twenty female and
twenty male were selected, from a in-
dividual group. All the selected pa-
tients had twenty six teeth or more. lndivídual alginate impressions were
takenin the upper and lower arches. After each individual impression had
taken, an índividual hinge axis pro-
cedure was effectived with a kine-
matic f ace
bow. Determined the
hínge axis each patient was tatued
and a arbitrary face - bow was used
to mount the upper cast in the gnatho-
thesíometer. The lower cast was related
to upper cast throught a centric relation
registration (individual). Mounted both
casts (upper and loweri in the instrumen! two laterals bite registration were taken
(one rigth, one left) on the patient and
transfered to the gnatho-thesíometer for
measurements. DtscussÃo da largura do,sulco central dos dentes
posteriores. Esta quantificaçâo a nÍvel
de pesquisa confirmou os dados obtidos
por outros pesquisadores, e ainda mais
determinou a necessidade de operação
com instrumentos que possuam a capaci-
dade de registrar este movimento em
procedímentos que envolvam reabili-
taçâo oclusal. E é por isso que instru-
mentos semi-ajustáveis como os Mark
G, Gnathusie Whip - Mix (com side A determinação clinica do Movi-
mento de Bennett também chamado
na literatura mundial de lmmediate
Side Shift, é imgortante pela sua in-
fluência sobre as faces oclusais dos den-
tes. Pois toda intervçnçâo sobre deter-
minada morfología dclusal implica na
observaçâo quantitativa do' Movimento
de Bennett, que tem influência direta R. Fac. Odont. P.A. R. Fac. Odont. P.A. 25:23-31, 1983 30 shifts adaptáveis de fábrica), assim
como os Articuladores Totalmente
Ajustáveis oferecem a possibilidade de
dirninuiçâo de erro já que assocíam o
Movimento e o Ângulo de Bennett
de forma conjunta e não como ocorre
em todos os demais articuladores semi-
ajustáveis arcon e non-arcon em que o
Ângulo de Beqnett é rêgistrado (Pro-
gressive Side Shift), unicamente. Esta
ação conjunta do deslocamento lateral
linear, com uma regulagem angular, a
primeira sendo o movimento de Bennett
aqui determinado, o segundo o ângulo
de Bennett nos proporciona uma moví-
mentação curva do côndilo em relação à
real parede lateral da cavidade glenóide
e conseqüentemente melhores resulta-
dos na ação do profissional em procedi-
mentos que envolvam toda e qualquer
alteração da morfologia oclusal. 5) Esta movimentação horizontal-late-
ral confirmou ser determinada com
maior exatidão no Gnathothesiome-
tro do que em Articuladores. R. Fac. Odont. P.A. CONCLUSÕES 1) Os dados tabulados mostraram que a
média do Movimento de Bennett re-
gistrada para uma amostragem da
populaçâo brasileira foi de 1.51 mm. 2l A The results showed that Bennett
moviment, occurred in 1,5 mm average
and thus was related to an intimate
occlusal scheme for each patient. 2l A média quantitativa obtida está
dentro dos pa ões registrados por
outros pesquisac, :es os quais usaram
outros procedim' tos na determina-
ção do fenômeno. ç
3) Os dados' aqui determinados mos-
tram a relaçâo direta entre uma boa
articulação dentária e a quantidade
estável de movimentação lateral. 4l 4l O movimento lateral ocorre sempre
em maior quantidade no inicio do
deslocamento não havendo pratica-
mente aumento na fase final do
movímento. 25:23-31, 1983 R. Fac. Odont. P.A. 3'l R- Fac. Odont. P.A. REFERÉNCIAS BIBLIOG RÁF ICAS 1. ADMS, S. H. & ZANDER, H. A. - Functional tooth contacts in lateral and
centric occlusion. J. Am. Dent. Assoc., 69:465-73, 1964. 2.JONES, R.G. -,The physiological role of dental occlusion in the masticatory
system. lndiana, University. School of Dentistry, 1965, 148p. Master's thesis. 3. HJORTSJÕ, C. H. - Studies on the mechanics of the temporomandibular joint. Kungg liga fysiografiska sallskapets hand I ingar 66, 1955. 4. POSSELT, Ulf. - An analizer from mandibular positions. J. Prosthet. Dent.,
Z(3) :368-7 4, 1957 . l 5. GUICHET, N. F. - lnicial reference. ln:-
. - Procedure for occlusal
treatment Anaheim, Denar Corp., 1969. Chap. 3, p. 34. 6. GUICHET, N. F. - Occlusion. Ateaching manual. Anaheim, Denar Corp., 1977. p. 89. N F
t 7. GUICHET, N. F. Relating condilar movement to oclusal anatomy. In:-
. - The Denar Mark ll system. Anaheím, Denar Corp., 1976. Chap. 3. 8. NEFF, Peter. Occlusion and functrbn. Washington, D. C., Georgetown Universi-
ty. School of Dentistry, 1975. 25:23-31, 1983
|
https://openalex.org/W1835234291
|
https://dash.harvard.edu/bitstream/1/17820759/1/4482542.pdf
|
English
| null |
The Decay of Motor Memories Is Independent of Context Change Detection
|
PLOS computational biology/PLoS computational biology
| 2,015
|
cc-by
| 21,179
|
Terms of Use This article was downloaded from Harvard University’s DASH repository, and is made available
under the terms and conditions applicable to Other Posted Material, as set forth at http://
nrs.harvard.edu/urn-3:HUL.InstRepos:dash.current.terms-of-use#LAA Permanent link http://nrs.harvard.edu/urn-3:HUL.InstRepos:17820759 Citation Brennan, Andrew E., and Maurice A. Smith. 2015. “The Decay of Motor Memories Is Independent
of Context Change Detection.” PLoS Computational Biology 11 (6): e1004278. doi:10.1371/
journal.pcbi.1004278. http://dx.doi.org/10.1371/journal.pcbi.1004278. Brennan, Andrew E., and Maurice A. Smith. 2015. “The Decay of Motor Memories Is Independent
of Context Change Detection.” PLoS Computational Biology 11 (6): e1004278. doi:10.1371/
journal.pcbi.1004278. http://dx.doi.org/10.1371/journal.pcbi.1004278. The Decay of Motor Memories Is
Independent of Context Change Detection Andrew E. Brennan1, Maurice A. Smith1,2* 1 School of Engineering and Applied Sciences, Harvard University, Cambridge, Massachusetts, United
States of America, 2 Center for Brain Science, Harvard University, Cambridge, Massachusetts, United
States of America * mas@seas.harvard.edu * mas@seas.harvard.edu Data Availability Statement: Data are available at
www.seas.harvard.edu/motorlab/data/
BrennanSmith2015/BrennanSmith2015.zip. Funding: This work was supported in part by the
McKnight Scholar Award, a Sloan Research
Fellowship, and a grant from the National Institute of
Aging (R01 AG041878) to MAS and by Natural
Sciences and Engineering Research Council of
Canada Postgraduate Scholarship-Doctoral to AEB. The funders had no role in study design, data
collection and analysis, decision to publish, or
preparation of the manuscript. RESEARCH ARTICLE Abstract When the error signals that guide human motor learning are withheld following training,
recently-learned motor memories systematically regress toward untrained performance. It
has previously been hypothesized that this regression results from an intrinsic volatility in
these memories, resulting in an inevitable decay in the absence of ongoing error signals. However, a recently-proposed alternative posits that even recently-acquired motor memo-
ries are intrinsically stable, decaying only if a change in context is detected. This new theory,
the context-dependent decay hypothesis, makes two key predictions: (1) after error signals
are withheld, decay onset should be systematically delayed until the context change is
detected; and (2) manipulations that impair detection by masking context changes should
result in prolonged delays in decay onset and reduced decay amplitude at any given time. Here we examine the decay of motor adaptation following the learning of novel environmen-
tal dynamics in order to carefully evaluate this hypothesis. To account for potential issues
in previous work that supported the context-dependent decay hypothesis, we measured
decay using a balanced and baseline-referenced experimental design that allowed for direct
comparisons between analogous masked and unmasked context changes. Using both an
unbiased variant of the previous decay onset analysis and a novel highly-powered group-
level version of this analysis, we found no evidence for systematically delayed decay onset
nor for the masked context change affecting decay amplitude or its onset time. We further
show how previous estimates of decay onset latency can be substantially biased in the
presence of noise, and even more so with correlated noise, explaining the discrepancy
between the previous results and our findings. Our results suggest that the decay of motor
memories is an intrinsic feature of error-based learning that does not depend on context
change detection. OPEN ACCESS
Citation: Brennan AE, Smith MA (2015) The Decay
of Motor Memories Is Independent of Context
Change Detection. PLoS Comput Biol 11(6):
e1004278. doi:10.1371/journal.pcbi.1004278
Editor: Adrian M Haith, Johns Hopkins University,
UNITED STATES
Received: December 23, 2014
Accepted: April 12, 2015
Published: June 25, 2015
Copyright: © 2015 Brennan, Smith. 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: Adrian M Haith, Johns Hopkins University,
UNITED STATES Editor: Adrian M Haith, Johns Hopkins University,
UNITED STATES UNITED STATES
Received: December 23, 2014
Accepted: April 12, 2015
Published: June 25, 2015
Copyright: © 2015 Brennan, Smith. 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 Brennan, Smith. 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: Data are available at
www.seas.harvard.edu/motorlab/data/
BrennanSmith2015/BrennanSmith2015.zip. Share Your Story The Harvard community has made this article openly available. Please share how this access benefits you. Submit a story . Accessibility OPEN ACCESS Citation: Brennan AE, Smith MA (2015) The Decay
of Motor Memories Is Independent of Context
Change Detection. PLoS Comput Biol 11(6):
e1004278. doi:10.1371/journal.pcbi.1004278 * mas@seas.harvard.edu Introduction Motor adaptation driven by performance error generally decays back toward baseline when
error information is withheld or held near zero using zero-error clamp (zEC) trials [1–12]. This effect has conventionally been explained by the intrinsic decay hypothesis, which asserts
that new learning is intrinsically volatile and decays partially on each subsequent trial. Perhaps
the most direct evidence for decay in the absence of error comes from Scheidt et al. [1], who
compared the decay of force field (FF) adaptation when error was clamped at zero against
“washout” when the FF was removed and no external forces were applied. The zero-FF wash-
out led to large aftereffect errors oppositely directed to the errors experienced during early
training, resulting, unsurprisingly, in a rapid regression of learned adaptation toward baseline. In contrast, the zero error clamp (zEC) treatment eliminated performance errors but neverthe-
less resulted in a substantial, albeit protracted, regression of the learned adaptation toward
baseline with about 50% decay occurring in the 150-trial decay period that was studied. Smith
et al. [2] went on to show that two parallel adaptive processes decay at different rates during
zEC trials. More recent work has suggested that decay can be driven separately by experience
and by time [13], that experience-dependent decay displays local generalization [9], and that
the asymptotic retention remaining after prolonged decay may be determined by reinforce-
ment signals provided during training [8]. Recently, Vaswani & Shadmehr (henceforth V&S) [14] proposed context-dependent decay
as an alternative to the intrinsic decay hypothesis. This hypothesis maintains that learning is
intrinsically stable but intimately associated with the context in which it occurred, decaying
only when a change of context is detected. This hypothesis makes two key predictions. First, it
predicts that decay onset will be systematically delayed until a context change is detected. Sec-
ond, it predicts that context changes that are more difficult to detect will result in prolonged
delays and reduced decay amplitude at any given point of the retention period. V&S suggested
that trial-to-trial kinematic variability is a key environmental feature that the motor system
uses to detect changes in context and that many previous studies dramatically reduced the
kinematic variability from the training period to the retention period by probing decay using
zEC trials. Author Summary Suppose you are asked to shoot free throws with a basketball. If you’re an unskilled
shooter, you may at first miss in a consistent way for consecutive shots—perhaps a bit to
the right—but you will soon learn to correct that error. However, an often-repeated 1 / 31 PLOS Computational Biology | DOI:10.1371/journal.pcbi.1004278
June 25, 2015 Evaluating the Context Change Detection Hypothesis Competing Interests: The authors have declared
that no competing interests exist. finding is that if error information is withheld, such as if you close your eyes just after
releasing the ball, performance will regress toward baseline. One explanation is that
newly-formed motor memories are intrinsically volatile, decaying away if there is no con-
tinued performance feedback. However, recent work proposed an alternative mechanism:
that newly-formed motor memories are intrinsically stable, but people change their behav-
ior upon detecting a context change. This hypothesis predicts decay will occur only after
the change is detected, leading to delayed decay if the context change is purposefully
masked in an experiment. We show that previous estimates of decay onset delay, which
provided support for the context-dependent decay hypothesis, were systematically biased
and that decay instead begins immediately, without delay, even when context changes are
effectively masked, in stark contrast to the 40+ trial delays previously reported. Thus, we
show that recent memories decay independently of context change detection, suggesting
that they are indeed intrinsically volatile. finding is that if error information is withheld, such as if you close your eyes just after
releasing the ball, performance will regress toward baseline. One explanation is that
newly-formed motor memories are intrinsically volatile, decaying away if there is no con-
tinued performance feedback. However, recent work proposed an alternative mechanism:
that newly-formed motor memories are intrinsically stable, but people change their behav-
ior upon detecting a context change. This hypothesis predicts decay will occur only after
the change is detected, leading to delayed decay if the context change is purposefully
masked in an experiment. We show that previous estimates of decay onset delay, which
provided support for the context-dependent decay hypothesis, were systematically biased
and that decay instead begins immediately, without delay, even when context changes are
effectively masked, in stark contrast to the 40+ trial delays previously reported. Thus, we
show that recent memories decay independently of context change detection, suggesting
that they are indeed intrinsically volatile. PLOS Computational Biology | DOI:10.1371/journal.pcbi.1004278
June 25, 2015 Results We investigated whether the detection of a context change underlies the decay of motor adap-
tation, first by manipulating the salience of the transition from training to retention periods,
and second by examining whether a latent period occurs prior to decay onset corresponding to
the time before context changes are detected. In order to minimize the context change following a 300-trial force field training period, we
used directionally variable error clamp (vEC) trials in place of zero-error clamp (zEC) trials
during a 325-trial retention period, as first suggested by V&S. Each vEC trial clamped the direc-
tion of movement to a prespecified angle, and this angle varied subtly from one trial to the next
in a manner that matched the movement direction variability experienced late in the training
period (Fig 1C and 1D). This masked the context change between training and retention peri-
ods by allowing movement direction variability to be maintained rather than be dramatically
reduced as it would be during zEC-based retention. Evaluating the Context Change Detection Hypothesis direction varied subtly from one trial to the next in a manner that matched the kinematic vari-
ability of late FF training, thereby minimizing the context change between the FF training and
EC retention blocks. They reported that using vEC trials in place of zEC trials in the retention
period resulted in dramatic reductions in the amount of decay and profound increases in the
delay before decay onset, suggesting that variability-driven context change detection, rather
than intrinsic decay, may be responsible for the decay of motor memories. Given the radically different nature of this new hypothesis and the importance of under-
standing the mechanisms by which motor learning decays, further examination is crucial. In
particular, there were technical issues with both the evidence for delayed decay onset and the
evidence for the reduction in decay amplitude in the vEC condition in the V&S study. First, the
reported decay onset latencies resulted from a parameter estimation procedure likely to be
biased because of the constraints that were imposed. Second, the reduced decay reported for
vEC-based retention was observed in an unbalanced experimental design without reference to
baseline performance and without comparison to the analogous zEC-based condition. Thus,
here we reexamine the context-dependent decay hypothesis using a balanced experimental
design that references baseline performance and compares analogous vEC and zEC conditions. We then estimate decay onset latency using an unbiased variant of the previous individual-
level analysis as well as a more powerful group-level approach. The results show no evidence
for systematically delayed decay in any experimental condition and that reducing the detect-
ability of the context change using vEC trials has essentially no effect on either decay onset
latency or the amount of decay. Introduction Correspondingly, decay observed in these studies might result from the recognition
of a context change based on the decreased kinematic variability inherent in zEC trial blocks
compared to preceding FF trials. To probe decay in a manner that avoids this confound, V&S
injected kinematic variability into EC blocks using variable error clamp (vEC) trials whose PLOS Computational Biology | DOI:10.1371/journal.pcbi.1004278
June 25, 2015 2 / 31 PLOS Computational Biology | DOI:10.1371/journal.pcbi.1004278
June 25, 2015 PLOS Computational Biology | DOI:10.1371/journal.pcbi.1004278
June 25, 2015 Evaluating the Context Change Detection Hypothesis Shooting movements were to be aimed at the target but “shot” through it and brought to rest by a virtual pillow
(p) created by the robotic arm 1cm beyond the target center. Experiments had a training block consisting of
positive force field (+FF) trials, negative FF (−FF) trials, or null trials (0-FF) in which the robotic manipulandum
applied forces (black horizontal arrows) proportional to the movement velocity and directed orthogonally to
the movement direction. This training block was followed by a retention block of error clamp trials, where
forces were applied reactively with a virtual channel in order to effectively constrain motion to a predefined
straight-line path. Zero-error clamp (zEC) retention trials were always directed toward the target’s center,
resulting in very low directional variability. In contrast, variable error clamp (vEC) trials were directed along a
different non-zero angle on each trial and were used to impose subtle directional variations (σ = 2.6°) from
one trial to the next during the retention period. The amount of directional variability in the vEC trials was
matched to the directional variability late in FF training, thereby reducing the context change from the training
environment. Point-to-point movements were performed analogously but stopped at the target as illustrated
in the supporting information (S1 File). (D) Each experiment began with a training period of FF trials. For
experiments 1 and 2, there were two subgroups (dark and light colors), one training on +FF and the other
training on −FF trials; both subgroups had the same retention periods. Experiment 1 had a vEC-based
retention period, and had two variants: experiment 1a (n = 20, 10 on +FF and 10 on −FF) in which all subjects
had the same pre-selected sequence of errors in the retention period; and experiment 1b (n = 20, 10 on +FF
and 10 on −FF) in which all subjects had the mirror-opposite sequence of errors in the retention period. Experiments 2 and 3 had retention periods based on zEC trials. Note that the force field strength (b) was
controlled during the training blocks while the error clamp angle was controlled during the retention blocks. doi:10 1371/journal pcbi 1004278 g001 doi:10.1371/journal.pcbi.1004278.g001 consecutive movements [15], and movement duration did not change systematically from
training to retention trials in either experiment (Fig 2). Overall, the institution of a vEC-based
retention period substantially reduced performance differences between the training and reten-
tion periods in our data, and to an extent comparable to V&S. In experiments 4 and 5 (S1 File),
where we analogously compared vEC- and zEC-based retention for point-to-point movements,
vEC-based retention was similarly effective at matching the features of late training movements
(S2 File). Variable error clamps reduce the salience of context changes in a
retention block Experiments 1 and 2 compare vEC- and zEC-based retention for shooting movements, which
V&S studied. We instituted the vEC manipulation in experiment 1 by choosing the EC direc-
tion on each trial from a Gaussian distribution with a mean of 0° and a standard deviation of
2.6°, replicating the magnitude of directional variability used in V&S. As a result, the direc-
tional variability we observed in the vEC retention period far exceeded that in the zEC reten-
tion period (2.70°±0.14° for vEC vs 0.16°±0.08° for zEC, mean±sd), but closely matched that
from late in the training period in our data (2.52°±0.69°) (Fig 2 top row). Compared to the zEC
retention period in experiment 2, the vEC retention period in experiment 1 also resulted in a
reward frequency that better matched the late training period and a moderately stabilized tra-
jectory curvature (Fig 2). Inter-movement consistency, which measured the similarity of PLOS Computational Biology | DOI:10.1371/journal.pcbi.1004278
June 25, 2015 3 / 31 Fig 1. Experimental paradigm. (A-B) Participants grasped the handle of a 2-link
make movements in one of two directions. All shooting movements were performe
Evaluating the Context Ch
1371/j
l
bi 1004278
J
25 2015 Evaluating the Context Change Detection Hypothesis Fig 1. Experimental paradigm. (A-B) Participants grasped the handle of a 2-link robotic manipulandum to
make movements in one of two directions. All shooting movements were performed in the 90° direction. (C) Fi
1 E
i
t l
di
(A B) P
ti i
t
d Fig 1. Experimental paradigm. (A-B) Participants grasped the handle of a 2-link robotic manipulandum to
make movements in one of two directions. All shooting movements were performed in the 90° direction. (C) Fig 1. Experimental paradigm. (A-B) Participants grasped the handle of a 2-link robotic manipulandum to
make movements in one of two directions. All shooting movements were performed in the 90° direction. (C) PLOS Computational Biology | DOI:10.1371/journal.pcbi.1004278
June 25, 2015 4 / 31 PLOS Computational Biology | DOI:10.1371/journal.pcbi.1004278
June 25, 2015 Decay patterns are obscured by large systematic oscillations if vEC
sequences are not balanced Lines
connect the average values for the last 20 training trials (FF) and the first 20 retention trials (EC) for each
subject in the shooting movement experiments for the 5 movement characteristics that Vaswani and
Shadmehr ([14], V&S) used: Directional Variability (Endpoint Standard Deviation in V&S) is the standard
deviation of movement angle; Probability of Reward is the observed reward frequency; Movement Duration is
the time to the target; Intermovement Consistency measures the similarity of consecutive movements [15];
Trajectory Curvature (Trajectory Deviation in V&S) measures the curvature of the movement, and is the sum
of squared lateral deviations from the straight path joining the start and end positions of that path. Subjects
could use large differences in these characteristics between the training and retention blocks, as quantified
by the ratio of the last 20 training trials to the first 20 retention trials (rightmost column), to detect context
changes between these blocks. For all five statistics, the vEC retention blocks better match the statistics of
the training environment than their zEC analogs, suggesting that the vEC context change should be harder to
detect. The values and ratios we observe are very similar to those reported in V&S. Error bars show SEM. doi:10.1371/journal.pcbi.1004278.g002 Fig 2. Comparison of movement characteristics during late training and early retention trials. Lines
connect the average values for the last 20 training trials (FF) and the first 20 retention trials (EC) for each
subject in the shooting movement experiments for the 5 movement characteristics that Vaswani and
Shadmehr ([14], V&S) used: Directional Variability (Endpoint Standard Deviation in V&S) is the standard
deviation of movement angle; Probability of Reward is the observed reward frequency; Movement Duration is
the time to the target; Intermovement Consistency measures the similarity of consecutive movements [15];
Trajectory Curvature (Trajectory Deviation in V&S) measures the curvature of the movement, and is the sum
of squared lateral deviations from the straight path joining the start and end positions of that path. Subjects
could use large differences in these characteristics between the training and retention blocks, as quantified
by the ratio of the last 20 training trials to the first 20 retention trials (rightmost column), to detect context
changes between these blocks. For all five statistics, the vEC retention blocks better match the statistics of
the training environment than their zEC analogs, suggesting that the vEC context change should be harder to
detect. Decay patterns are obscured by large systematic oscillations if vEC
sequences are not balanced A striking feature of the data from experiment 1a (n = 20) is the large irregular pattern of rapid
trial-to-trial oscillations observed during the vEC-based retention period (Fig 3A, left), as in
the V&S study. Unfortunately, these irregular oscillations largely obscure any pattern of decay
that might be present during the retention period, especially for the +FF arm of the experiment
for which the learning and decay amplitudes appears smaller than the −FF arm. These retention period oscillations appear random in pattern, suggesting that they may sim-
ply reflect noisy results. However, these random-looking oscillations were surprisingly consis-
tent across subjects, as evidenced by the tight error bars around them (Fig 3A, left). We
hypothesized that these oscillations might be caused by the specific structure of the vEC
sequence employed since, like V&S, experiment 1a used a single randomly-generated sequence
of EC directions for all participants. In particular, the directional errors enforced by each vEC
trial could lead to two types of systematic effects: same-trial motor responses due to limb stiff-
ness and real-time feedback control, and next-trial responses due to motor adaptation. Together, these effects would result in a stereotyped time-varying pattern of motor responses
specific to the particular vEC error sequence that could obscure the overall decay pattern. We attempted to uncover the decay pattern by balancing out effects of the error sequence
using a mirror-opposite vEC sequence in a second group of participants (experiment 1b,
n = 20), which would be expected to cause the opposite stereotyped response. This mirrored
vEC sequence injected the identical overall EC directional variability as experiment 1a and led
to grossly similar learning and decay curves (Fig 3A, gray traces in the right panel). As
expected, the retention period data from experiment 1b displayed large irregular oscillations PLOS Computational Biology | DOI:10.1371/journal.pcbi.1004278
June 25, 2015 5 / 31 Evaluating the Context Change Detection Hypothesis Fig 2. Comparison of movement characteristics during late training and early retention trials. doi:10.1371/journal.pcbi.1004278.g002 Evaluating the Context Change Detection Hypothesis Fig 3. Raw learning and decay. (A) Left panel: motor adaptation and its decay during the training and retention periods in experiment 1a. There is clear
adaptation, corresponding to the separation between the +FF and −FF groups (dark & light red) during training, and also clear decay, corresponding to the
reduction of this separation during the retention period. However, there are large-amplitude oscillations in the retention period that obscure the underlying
decay, especially if the +FF data are considered in isolation. Right panel: experiment 1b (mean shown in gray), which used the mirror-opposite vEC
sequence, also shows large oscillations during the retention period but opposite in direction to the experiment 1a oscillations (mean shown in black). Combining the data from the two experiments (mean shown in red) balances the vEC sequence and largely eliminates the decay-obscuring oscillations,
suggesting that they result from the specific vEC sequence employed. The vEC-balanced data reveal clear monotonic decay for both FF directions. (B) The
learning and decay curves for the vEC-balanced experiment 1 data (red) and the zEC experiment 2 data (blue) closely match, suggesting little effect of
context change salience on decay. In both cases, the +FF subgroups (darker colors) displayed highly attenuated learning and decay that was small but
significant. In contrast, the −FF subgroups (lighter colors) displayed strong learning and robust decay. (C) Asymptotic learning was quantified using the
average adaptation in the last 150 trials of the training block (100 trials for point-to-point zEC). Decay was quantified as the difference between asymptotic
learning and the mean of all the retention trials after the first 150. These quantifications capture the asymmetries observed in the learning and decay curves
(light versus dark bars), but more importantly show similar zEC and vEC learning (left panel) and decay (right panel), for both shooting and the point-to-point
movements. For point-to-point movements, the hatched bars are experiment 4 (vECopp) in the 90° direction, which is opposite to the zEC movement
direction. The red and blue solid bars represent experiments 4 and 5 (vEC and zEC) in the 270° direction. Error bars show SEM. doi:10 1371/journal pcbi 1004278 g003
Evaluating the Context Change Detection Hypothesis Fig 3. Raw learning and decay. (A) Left panel: motor adaptation and its decay during the training and retention periods in experiment 1a. Decay patterns are obscured by large systematic oscillations if vEC
sequences are not balanced The values and ratios we observe are very similar to those reported in V&S. Error bars show SEM. 6 / 31 PLOS Computational Biology | DOI:10.1371/journal.pcbi.1004278
June 25, 2015 doi:10.1371/journal.pcbi.1004278.g003 Evaluating the Context Change Detection Hypothesis like those observed in experiment 1a (Fig 3A, black traces in the right panel). But critically, the
oscillations arising from this new vEC sequence almost perfectly mirrored those from the origi-
nal sequence (Fig 3A, right). Thus, when we combined the data from the original vEC sequence
in experiment 1a and the mirror-reversed sequence in experiment 1b, the oscillations largely
cancelled out, evidenced by the trial-to-trial variance (see Methods) in the combined data
being reduced by a remarkable 89% compared to experiment 1a. The vEC-balanced combined
data thus display markedly cleaner retention curves. These cleaner retention curves reveal a
clear pattern of decay for the vEC retention data in both the +FF and −FF subgroups and facili-
tate a more accurate comparison with the zEC data in experiment 2, which has no error-
sequence-dependent oscillations because zEC trials do not induce an error (Fig 3B). Learning and decay appear asymmetric across FF directions but are
unaffected by context change salience When we compared the sequence-balanced vEC data from experiment 1 to the zEC data from
experiment 2, we found a remarkable degree of similarity, at odds with the context-change
detection hypothesis (Fig 3B). A 3-way analysis of variance (retention period type × FF
direction × movement type) reveals that the amount of decay is not affected by the presence of
vEC vs zEC-based retention periods (F(1,76) = 0.13, p = 0.72), despite clear effects of positive
versus negative FF directions (F(1,76) = 109, p<10–15) and shooting vs point-to-point move-
ments (F(1,76) = 9.32, p = 0.003). Post hoc testing revealed significant decay in all the experi-
mental subgroups (all 8 combinations of vEC vs zEC retention, +FF vs −FF training, and
shooting vs point-to-point movements; p<0.02 in all cases). This indicates that vEC-based
context change masking failed to prevent the decay of motor adaptation in our data. In contrast to the striking similarity between the decay observed in vEC and zEC-based
retention periods, we found that the positive and negative FF subgroups displayed markedly
asymmetric learning and decay in both experiments 1 and 2 (Fig 3B and 3C). Asymptotic
learning was nearly twice as large for the −FF compared to the +FF subgroups for both experi-
ments 1 and 2 (0.52±0.03 for +FF vs 0.94±0.03 for −FF, p<10–11 in experiment 1 and 0.43
±0.07 vs. 0.95±0.03, p<10–5 in experiment 2, mean±SEM). The amount of decay was also
asymmetric, largely mirroring the asymmetric learning (0.21±0.06 vs 0.65±0.04, p<10–6, for
the +FF vs −FF subgroups in experiment 1, and 0.21±0.07 vs 0.71±0.04, p<10–4 in experiment
2, Fig 3B and 3C). Whereas shooting movements in experiments 1–2 exhibited markedly asym-
metric learning and correspondingly asymmetric decay across FF directions, analogous point-
to-point movements in experiments 3–4 exhibited nearly symmetric learning (Fig 3C, left) but
asymmetric decay (Fig 3C, right; learning and decay curves in S3 File). The marked asymme-
tries based on FF direction in this dataset stand in contrast to the similarity observed for decay
in vEC vs zEC-based retention periods and underscores the importance of examining decay in
an experimental design balanced for +FF and −FF training conditions to avoid the effects of
selective sampling of the FF direction. There is clear
adaptation, corresponding to the separation between the +FF andFF groups (dark & light red) during training, and also clear decay, corresponding to the
reduction of this separation during the retention period. However, there are large-amplitude oscillations in the retention period that obscure the underlying
decay, especially if the +FF data are considered in isolation. Right panel: experiment 1b (mean shown in gray), which used the mirror-opposite vEC
sequence, also shows large oscillations during the retention period but opposite in direction to the experiment 1a oscillations (mean shown in black). Combining the data from the two experiments (mean shown in red) balances the vEC sequence and largely eliminates the decay-obscuring oscillations,
suggesting that they result from the specific vEC sequence employed. The vEC-balanced data reveal clear monotonic decay for both FF directions. (B) The
learning and decay curves for the vEC-balanced experiment 1 data (red) and the zEC experiment 2 data (blue) closely match, suggesting little effect of
context change salience on decay. In both cases, the +FF subgroups (darker colors) displayed highly attenuated learning and decay that was small but
significant. In contrast, the −FF subgroups (lighter colors) displayed strong learning and robust decay. (C) Asymptotic learning was quantified using the
average adaptation in the last 150 trials of the training block (100 trials for point-to-point zEC). Decay was quantified as the difference between asymptotic
learning and the mean of all the retention trials after the first 150. These quantifications capture the asymmetries observed in the learning and decay curves
(light versus dark bars), but more importantly show similar zEC and vEC learning (left panel) and decay (right panel), for both shooting and the point-to-point
movements. For point-to-point movements, the hatched bars are experiment 4 (vECopp) in the 90° direction, which is opposite to the zEC movement
direction. The red and blue solid bars represent experiments 4 and 5 (vEC and zEC) in the 270° direction. Error bars show SEM. 7 / 31 PLOS Computational Biology | DOI:10.1371/journal.pcbi.1004278
June 25, 2015 Evaluating the Context Change Detection Hypothesis by regressing the force profiles onto the ideal force profile (the adaptation coefficient measure;
see Methods), as we did in Fig 3 and V&S did throughout their study. The adaptation coefficient measure is known to efficiently characterize adaptation for
point-to-point movements, especially late in training, because the shapes of the learning-
related change in force output closely match the ideal compensatory force [5,12,16,17] with
correlations often above 90% [12]. Correspondingly, we find that experiments 4 and 5, which
use point-to-point movements, result in force profiles whose shapes closely correspond to the
ideal force pattern (R2 = 0.88, R2 = 0.88, and R2 = 0.94 for the subject-averaged +FF data and
R2 = 0.78, R2 = 0.90 and R2 = 0.97 for the −FF data, for experiment 4 (90°), experiment 4
(270°), and experiment 5 (270°), respectively; S4 File panel A). In contrast, the adaptation coefficient measure does not accurately characterize the +FF
training data from experiments 1 and 2 as the force patterns observed during these shooting
movements are systematically different from the shape of the ideal compensatory force pattern. This is evidenced by comparing the colored (observed force) and black (regression onto ideal
force) curves in Fig 4A. Although shooting-movement force profile shapes closely correspond
to the ideal force pattern for the −FF training data (lighter colors, R2 = 0.98 and R2 = 0.97 for
experiments 1 and 2, respectively), the correspondence is dramatically reduced for the +FF
training data (darker colors, R2 = 0.70 and R2 = 0.58 for experiments 1 and 2, respectively),
resulting in lower adaptation coefficients. This poor correspondence becomes even worse for
the +FF retention data (R2 = 0.55 and R2 = 0.14 for experiments 1 and 2, respectively). The adaptation coefficient measure may not adequately characterize
raw force profiles for shooting movements Intriguingly, we found very similar small endpoint errors (both <1° in amplitude) during the
training period for the +FF and −FF shooting movement subgroups (0.01±0.14° vs. 0.55±0.15°
to the right), despite asymptotic adaptation that appeared to be nearly twice as high for the −FF
condition. This, along with the fact that only shooting movements displayed asymmetric adap-
tation, led us to question whether shooting movement data were reasonably well characterized PLOS Computational Biology | DOI:10.1371/journal.pcbi.1004278
June 25, 2015 8 / 31 PLOS Computational Biology | DOI:10.1371/journal.pcbi.1004278
June 25, 2015 Evaluating the Context Change Detection Hypothesis Fig 4. Learning and decay referenced to control data from a zero-FF training episode. (A) Top row: raw lateral force profiles for the +FF and −FF
subgroups (darker and lighter colors, respectively, with experiment 1 in red, experiment 2 in blue, mean ± SEM). The +FF and −FF subgroups display
differently-shaped force profiles but similar overall force levels during training, corresponding to similar average endpoint errors (not shown). The −FF
subgroup data are well-captured by the adaptation coefficient measure (black line), which is a regression onto the ideal force profile, while the +FF data ar
not. This explains why learning and decay appear attenuated in the +FF subgroup in Fig 3. We performed a control experiment consisting of a 0-FF “trainin
block and a zEC retention block (experiment 3) to provide a baseline reference for adaptation and decay. Considering the force profiles (colored traces in t
row) relative to this baseline reference (gray traces in top row) reveals symmetric adaptation and decay between +FF and −FF conditions for both training
and retention (colored traces in second row). Note that the control experiment force profiles increase substantially during the retention period, indicating th
the unreferenced shooting movement decay data in Fig 3 are confounded by a tendency to produce more positive force during an extended EC block. Without control-referencing, this tendency causes the +FF decay to be underestimated and the −FF decay to be overestimated, as it was in Fig 3. Since th
control-referenced retention data is still not always well explained by the shape of the adaptation coefficient measure, we quantified adaptation using an
integrated lateral force measure that is agnostic to the shape of the force profile. (B) Like Fig 3, the control-referenced vEC and zEC learning and decay
appear similar (red vs blue), but here we also see symmetric learning and decay across +FF and −FF conditions in both experiments. The strong decay
apparent in both the +FF and −FF arms of the vEC experiment is in contrast to reports of the vEC manipulation eliminating decay. (C) Consistent with the
unreferenced adaptation coefficients in Fig 3, the analysis based on control-referenced integrated lateral forces shows similar learning and decay for the
analogous vEC and zEC experiments, but it displays much greater symmetry across +FF vs −FF conditions. For point-to-point movements, the vEC
Evaluating the Context Change Detection Hypothe Fig 4. Control referencing reveals symmetric learning and decay but no effect
of context change salience Learning related changes in lateral force are generally assessed by subtracting out the force pro-
files measured during a baseline period [5,12,16,17] to isolate the learning-related changes
from learning-unrelated performance biases. However, the experimental design employed in
experiments 1 and 2, replicating the design in V&S, did not include a baseline period. We
therefore performed a control experiment (experiment 3) consisting of a zero FF “training”
period followed by a zEC “retention” period. This allowed us to provide not only a control ref-
erence for the training periods in the +FF and −FF arms of experiments 1–2, but also a control
reference for the retention period data, which becomes important if error clamp exposure sys-
tematically changes the learning-unrelated performance biases. This control experiment
enabled us to isolate changes in force output during both training and retention periods that
specifically resulted from exposure to the training environment. Remarkably, the asymmetry in raw force observed between the +FF and −FF shooting-
movement conditions (Fig 4A, 1st row) largely disappears when these data are considered rela-
tive to the control experiment by subtracting the mean force profiles from the control experi-
ment (Fig 4A, 2nd row). The control-referenced force profiles become highly symmetric across
FF directions during both the late training and the late retention periods for both vEC and zEC
experiments. This suggests that the raw force asymmetry we observe in the top row of Fig 4A
arises largely from the lack of an appropriate reference. The increased symmetry for the con-
trol-referenced profiles compared to the raw force profiles is especially profound for the reten-
tion period data because continuous exposure to the error clamp trials in the retention period
results in subtle but systematic changes in lateral force patterns, as evidenced by the difference
in control experiment force profiles during late training and late retention (Fig 4A, top row,
gray lines). These differences should be accounted for when evaluating the decay of a learned
adaptation. PLOS Computational Biology | DOI:10.1371/journal.pcbi.1004278
June 25, 2015 9 / 31 Evaluating the Context Change Detection Hypothesis condition (red) actually seems to increase the decay somewhat over the corresponding zEC data (blue). These data fail to support the prediction that vEC-
based retention will reduce or eliminate decay. For point-to-point movements, the hatched bars are experiment 4 (vECopp) in the 90° direction, which is
opposite to the zEC movement direction. The red and blue solid bars represent experiments 4 and 5 (vEC and zEC) in the 270° direction. Error bars show
SEM. doi:10.1371/journal.pcbi.1004278.g004 doi:10.1371/journal.pcbi.1004278.g004 Despite the remarkable increase in symmetry, the shapes of the control-referenced force
profiles still displayed some systematic differences from the ideal force profiles (black curves in
the top row), indicating that the learning-related changes in these shooting movements may
not be fully captured by the adaptation coefficient measure. We thus took a cautious approach
of characterizing the force profiles associated with adaptation in a more general manner based
on the total integrated lateral force, which is not sensitive to the shape of the force profile (see
Methods). While this change of measure does further increase symmetry and more fully repre-
sents the data, we find very similar learning and decay using the control-referenced adaptation
coefficient measure (S5 File). Like the force profiles shown in Fig 4A, the learning and retention curves for shooting
movements shown in Fig 4B are considerably more symmetric than their unreferenced coun-
terparts shown in Fig 3B. Reanalyzing the data based on the integrated lateral force measure
applied to control-referenced data reveals that the +FF and −FF groups display adaptation lev-
els within 5% of one another during training (0.88±0.02(+FF) vs 0.89±0.02(−FF), p = 0.78 in
experiment 1; 0.85±0.02 vs 0.88±0.03, p = 0.37 in experiment 2) and within 30% during reten-
tion (0.62±0.07 vs 0.44±0.06, p = 0.05 in experiment 1; 0.51±0.08 vs 0.48±0.07, p = 0.77 in
experiment 2, Fig 4B), leading to highly symmetric decay amplitudes. The fraction of decay rel-
ative to the asymptotic adaptation level is similarly symmetric (73±8% vs. 51±8%, p = 0.07 for
the +FF and −FF conditions in experiment 1, and 61±10% vs. 56±10%, p = 0.72 in experiment
2) (Fig 4C). Learning and decay referenced to control data from a zero-FF training episode. (A) Top row: raw lateral force profiles for the +FF andFF
subgroups (darker and lighter colors, respectively, with experiment 1 in red, experiment 2 in blue, mean ± SEM). The +FF andFF subgroups display
differently-shaped force profiles but similar overall force levels during training, corresponding to similar average endpoint errors (not shown). The −FF
subgroup data are well-captured by the adaptation coefficient measure (black line), which is a regression onto the ideal force profile, while the +FF data are
not. This explains why learning and decay appear attenuated in the +FF subgroup in Fig 3. We performed a control experiment consisting of a 0-FF “training”
block and a zEC retention block (experiment 3) to provide a baseline reference for adaptation and decay. Considering the force profiles (colored traces in top
row) relative to this baseline reference (gray traces in top row) reveals symmetric adaptation and decay between +FF and −FF conditions for both training
and retention (colored traces in second row). Note that the control experiment force profiles increase substantially during the retention period, indicating that
the unreferenced shooting movement decay data in Fig 3 are confounded by a tendency to produce more positive force during an extended EC block. Without control-referencing, this tendency causes the +FF decay to be underestimated and the −FF decay to be overestimated, as it was in Fig 3. Since the
control-referenced retention data is still not always well explained by the shape of the adaptation coefficient measure, we quantified adaptation using an
integrated lateral force measure that is agnostic to the shape of the force profile. (B) Like Fig 3, the control-referenced vEC and zEC learning and decay
appear similar (red vs blue), but here we also see symmetric learning and decay across +FF and −FF conditions in both experiments. The strong decay
apparent in both the +FF and −FF arms of the vEC experiment is in contrast to reports of the vEC manipulation eliminating decay. (C) Consistent with the
unreferenced adaptation coefficients in Fig 3, the analysis based on control-referenced integrated lateral forces shows similar learning and decay for the
analogous vEC and zEC experiments, but it displays much greater symmetry across +FF vs −FF conditions. For point-to-point movements, the vEC PLOS Computational Biology | DOI:10.1371/journal.pcbi.1004278
June 25, 2015 10 / 31 Evaluating the Context Change Detection Hypothesis occur for shooting movements. Incorporating these improvements increased the similarity
between FF directions and retained the similarity between vEC and zEC retention periods. occur for shooting movements. Incorporating these improvements increased the similarity
between FF directions and retained the similarity between vEC and zEC retention periods. We have thus found that, after performing both +FF and −FF training, balancing the vEC
sequence (Fig 3), and control-referencing (Fig 4), there is a clear pattern of decay for both the
vEC and zEC experiments, in both shooting and point-to-point movement paradigms (Fig
4C). Even more importantly, shooting movement vEC and zEC conditions result in remarkably
similar learning and retention curves. We therefore conclude that, after accurately characteriz-
ing the adaptive changes in motor output induced by FF exposure, the reduced context change
conferred by a vEC-based retention period does not reduce the decay of a trained adaptation. This finding contradicts the prediction of the context-dependent decay hypothesis. occur for shooting movements. Incorporating these improvements increased the similarity
between FF directions and retained the similarity between vEC and zEC retention periods. We have thus found that, after performing both +FF and −FF training, balancing the vEC
sequence (Fig 3), and control-referencing (Fig 4), there is a clear pattern of decay for both the
vEC and zEC experiments, in both shooting and point-to-point movement paradigms (Fig
4C). Even more importantly, shooting movement vEC and zEC conditions result in remarkably We have thus found that, after performing both +FF and −FF training, balancing the vEC
sequence (Fig 3), and control-referencing (Fig 4), there is a clear pattern of decay for both the
vEC and zEC experiments, in both shooting and point-to-point movement paradigms (Fig
4C). Even more importantly, shooting movement vEC and zEC conditions result in remarkably
similar learning and retention curves. We therefore conclude that, after accurately characteriz-
ing the adaptive changes in motor output induced by FF exposure, the reduced context change
conferred by a vEC-based retention period does not reduce the decay of a trained adaptation. This finding contradicts the prediction of the context-dependent decay hypothesis. Similar to the findings in shooting movements, decay in the point-to-point movements also
became substantially more symmetric when considered relative to an analogous control experi-
ment while the previously-symmetric learning did not lose its symmetry (Fig 4C; learning
curves in S4 File panel B). While substantially changing the symmetry of the learning and decay curves, control-
referencing and using integrated lateral force to quantify adaptation did not change the main
findings from the analysis presented in Fig 3: vEC and zEC learning and decay curves appear
very similar despite the vEC trials masking the context change. A 3-way analysis of variance
(retention period type × FF direction × movement type) on the control-referenced data reveals
decay (Fig 4C, middle panel) is not affected by the type of retention period (p>0.2), while the
effects of FF direction and movement type are diminished relative to the unreferenced data, as
expected due to the improved symmetry, although both remain significant factors (p = 0.04
and p<0.001, respectively). Correspondingly, the overall decay fraction, which combines the
+FF and −FF control-referenced decay data from each experiment and normalizes it by the
corresponding amount of learning, is similar for the vEC and zEC experiments (Fig 4C, right
panel). In fact, the only statistical difference in overall decay fraction is in the point-to-point
data where the 270° vEC experiment actually shows more decay on average than the zEC ver-
sion (102±5% vs 71±7%, p<0.001). Overall, the analyses performed in this section and illustrated in Fig 4 suggest that (1) omis-
sion of a baseline reference can skew measurements of adaptation and retention; (2) retention
data are best referenced to error clamp data that follows a zero-training period since the learn-
ing-unrelated performance biases shift during this period; and (3) a regression-based adapta-
tion coefficient measure may not adequately characterize the learning-related changes that PLOS Computational Biology | DOI:10.1371/journal.pcbi.1004278
June 25, 2015 11 / 31 PLOS Computational Biology | DOI:10.1371/journal.pcbi.1004278
June 25, 2015 Estimating decay onset To this point, we have found that the vEC and zEC retention periods induce similar decay
amplitudes, at odds with the findings of V&S and the assertion that a masked context change
would abolish decay. However, more direct predictions of context-dependent decay are the
existence of a delay before decay onset and a dramatically extended delay when the context
change is masked. We therefore closely examined decay onset time in vEC and zEC data. Based on the findings from Fig 4, we used a control-referenced, integrated lateral force mea-
sure of the adaptive response to estimate decay onset latency. From Fig 3A, we knew that the
individual data had vEC-sequence specific oscillations that increased the noise and would
make the decay onset harder to estimate. In order to remove these oscillations, we first esti-
mated the vEC-sequence effects as half the difference between the subject-averaged data from
experiment 1a and that from experiment 1b, which had mirror-opposite vEC sequences. We
then subtracted this estimate from each individual’s data. This reduced the trial-to-trial vari-
ance in the individual subject data by 49±3% and resulted in individual retention curves less
contaminated by vEC-sequence specific oscillations. We first examined decay onset using a group-level analysis that estimates the distribution of
delays across subjects. We followed up with an analysis at the level of individual participants,
where we fit delayed exponential functions to each participant’s adaptation curves, largely
echoing the analysis presented in V&S. The
95% confidence interval is 0 trials for experiment 1 and 0–1 trials for experiment 2, whose interval is Fig 5. Group-level analysis of mean decay onset time. (A) Top row: Simulated decay for scenarios with
subjects having an exponential distribution of delays with means of 90 and 0 trials. For each scenario, we
simulated 40 subjects and median divided them into two equal groups based on their decay during the first 50
trials of the retention period. The black curves show the mean decay obtained from 1000 such simulations
with shading corresponding to the standard deviation across simulations. The low-decay subgroups for the
simulations with a 90-trial mean delay show no early decay, quantified as the ratio between decay in the first
50 vs the last 75 retention trials, and it even has slightly elevated average adaptation in the first 50 trials due
to a selection bias (see Results). In contrast, both subgroups from the simulations with a 0-trial mean delay
decay immediately. Second row: The data from experiments 1–2 were median-divided in the same way,
based on the amount of decay during the first 50 trials. The means of each of these subgroups are plotted in
red and blue for vEC and zEC, respectively. For both experiments, the experimental data appear consistent
with the simulations for zero-delay but not 90-trial mean delay (dotted vs solid lines). Note that the simulated
curves are smooth because they represent the mean of 1000 simulations, where individual simulations vary
much like the data do. (B) Estimates of the mean delay in our data using a Bayesian inference procedure
based on the early decay ratios. We used simulations to estimate the joint distribution P(EDhigh, EDlow | μλ) for
the mean delay μλ and the early decay ratios EDhigh and EDlow. This is a likelihood function for μλ. We then
assumed a uniform prior over the integer mean delays from 0 to 90 trials to estimate the posterior distribution
P(μλ | EDhigh, EDlow), which is proportional to P(EDhigh, EDlow | μλ) P(μλ) (see Methods). Large mean delays
support the context detection hypothesis, which predicts decay to begin only after a change of context is
detected. Near-zero delays are at odds with the context detection hypothesis because changes in variability
cannot be detected immediately. Evaluating the Context Change Detection Hypothesis Fig 5. Group-level analysis of mean decay onset time. (A) Top row: Simulated decay for scenarios with
subjects having an exponential distribution of delays with means of 90 and 0 trials. For each scenario, we
simulated 40 subjects and median divided them into two equal groups based on their decay during the first 50
trials of the retention period. The black curves show the mean decay obtained from 1000 such simulations
with shading corresponding to the standard deviation across simulations. The low-decay subgroups for the
simulations with a 90-trial mean delay show no early decay, quantified as the ratio between decay in the first
50 vs the last 75 retention trials, and it even has slightly elevated average adaptation in the first 50 trials due
to a selection bias (see Results). In contrast, both subgroups from the simulations with a 0-trial mean delay
decay immediately. Second row: The data from experiments 1–2 were median-divided in the same way,
based on the amount of decay during the first 50 trials. The means of each of these subgroups are plotted in
red and blue for vEC and zEC, respectively. For both experiments, the experimental data appear consistent
with the simulations for zero-delay but not 90-trial mean delay (dotted vs solid lines). Note that the simulated
curves are smooth because they represent the mean of 1000 simulations, where individual simulations vary
much like the data do. (B) Estimates of the mean delay in our data using a Bayesian inference procedure
based on the early decay ratios. We used simulations to estimate the joint distribution P(EDhigh, EDlow | μλ) for
the mean delay μλ and the early decay ratios EDhigh and EDlow. This is a likelihood function for μλ. We then
assumed a uniform prior over the integer mean delays from 0 to 90 trials to estimate the posterior distribution
P(μλ | EDhigh, EDlow), which is proportional to P(EDhigh, EDlow | μλ) P(μλ) (see Methods). Large mean delays
support the context detection hypothesis, which predicts decay to begin only after a change of context is
detected. Near-zero delays are at odds with the context detection hypothesis because changes in variability
cannot be detected immediately. The posterior distribution for experiments 1 (left) and 2 (right) are heavily
skewed toward immediate decay, with a maximum a posteriori delay estimate of zero trials in both cases. doi:10.1371/journal.pcbi.1004278.g005 PLOS Computational Biology | DOI:10.1371/journal.pcbi.1004278
June 25, 2015 Group-level analysis reveals essentially no systematic delay in decay
onset The subject-averaged retention curves shown in Figs 3 and 4 all appear to begin decaying immedi-
ately after the retention period onset. However, the decay onset delay estimated from the mean
retention curve could be much smaller than the average individual delay because a few early-
decaying individuals would result in early decay in the mean data. Furthermore, a few early-decay-
ing subjects are likely to exist, even when the mean delay is large, if the delays are exponentially
distributed across individuals as V&S suggested. This is because an exponential distribution always
has its mode at zero and thus results in a non-trivial number of near-zero samples. For example,
even with a large mean delay of 90 trials, an exponential distribution of delays predicts 11% of par-
ticipants to have delays below 10 trials, twice the number expected if the distribution was uniform. This would result in non-trivial nearly-immediate decay in the mean retention curve. We thus devised a method to estimate the average individual decay onset time from the
group data in a way that was not sensitive to a fraction of individuals decaying early. To do
this, we stratified subjects into two equal-sized groups according to the amount they decayed
in the first 50 trials of the retention period—those who decayed most and those who decayed
least (Fig 5B). If the distribution of decay onset delays was exponentially-shaped with a mean PLOS Computational Biology | DOI:10.1371/journal.pcbi.1004278
June 25, 2015 12 / 31 Evaluating the Context Change Detection Hypothesis of 90 trials as V&S suggested, 57% of the subjects would display delays longer than 50 trials, so
the small-decay subgroup should be composed largely or entirely of these individuals and
would thus be expected to display nearly perfect retention during this 50-trial period. On the
other hand, if decay onset was immediate, this small-decay subgroup would show rapid decay. We quantified the rapidity of decay onset using the ratio of early decay to late decay, which we
call the early decay ratio. We simulated this process using exponential population distributions of delays (i.e. each
simulated subject was randomly assigned a delay drawn from an exponential distribution). We
performed 1000 separate simulations for various mean delays, from 0 to 90 trials, with each
simulation consisting of 40 subjects to match the number of subjects in experiment 1 (these
simulations were repeated but with 20 subjects for each simulation as a reference for experi-
ment 2, which had 20 participants). Each simulation also included population distributions for
decay depth, decay rate, and measurement noise that were estimated from the data (see Meth-
ods). The 90-trial mean delay simulation (Fig 5A, left panel) resulted in a small-decay subgroup
that displayed no apparent decay during the first 50 trials followed by a sharp decay thereafter. In fact, the simulation even showed slightly heightened adaptation during the first 50 trials due
to a selection bias that occurred because there were many subjects without decay so those with
the highest average random noise were chosen for the small-decay subgroup, resulting in a
slightly negative early decay ratio (−0.12±0.08). In contrast, the large-decay subgroup rapidly
decayed in the first 50 trials of the retention period (early decay ratio = 0.23±0.06). On the
other hand, the simulation with a mean delay of 0 trials resulted in immediate decay for both
subgroups following a brief bump caused by the noise selection bias (Fig 5A; early decay ratios
of 0.35±0.06 and 0.50±0.03 for small and large decay groups, respectively). The posterior distribution for experiments 1 (left) and 2 (right) are heavily
skewed toward immediate decay, with a maximum a posteriori delay estimate of zero trials in both cases. The
95% confidence interval is 0 trials for experiment 1 and 0–1 trials for experiment 2, whose interval is
somewhat more diffuse because it had 20 rather than 40 participants. These results are in stark contrast to
the 90 and 40 trial mean delays reported for vEC and zEC shooting experiments in V&S, respectively. 13 / 31 PLOS Computational Biology | DOI:10.1371/journal.pcbi.1004278
June 25, 2015 PLOS Computational Biology | DOI:10.1371/journal.pcbi.1004278
June 25, 2015 Evaluating the Context Change Detection Hypothesis characterized the joint distribution of these two values using a multivariate normal distribution
parameterized by its mean and covariance. This yielded an estimate of the joint probability
P(EDlarge, EDsmall | μλ) for the early decay ratios EDlarge and EDsmall given the mean delay μλ,
which is a likelihood function when viewed as a function of μλ. Coupled with a uniform prior
over the integer values from 0 to 90 trials for the mean delay μλ, this likelihood function yielded
the posterior distribution over the mean delays, given the data: P(μλ | EDlarge, EDsmall). characterized the joint distribution of these two values using a multivariate normal distribution
parameterized by its mean and covariance. This yielded an estimate of the joint probability
P(EDlarge, EDsmall | μλ) for the early decay ratios EDlarge and EDsmall given the mean delay μλ,
which is a likelihood function when viewed as a function of μλ. Coupled with a uniform prior
over the integer values from 0 to 90 trials for the mean delay μλ, this likelihood function yielded
the posterior distribution over the mean delays, given the data: P(μλ | EDlarge, EDsmall). This analysis found maximum a posteriori estimates of mean delay to be zero trials for
experiments 1 and 2. The 95% (99%) confidence intervals were the value 0 (interval [0 1]) for
experiment 1, which had more data, and the interval [0 1] ([0 3]) for experiment 2, providing
striking evidence against any substantially delayed decay and against any increases in delay
when context changes are masked. These narrow confidence intervals reflect a profound
change from the prior to the posterior, indicating that the observed early decay ratios provide
strong evidence against a delayed decay onset. This analysis found maximum a posteriori estimates of mean delay to be zero trials for
experiments 1 and 2. The 95% (99%) confidence intervals were the value 0 (interval [0 1]) for
experiment 1, which had more data, and the interval [0 1] ([0 3]) for experiment 2, providing
striking evidence against any substantially delayed decay and against any increases in delay
when context changes are masked. These narrow confidence intervals reflect a profound
change from the prior to the posterior, indicating that the observed early decay ratios provide
strong evidence against a delayed decay onset. Fitting noisy data with delayed exponentials requires an unconstrained
delay parameter The 0-trial mean delay for vEC retention we found with 95% confidence using the group-level
analysis stands in stark contrast to the 90-trial mean delay suggested by V&S based on an indi-
vidual-level analysis. In order to understand the discrepancy between these results, we also per-
formed an individual-level analysis to estimate decay onset delays in individual participants. As with the group-level analysis, we first removed the vEC-induced oscillations from the
individual subject data. However, as expected, the individual subject data were still quite noisy. This substantial noise causes statistical bias if the estimated decay onset is constrained to occur
at or after the beginning of the retention block, as was done in V&S using the rationale that an
earlier onset would require the subject to somehow anticipate the retention period and is there-
fore impossible. For noise-free data, such a constraint would not be problematic, but with any
noise in the data, such a constraint would bias delay estimates toward the interior of the con-
straint region. This would have a particularly large effect if the true delay was zero, because pos-
itive-delay estimation errors would be accepted and negative-delay errors would not. This
effect prevents unbiased hypothesis testing about whether decay onset is systematically
delayed. To estimate the importance of this effect, we repeatedly estimated the delay parameter, λ,
from a simulated set of retention curves (n = 10,000). We added random white noise with an
amplitude estimated from our shooting movement data (see Methods) to exponentially-decay-
ing retention curves that began to decay immediately at retention period onset. Using a win-
dow of data spanning 150 trials before the retention period onset through 325 trials after it, we
fit a delayed exponential to each noisy decay curve: f ðtÞ ¼
a; if t l
ða bÞexp ðt lÞ
t
þ b; if t > l
8
<
: We repeated the fitting both with and without constraining λ. Unconstrained fitting
resulted in the expected bell-shaped distribution of λ estimates centered near zero. However,
constraining λ0 resulted in λ estimates that were exclusively non-negative and with an
approximately exponential-shaped distribution, similar to those reported in V&S (Fig 6A). When we stratified
the experimental data in the same way, we found that both experiment 1 vEC data and experi-
ment 2 zEC data display immediate decay with patterns similar to those predicted by the simu-
lation with a mean delay of 0 trials (immediate decay), but qualitatively different from those
predicted by the simulation with a mean delay of 90 trials (Fig 5A and 5B). Note that the traces
and shading for the simulations illustrate the means and standard deviations of the retention
curve across 1000 simulations; individual simulations were much noisier, similar to the data. The corresponding early decay ratios were 0.31 and 0.67 for the small and big decay subgroups
in experiment 1, and 0.40 and 0.69 in experiment 2. We also found the divisions to be balanced
across FF direction and vEC sequence, with 10 (10) subjects in the low-decay group for experi-
ment 1 coming from the +FF (–FF) direction and 9 (11) coming from experiment 1a (1b),
while 4 (6) subjects in the low-decay subgroup for experiment 2 came from the +FF (–FF)
direction, indicating that the median division was not selecting subjects based on some proper-
ties of the experimental manipulation but rather on their individual behavior. These qualitative results indicate a mean delay much closer to 0 than the 90 trial estimate
that V&S suggested, but do not provide rigorous statistical bounds on an estimate of the true
mean delay before decay onset. To accomplish that, we used a Bayesian approach to estimate a
probability distribution for the mean delay in our dataset, from which we could estimate confi-
dence bounds. The context-dependent decay hypothesis posits an exponential distribution of
delays over subjects with means as large as 90 trials for the vEC experiment. The intrinsic
decay hypothesis posits immediate decay for all subjects, which implies an exponential distri-
bution with mean 0 and can thus be considered part of the same family. We therefore framed
the problem as determining confidence bounds on the mean delay from the family of exponen-
tial distributions with different means, with low mean delays favoring intrinsic decay and large
mean delays favoring context detection. Each of the 1000 simulations (above) yielded two scalars for each simulation: the
early decay ratios for the high-decay and the low-decay median-divided subgroups. We PLOS Computational Biology | DOI:10.1371/journal.pcbi.1004278
June 25, 2015 14 / 31 The right panel
shows many positive delays but the potential negative delays that could balance these are not permitted by the fitting procedure so the significance of the
positive delays cannot be discerned. In contrast, the left panel shows most delay estimates to be near zero, and is well-balanced between positive and
negative values. The inset shows that the subjects who were well-fit by a delayed exponential tended to have delays near zero, while subjects who were
poorly fit had delays more uniformly spaced throughout the fitting window [−100, 325], suggesting that the large amplitude delays likely arose from poor fitting
rather than the existence of truly delayed decay behavior. These results are consistent with the group-level analysis. Fig 6. Individual-level analysis of decay onset time. (A) Distributions of delay parameter estimates obtained from fitting a delayed exponential to
simulated noisy zero-delay data. Fits that did not constrain the delay parameter (left panel) resulted in a distribution of delay estimates centered near zero
trials after the retention period onset with some positive and some negative delays. In contrast, constraining the fit delay to be non-negative (right panel) shifts
the left half of the unconstrained distribution to zero while preserving the right half. Using the latter procedure, it impossible to meaningfully test for the
existence of a delay since even the zero-delay simulation results in only positive values, substantially biasing the average delay estimate. (B) Three example
subjects from experiment 1 with best-fit delayed exponentials (black lines). These subjects had best-fit delays that were moderately negative (top),
moderately positive (middle), and highly positive (bottom). The dashed line represents the best-fit zero-delay exponential. (C) Delay parameter estimates for
experiments 1 and 2 are centered near zero, with some positive and some negative estimated delays. The vEC condition (experiment 1) does not show more
delay than the zEC condition (experiment 2), despite the masked context change that should make this change take longer to detect. (D) Histogram of delays
aggregated across all experimental conditions based on unconstrained (left panel) and constrained (right panel) fits of the delay parameter. The right panel
shows many positive delays but the potential negative delays that could balance these are not permitted by the fitting procedure so the significance of the
positive delays cannot be discerned. In contrast, the left panel shows most delay estimates to be near zero, and is well-balanced between positive and
negative values. Evaluating the Context Change Detection Hypothesis half of the unconstrained distribution—a combination that can appear to be exponentially dis-
tributed depending on the bin size. Since the true delays were set to exactly zero in these simulations, both the impossible nega-
tive delays and the plausible positive delays from the unconstrained analysis could only result
from the noise we injected corrupting the parameter estimates. In the unconstrained analysis,
this noise systematically affects the spread of the fit values but not the mean, so we can test for
the presence of a systematically delayed decay by examining the mean. In contrast, this noise in
the constrained distribution systematically shifts the mean of the fit values, thus preventing the the presence of a systematically delayed decay by examining the mean. In contrast, this noise in
the constrained distribution systematically shifts the mean of the fit values, thus preventing the
Fig 6. Individual-level analysis of decay onset time. (A) Distributions of delay parameter estimates obtained from fitting a delayed exponential to
simulated noisy zero-delay data. Fits that did not constrain the delay parameter (left panel) resulted in a distribution of delay estimates centered near zero
trials after the retention period onset with some positive and some negative delays. In contrast, constraining the fit delay to be non-negative (right panel) shifts
the left half of the unconstrained distribution to zero while preserving the right half. Using the latter procedure, it impossible to meaningfully test for the
existence of a delay since even the zero-delay simulation results in only positive values, substantially biasing the average delay estimate. (B) Three example
subjects from experiment 1 with best-fit delayed exponentials (black lines). These subjects had best-fit delays that were moderately negative (top),
moderately positive (middle), and highly positive (bottom). The dashed line represents the best-fit zero-delay exponential. (C) Delay parameter estimates for
experiments 1 and 2 are centered near zero, with some positive and some negative estimated delays. The vEC condition (experiment 1) does not show more
delay than the zEC condition (experiment 2), despite the masked context change that should make this change take longer to detect. (D) Histogram of delays
aggregated across all experimental conditions based on unconstrained (left panel) and constrained (right panel) fits of the delay parameter. Fitting noisy data with delayed exponentials requires an unconstrained
delay parameter This roughly exponential shape results from the combination of the positive half of the bell-
shaped unconstrained distribution and a delta function at λ = 0 corresponding to the negative PLOS Computational Biology | DOI:10.1371/journal.pcbi.1004278
June 25, 2015 15 / 31 doi:10.1371/journal.pcbi.1004278.g006 Individual-level analysis indicates essentially no systematic delay in
decay onset We examined the delay in the individual participant decay by fitting exponential functions with
unconstrained delay parameters to the error clamp trials during the last 150 trials of the learning
period (trials −150 to 0) and the entirety of the retention period (trials 1–325) (Fig 6B). The delay
parameter, λ, represents the decay onset time for the best-fit delayed exponential function relative
to the beginning of the retention period (see equation in the previous section). In both experiments 1 and 2, we found the distributions of delays to be largely centered near
zero (median = 3.4 (p = 0.10, Wilcoxon sign-rank test), and 7.6 (p = 0.04) trials, respectively,
Fig 6C). These near-zero delays stand in contrast to the predictions of the context change detec-
tion hypothesis and the results of V&S that reported delays of 96±27 and 44±29 trials, respec-
tively, for vEC and zEC-based retention. Moreover, we found the distributions of best-fit delays
for experiments 1 and 2 to be very similar, despite the presence of a vEC manipulation that
masked the context change in experiment 1. In fact, the shift in delays we observed was nomi-
nally in the wrong direction compared to the prediction of the context change detection hypothe-
sis (p = 0.56, Mann-Whitney U-test). The point-to-point movements also displayed near-zero
median delays with no significant differences between vEC and zEC-based retention (S6 File). Combining all the data to give a better picture of the full distribution of delay estimates highlights
how most unconstrained delays are near zero, both positive and negative (Fig 6D). These results
indicate neither systematically delayed decay onset nor an increase in the decay onset delay when
the context change is more difficult to detect. This agrees with the group-level analysis presented
above but is at odds with the context change hypothesis for decay. g
y
y
In many ways, constraining delay values to be positive for the individual fits is analogous to
applying a uniform prior over the positive mean delay values in the group-level analysis we
performed above. Indeed, the individual-level constraint is equivalent to using a flat prior over
the positive delays and using the resulting maximum a posteriori point estimate. As such, the
constrained V&S analysis can be viewed as a way to recover the most likely possible delay for
each individual subject. Evaluating the Context Change Detection Hypothesis presence of any true delay in the data to be clearly identified or rejected. We therefore esti-
mated λ without constraint. presence of any true delay in the data to be clearly identified or rejected. We therefore esti-
mated λ without constraint. Individual-level analysis indicates essentially no systematic delay in
decay onset This may be reasonable for obtaining a low-certainty estimation of the
delay for each subject, even though it is biased. However, the analysis becomes highly problem-
atic when these biased point-estimates are amalgamated. The group-level estimate of the mean
delay is also biased toward large delay estimates—the posterior for a true delay of zero trials
will have some mass greater than zero but none less than zero—but it has several advantages
that make the analysis reasonable. The first advantage is that the group-level analysis is explicit
about its uncertainty in the form of a distribution and confidence intervals, as opposed to the
individual-level delay point-estimates that are treated as certain. The second advantage is that
the group-level analysis has substantially greater statistical power, as evidenced by the narrow
confidence intervals, implying that the bias is contained within the narrow range of a few trials. This small bias is not as problematic as the much larger bias introduced by fitting delayed
exponentials to individual data, which is likely on the order of tens of trials because of the sub-
stantially greater noise and drift in the individual data. The inset shows that the subjects who were well-fit by a delayed exponential tended to have delays near zero, while subjects who were
poorly fit had delays more uniformly spaced throughout the fitting window [−100, 325], suggesting that the large amplitude delays likely arose from poor fitting
rather than the existence of truly delayed decay behavior. These results are consistent with the group-level analysis. PLOS Computational Biology | DOI:10.1371/journal.pcbi.1004278
June 25, 2015 16 / 31 Evaluating the Context Change Detection Hypothesis tended to occur in cases where the fit quality was poor. In fact, individuals well-fit by the
delayed exponential (R2>0.5, corresponding to dots in the top half of Fig 6D) tended to have
best-fit delays near zero, whereas individuals less-well fit (dots in the bottom half of Fig 6D)
had delay estimates that appear to be distributed somewhat uniformly throughout the experi-
ment window. This suggests that noise dominated the fitting procedure for the less-well fit
individuals, making the fitted parameter estimates unreliable. Note that if subjects did indeed
have different delays, we would instead expect the maximum R2 values to occur when the
delays are near the middle of the fitting window, around trial 90, since this is the delayed expo-
nential that maximizes the variance over a constant function. We hypothesized that both the poor fitting and the large estimated delays were caused by
random drifting noise in adaptation levels during the retention period, as such drift is readily
apparent in many subjects’ data, including all example subjects shown in Figs 6B and 7A. The
vEC data in Fig 6 had the average response to the vEC sequence subtracted from the individual
data, so the apparent drift is not likely to be driven by vEC sequence specific components,
although individual differences in learning rates and stiffness could cause some residual vEC-
specific patterns to remain. However, drift was also clearly present in zEC subjects (Fig 7A)
who did not have errors during the retention period, so the observed drift could not be merely
explained by the presence of an externally-imposed error sequence. We characterized drift during the retention period using the autocorrelation and partial
autocorrelation functions. The autocorrelation function at a given lag τ measures how trials
separated by τ are correlated. Thus, if adjacent trials are strongly correlated, then trials two
apart will also be. The partial autocorrelation corrects for this by describing how trials sepa-
rated by τ are correlated after adjusting for correlations expected from all the intermediate tri-
als, thereby producing an estimate of the individual contribution of each lag to the observed
correlation structure. The retention periods from experiments 1 and 2 show strongly positive
autocorrelation and partial autocorrelation, thus showing there is significant drift in these
retention periods since independent noise predicts both these functions to be zero. Trial-by-trial decay with random drift explains the observed distribution of
delay estimates While the estimated delay parameters from the individual-level analysis were largely distrib-
uted near zero, they were occasionally very large in amplitude. We noticed, however, that this PLOS Computational Biology | DOI:10.1371/journal.pcbi.1004278
June 25, 2015 17 / 31 PLOS Computational Biology | DOI:10.1371/journal.pcbi.1004278
June 25, 2015 (B-C) The autocorrelation function (B) at lag τ represents the raw correlation
between trials separated by τ, i.e. between trial t and t−τ. The partial autocorrelation function (C) measures the correlations for trials separated by τ adjusting
for the effects of the intermediate trials (see Methods). Independent noise will have autocorrelation and partial autocorrelation functions equal to zero. The
red and blue traces from experiments 1 (vEC) and 2 (zEC) have autocorrelations consistently greater than zero, thus showing there is correlated noise (drift)
present during the retention period data. The black lines are the result of a simulation designed to match the correlation structure of the data. The simulations
included 60 subjects, each decaying with zero delay, and with individual differences in decay depth, decay rate, and noise level (see Methods). We then fit
these simulations with delayed exponentials to determine the effect of the drift on the resulting distribution of delay estimates. (D) Two example simulated
subjects show realistic drifting behavior, comparable to that in panel A. (E) Both the simulations with and without drift have similar histograms to the
experimental data for decay depth, decay rate, and standard deviation of noise during the retention period (retention noise). As expected, the partial
autocorrelation function at lags 1–3 (PAC1–PAC3) are different for the drift and no-drift simulations with the drift simulation matching the data. The simulation
with drift results in delay estimates that have a distribution similar to the experimental data: largely centered at zero with a wide spread and several subjects
with very large delay estimates In contrast the simulation without drift has a much narrower distribution of delays and fewer large delay estimates This Fig 7. The effect of drift in the retention period on the individual-level delay estimates. We hypothesized that the poor fitting and large delays we found
in some subjects in Fig 6D were due to random drifting noise in the retention period. (A) Two example subjects from the zEC shooting movement experiment
show pronounced drift (large persistent deviations) in the retention period. (B-C) The autocorrelation function (B) at lag τ represents the raw correlation
between trials separated by τ, i.e. between trial t and t−τ. The partial autocorrelation function (C) measures the correlations for trials separated by τ adjusting
for the effects of the intermediate trials (see Methods). Independent noise will have autocorrelation and partial autocorrelation functions equal to zero. Further-
more, the autocorrelation and partial autocorrelation functions are consistent between the two
experiments (Fig 7B and 7C) with the only significant difference in the partial autocorrelation
function occurring at lag-2, where the vEC data is 25% less than zEC. This single difference in
the partial autocorrelation at lag-2 gives rise to a fixed gap between the vEC and zEC autocorre-
lation functions at lags of 2 and above. To explore how sensitive the individual-level curve fitting procedure for delay estimation
might be to the drifts in the individual subject data, we simulated a decay process either with or
without drift. To make the simulations realistic, they also included individual differences in
decay depth, decay rate, and random (white) noise, with parameters drawn from population
distributions derived from our data. We characterized the drift using an autoregressive mov-
ing-average model (see Methods). We chose the drift parameters to match the autocorrelation
and partial autocorrelation functions of the data (Fig 7B and 7C), thus ensuring the simulations
had similar noise correlations to the data. Importantly, all simulations included immediate
decay in the retention block. The two example simulated subjects in Fig 7D suggest that this
model captures realistic drifting behavior. More rigorously, the autocorrelation and partial
autocorrelation functions of the drift model agree well with the data (Fig 7B and 7C). Using an unconstrained individual-level fitting of the decay onset delay, this zero-delay sim-
ulation with drift largely reproduced both the width of the delay estimate histogram derived
from the data (interquartile ranges of 61 trials for the data vs 52 trials for the simulation with
drift) as well as having several extreme-valued outliers (Fig 7E, right panel). Removing drift
from the simulation while retaining individual differences in decay depth, decay rate, and ran-
dom noise resulted in a much narrower spread (interquartile range of 9 trials) with only a few PLOS Computational Biology | DOI:10.1371/journal.pcbi.1004278
June 25, 2015 18 / 31 Evaluating the Context Change Detection Hypothesis Fig 7. The effect of drift in the retention period on the individual-level delay estimates. We hypothesized that the poor fitting and large delays we found
in some subjects in Fig 6D were due to random drifting noise in the retention period. (A) Two example subjects from the zEC shooting movement experiment
show pronounced drift (large persistent deviations) in the retention period. Comparison to the Vaswani and Shadmehr results Given that the experiments performed here were largely inspired by those that V&S conducted,
and in some cases were directly derived from them (the +FF arms of experiments 1a and 2), it
may seem somewhat surprising that the findings disagree so strongly. Fortunately, the current
results shed light on why this is the case. One key issue is that V&S constrained delay estimate
parameter, λ, to be after retention period onset (λ0), but we show this causes biased estimates
of delay in the presence of noise, especially if true delays are near zero (Fig 6A). Moreover, we
find clear evidence of drifting (correlated noise) behavior superimposed on the decay curves in
our data and show that these drifts increase the spread of the distribution of delay estimates
(Fig 7), which would amplify the delay estimation bias when coupled with the λ0 constraint. Our data also provide insight into why V&S reported a lack of decay for vEC-based reten-
tion. We found 3 main issues obscuring the decay in the vEC retention period. The first issue is
that all participants in the previous study used the same vEC error sequence, resulting in vEC-
based retention curves that were obscured by a large irregular pattern of oscillations due to
stiffness- and learning-related motor responses driven by the specific vEC sequence employed. Grossly, these effects manifest as what looks like noise superimposed on the retention curves
that makes the true retention curves difficult to discern (see Fig 3A and 3B). Interestingly,
these effects were acknowledged but not accounted for in the V&S study. Here we found that Given that the experiments performed here were largely inspired by those that V&S conducted,
and in some cases were directly derived from them (the +FF arms of experiments 1a and 2), it
may seem somewhat surprising that the findings disagree so strongly. Fortunately, the current
results shed light on why this is the case. One key issue is that V&S constrained delay estimate
parameter, λ, to be after retention period onset (λ0), but we show this causes biased estimates
of delay in the presence of noise, especially if true delays are near zero (Fig 6A). Discussion We examined the context-dependent decay hypothesis for the decay of motor adaptation by
expanding and refining the experimental design and data analysis presented in the Vaswani
and Shadmehr ([14], V&S) paper that first proposed this hypothesis. These additional experi-
ments and analyses provide a clearer view of decay behavior, but they also eliminate previous
support for the context-dependent decay hypothesis. One line of evidence for the context-dependent decay hypothesis was the lack of decay
observed when vEC trials were used to mask the transition from a training period to a retention
period [14]. As in the V&S study, we used a vEC-based retention period to effectively match
several key features of the training environment, thereby masking the context change to a simi-
lar degree (Fig 2). However, we nevertheless found clear evidence for robust decay during vEC-
based retention, and we found that the amount of decay was essentially identical regardless of
whether the context was masked (vEC-based) or not (zEC-based) (Figs 3 and 4). The most direct evidence for the context change hypothesis would be the demonstration of
an interval of full retention before participants detected the changed context, i.e. a delayed
decay onset. Previous findings suggested this delay to already be 40 trials on average in an ordi-
nary zEC retention period, ballooning to over 90 trials in a vEC-based retention period where
the context change is masked [14]. However, using a statistically-powerful group analysis, we
estimate the delay to be zero trials for both vEC and zEC-based retention, with 95% confidence
that the delay is no more than 1 trial in both cases (Fig 5). An individual subject analysis sup-
ports this result, estimating the distribution of individual delays to be centered near zero trials
for both vEC and zEC-based retention (Fig 6). These findings show decay to be independent of
context change detection and instead suggest that continual incremental decay is an inherent
component of error-based learning. Evaluating the Context Change Detection Hypothesis function values, suggesting that the data could have arisen from such a model (Fig 7E). This
analysis shows that a zero-delay trial-by-trial decay model that includes random drift can
account for the pattern of individual participant delay estimates observed in the experimental
data. The
red and blue traces from experiments 1 (vEC) and 2 (zEC) have autocorrelations consistently greater than zero, thus showing there is correlated noise (drift)
present during the retention period data. The black lines are the result of a simulation designed to match the correlation structure of the data. The simulations
included 60 subjects, each decaying with zero delay, and with individual differences in decay depth, decay rate, and noise level (see Methods). We then fit
these simulations with delayed exponentials to determine the effect of the drift on the resulting distribution of delay estimates. (D) Two example simulated
subjects show realistic drifting behavior, comparable to that in panel A. (E) Both the simulations with and without drift have similar histograms to the
experimental data for decay depth, decay rate, and standard deviation of noise during the retention period (retention noise). As expected, the partial
autocorrelation function at lags 1–3 (PAC1–PAC3) are different for the drift and no-drift simulations with the drift simulation matching the data. The simulation
with drift results in delay estimates that have a distribution similar to the experimental data: largely centered at zero with a wide spread and several subjects
with very large delay estimates. In contrast, the simulation without drift has a much narrower distribution of delays and fewer large delay estimates. This
shows that the amount of drift present in the data is capable of causing best-fit delays to be very large even when the true delay is zero. doi:10.1371/journal.pcbi.1004278.g007 extreme-valued simulated subjects who were poorly fit due to having small decay magnitude. The simulations with drift also displayed similar population histograms to the experimental
data for decay depth, decay rate, retention period noise, and the first few partial autocorrelation extreme-valued simulated subjects who were poorly fit due to having small decay magnitude. The simulations with drift also displayed similar population histograms to the experimental
data for decay depth, decay rate, retention period noise, and the first few partial autocorrelation PLOS Computational Biology | DOI:10.1371/journal.pcbi.1004278
June 25, 2015 19 / 31 PLOS Computational Biology | DOI:10.1371/journal.pcbi.1004278
June 25, 2015 Evaluating the Context Change Detection Hypothesis balancing the vEC sequence effectively cancelled out the vast majority of the trial-to-trial vari-
ance in the mean decay curve, revealing clear decay even in the unreferenced +FF data that
showed weak learning. The second issue is that the previous study examined vEC decay only
following +FF training, with the result that learning and decay were both underestimated com-
pared to what would be observed if participants were balanced across +FF and −FF training. Our unreferenced +FF data showed weak learning and decay, but our unreferenced −FF data
showed strong learning and decay, making it clear that strong decay can occur in a vEC-based
retention period that masks context change. Finally, the third issue is that the previous study
examined vEC decay without reference to the behavior expected following null FF “training” as
a control. We show that subtracting the baseline response to null FF training, measured in
experiment 3, reveals strong decay in both FF directions (Fig 4). Thus we show that either (1)
balancing the vEC sequence (Fig 3), (2) balancing +FF and −FF training (Fig 3), or (3) control-
referencing the decay curve by subtracting the null FF training baseline from it (Fig 4) reveals a
robust pattern of learning and decay in both zEC and vEC data. An additional issue is that V&S masked context change with vEC-based retention only for
+FF shooting movements; however they primarily compared these results to zEC-based reten-
tion for +FF point-to-point movements. Our results show that failing to equate movement type
in this comparison would inflate the apparent zEC vs vEC difference for unreferenced data
because unreferenced +FF point-to-point data display somewhat greater zEC decay than unre-
ferenced +FF shooting data (Fig 3). When we compared vEC-based retention to zEC-based
retention within the same movement type, we found essentially identical decay for vEC and
zEC trials. In summary, we suggest that the differences between the current findings and those
reported in V&S primarily arise from better-controlled experimental design (balancing the
vEC sequence and FF orientation) and analysis (referencing the decay curves to an appropriate
baseline, comparing decay within rather than across movement types, and using an unbiased
estimate of decay onset delay) in the current study. Drifts in motor output during the decay of motor adaption Like V&S, we found that fitting delayed exponential functions to individual subject data
resulted in a few very long best-fit delays. However, these extremal fit parameters were some-
times positive and sometimes negative, and the goodness of fit in these cases tended to be poor,
suggesting parameter estimation was unreliable. Interestingly, we also observed a clear pattern
of drifting behavior in the individual decay curves (Fig 6B), which would decrease the fidelity
of individual parameter estimates and also potentially give the visual impression of delayed
decay in a small number of individuals. Further analysis revealed the amount of drifting behav-
ior present in our data to be sufficient to broaden the distribution of estimated delays to agree
with the data and to account for the small number of very long best-fit delays even if there were
no true delays in decay onset (Fig 7). These drifts largely cancel in the group-averaged data so
they have much less effect on the decay magnitude estimates and the group-level analysis of
delay. Comparison to the Vaswani and Shadmehr results Moreover, we
find clear evidence of drifting (correlated noise) behavior superimposed on the decay curves in
our data and show that these drifts increase the spread of the distribution of delay estimates
(Fig 7), which would amplify the delay estimation bias when coupled with the λ0 constraint. Our data also provide insight into why V&S reported a lack of decay for vEC-based reten-
tion. We found 3 main issues obscuring the decay in the vEC retention period. The first issue is
that all participants in the previous study used the same vEC error sequence, resulting in vEC-
based retention curves that were obscured by a large irregular pattern of oscillations due to
stiffness- and learning-related motor responses driven by the specific vEC sequence employed. Grossly, these effects manifest as what looks like noise superimposed on the retention curves
that makes the true retention curves difficult to discern (see Fig 3A and 3B). Interestingly,
these effects were acknowledged but not accounted for in the V&S study. Here we found that PLOS Computational Biology | DOI:10.1371/journal.pcbi.1004278
June 25, 2015 20 / 31 Evaluating the Context Change Detection Hypothesis small to drive additional adaptation. However, small errors have been shown to drive proportion-
ally larger adaptive responses than large errors [25–27]. Furthermore, the size of the asymptotic
error is not fixed but scales with the size of the perturbation [28,17]: large perturbations have
large asymptotic errors, yet similar errors are compensated for on small perturbations resulting
in smaller asymptotic errors. This implies that the motor system is in fact sensitive to those larger
errors, yet is unable to compensate for them when the perturbation is large. Since the motor sys-
tem seems to be attempting to eliminate these asymptotic errors, stable but incomplete asymp-
totic adaptation can only be achieved as an equilibrium between the new learning on each trial
(usually 5–20% of the remaining error [2,19,29]) and the same amount of decay on each trial. This idea is further supported by a recent study from van der Kooij et al. [30], who manipulated
the balance between new learning and decay by magnifying or shrinking endpoint feedback dur-
ing learning, which should affect the learning on each trial but not the decay. They demonstrated
that when the error signal was magnified, thereby increasing the drive for error-dependent learn-
ing, asymptotic adaptation increased compared to veridical error display because the stronger
learning required less true error to balance the decay. They also demonstrated the complemen-
tary finding of weaker asymptotic learning for error-signal shrinkage. The authors interpret this
as support for the idea that incomplete adaptation arises from an equilibrium between new learn-
ing and decay, in line with the intrinsic decay hypothesis. In contrast, the intrinsically-stable adaptation posited in the context-dependent decay hypoth-
esis would result in perfect retention (A = 1 in state space models) if no context change were
detected, as would be the case during the late training period. With perfect retention, there would
be no decay to balance the new learning, so learning would proceed to fully compensate for the
perturbation at asymptote, resulting in no asymptotic error, contrary to widespread experimental
observations showing incomplete learning and non-zero asymptotic error. While intrinsic decay may seem like a bug preventing the maintenance of stable memories,
it can instead be seen as a useful feature that supports robust motor learning. Transient motor
memories are an appropriate response to transient changes to the environment such as don-
ning eyeglasses that will soon be removed, performing limited-duration tasks, or adjusting to
changes in motor output ability arising from transient muscle fatigue. Matching the persistence
of a motor memory to the persistence of the environment allows ideal flexibility and compen-
sation [31]. A possible mechanism for matching the rate of decay to the durability of the corre-
sponding sensorimotor stimuli is a multi-rate learning model [2]. A second feature of intrinsic decay is that it provides a mechanism for optimizing the trade-
off between energy and task success [32,33]. Task success is prioritized by learning from errors,
while energy is minimized by decaying back to a lower-energy state. An equilibrium is formed
when the additional task success is no longer more important than the increased energy cost,
which occurs when the learning and the decay balance. While this idea is particularly attractive
in the case when decay is directed toward a lower-energy state, as is the case in FF learning
where decay serves to reduce the lateral force produced, it is less clear how decay toward a
same-energy state optimizes energy expenditure. For example, decay in visuomotor rotation
tasks is generally directed toward baseline performance of no rotation, despite the fact that
there is no additional energetic cost associated with the rotated movement [3,7,8,11]. One
explanation is that energetic costs in these cases may be associated with changing the more per-
manent neural mappings to reflect the new learning. Intrinsic trial by trial decay Further support for the intrinsic trial-by-trial decay hypothesis is provided by the widespread
observation that asymptotic motor adaptation is incomplete, generally reaching levels 10–30%
short of what would be required for a complete compensatory response [10,17–24]. This results
in consistent non-zero asymptotic errors that are not further reduced by additional motor
adaptation. One possible explanation for the persistence of these errors is that they are too 21 / 31 PLOS Computational Biology | DOI:10.1371/journal.pcbi.1004278
June 25, 2015 Participants One hundred and thirty subjects (mean age 22.1±5.2, 71 female) with no known neurological
impairment participated in the study. One hundred and twenty eight were right handed, and
all subjects used their right hand for the experiments. Ethics statement All experiments were approved by the Harvard University Institutional Review Board. All sub-
jects provided informed consent to participate. Evaluating the Context Change Detection Hypothesis in Fig 5 establishes that individuals are not slowly accumulating evidence that the context has
changed, the signature of context-dependent decay as it has been proposed, because slow accu-
mulation is at odds with the decay onset latencies of 0–1 trials that we found. We also show
that decay onset is very similar for the unmasked zEC and masked vEC retention periods (Figs
5 and 6), using the same masking procedure that provided the previous support for the con-
text-dependent decay hypothesis. Therefore, our results contradict both predictions that the
context-dependent decay hypothesis previously advanced and leave the hypothesis without
support. Still, it is impossible to prove that the decay is not driven by some change of context. Indeed,
an environment that probes the retention of previous training must be different in some way
than the environment used for training, so there will always be a change of context between
training and retention environments that could conceivably account for differences in behavior
observed. Thus the relevant question is whether there is, in fact, a tangible difference in behav-
ior between training and retention periods that is not caused by the removal of the training sig-
nal itself (i.e. the error signal that drives continued learning). The current experiments find no
evidence for such a difference, but this cannot, of course, preclude future work from demon-
strating one. What we have specifically shown here using vEC vs zEC-based retention blocks is
that large differences in error variability and reward frequency have little effect on the retention
of a learned adaptation, in contrast to what was previously suggested. Thus if context change
detection is required for the decay of motor adaptation, the mechanism for this detection must
be both exceedingly rapid (resulting in a latency 1 trial) and based on contextual information
that is not yet understood. Context-dependent decay Previous support for context-dependent decay hinged on 2 key predictions: delayed decay and
increased delays with masked context changes. The group-level decay onset analysis illustrated 22 / 31 PLOS Computational Biology | DOI:10.1371/journal.pcbi.1004278
June 25, 2015 PLOS Computational Biology | DOI:10.1371/journal.pcbi.1004278
June 25, 2015 Variable error clamp movements Zero-error clamp (zEC) trials constrained the movement to go straight to the target, clamping
the lateral error to zero. Consequently, transitioning from FF training to a zEC retention block
results in sharply decreased movement direction variability and increased reward frequency. Zero-error clamp (zEC) trials constrained the movement to go straight to the target, clamping
the lateral error to zero. Consequently, transitioning from FF training to a zEC retention block
results in sharply decreased movement direction variability and increased reward frequency. To mask the context change from training to retention blocks, we used a retention block
composed of variable error clamp (vEC) trials. While zEC and vEC trials both constrained the
movement to a specified straight-line path, the vEC path direction varied subtly from one trial
to the next. The direction for each trial was drawn from a zero-mean Gaussian distribution
with a standard deviation of 2.6°, similar to the variability observed late in FF training and
matching the variability used by V&S. To mask the context change from training to retention blocks, we used a retention block
composed of variable error clamp (vEC) trials. While zEC and vEC trials both constrained the
movement to a specified straight-line path, the vEC path direction varied subtly from one trial
to the next. The direction for each trial was drawn from a zero-mean Gaussian distribution
with a standard deviation of 2.6°, similar to the variability observed late in FF training and
matching the variability used by V&S. We used both vEC and zEC trials to measure the retention of adaptation throughout the
shooting movement retention period. However, vEC trials suffer from a stiffness-related bias
introduced by their directional errors: subjects are trying to move straight forward but are
forced to move at a non-zero angle, resulting in extra force toward the middle that scales with
the subject’s stiffness. To estimate this bias, we used a linear model to estimate the relationship
between the error clamp direction and the residual errors, computed as the difference between
the adaptation coefficient and the smoothed adaptation using only zEC trials (moving average
filter, 25 trial window). The result was a −0.03 change of adaptation coefficient per degree of
angular error. However, having removed the stiffness-related bias, large swings in adaptation remained
during the vEC period of a pilot study. Evaluating the Context Change Detection Hypothesis animation of the target exploding on the screen. Movements passing within 6mm of the target
center, but outside of the designated times, were labeled too fast or too slow by instead recolor-
ing the target red or blue, respectively, without a sound. No visual or auditory feedback was
given on trials that failed to pass within 6mm of the target center. Experiments 4–6 were based on point-to-point movements, which stopped at the target. These movements are described in the supplementary materials (S1 File). During each movement, the robotic manipulandum applied forces in one of three ways. During null field trials, no forces were applied. During force field (FF) trials, a force propor-
tional and orthogonal to the movement velocity was applied: for a given movement velocity x_! ¼ ½_x _y
T, the robot produced a force F
! ¼ ½Fx Fy
T equal to F
! ¼ B x_!, where B ¼
0
b
b
0
"
# defines a curl force field. The sign of the scalar parameter b dictates the direction of the force
field. The +FF subgroups experienced FFs with b = +15N/(m/s), whereas the −FF subgroups
experienced FFs with b = –15 N/(m/s). The third way the manipulandum applied forces was
through error clamp (EC) trials [1,2,6,10,12,14,34,35]. During EC trials, reactive forces effec-
tively constrained motion to a straight-line path. These reactive forces acted to create a virtual
spring with stiffness of 6000N/m and damping of 250N/(m/s) in the axis orthogonal to the
path constraint (Fig 1). Experimental paradigm Subjects performed 10cm reaching movements to a 1cm diameter target while grasping the
handle of a 2-link planar robotic manipulandum, which produced forces and measured kine-
matics at a rate of 200Hz. The targets and veridical visual feedback of hand position, in the
form of a 3mm-diameter cursor, were displayed on a computer monitor with a refresh rate of
75Hz. Experiments 1–3 were based on shooting movements that continued past the target without
stopping (Fig 1). The movement was brought to rest by a “virtual pillow” that began 1cm
beyond the target. This pillow was implemented as a resistive viscous force field with a viscosity
increasing with distance beyond the target at a rate of 30N/(m/s) per additional centimeter
beyond the target. 300ms after coming to a complete stop, the robotic manipulandum automat-
ically moved subjects back to the starting point for the next movement. Movements that passed
within 6mm of the target center between 150ms and 250ms after movement onset, which was
defined by a velocity threshold of 5cm/s, were rewarded by a pleasant sounding chirp and brief PLOS Computational Biology | DOI:10.1371/journal.pcbi.1004278
June 25, 2015 23 / 31 PLOS Computational Biology | DOI:10.1371/journal.pcbi.1004278
June 25, 2015 Evaluating the Context Change Detection Hypothesis rightward or leftward misses exceeded 25 trials. This algorithm rejects all but about 1 in 100
thousand randomly generated sequences. Having generated a sequence satisfying the above constraints, we used that sequence (exper-
iment 1a) or its mirror opposite (experiment 1b) for all vEC experiments. This design allowed
us to infer the extent to which vEC-driven learning contaminates the individual subject decay
curves by comparing experiments 1a and 1b as well as remove these effects by averaging sub-
groups 1a and 1b together. This balancing of the vEC direction removes the effects of stiffness
without the need for an explicit model, so we did not separately remove the stiffness-related
bias from the data presented here. The vEC-sequence specific effects will result in noisier, less smooth decay curves. To quan-
tify the smoothness of the decay curves, we used trial-to-trial variance, computed as the vari-
ance of the trial-to-trial changes in adaptation. Equivalently, if d(t) is the running difference
between the adaptation at trial t and at trial t−1, then the trial-to-trial variance is the variance
of d. Adaptation measures For the first part of the analysis, the force produced during an error clamp was quantified using
the adaptation coefficient measure, which regresses the force produced onto the ideal compen-
satory force in a positive-FF environment. For positive subgroups, a perfect force production
would yield an adaptation coefficient of 1; for negative subgroups, a perfection compensation
would yield an adaptation coefficient of −1. This measure has been used extensively
[2,6,10,12,14,17,34,35], particularly with point-to-point movements. For the second part of the analysis, the force produced during an error clamp was quantified
using the integrated lateral force measure, which integrates the lateral component of the com-
pensatory force pattern and normalizes it by the integrated ideal force pattern for a positive FF. As with the adaptation coefficient measure, ideal performance yields an integrated lateral force
measure of +1 for +FF trials and −1 for −FF trials. Unlike the adaptation coefficient measure,
this measure is not sensitive to the specific timing of the compensatory force pattern. Variable error clamp movements The swings arose when the vEC error sequence included
several large errors consecutively in the same direction, indicating that subjects were learning
from the errors. To minimize these effects, we selected an error sequence by randomly generat-
ing candidate sequences, then rejecting sequences that had consecutive patterns of large errors,
quantified using the sequence’s binary error pattern (−1 if the direction misses the target to the
left, +1 if it misses the target to the right, and 0 if it hits the target). Specifically, a sequence was
rejected if the 5-trial smoothed binary error pattern exceeded a magnitude of 0.5, the 9-trial
smoothed pattern exceeded a magnitude of 0.2, or the maximum gap between consecutive PLOS Computational Biology | DOI:10.1371/journal.pcbi.1004278
June 25, 2015 24 / 31 PLOS Computational Biology | DOI:10.1371/journal.pcbi.1004278
June 25, 2015 Quantifying decay The decay of motor adaptation refers to the loss of previously-learned adaptation during a
retention period in which the trained perturbation (FF) is withheld. Its overall magnitude can
be quantified as the difference between the adaptation levels observed in late training and late
retention. By balancing the experiment across FF directions, the fractional decay for the entire experi-
ment can be estimated by comparing the difference between subgroups during the late learning
and the difference during late retention. Specifically, the overall decay for an experiment is
ðLPLNÞðRPRNÞ
LPLN
, where LP and LN refer to the asymptotic learning (mean of last 150 trials in
experiments 1, 2, and 4; mean of last 100 trials in experiment 5) in the positive and negative
subgroups, respectively, and RP and RN refer to the asymptotic retention (mean of all the
retention trials after the first 150) in the positive and negative subgroups, respectively. Error
bars for this overall decay estimate were calculated using a bootstrap procedure. Calculating
the decay in this way accounts for both baseline and learning asymmetries between the FF
directions. Evaluating the Context Change Detection Hypothesis Experimental procedures Experiments 1–3 used shooting-movements in the 90° direction (away from the body) (Fig 1D). Experiment 1 (n = 40; 2x2 design with force field direction (+FF vs. −FF) x vEC sequence (1a vs. its mirror opposite 1b); 10 subjects did each of the 4 permutations) consisted of a training block
composed of 300 FF trials followed by a retention block of 325 vEC trials. Experiment 2 (n = 20;
10 positive FF, 10 negative FF) was identical, except that the retention block used zEC trials. Experiment 3 (n = 10) served as a control experiment, with a 300-trial null field (0-FF) training
block followed by a 300-trial zEC retention block. In each of experiments 1–3, a randomly-selected 20% of the trials in each block, including
the vEC retention blocks, were replaced by zEC trials to allow adaptation to be accurately mea-
sured throughout the experiment. We balanced FF direction (positive versus negative) in all applicable experiments (experi-
ments 1 & 2). This was not an issue in the control experiment (experiment 3) where “training”
was performed using a null FF. Additionally, we balanced experiment 1 against the vEC
sequence of errors by using the mirrored error sequence for half the subjects (experiment 1a vs
1b). Experiments 4–6 were analogous to experiments 1–3 using point-to-point movements. See
supplementary materials for details (S1 File). 25 / 31 PLOS Computational Biology | DOI:10.1371/journal.pcbi.1004278
June 25, 2015 PLOS Computational Biology | DOI:10.1371/journal.pcbi.1004278
June 25, 2015 Evaluating the Context Change Detection Hypothesis these simulated subjects using an approach that constrained the delay parameter to be positive
and compared the results to an unconstrained fit. The same-trial stiffness-related deviations and next-trial motor adaptation-related devia-
tions introduced by vEC directional errors (see Methods: Variable error clamp movements)
corrupt the quality of fit used to estimate the delay parameter and, correspondingly, the esti-
mates themselves. To mitigate this effect, we removed the average vEC-driven deviations in
performance from each subject. The deviations were estimated as half the difference between
experiment 1a and 1b mean retention curves, which used mirror-opposite vEC sequences. We used nonparametric statistics throughout the analysis of individual-level fits because the
resulting delay distribution included particularly heavy tails. We were therefore not able to jus-
tify the assumption of a Normal distribution necessary for the parametric tests we used in our
other analyses. Individual participant analysis of decay onset latency The context-dependent decay hypothesis predicts that the learned adaptation will decay sud-
denly as soon as the context change is observed, but not before. Considering a window around
the late training block and the entire retention block, the predicted shape of the adaptation
curve would then be a delayed exponential function, f ðtÞ ¼
a; if t l
ða bÞexp ðt lÞ
t
þ b; if t > l
ðEquation1Þ
8
<
: We fit the individual subject data using this function using some mild constraints in order
to capture the proposed behavior. The constraints were, jaj < 1:5
jbj < 1 2 t 200 The constraint on τ was derived from the literature, where decay rates have previously been
estimated in the range of 100–150 trials [1,2]. V&S used the same constraint on τ but were
more restrictive of the asymptotic learning and decay levels, with a constrained between 0.5
and 1.5 and b between −0.3 and 0.3. Leaving the delay parameter λ unconstrained is particularly important. In order to show the
context-detection hypothesis is true, there must be evidence against the null hypothesis that
the decay occurs continuously and therefore starts immediately. If all subjects do decay imme-
diately but with noisy motor output, the unconstrained fitted values of λ will be dispersed
around the true value of λ = 0 trials after the training block. If λ is observed to be biased toward
positive values, then there is evidence for decay occurring systematically later in the retention
block, supporting the context-dependent hypothesis. This evidence would be completely
obscured if the constraint λ0 was used, as in V&S, since even the null hypothesis would be
biased toward positive delays. To illustrate this point clearly, we did a simple simulation of
10,000 subjects who had a delay of zero trials, each with asymptotic learning of 0.85, asymptotic
retention of 0.40, decay rate τ = 40, and independent noise with standard deviation 0.2; these
values represent the mean unconstrained fit parameters in our experimental data. We then fit PLOS Computational Biology | DOI:10.1371/journal.pcbi.1004278
June 25, 2015 26 / 31 Estimating decay onset at the group level Here we leveraged the statistical power of group data to better estimate the mean individual
delay using all subjects pooled from the +FF and −FF subgroups, after flipping the −FF data. As
with the individual-level approach, we first removed the average vEC-driven performance devi-
ations from each subject (see section above). We could not simply examine the mean data to determine the average decay onset delay
since the mean data would begin to decay early even if only a fraction of the population
decayed early, as would be expected if the distribution of delays was exponential as posited by
V&S. We therefore split the data into two subgroups, those who decayed most vs least in the
first 50 trials of the retention period relative to their asymptotic learning levels, in order to sep-
arate the short delay from the long delay individuals. The idea is that the low-decay subgroup
should be predominantly composed of long-delay subjects if there were any. We chose the
length of the dividing window (50 trials) as a balance between wanting a long window to reduce
noise and wanting a short window for more sensitivity to small mean delays, as very long win-
dows begin to partition subjects based on decay depth rather than decay onset time. The 50
trial window was chosen since it is a reasonably long window but should still select based pri-
marily on decay onset time rather than decay depth since it is less than the median value of 63
trials that would result from an exponential distribution of delays with a mean of 90 trials, as
reported in V&S for a vEC-based retention period. Thus, if delays were distributed as reported
in V&S, the low-decay subgroup would be largely composed participants with delays greater
than 50 trials, resulting in essentially no decay during the 50-trial decision window and decay
onset sometime thereafter. The ratio of early decay to late decay, which we refer to as the early decay ratio, would
decrease as decay onset latency increases. Evaluating the Context Change Detection Hypothesis a~N(0.875,0.1002), b~N(0.360,0.2002), and τ~N(40,102), with independent noise distributed
N(0,0.252) on each trial. The distributions of a and b match the late training (last 150 trials)
and late retention (last 175 trials) levels in the shooting movement data, while the decay rate τ
and noise were based on the unconstrained fits to the shooting movement data, although the
noise is an overestimate of the noise in our data in order to broaden the likelihood functions,
thus providing less evidence relative to the prior and making this analysis more conservative. We also used an exponential distribution of delay parameters, λ~Expo(μλ), with μλ ranging
from 0 to 90 trials for the various simulations. We ran 1000 simulations for each mean
delay μλ, where each simulation used the same number of subjects as the corresponding experi-
ment (40 when the simulations provided a reference for experiment 1, 20 for experiment 2). For a given mean delay μλ, each of the 1000 simulations provides an estimate of the early decay
ratio for both the high and low decay subgroups. Thus, the 1000 simulations at a given mean
delay provide an empirical joint probability distribution over the early decay ratio for the high-
and low-decay subgroups, and as such, serve as a likelihood function for the mean delay
parameter: P(EDhigh, EDlow| μλ) for the early decay ratios EDhigh and EDlow for the high and
low decay subgroups. We used a discrete uniform prior distribution over the trials 0 to 90 in order to estimate
confidence intervals for the mean individual delay parameter, μλ. The posterior distribution
over the mean delay was therefore P(μλ | EDhigh, EDlow) / P(EDhigh, EDlow | μλ)P(μλ). Characterizing the drift in the data The autocorrelation function is the correlation between a time series and the same series shifted
by a given lag: corr(x(t), x(t – τ)) for lag τ. The partial autocorrelation function, a more specific
measure, is the additional correlation between x(t) and x(t −τ) after taking into account the
lag-τ correlation that would be expected given that x(t −τ) influences the intermediate values
x(t −1), x(t −2), . . ., x(t—(τ −1)) through lower-order autocorrelations, which themselves
influence x(t) through lower-order correlations. Put another way, the lag-τ partial autocorrela-
tion is the parameter estimate for x(t −τ) when regressing x(t) onto all elements of the set
{x(t −1), x(t −2), . . ., x(t−τ)} simultaneously. It therefore represents the correlation between
x(t) and x(t −τ) adjusting for x(t −1) through x(t−(τ−1)). In order to model the drift in the retention period, we fit a model with one autoregressive
parameter and one moving average parameter, which takes the form, xðtÞ ¼ AR xðt 1Þ þ εðtÞ þ MA εðt 1Þ for an autoregressive coefficient AR, moving average coefficient MA, and independent white
noise process ε. This model was fit to the individual subject data, from retention trial 76
onward, after subtracting out the across-subject mean retention at each trial, which was done
to focus the autoregressive models on the drift behavior instead of the mean decay behavior. That said, similar results were achieved if the entire decay block was considered. Estimating decay onset at the group level We thus used this early decay ratio as a measure for
characterizing decay onset latency: Early Decay Ratio ¼ Early Decay
Late Decay ¼ Learning Early Retention
Learning Late Retention : Early Decay Ratio ¼ Early Decay
Late Decay ¼ Learning Early Retention
Learning Late Retention : Early Decay Ratio ¼ Early Decay
Late Decay ¼ Learning Early Retention
Learning Late Retention : Here early retention is taken to be the mean adaptation measured over the first 50 retention
period trials, late retention is measured over the last 75 trials of the retention period, and learn-
ing is the asymptotic learning level in the last 50 trials of training. A low early decay ratio is
indicative of delayed decay. The early decay ratio was computed for both the high and the low
(median-divided) decay subgroups. We ran simulations to provide references for the early decay ratios derived from the data. We simulated subjects using population parameters for a delayed exponential decay (Eq 1): PLOS Computational Biology | DOI:10.1371/journal.pcbi.1004278
June 25, 2015 27 / 31 Evaluating the Context Change Detection Hypothesis behavior. Each simulated subject, ysim, was generated using the following dynamics: yðtÞ ¼
(
D; if t 0
Dexpðt=tÞ; if t > 0
nðtÞ ¼ ARnðt 1Þ þ εðtÞ þ MAεðt 1Þ
ysimðtÞ ¼ yðtÞ þ nðtÞ with the noise n(t) during the training period instead replaced by independent white noise,
n(t)~N(0,σ2). Critically, the simulations all included immediate decay, corresponding to the
null hypothesis of trial-by-trial decay. We initially chose the decay parameter values to match the values obtained from fitting the
experimental data with zero-delay exponentials and the drift model parameters by fitting the
drift model to the individual data. However, the simulated autocorrelation and partial autocor-
relation functions were far more varied than those of the data, with slightly smaller overall val-
ues. This is not particularly surprising because noise in the simulation corrupts the ability to
estimate model parameters, thus increasing the spread of the estimated parameters. Thus, to
better match the autocorrelation and partial autocorrelation functions of the data, we adjusted
the AR term up by 0.04 to 0.93 and the MA term down by 0.05 to −0.55 and reduced the
across-subject variance of those parameters by factors of 5 and 10, respectively. Similarly, we
treated the decay rate and noise during the training period as the same across subjects since the
fitting procedure produced enough variance to match the empirical values without subject dif-
ferences. Note that narrowing these distributions has the effect of narrowing the best-fit delay
distribution so it is not the reason for any large best-fit delays. We simulated 60 subjects, matching the number of shooting movement subjects in experi-
ments 1 and 2, and fit them with delayed exponentials. We then compared the simulated sub-
jects to the data from experiments 1 and 2 in terms of the distribution of fit delays as well as the
distributions of 6 parameters that describe the shape of the decay and the noise structure, as
recovered from the simulated and experimental data. We did this both for the simulation
described above and an analogous no-drift simulation in which the retention period noise was
treated as independent with standard deviation distributed N(0.23,0.072) to match the data. Generative model of trial-by-trial decay with random drift We used a generative model of trial-by-trial decay to understand how drift and noise affect
the individual fitting procedure. The model included six parameters for each simulated sub-
ject: amount of decay D~N(0.56,0.282), decay rate τ = 35.8, late learning trial-by-trial white
noise with standard deviation σ = 0.14, and an autoregressive moving average model with
AR~N(0.92,0.042), MA~N(−0.52,0.052), and stdev(ε)~N(0.17,0.042) to induce random drift PLOS Computational Biology | DOI:10.1371/journal.pcbi.1004278
June 25, 2015 28 / 31 Supporting Information S1 File. Point to point movements: Description and experimental paradigm. (PDF) References 1. Scheidt RA, Reinkensmeyer DJ, Conditt MA, Rymer WZ, Mussa-Ivaldi FA. Persistence of motor adap-
tation during constrained, multi-joint, arm movements. J Neurophysiol. 2000; 84: 853–862. PMID:
10938312 2. Smith MA, Ghazizadeh A, Shadmehr R. Interacting adaptive processes with different timescales under-
lie short-term motor learning. PLoS Biol. 2006; 4: e179. PMID: 16700627 3. Cheng S, Sabes PN. Calibration of visually-guided reaching is driven by error corrective learning and
internal dynamics. J Neurophysiol. 2007; 97: 3057–3069. PMID: 17202230 4. Criscimagna-Hemminger SE, Shadmehr R. Consolidation patterns of human motor memory. J Neu-
rosci. 2008; 28: 9610–9618. doi: 10.1523/JNEUROSCI.3071-08.2008 PMID: 18815247 5. Sing GC, Joiner WM, Nanayakkara T, Brayanov JB, Smith MA. Primitives for motor adaptation reflect
correlated neural tuning to position and velocity. Neuron. 2009; 64: 575–589. doi: 10.1016/j.neuron. 2009.10.001 PMID: 19945398 6. Sing GC, Orozco SP, Smith MA. Limb motion dictates how motor learning arises from arbitrary environ-
mental dynamics. J Neurophysiol. 2013; 109: 2466–2482. doi: 10.1152/jn.00497.2011 PMID:
23365184 7. Galea JM, Vazquez A, Pasricha N, de Xivry J-JO, Celnik P. Dissociating the roles of the cerebellum
and motor cortex during adaptive learning: the motor cortex retains what the cerebellum learns. Cereb
Cortex. 2011; 21: 1761–1770. doi: 10.1093/cercor/bhq246 PMID: 21139077 8. Shmuelof L, Huang VS, Haith AM, Delnicki RJ, Mazzoni P, Krakauer JW. Overcoming motor “for-
getting” through reinforcement of learned actions. J Neurosci. 2012; 32: 14617–14621. doi: 10.1523/
JNEUROSCI.2184-12.2012 PMID: 23077047 9. Ingram JN, Flanagan JR, Wolpert DM. Context-dependent decay of motor memories during skill acqui-
sition. Curr Biol. 2013; 23: 1107–1112. doi: 10.1016/j.cub.2013.04.079 PMID: 23727092 10. Joiner WM, Brayanov JB, Smith MA. The training schedule affects the stability, not the magnitude, of
the interlimb transfer of learned dynamics. J Neurophysiol. 2013; 110: 984–998. doi: 10.1152/jn.01072. 2012 PMID: 23719204 11. Kitago T, Ryan SL, Mazzoni P, Krakauer JW, Haith AM. Unlearning versus savings in visuomotor adap-
tation: comparing effects of washout, passage of time, and removal of errors on motor memory. Front
Hum Neurosci. 2013; 7. 12. Joiner WM, Ajayi O, Sing GC, Smith MA. Linear hypergeneralization of learned dynamics across move-
ment speeds reveals anisotropic, gain-encoding primitives for motor adaptation. J Neurophysiol. 2011;
105: 45–59. doi: 10.1152/jn.00884.2009 PMID: 20881197 13. Sing GC, Najafi B, Adewuyi A, Smith MA. A mechanism for the spacing effect: Competitive inhibition
between adaptive processes explains the increase in motor skill retention associated with prolonged
inter-trial spacing. Advances in Computational Motor Control. Evaluating the Context Change Detection Hypothesis S6 File. Individual-level analysis of point-to-point movements indicates essentially no sys-
tematic delay in decay onset. (PDF) S6 File. Individual-level analysis of point-to-point movements indicates essentially no sys-
tematic delay in decay onset. Acknowledgments Thanks to Jasmine Bailey and Emerson Fang for help running the experiments 1–4 and to
Bijan Najafi and Howard Wu help running and designing experiments 5 and 6, respectively. Author Contributions Conceived and designed the experiments: AEB MAS. Performed the experiments: AEB. Ana-
lyzed the data: AEB MAS. Contributed reagents/materials/analysis tools: MAS. Wrote the
paper: AEB MAS. Conceived and designed the experiments: AEB MAS. Performed the experiments: AEB. Ana-
lyzed the data: AEB MAS. Contributed reagents/materials/analysis tools: MAS. Wrote the
paper: AEB MAS. S1 File. Point to point movements: Description and experimental paradigm.
(PDF) S2 File. Variably directed error clamps reduce the salience of context changes in a point-to-
point movement retention block. (PDF) S3 File. Point-to-point learning and decay appear asymmetric across FF directions but are
unaffected by context change salience. (PDF) S4 File. Control referencing point-to-point movements reveals symmetric learning and
decay but no effect of context change salience. (PDF) S4 File. Control referencing point-to-point movements reveals symmetric learning and
decay but no effect of context change salience. (PDF) S5 File. Control-referenced adaptation quantified using the adaptation coefficient measure
for both shooting and point-to-point movements. (PDF) S5 File. Control-referenced adaptation quantified using the adaptation coefficient measure
for both shooting and point-to-point movements. (PDF) PLOS Computational Biology | DOI:10.1371/journal.pcbi.1004278
June 25, 2015 29 / 31 Evaluating the Context Change Detection Hypothesis 16. Wagner MJ, Smith MA. Shared internal models for feedforward and feedback control. J Neurosci. 2008; 28: 10663–10673. doi: 10.1523/JNEUROSCI.5479-07.2008 PMID: 18923042 17. Sing GC, Smith MA. Reduction in learning rates associated with anterograde interference results from
interactions between different timescales in motor adaptation. PLoS Comput Biol. 2010; 6: e1000893. doi: 10.1371/journal.pcbi.1000893 PMID: 20808880 18. Krakauer JW, Pine ZM, Ghilardi M-F, Ghez C. Learning of visuomotor transformations for vectorial
planning of reaching trajectories. J Neurosci. 2000; 20: 8916–8924. PMID: 11102502 19. Joiner WM, Smith MA. Long-term retention explained by a model of short-term learning in the adaptive
control of reaching. J Neurophysiol. 2008; 100: 2948–2955. doi: 10.1152/jn.90706.2008 PMID:
18784273 20. Zarahn E, Weston GD, Liang J, Mazzoni P, Krakauer JW. Explaining savings for visuomotor adapta-
tion: linear time-invariant state-space models are not sufficient. J Neurophysiol. 2008; 100: 2537–2548. doi: 10.1152/jn.90529.2008 PMID: 18596178 21. Wu HG, Smith MA. The generalization of visuomotor learning to untrained movements and movement
sequences based on movement vector and goal location remapping. J Neurosci. 2013; 33: 10772–
10789. doi: 10.1523/JNEUROSCI.3761-12.2013 PMID: 23804099 22. Taylor JA, Krakauer JW, Ivry RB. Explicit and implicit contributions to learning in a sensorimotor adapta-
tion task. J Neurosci. 2014; 34: 3023–3032. doi: 10.1523/JNEUROSCI.3619-13.2014 PMID: 24553942 23. Wu HG, Miyamoto YR, Castro LNG, Ölveczky BP, Smith MA. Temporal structure of motor variability is
dynamically regulated and predicts motor learning ability. Nat Neurosci. 2014; 17: 312–321. doi: 10. 1038/nn.3616 PMID: 24413700 24. Quaia C, Joiner WM, FitzGibbon EJ, Optican LM, Smith MA. Eye movement sequence generation in
humans: motor or goal updating? J Vis. 2010; 10: 28–28. doi: 10.1167/10.14.28 PMID: 21191134 25. Fine MS, Thoroughman KA. Motor adaptation to single force pulses: sensitive to direction but insensi-
tive to within-movement pulse placement and magnitude. J Neurophysiol. 2006; 96: 710–720. PMID:
16707722 26. Wei K, Körding K. Relevance of error: what drives motor adaptation? J Neurophysiol. 2009; 101: 655–
664. doi: 10.1152/jn.90545.2008 PMID: 19019979 27. Marko MK, Haith AM, Harran MD, Shadmehr R. Sensitivity to prediction error in reach adaptation. J
Neurophysiol. 2012; 108: 1752–1763. doi: 10.1152/jn.00177.2012 PMID: 22773782 28. Lai EJ, Hodgson AJ, Milner TE. Influence of interaction force levels on degree of motor adaptation in a
stable dynamic force field. Exp Brain Res. 2003; 153: 76–83. d PMID: 12955384 29. Gonzalez Castro LN, Hadjiosif AM, Hemphill MA, Smith MA. PLOS Computational Biology | DOI:10.1371/journal.pcbi.1004278
June 25, 2015 References Chicago, IL; 2009. 14. Vaswani PA, Shadmehr R. Decay of motor memories in the absence of error. J Neurosci. 2013; 33:
7700–7709. doi: 10.1523/JNEUROSCI.0124-13.2013 PMID: 23637163 15. Shadmehr R, Mussa-Ivaldi FA. Adaptive representation of dynamics during learning of a motor task. J
Neurosci. 1994; 14: 3208–3224. PMID: 8182467 PLOS Computational Biology | DOI:10.1371/journal.pcbi.1004278
June 25, 2015 30 / 31 Environmental consistency determines
the rate of motor adaptation. Curr Biol. 2014; 24: 1050–1061. doi: 10.1016/j.cub.2014.03.049 PMID:
24794296 30. Van der Kooij K, Brenner E, van Beers RJ, Smeets JBJ. Visuomotor adaptation: how forgetting keeps
us conservative. PLoS ONE. 2015; 10: e0117901. doi: 10.1371/journal.pone.0117901 PMID:
25723763 31. Kording KP, Tenenbaum JB, Shadmehr R. The dynamics of memory as a consequence of optimal
adaptation to a changing body. Nat Neurosci. 2007; 10: 779–786. PMID: 17496891 32. Emken JL, Benitez R, Sideris A, Bobrow JE, Reinkensmeyer DJ. Motor adaptation as a greedy optimi-
zation of error and effort. J Neurophysiol. 2007; 97: 3997–4006. PMID: 17392418 33. Ganesh G, Haruno M, Kawato M, Burdet E. Motor memory and local minimization of error and effort,
not global optimization, determine motor behavior. J Neurophysiol. 2010; 104: 382–390. doi: 10.1152/
jn.01058.2009 PMID: 20484533 34. Yousif N, Diedrichsen J. Structural learning in feedforward and feedback control. J Neurophysiol. 2012;
108: 2373–2382. doi: 10.1152/jn.00315.2012 PMID: 22896725 35. Gonzalez Castro LN, Monsen CB, Smith MA. The binding of learning to action in motor adaptation. PLoS Comput Biol. 2011; 7: e1002052. doi: 10.1371/journal.pcbi.1002052 PMID: 21731476 31 / 31
|
https://openalex.org/W2622934429
|
https://europepmc.org/articles/pmc5464527?pdf=render
|
English
| null |
A shifting mutational landscape in 6 nutritional states: Stress-induced mutagenesis as a series of distinct stress input–mutation output relationships
|
PLoS biology
| 2,017
|
cc-by
| 14,644
|
Academic Editor: Jeff Gore, Massachusetts
Institute of Technology, United States of America Academic Editor: Jeff Gore, Massachusetts
Institute of Technology, United States of America Received: November 3, 2016
Accepted: April 15, 2017
Published: June 8, 2017 Copyright: © 2017 Maharjan, Ferenci. 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 analysed data is in
the supporting information files S1 Data and S1
Table A shifting mutational landscape in 6
nutritional states: Stress-induced
mutagenesis as a series of distinct stress
input–mutation output relationships Ram P. Maharjan, Thomas Ferenci*
School of Life and Environmental Sciences, University of Sydney, Sydney, New South Wales, Australia a1111111111
a1111111111
a1111111111
a1111111111
a1111111111 * tom.ferenci@sydney.edu.au Abstract Environmental stresses increase genetic variation in bacteria, plants, and human cancer
cells. The linkage between various environments and mutational outcomes has not been
systematically investigated, however. Here, we established the influence of nutritional
stresses commonly found in the biosphere (carbon, phosphate, nitrogen, oxygen, or iron
limitation) on both the rate and spectrum of mutations in Escherichia coli. We found that
each limitation was associated with a remarkably distinct mutational profile. Overall mutation
rates were not always elevated, and nitrogen, iron, and oxygen limitation resulted in major
spectral changes but no net increase in rate. Our results thus suggest that stress-induced
mutagenesis is a diverse series of stress input–mutation output linkages that is distinct in
every condition. Environment-specific spectra resulted in the differential emergence of traits
needing particular mutations in these settings. Mutations requiring transpositions were high-
est under iron and oxygen limitation, whereas base-pair substitutions and indels were high-
est under phosphate limitation. The unexpected diversity of input–output effects explains
some important phenomena in the mutational biases of evolving genomes. The prevalence
of bacterial insertion sequence transpositions in the mammalian gut or in anaerobically
stored cultures is due to environmentally determined mutation availability. Likewise, the
much-discussed genomic bias towards transition base substitutions in evolving genomes
can now be explained as an environment-specific output. Altogether, our conclusion is that
environments influence genetic variation as well as selection. OPEN ACCESS Citation: Maharjan RP, Ferenci T (2017) A shifting
mutational landscape in 6 nutritional states: Stress-
induced mutagenesis as a series of distinct stress
input–mutation output relationships. PLoS Biol 15
(6): e2001477. https://doi.org/10.1371/journal. pbio.2001477 Introduction The notion of stress-induced mutagenesis (SIM) [1,2] has changed our perspective on the flex-
ibility of mutation rates in organisms. The earliest evidence for SIM was that starvation can
increase the supply of mutations, presumably increasing the capacity for adaptive changes and
evolvability [1,3,4]. SIM is a collection of mechanisms observed in bacterial, yeast, and human
cells, in which mutagenesis pathways are activated in response to adverse conditions, such as
starvation or antibiotic stresses [5,6]. The detailed systems biology of mutation supply and its link to environmental states is still
poorly defined, however. The most basic deficiency in understanding SIM is that neither the
inputs nor the outputs of SIM are systematically defined. An analysis of what is meant by
“stress-induced” (the input variation) and what is meant by “mutagenesis” (the output of sub-
sets or all mutations) is essential for it to be clear whether SIM consistently involves the same
environment-specific changes to DNA repair and mutation rates and the same mutational
spectra with different stresses. An accurate modelling of evolution and detailed analysis of
genomic signatures requires this level of information, and our study aims to provide clarity on
this point. Mutation availability is of obvious significance in the emergence of antibiotic resistance in
bacteria or cancer in humans, as well as the stability of organisms in biotechnology and evolu-
tion in general. Both experimental and theoretical indications suggest that increasing the sup-
ply of mutations allows populations to overcome adaptive hurdles, such as those presented by
antibiotic treatment [7–10]. Antibiotic-induced mutagenesis increases mutation rates and also
changes the pattern of mutations [7,9]. To understand the full significance of SIM, the breadth
of inputs into SIM need to be defined beyond stresses like starvation or antibiotics that are
known to impact mutational processes [11]. In total, the majority of environmental and phy-
sicochemical stress effects on SIM are poorly understood. It is even uncertain whether the
increased mutation rates in aging, starving bacterial colonies (the main initial evidence for
stress-induced mutagenesis [1,3,4]) can be extrapolated to physicochemical stresses, generally. As indicated in Fig 1, there is no current information on the 4 output questions posed in boxes
A. through D. on whether mutational processes, total mutation rates, individual mutation
rates, and DNA repair respond similarly to distinct stressful environments common in the bio-
sphere or even under standard laboratory culture conditions. Mutational landscapes in 6 environments design, data collection and analysis, decision to
publish, or preparation of the manuscript. consequently the evolvability of traits dependent on particular mutations. More specifi-
cally, we show the nutrition-specific links between net mutation rate and type of stress
and the significant plasticity of genetic variation in 6 environments. We reveal the nutri-
tion-specific sensitivity of DNA repair and, most importantly, the demonstration that
environmental spectrum differences impact evolution through constraints on mutations
appearing at altered rates. Competing interests: The authors have declared
that no competing interests exist. Competing interests: The authors have declared
that no competing interests exist. Abbreviations: bp, base pair; BPS, base-pair
substitution; C, carbon; CycS, cycloserine
sensitivity; CycR, cycloserine resistance; Fe, iron;
IS, insertion sequence; LDR1, a deletion of 12 bp at
base positions 96–108 of cycA; LDR2, a deletion of
18 bp in the 918–948 region of cycA; LI, deletion
and insertion indels >1bp; LIR1, an insertion of 12
bp at base positions 96–108 of cycA; LIR2, an
insertion of 18 bp in the 918–948 region of cycA;
MA, mutation accumulation; MMR, mismatch
repair; N, nitrogen; ns, not significant; O, oxygen;
other-IS, other insertion sequences; other-LIs,
other deletion and insertion indels >1bp; P,
phosphorous; ppGpp, guanosine tetraphosphate;
SI, single base-pair indels; SIM, stress-induced
mutagenesis; Ti/Tv, transition to transversion; Un,
nutrient-unlimited; UPGMA, unweighted pair-group
method with arithmetic mean; μBPS, BPS mutation
rate; μC>A, C to A mutation rate; μIS, IS mutation
rate; μLI, LI rate; μSI, SI mutation rate; μX, rates of
the various types of mutation; μTOTAL, total
mutation rate. Author summary Funding: International Technology Center-Pacific
(ITC-PAC) US Army RDECOM-Pacific www.army. mil (grant number FA5209-14-T-0097). The funder
had no role in study design, data collection and
analysis, decision to publish, or preparation of the
manuscript. Australian Research Council arc.gov. au (grant number Discovery Program
DP140100870). The funder had no role in study The importance of this study is in advancing our understanding of mutation supply—of
the frequency that beneficial mutations arise in a population—in evolution and the con-
tribution of stress-induced mutagenesis to this process. Evolutionary divergences, the
emergence of antibiotic resistance in bacteria, and cancer in humans are all examples
of processes powered by mutational DNA change. We show for the first time that stress
conditions common in nature strongly influence the pattern of genetic variation and PLOS Biology | https://doi.org/10.1371/journal.pbio.2001477
June 8, 2017 1 / 22 PLOS Biology | https://doi.org/10.1371/journal.pbio.2001477
June 8, 2017 Introduction What we know about DNA
repair regulation in SIM is also limited to starvation and antibiotic effects. The identified
effects are on mismatch repair down-regulation by starvation and antibiotics, as well as on the
up-regulation of error-prone DNA polymerase by starvation [9,12–14]. The magnitude of the increased mutation rates and the magnitude of changes in mutational
spectra is a particularly important question with SIM. As shown in Fig 1, the total mutation
rate (μTOTAL) [15] includes the 6 possible base-pair substitutions (BPSs), several single base-
pair indels (SI, e.g., +1, −1 base-pair [bp] insertion or deletion of different base pairs), deletion
and insertion indels >1bp (LI), and transpositions (with 10 different insertion sequence [IS] PLOS Biology | https://doi.org/10.1371/journal.pbio.2001477
June 8, 2017 2 / 22 Mutational landscapes in 6 environments Fig 1. Unknown generic characteristics of stress-induced mutagenesis (SIM) in bacteria and other cell
types. Different stresses are proposed to change the mix of mutations making up the total mutation rate (μTOTAL
in the Figure). As such, different stress inputs can result in potentially distinct mutational outputs and effects on
evolvability. The rates of the various types of mutation (μX) defined in the text are in the Figure individually (e.g.,
base-pair substitution [BPS] mutation rates [μBPS] are shown for each type of substitution such as the C to A
mutation rate [μC>A]). Examples of other rates are also included to underline the high number of individual rates
when one considers, for example, that single base-pair indels (SI) involve +1, −1 base-pair insertion or deletions
of different base-pair combinations. Boxes A–D show the questions addressed in this study. It should be noted
that copy number changes with stresses are also possible, and diploid cells may also undertake different
chromosomal rearrangements. These more complex changes are not addressed in the studies below. https://doi.org/10.1371/journal.pbio.2001477.g001 Fig 1. Unknown generic characteristics of stress-induced mutagenesis (SIM) in bacteria and other cell
types. Different stresses are proposed to change the mix of mutations making up the total mutation rate (μTOTAL
in the Figure). As such, different stress inputs can result in potentially distinct mutational outputs and effects on
evolvability. The rates of the various types of mutation (μX) defined in the text are in the Figure individually (e.g.,
base-pair substitution [BPS] mutation rates [μBPS] are shown for each type of substitution such as the C to A
mutation rate [μC>A]). PLOS Biology | https://doi.org/10.1371/journal.pbio.2001477
June 8, 2017 Mutational landscapes in 6 environments To avoid the problems of environmental fluctuation and selection, an analysis of the role of
various stresses in bacterial mutagenesis required 2 essential ingredients. The first is the ability
to fix environments to reproducibly compare both mutation rates and spectra. This challenge
was solved by using bacteria that grow in controlled environments, in continuous (chemostat)
cultures, at identical growth rates [22]. We controlled 5 resources essential for all forms of life,
i.e., utilizable sources of carbon (C), phosphorus (P), nitrogen (N), iron (Fe), and oxygen (O). The availability of these is irregular in most ecosystems [23,24], including the human body,
and bacteria like E. coli respond to these limitations through distinct patterns of gene expres-
sion [25]. Steady state limitation of C, O, N, Fe, or P was achieved by limiting the amount of
glucose, oxygen, ammonium, iron, and phosphate salts in chemostats. Each of the nutrient-
stressed environments fixed the specific growth rate to a constant 0.1 h−1, a 7-fold reduction
compared to 0.7 h−1 with excess nutrients. At this reduced growth rate, bacteria are highly
stressed and exhibit high concentrations of alarmones like guanosine tetraphosphate (ppGpp)
and transcriptional stress controllers like RpoS [22]. A second requirement was an experimental system in which both the rate and spectrum of
mutational types can be assayed without selection bias. Understanding genetic variation needs
a comprehensive set of mutational types to be evaluated, beyond analyses that often focus just
on BPSs [26,27]. Approaches like mutation accumulation (MA) experiments [28] are not
environmentally controlled and somewhat biased because deleterious mutations in essential
sequences are underestimated [29,30]. Some individual target gene analyses suffer from the
above-mentioned fitness effects [17,27]. An example is the use of rifampicin-resistant rpoB
mutations to analyse mutational spectra [31]; such studies are skewed by the large fitness
differences and selectability of various alleles [32]. However, the use of a locus at a fixed chro-
mosomal position eliminates the problem of variation in mutation rates between different
chromosomal sites [33], especially when compared across environments. The method we
adopt is to follow mutations in the cycA locus of E. coli resulting from cycloserine resistance
(CycR) [30,34], which does not suffer the above problems. CycR is conferred by a wide spec-
trum of loss-of-function mutations, including all 6 possible types of BPSs, different types of SIs
and LIs, and IS transpositions across the entire length of cycA. Mutations in cycA conferring
CycR show negligible fitness effects ([30,34], so the environmental influences on mutations
could be characterised without selection bias. The only disadvantage of this in-gene analysis is
that stress-associated amplifications and larger chromosomal rearrangements associated with
SIM [35] are not measured in this CycA study. By using the above strategies, we demonstrate the remarkable plasticity of mutations in dif-
ferent conditions. We further show that the variation of mutation availability in different envi-
ronments has detectable impacts on adaptation. The emergence of particular traits dependent
on specific classes of mutations were especially affected by major changes in mutation spec-
trum. Environments thus provide alternative sets of keys to unlock various evolutionary path-
ways, thus impacting the role of genetic variation in evolution. Introduction Examples of other rates are also included to underline the high number of individual rates
when one considers, for example, that single base-pair indels (SI) involve +1, −1 base-pair insertion or deletions
of different base-pair combinations. Boxes A–D show the questions addressed in this study. It should be noted
that copy number changes with stresses are also possible, and diploid cells may also undertake different
chromosomal rearrangements. These more complex changes are not addressed in the studies below. https://doi.org/10.1371/journal.pbio.2001477.g001 https://doi.org/10.1371/journal.pbio.2001477.g001 elements in E. coli K-12, for example). Approximations of the individual mutation rates, as
well as amplifications, have been made [16], but these rely on data from various strains, selec-
tion environments, and laboratories. In this study, we devise a systematic analysis of whether
the classes of mutation in Fig 1 fluctuate across environments and whether a composite muta-
tion rate can really predict the outcome of evolution in different conditions. Testing the environmental patterns of mutational rates and spectra is difficult because of
the same experimental complexities that have bedevilled estimates of SIM [17]. The initial evi-
dence for elevated mutation rates in bacteria under stress is based on estimating rifampicin
resistance [1] or lac mutation reversion [3,4] in aging or starved colonies. These experiments
have 2 problems. The first is that the environment in colonies on agar plates is complex, and
the stress shifts over time [18]. The lac reversion assay is effectively carbon starvation [19], but
the effects of other limitations have not been investigated on lac reversion. Secondly, the Lac
and Rif assays, involving growth on lactose and rifampicin resistance phenotypes respectively,
have been claimed to be compromised by the contribution of fitness and selection to the
appearance of mutants on agar plates [16,17]. This problem is particularly important for Rif
resistance [20], but the lac results have been reproduced in the absence of selection [21]. PLOS Biology | https://doi.org/10.1371/journal.pbio.2001477
June 8, 2017 3 / 22 PLOS Biology | https://doi.org/10.1371/journal.pbio.2001477
June 8, 2017 (b) Different colour bars represent the mean
mutation rates of the 4 major classes of mutations (base-pair substitutions [BPS], single base pair indels [SI], deletion and insertion indels > 1bp [LI], and
insertion sequence [IS] transpositions), based on the measurements in Fig 3D. Their contribution to overall mutation rates is shown in stacked bars for
each environment. (c) The coloured bars represent relative contribution of BPS, IS, SI, and LI classes to the total mutation rate within each of 6
environments, which is shown as their proportion (%) on the basis of their frequencies in supplementary S1 Table. The numerical data for all parts of the
figure are given in supplementary file S1 Data. Fig 2. Mutation rate plasticity and fitness in 6 environments. (a) Mutation rates were calculated from the frequency of cycloserine resistance (CycR)
mutants appearing in cycloserine-sensitive (CycS) cultures of E. coli for 6 replicate populations in each of 6 different nutritional states. Un (nutrient-
unlimited) cultures were mid-exponential phase bacteria with a doubling time of 0.98 h, and iron (Fe) limited, oxygen (O) limited, nitrogen (N) limited,
phosphorous (P) limited, and carbon (C) limited grew in chemostats with a fixed 6.9 h doubling time, as detailed in Methods. Box-and-whisker plots are
shown, in which whiskers represent minimum and maximum values, the box represents top 75 and bottom 25 percentiles, and the horizontal line
represents median value. Two-tailed t test P values were based on assuming 2-sample unequal variance. (b) Different colour bars represent the mean
mutation rates of the 4 major classes of mutations (base-pair substitutions [BPS], single base pair indels [SI], deletion and insertion indels > 1bp [LI], and
insertion sequence [IS] transpositions), based on the measurements in Fig 3D. Their contribution to overall mutation rates is shown in stacked bars for
each environment. (c) The coloured bars represent relative contribution of BPS, IS, SI, and LI classes to the total mutation rate within each of 6
environments, which is shown as their proportion (%) on the basis of their frequencies in supplementary S1 Table. The numerical data for all parts of the
figure are given in supplementary file S1 Data. https://doi.org/10.1371/journal.pbio.2001477.g002 https://doi.org/10.1371/journal.pbio.2001477.g002 value (0.65 x 10−7 per locus per generation) reported with batch cultures [34]. More surprisingly,
the nutrient-rich mutation rate cannot be statistically distinguished from that under Fe, O, and
N limitation (2-tailed t test, P > 0.05). It is remarkable that the 7-fold decreased growth rate
under limiting Fe, O, and N does not result in a net SIM, i.e., elevated mutation rates due to “star-
vation” [1,3,4]. C and P limitation do induce SIM, and mutagenicity was highest with P limita-
tion; C limitation was also higher than other conditions (μTOTAL = 5.6 ± 0.65 SD and 3.2 ± 0.29
SD x 10−7 per locus per generation, respectively; 2-tailed t test, P < 0.001 in both cases). The observed 9- and 4-fold increases in P and C limitation respectively are notable because
a 4-fold change in mutation rates can change evolutionary outcomes [36]. The μTOTAL spread
we find in CycR matches the range of mutation rates measured in several other ways with E. coli (see Table 1 for a detailed comparison). Differences in nutrition and environments may
indeed explain the 10-fold span reported in these other environmentally less-controlled stud-
ies. In relation to the SIM discussions [1,3,4], our data suggests that plate-starved colonies
increased mutation rates because of C or P limitation or both. Most importantly though, our
observations suggest that not all nutritional stresses increase net rates; the nature of the starva-
tion is more important than the generally decreased growth rate. The observed higher mutation rate in C and P limitations was not due to increased fitness
and enrichment of CycR mutants. As shown in Fig 3A, all 4 major classes of mutation-confer-
ring CycR cause negligible fitness effects in all 6 environments, so these mutations were
unlikely to be significantly enriched or eliminated in our experiments. The mutation rates
were followed by sampling over only 72 h (see Methods), further limiting fitness effects on
mutational frequencies and avoiding the potential distortion of population structures by later
sweeps and hitchhiking in chemostats [40]. Mutational landscapes in 6 environments Fig 2. Mutation rate plasticity and fitness in 6 environments. (a) Mutation rates were calculated from the frequency of cycloserine resistance (CycR)
mutants appearing in cycloserine-sensitive (CycS) cultures of E. coli for 6 replicate populations in each of 6 different nutritional states. Un (nutrient-
unlimited) cultures were mid-exponential phase bacteria with a doubling time of 0.98 h, and iron (Fe) limited, oxygen (O) limited, nitrogen (N) limited,
phosphorous (P) limited, and carbon (C) limited grew in chemostats with a fixed 6.9 h doubling time, as detailed in Methods. Box-and-whisker plots are
shown, in which whiskers represent minimum and maximum values, the box represents top 75 and bottom 25 percentiles, and the horizontal line
represents median value. Two-tailed t test P values were based on assuming 2-sample unequal variance. (b) Different colour bars represent the mean
mutation rates of the 4 major classes of mutations (base-pair substitutions [BPS], single base pair indels [SI], deletion and insertion indels > 1bp [LI], and
insertion sequence [IS] transpositions), based on the measurements in Fig 3D. Their contribution to overall mutation rates is shown in stacked bars for
each environment. (c) The coloured bars represent relative contribution of BPS, IS, SI, and LI classes to the total mutation rate within each of 6
environments, which is shown as their proportion (%) on the basis of their frequencies in supplementary S1 Table. The numerical data for all parts of the
figure are given in supplementary file S1 Data. https://doi org/10 1371/journal pbio 2001477 g002 Fig 2. Mutation rate plasticity and fitness in 6 environments. (a) Mutation rates were calculated from the frequency of cycloserine resistance (CycR)
mutants appearing in cycloserine-sensitive (CycS) cultures of E. coli for 6 replicate populations in each of 6 different nutritional states. Un (nutrient-
unlimited) cultures were mid-exponential phase bacteria with a doubling time of 0.98 h, and iron (Fe) limited, oxygen (O) limited, nitrogen (N) limited,
phosphorous (P) limited, and carbon (C) limited grew in chemostats with a fixed 6.9 h doubling time, as detailed in Methods. Box-and-whisker plots are
shown, in which whiskers represent minimum and maximum values, the box represents top 75 and bottom 25 percentiles, and the horizontal line
represents median value. Two-tailed t test P values were based on assuming 2-sample unequal variance. Not all nutritional stresses elevate net mutation rates Five distinct nutrient limitations controlled in chemostats (of C, P, N, O, or Fe) and a nutri-
ent-rich environment were used for investigating the link between nutritional stress and muta-
genesis. In appraising mutations resulting in CycR in the 6 environments, the first notable
finding in Fig 2A is that μTOTAL (involving all types of mutations in cycA conferring CycR) is
nonuniform across these conditions. The net mutation rate in nutrient-rich, rapid-growth
conditions is low (μTOTAL = 0.73 ± 0.22 SD x 10−7 per locus per generation), similar to the PLOS Biology | https://doi.org/10.1371/journal.pbio.2001477
June 8, 2017 4 / 22 PLOS Biology | https://doi.org/10.1371/journal.pbio.2001477
June 8, 2017 Mutational landscapes in 6 environments Table 1. Mutation rates in Escherichia coli obtained by different laboratories and methods. Assay method and
culture condition
Target gene or
region
μBPS
(per nucleotide site
per generation)
μBPS
(per genome per
generation)
μ TOTAL
(per nucleotide site
per generation)
μ TOTAL
(per genome per
generation)
Reference/
source
Mutation accumulation,
colony transfer
Whole genome
1.9E −10
0.0009
n.a. n.a. [37]
Whole genome
n.a. n.a. 2.2E −10
0.0010
[28]
Luria Delbruck, batch
lacI
n.a. n.a. 6.9E −10
0.0030
[15]
Informatics
Various
genomes
2.6E −10
0.0012
n.a. n.a. [26]
Various
genomes
4.2E −11
0.0002
n.a. n.a. [38]
Experimental evolution
Whole genome
8.9E −11
0.0004
n.a. n.a. [39]
Luria Delbruck, batch
cycA
7.7E −11
0.0004
1.1E −10
0.0005
This study
Fe-limited chemostat
cycA
1.7E −10
0.0008
2.9E −10
0.0013
This study
N-limited chemostat
cycA
2.1E −10
0.0010
2.7E −10
0.0012
This study
O-limited chemostat
cycA
6.1E −11
0.0003
1.5E −10
0.0007
This study
C-limited chemostat
cycA
5.0E −10
0.0023
6.6E −10
0.0031
This study
P-limited chemostat
cycA
7.5E −10
0.0035
1.0E −09
0.0048
This study Table 1. Mutation rates in Escherichia coli obtained by different laboratories and methods. https://doi.org/10.1371/journal.pbio.2001477.t001 after 72 h in the 6 conditions (see supplementary S1 Table for all mutants). Sibs were excluded
by including only 1 example of each mutation from each culture. All the mutations were
single mutations in cycA. The 4 major classes of mutation (BPS, SI, LI, and IS) are distributed
throughout the cycA gene, and no particular BPS or SI hotpots were evident in the linear map
depicting all detected mutations in cycA in the 6 nutritional states (Fig 3B). Many LIs were
more localised due to repeat sequences in cycA shown in Fig 3C, but their frequency could still
be environmentally compared. We then estimated mutation rates independently for the BPS, SI, LI, and IS classes in all 6
conditions. The mutation rates for each type of mutation were estimated from their frequency
in PCR-sequenced CycR colonies, and the overall mutation rates for the cycA gene in each
environment. The individual rates for each class in each environment are shown in Fig 3D. When rates for all classes were stacked, it became clear that μTOTAL based on sequencing (Fig
2B) is consistent with μTOTAL based on CycR (Fig 2A). The contribution of each mutational
class to the μTOTAL is, however, highly nutrition-specific (Fig 2C). Mutation spectra as environmental variables in SIM To investigate whether nutritional SIM is associated with a uniform mutational spectrum in a
series of distinct stresses, we sequenced the entire length of cycA in 1399 CycR mutants arising PLOS Biology | https://doi.org/10.1371/journal.pbio.2001477
June 8, 2017 5 / 22 To calculate per genome rates, the mutation rate in cycA was normalized to per nucleotide site or per genome by assuming CycR phenotype is conferred by
273 sites in cycA. The number of sites (273) was based on a total of 543 BPSs (381 from this study and 181 from a previous study[30]) identified after
sequencing more than 1879 sequences of CycR clones in these studies.
Abbreviations: BPS, base-pair substitution; C, carbon; CycR, cycloserine resistance; Fe, iron; n.a., not applicable; N, nitrogen; O, oxygen; P, phosphorous;
μBPS, BPS mutation rate; μTOTAL, total mutation rate. To calculate per genome rates, the mutation rate in cycA was normalized to per nucleotide site or per genome by assuming CycR phenotype is conferred by
273 sites in cycA. The number of sites (273) was based on a total of 543 BPSs (381 from this study and 181 from a previous study[30]) identified after
sequencing more than 1879 sequences of CycR clones in these studies.
Abbreviations: BPS, base-pair substitution; C, carbon; CycR, cycloserine resistance; Fe, iron; n.a., not applicable; N, nitrogen; O, oxygen; P, phosphorous; PLOS Biology | https://doi.org/10.1371/journal.pbio.2001477
June 8, 2017 q
g
q
y
Abbreviations: BPS, base-pair substitution; C, carbon; CycR, cycloserine resistance; Fe, iron; n.a., not applicable; N, nitrogen; O, oxygen; P, phosphorous;
μBPS, BPS mutation rate; μTOTAL, total mutation rate. https://doi.org/10.1371/journal.pbio.2001477.t001 Mutational landscapes in 6 environments Fig 3. The distribution of fitness effects and mutation locations in cycA. (a) The fitness effect of cycloserine resistance (CycR) mutations are
shown for examples of the 4 mutation classes: base-pair substitution (BPS, cycA G!T at position 298), insertion sequence (IS, cycA IS150 at 848),
deletion and insertion indels >1bp (LI, 19 base-pair deletion at 918), and single base pair indel (SI, -1G at 226), relative to the CycS ancestor. Error bars
are standard deviations from at least 2 replicate experiments. (b) The position of mutations in cycA in CycR colonies. The plot includes sequence
changes in 1,399 CycR mutants, 228 from Un (nutrient-unlimited), 249 from iron (Fe)-limited, 234 from oxygen (O)-limited, 240 from nitrogen (N)-limited,
245 from phosphate (P)-limited, and 203 from carbon (C)- or glucose-limited cultures. (c) The location of large insertion and deletion mutations in cycA. Positions of deleted or inserted nucleotides are based on the sequence of cycA of wild-type E. coli MC4100 used in this study. Bold-typed nucleotides
are short repeat sequences that we suspect promote insertion or deletion mutations. LDR1, a deletion of 12 bp at base positions 96–108 of cycA; LIR1,
an insertion of 12 bp at base positions 96–108 of cycA. LDR2, a deletion of 18 bp in the 918–948 region of cycA; an insertion of 18 bp in the 918–948
region of cycA. Because there are only a few insertion mutations at region 1, LIR1 is combined with other deletion and insertion indels > 1bp (Other-LIs),
which occurred across cycA as shown in Fig 4 in the main text. Locations of Other-LIs are not shown here but can be found in Supplementary material,
S1 Table. (d) Rates of the 4 major classes of mutations (BPS, SI, LI, and IS transpositions) in 6 to 8 replicate cultures. Individual points and statistics of
measured mutation rates in replicate cultures are shown for each class. The plots and statistics are presented as described in (Fig 2A). The numerical
data for all parts of the figure are given in supplementary file S1 Data. https://doi org/10 1371/journal pbio 2001477 g003 Fig 3. The distribution of fitness effects and mutation locations in cycA. Prominent differences
include the IS mutation rates (μIS), which are 8- and 6-fold higher in Fe and O limitations,
respectively, than the μIS = 1.5 ± 0.51 SD x 10−8 per locus per generation in nutrient-rich con-
ditions (Fig 3D, 2-tail, P < 0.01). Remarkably, the μIS differences occur between conditions
that show indistinguishable μTOTAL rates (Fig 2A, 2-tailed t test P > 0.1). Another major differ-
ence was the μBPS = 20.4 ± 5.5 SD x 10−8 per locus per generation in P limitation, which was
10-fold higher than in the nutrient-rich condition (2-tail t test P = 0.0003). An even greater
divergence was seen with single base-pair indel mutation rates (μSI); μSI in P limitation
(13.4 ± 5.58 SD x 10−8 per locus per generation) was more than 150-fold higher compared to
μSI in O limitation (2-tail t test, P = 0.002). The LI rate (μLI) also varied markedly in the 6 con-
ditions (Fig 3D). PLOS Biology | https://doi.org/10.1371/journal.pbio.2001477
June 8, 2017 6 / 22 https://doi.org/10.1371/journal.pbio.2001477.g003 Mutational landscapes in 6 environments Fig 4. Mutation rates of 16 individual types of mutation in the 6 nutritional states. In all parts of the figure, the sample points, box-and-
whisker plots and the symbols for the P values have the same properties as defined in Fig 2A. The environments are also as defined in Fig 2. (A)
The mutation rates measured for each of the 6 different base-pair substitution (BPS) possibilities in 6 environments. The plot on the right
summarizes the transition to transversion (Ti/Tv) substitution ratios amongst BPS changes in the 6 environments. (B) The transposition rates in
cycA involving the insertion sequence (IS) elements shown; the plot “other ISs” includes the sum of all other rare IS movement rates. (C) The rate
of 4 possible single base-pair indels (SI) in cycA with the loss or gain of 1 base pair (bp). (D) Deletion and insertion indels >1bp (LI) rates. See
Supplementary S1 Table for the nature and position of LIs in cycA. (E) The coloured bars in each of the 4 panels represent the relative contribution
of the individual mutations shown to the BPS, IS, SI, and LI classes within each of 6 environments. The bars represent the percentage contribution
of each individual type to each class. The numerical data for all parts of the figure are given in supplementary file S1 Data. https://doi org/10 1371/journal pbio 2001477 g004 Fig 4. Mutation rates of 16 individual types of mutation in the 6 nutritional states. In all parts of the figure, the sample points, box-and-
whisker plots and the symbols for the P values have the same properties as defined in Fig 2A. The environments are also as defined in Fig 2. (A)
The mutation rates measured for each of the 6 different base-pair substitution (BPS) possibilities in 6 environments. The plot on the right
summarizes the transition to transversion (Ti/Tv) substitution ratios amongst BPS changes in the 6 environments. (B) The transposition rates in
cycA involving the insertion sequence (IS) elements shown; the plot “other ISs” includes the sum of all other rare IS movement rates. (C) The rate
of 4 possible single base-pair indels (SI) in cycA with the loss or gain of 1 base pair (bp). (D) Deletion and insertion indels >1bp (LI) rates. See
Supplementary S1 Table for the nature and position of LIs in cycA. PLOS Biology | https://doi.org/10.1371/journal.pbio.2001477
June 8, 2017 (a) The fitness effect of cycloserine resistance (CycR) mutations are
shown for examples of the 4 mutation classes: base-pair substitution (BPS, cycA G!T at position 298), insertion sequence (IS, cycA IS150 at 848),
deletion and insertion indels >1bp (LI, 19 base-pair deletion at 918), and single base pair indel (SI, -1G at 226), relative to the CycS ancestor. Error bars
are standard deviations from at least 2 replicate experiments. (b) The position of mutations in cycA in CycR colonies. The plot includes sequence
changes in 1,399 CycR mutants, 228 from Un (nutrient-unlimited), 249 from iron (Fe)-limited, 234 from oxygen (O)-limited, 240 from nitrogen (N)-limited,
245 from phosphate (P)-limited, and 203 from carbon (C)- or glucose-limited cultures. (c) The location of large insertion and deletion mutations in cycA. Positions of deleted or inserted nucleotides are based on the sequence of cycA of wild-type E. coli MC4100 used in this study. Bold-typed nucleotides
are short repeat sequences that we suspect promote insertion or deletion mutations. LDR1, a deletion of 12 bp at base positions 96–108 of cycA; LIR1,
an insertion of 12 bp at base positions 96–108 of cycA. LDR2, a deletion of 18 bp in the 918–948 region of cycA; an insertion of 18 bp in the 918–948
region of cycA. Because there are only a few insertion mutations at region 1, LIR1 is combined with other deletion and insertion indels > 1bp (Other-LIs),
which occurred across cycA as shown in Fig 4 in the main text. Locations of Other-LIs are not shown here but can be found in Supplementary material,
S1 Table. (d) Rates of the 4 major classes of mutations (BPS, SI, LI, and IS transpositions) in 6 to 8 replicate cultures. Individual points and statistics of
measured mutation rates in replicate cultures are shown for each class. The plots and statistics are presented as described in (Fig 2A). The numerical
data for all parts of the figure are given in supplementary file S1 Data. https://doi.org/10.1371/journal.pbio.2001477.g003 PLOS Biology | https://doi.org/10.1371/journal.pbio.2001477
June 8, 2017 7 / 22 Mutational landscapes in 6 environments limitation only but is closer to the random value of 0.5 with other limitations (Fig 4A). The
strikingly high ratio in the C-limited environment resembles that commonly found between
diverging genomes [41]. We found that 6 different IS elements conferred CycR (IS1, IS2, IS3, IS4, IS5, and IS150) in
cycA, but the elevated μIS under O, C, and Fe limitations was mainly due to IS150 movement
(Fig 4B and 4E). A remarkable consequence is that IS movements actually constitute the
majority of mutations in O and Fe limitation (Fig 2B, Fig 2C). Another responsive IS move-
ment was with IS2, which increased in O limitation compared to the unlimited condition
(2-tail t test, P < 0.01). Our overall transposition rate (extrapolated by converting our μIS per
locus rate to per genome rate; μIS = 4.9 ± 1.64 SD x 10−5 per genome per generation in the
nutrient-rich environment) is 3-fold higher than the estimate of 1.5 x 10−5 per genome per
generation in a mutation accumulation study [42]. The difference may be due to the deleteri-
ous effect of IS transpositions in MA experiments [29] or locus-specific bias in cycA. Aside
from IS movements, other types of transposition events are subject to stress regulators [43],
but we have no measure of these in the cycA experiments. The single base-pair indel rates (μSI) in P limitation were 40- to 150-fold elevated compared
to nutrient-rich and O-limited environments due to 15- to 56-fold higher rates of all 4 types of
SI (Fig 4C, 2-tail t test, P < 0.001). Likewise, significantly higher rates of 3 types of SI in C limi-
tation (2-tail t test, P < 0.05) and 2 types of SI in N limitation (2-tail t-test, P < 0.05) differ
from the less-extensive change in the 4 SI types among the nutrient-rich, O, and Fe limitation
states (2-tail t test, P > 0.05). The 4 LI events in Fig 4D were also nonuniform. A deletion of 12 bp at base positions 96–
108 of the cycA gene (LDR1) was present in some mutants, while a deletion of 18 bp (LDR2)
and an insertion of 18 bp (LIR2) in the 918–948 region of cycA (Fig 3C) was present in others. The total LIR2 rate was surprisingly prominent in the nutrient-rich condition (Fig 4E), which
made LIs a prominent component of the mutation spectrum in nutrient-unlimited growth
(Fig 2B and 2C). In contrast, deletion formation was especially elevated under P limitation. These extensive spectrum findings in Fig 4 provide a new insight that nutritional states
have a more general impact on stress-specific changes to DNA repair or mutagenesis than on
overall μTOTAL mutation rates. (E) The coloured bars in each of the 4 panels represent the relative contribution
of the individual mutations shown to the BPS, IS, SI, and LI classes within each of 6 environments. The bars represent the percentage contribution
of each individual type to each class. The numerical data for all parts of the figure are given in supplementary file S1 Data. https://doi.org/10.1371/journal.pbio.2001477.g004 https://doi.org/10.1371/journal.pbio.2001477.g004 As shown in Fig 4, nutritional effects on spectra are even more evident within each BPS, SI,
LI, and IS class. Notably, 3 limitations (of O, N and Fe) that cause limited increases in BPS
rates in Fig 4 contained a >10-fold variation in rates of all 6 individual BPSs (Fig 4A). P limita-
tion showed the highest cumulative BPS mutation rate (μBPS), and this was mainly due to
GC!TA transversions and GC!AT transitions. Mutation rates for these substitutions were
10- to 13-fold higher than in nutrient-rich conditions (2-tailed t test, P < 0.001 in both cases). C limitation also resulted in a high BPS rate but mainly due to a GC!AT transition. We even
found base changes that became extremely rare in particular environments; for example,
GC!CG and AT!TA changes were below our detection limit in all 6 parallel cultures under
O and C limitation, respectively. An entirely unanticipated consequence of the shifts in BPS patterns is a uniquely different
transition to transversion (Ti/Tv) ratio in 1 environment (Fig 4A). The Ti/Tv ratio is 1.9 in C PLOS Biology | https://doi.org/10.1371/journal.pbio.2001477
June 8, 2017 8 / 22 PLOS Biology | https://doi.org/10.1371/journal.pbio.2001477
June 8, 2017 How do environments cause a mutational bias? The bootstrap values were obtained
from 1,000 replicate analyses. https://doi.org/10.1371/journal.pbio.2001477.g005 https://doi.org/10.1371/journal.pbio.2001477.g005 nutritional factors, but all vary (Fig 6). There is no clear relation between repair levels and that
of a global controller, RpoS (Fig 6E), known to affect both MutS and DinB [9,19]. Elevated
RpoS in all limitations relative to unlimited conditions shown in Fig 6 should increase double-
strand breaks according to [47], but we do not find correspondingly increased net mutation
rates in some of the environments. Other inputs besides RpoS must control mutation pro-
cesses. Another repair component, UvrD, was recently linked to stress [48] and is also likely to
be subject to nutritional variation. The regulatory plasticity of repair systems may thus contrib-
ute to the basis of the complex shifts in mutation patterns seen in Fig 4. An indication of this is
with the most mutagenic environment (P), which has the highest error-prone polymerase,
equal lowest MutS, and reduced MutY repair. Of course, other influences on mutational spec-
tra may contribute; the chromosomal structure and its superhelicity, subdomains, and DNA-
binding proteins also changes in various environments [49]. Further analysis is needed to
explain how environments impact on mutational spectra. How do environments cause a mutational bias? The relationships between individual mutation rates and environments are summarized in a
mutational landscape (Fig 5A). This highlights the considerable mutational pattern differences
between environments. There is nevertheless a dichotomy in rate patterns between the nutri-
ent-unlimited (Un), Fe-, and O-limited cultures and the more mutagenic P- and C-limited
environments. This dichotomy is reinforced by the unweighted pair-group method with arith-
metic mean (UPGMA) clustering in Fig 5B between sets of limitations, suggesting some envi-
ronments result in more related mutagenic effects. Explaining these relationships is difficult,
however. Physiologically, O and Fe limitation may show similarities if a reduction of Fe-initi-
ated O radical damage is a cause of the pattern changes. On the other hand, the physiological
relationship of O and Fe to N limitation is less obvious. The close clustering of the C and P lim-
itations is also difficult to explain through their divergent patterns of gene expression [25]. One clue to the complexity of the spectra is the unexpectedly intricate pattern of DNA
repair system expression in each nutritional state (Fig 6). We quantitated a component of the
ubiquitous mismatch repair system (MutS [9]), the SOS system (DinB involved in error-prone
repair [19,45]), and MutY expression (involved in O-damage repair in E. coli [46]). The mis-
match repair (MMR) and SOS systems and expression of mutY are not coregulated by PLOS Biology | https://doi.org/10.1371/journal.pbio.2001477
June 8, 2017 9 / 22 Mutational landscapes in 6 environments Fig 5. The mutational landscape in 6 nutritional states. (A) The landscape is based on the mean mutation rates of the 16
different types of mutation estimated in Fig 4A–4D plus 2 composite rates (other insertion sequences [Other-ISs] and other
deletion and insertion indels > 1bp [Other-LIs]) in the 6 nutritional states. In (B), the relationship of mutational patterns is
related by the Unweighted Pair-Group Method with Arithmetic Mean (UPGMA [44]). The bootstrap values were obtained
from 1,000 replicate analyses. https://doi org/10 1371/journal pbio 2001477 g005 Fig 5. The mutational landscape in 6 nutritional states. (A) The landscape is based on the mean mutation rates of the 16
different types of mutation estimated in Fig 4A–4D plus 2 composite rates (other insertion sequences [Other-ISs] and other
deletion and insertion indels > 1bp [Other-LIs]) in the 6 nutritional states. In (B), the relationship of mutational patterns is
related by the Unweighted Pair-Group Method with Arithmetic Mean (UPGMA [44]). The generality of spectral changes; is the cycA spectrum characteristic
of other genes? There are suggestions that chromosomal position can influence rates of mutation [33] and
other data suggests local context rather than location is important [51]. Our data in Figs 2–5 10 / 22 PLOS Biology | https://doi.org/10.1371/journal.pbio.2001477
June 8, 2017 Fig 6. The effect of 6 nutritional states on three DNA repair systems and a regulator of multiple repair
systems in E. coli. (A) MutY is an adenine DNA glycosylase active on GC!AT mispairs and corrects error-
prone DNA synthesis past lesions, which are due to the oxidatively damaged DNA. Its expression was followed
using a mutY-lacZ transcriptional fusion [46] in the 6 different nutritional conditions by following β-galactosidase
activity. (B) The level of the DNA mismatch repair protein MutS, which corrects noncomplementary base pairs,
was measured by immunoblotting relative to RpoD [50], a constant RNA polymerase component in E. coli. (C)
The level of DinB (an error-prone DNA polymerase, pol IV, regulated as part of the SOS response) relative to
RpoD was measured by immunoblotting [50]. (D) A representative western blot of the data in panels (B-E). (E)
RpoS levels were analysed by immunoblotting relative to RpoD [50]. The error bars in plots represent the
standard deviations from 3 independent experiments. t test P values were based on 2-tailed t test, assuming
2-sample unequal variance. *P < 0.05, **P < 0.01, and ***P < 0.001. ns, not significant. The numerical data
for all parts of the figure are given in supplementary file S1 Data. https://doi.org/10.1371/journal.pbio.2001477.g006
Mutational landscapes in 6 environments Mutational landscapes in 6 environments Fi
6 Th
ff
t
f 6
t iti
l t t
th
DNA
i
t
d
l t
f
lti l
i Fig 6. The effect of 6 nutritional states on three DNA repair systems and a regulator of multiple repa Fig 6. The effect of 6 nutritional states on three DNA repair systems and a regulator of multiple repair
systems in E. coli. (A) MutY is an adenine DNA glycosylase active on GC!AT mispairs and corrects error-
prone DNA synthesis past lesions, which are due to the oxidatively damaged DNA. Its expression was followed
using a mutY-lacZ transcriptional fusion [46] in the 6 different nutritional conditions by following β-galactosidase
activity. (B) The level of the DNA mismatch repair protein MutS, which corrects noncomplementary base pairs,
was measured by immunoblotting relative to RpoD [50], a constant RNA polymerase component in E. coli. PLOS Biology | https://doi.org/10.1371/journal.pbio.2001477
June 8, 2017 Mutational landscapes in 6 environments Fig 7. The effect of 6 nutritional states on base substitution patterns in lacZ. Mutation rates for each of 6 different possible base pairs, AT!GC,
GC!AT, GC!TA, GC!CG, AT!TA, and AT!CG were assayed by using the tester E. coli strains CC106, CC102, CC104, CC103, CC105, and
CC101, respectively. The transition to transversion (Ti/Tv) substitution ratios amongst all base-pair substitution (BPS) changes in the 6 environments
are shown in the right panel. The environments and axis labels are as defined in Fig 2. Box-and-whisker plots are shown, in which whiskers represent
minimum and maximum values, the box represents top 75 and bottom 25 percentiles, and the horizontal line represents median value. Two-tailed t
test P values were based on assuming 2-sample unequal variance. In plots, * represents P < 0.05; ** represents P < 0.01, and *** represents
P < 0.001. ns, not significant. The numerical data for all parts of the figure are given in supplementary file S1 Data. https://doi.org/10.1371/journal.pbio.2001477.g007 states on base substitution patterns in lacZ. Mutation rates for each of 6 different possible base pairs, AT!GC, Fig 7. The effect of 6 nutritional states on base substitution patterns in lacZ. Mutation rates for each of 6 different possible base pairs, AT!GC,
GC!AT, GC!TA, GC!CG, AT!TA, and AT!CG were assayed by using the tester E. coli strains CC106, CC102, CC104, CC103, CC105, and
CC101, respectively. The transition to transversion (Ti/Tv) substitution ratios amongst all base-pair substitution (BPS) changes in the 6 environments
are shown in the right panel. The environments and axis labels are as defined in Fig 2. Box-and-whisker plots are shown, in which whiskers represent
minimum and maximum values, the box represents top 75 and bottom 25 percentiles, and the horizontal line represents median value. Two-tailed t
test P values were based on assuming 2-sample unequal variance. In plots, * represents P < 0.05; ** represents P < 0.01, and *** represents
P < 0.001. ns, not significant. The numerical data for all parts of the figure are given in supplementary file S1 Data. https://doi.org/10.1371/journal.pbio.2001477.g007 C!TA, GC!CG, AT!TA, and AT!CG were assayed by using the tester E. coli strains CC106, CC102, CC104, CC103, CC105, and
ectively. The transition to transversion (Ti/Tv) substitution ratios amongst all base-pair substitution (BPS) changes in the 6 environments
the right panel. The environments and axis labels are as defined in Fig 2. Box-and-whisker plots are shown, in which whiskers represent
d maximum values, the box represents top 75 and bottom 25 percentiles, and the horizontal line represents median value. Two-tailed t
were based on assuming 2-sample unequal variance. In plots, * represents P < 0.05; ** represents P < 0.01, and *** represents
s, not significant. The numerical data for all parts of the figure are given in supplementary file S1 Data. 10.1371/journal.pbio.2001477.g007
Fig 8. Environmentally controlled mutation availability influences the evolvability of new traits. Mutation rates of changes
permitting growth on 3 different carbon sources, requiring different types of mutation, were measured. The adaptations required
either a base pair substitution in lacZ (A, lactose), an insertion sequence (IS) transposition in the bgl operon (B, salicin), or an SI
mutation with a +1 base-pair insertion in araD (C, arabinose). (D) The fitness of a Lac+ colony obtained from Lac- was measured in
the 6 different nutritional conditions against the ancestral Lac-. In (E), a Sal+ colony obtained from Sal- was measured in the 6
different nutritional conditions against the ancestral Sal-. In (F), the fitness of an Ara+ colony was measured against the ancestral
Ara- strain in 6 conditions. Error bars are standard deviations from at least 2 independent experiments. t test P values were based on
2-tailed t test, assuming 2-sample unequal variance. In plots, * represents P < 0.05; ** represents P < 0.01, and *** represents
P < 0.001. ns, not significant. The numerical data for all parts of the figure are given in supplementary file S1 Data. https://doi.org/10.1371/journal.pbio.2001477.g008 https://doi.org/10.1371/journal.pbio.2001477.g007 Fig 8. Environmentally controlled mutation availability influences the evolvability of new traits. Mutation rates of changes
permitting growth on 3 different carbon sources, requiring different types of mutation, were measured. The adaptations required
either a base pair substitution in lacZ (A, lactose), an insertion sequence (IS) transposition in the bgl operon (B, salicin), or an SI
mutation with a +1 base-pair insertion in araD (C, arabinose). (D) The fitness of a Lac+ colony obtained from Lac- was measured in
the 6 different nutritional conditions against the ancestral Lac-. In (E), a Sal+ colony obtained from Sal- was measured in the 6
different nutritional conditions against the ancestral Sal-. In (F), the fitness of an Ara+ colony was measured against the ancestral
Ara- strain in 6 conditions. Error bars are standard deviations from at least 2 independent experiments. The generality of spectral changes; is the cycA spectrum characteristic
of other genes? (C)
The level of DinB (an error-prone DNA polymerase, pol IV, regulated as part of the SOS response) relative to
RpoD was measured by immunoblotting [50]. (D) A representative western blot of the data in panels (B-E). (E)
RpoS levels were analysed by immunoblotting relative to RpoD [50]. The error bars in plots represent the
standard deviations from 3 independent experiments. t test P values were based on 2-tailed t test, assuming
2-sample unequal variance. *P < 0.05, **P < 0.01, and ***P < 0.001. ns, not significant. The numerical data
for all parts of the figure are given in supplementary file S1 Data. https://doi.org/10.1371/journal.pbio.2001477.g006 are based on the spectrum of CycR mutations in a single gene at position 95.44 min on the E. coli chromosome. Hence, it was desirable to test whether the spectral changes under the vari-
ous stresses are similar at other chromosomal sites. We thus additionally followed, in the same
6 environments, the occurrence of 3 types of mutation at 3 other sites. These were in lacZ at
7.83 min (for all 6 types of BPS), bgl at 65.57 min (for IS movements), and araD at 1.42 min
(for a single base indel). The data obtained are shown in Figs 7 and 8. The analysis of lac BPS changes used the 6 strains developed by Cupples and Miller, each of
which require a particular base change to revert to a Lac+ phenotype [52]. The 6 strains were PLOS Biology | https://doi.org/10.1371/journal.pbio.2001477
June 8, 2017 11 / 22 PLOS Biology | https://doi.org/10.1371/journal.pbio.2001477
June 8, 2017 Mutational landscapes in 6 environments each grown in the same 6 environments, and Lac+ isolates were enumerated after 72 h of che-
mostat culture, as for cycA. The data are resented in Fig 7. The reversion rates for each BPS
were characteristic for each limitation, and AT!CG, GC!AT changes were strongly environ-
ment-dependent. For example, mutation rates for AT!CG and GC!AT are 9- and 3-fold
higher in P limitation than in the nutrient-rich condition. This pattern was as observed for the
cycA changes in Figs 3 and 4. As shown in Fig 8A, the sum of all 6 BPS rate changes in each
environment was also environment-dependent and remarkably similar to the cycA pattern in
Fig 3D. The individual BPS changes in lacZ also resulted in a similar Ti/Tv pattern as shown
for cycA in Fig 4A, with glucose limitation having the highest Ti/Tv ratio. Comparing the cycA
and lacZ results, it appears the stress-dependent BPS spectrum changes were both gene- and
assay-independent. A second test of the generality of environmental effects was on the differences in IS muta-
tion rates in the 6 environments (Fig 4C). We used the mutational acquisition of the ability to
use β-glucosides like salicin in E. coli, because this specifically requires IS transposition (several
IS elements can be involved) near the bgl genes [53]. The expectation was that we see elevated
IS movement in Fe and O limitation but not in P limitation, as with cycA (Fig 3D). Indeed,
Sal+ mutations were commonest in O and Fe limitation and lowest in P limitation (Fig 8B,
2-tailed P < 0.001). There was a 10-fold range of bgl mutation frequencies in the 6 states. The
Sal+ environment profiles match the IS spectra obtained from sequencing of cycA, except for C
limitation (Fig 3D). The third prediction was that large environmental effects on a +1 bp SI mutation in cycA
(Fig 4C) should result in a commensurate rate of mutation at other loci. We tested the rever-
sion to growth on arabinose in a mutant [54] with a 1 bp deletion in araD as an assay for the
prevalence of a +1BP insertion. The reversion rates to Ara+ were measured in the 6 environ-
ments. As shown in Fig 8C, Ara+ reversion was also environment-sensitive. There was a
>100-fold range of araD reversion rates. The strikingly clear result was that the frameshift
change in araD was most prominent in P limitation but highly reduced during O limitation
(Fig 8C, 2-tailed P < 0.001), altogether matching the SI pattern in Fig 3D. Sequencing of araD
and PCR analysis for the bgl IS movement demonstrated that the mutational types were indeed
a +1 frameshift and IS insertion, respectively. In order to check whether the Lac+, Ara+, and Sal+ differences in Fig 8 were due to fitness
advantages of mutants in the chemostats, the competitive fitness of Lac+/-, Ara+/-, and Sal+/-
mutations in each environment was tested to see if the mutations were differentially enriched
in particular settings. The Lac+, Ara+ and Sal+ mutations were each near-neutral and the fitness
of mutants is not a major difference in the 6 environments (Fig 8D and 8E). In the absence of
fitness effects, mutation availability is thus the likely explanation for the uneven pattern of
Lac+, Ara+, and Sal+ mutations across environments in Fig 8A–8C. The important conse-
quence of these findings with the 3 sugars in the 6 environments is that the traits dependent on
particular types of mutations are likely to emerge at different rates in different situations; this
is also likely to apply to any adaptation that relies on specific types of mutation. t test P values were based on
2-tailed t test, assuming 2-sample unequal variance. In plots, * represents P < 0.05; ** represents P < 0.01, and *** represents
P < 0.001. ns, not significant. The numerical data for all parts of the figure are given in supplementary file S1 Data. https://doi.org/10.1371/journal.pbio.2001477.g008 PLOS Biology | https://doi.org/10.1371/journal.pbio.2001477
June 8, 2017 12 / 22 PLOS Biology | https://doi.org/10.1371/journal.pbio.2001477
June 8, 2017 Mutational landscapes in 6 environments various organisms [7,9,30,55]. Here we dealt with nutrient stress, but a systematic analysis of
spectra with other physicochemical stresses such as pH and salinity at fixed growth rates are
also called for to expand our understanding of how environments fix the scope of mutational
genetic variation. A new study reinforces that the mix of mutations also changes with tempera-
ture [56], but the spectral changes were not presented in detail. Environmental effects on
genetic variation are thus likely to be a general phenomenon. Changes in total mutation rates with stress are long-argued but lacked a systematic analysis
[1,3,4]. Our results indicate that nutritional stresses (and perhaps other environmental
stresses) do not uniformly increase total mutation rates; only 2 of the 5 conditions tested sig-
nificantly increased rates. One of these 2 conditions (carbon limitation) is likely to be a factor
in the plate starvation assays used by others [1,3,4], so provide conditions where higher muta-
tion rates are measurable. Altogether, our results point to the importance of fixing environ-
ments in studying mutational processes because variations to Fe, P, or aeration levels can
occur at high cell densities in rich media, and this could bias mutation profiles. In addition,
the results with C and P limitation, as well as studies showing how regulatory mutations
change mutational processes [19,50,57,58] argue that stress effects on mutations are real,
although very sensitive to environments. Another surprise was that P limitation was the most
mutagenic, giving a 9-fold higher net mutation rate and the lowest level of DNA repair. It
should also be pointed out that our results exclude selection effects on the cycA, lacZ, bgl, and
araD mutations analysed in these experiments, eliminating one of the major problems present
in earlier studies [16,17]. The generality of the spectral changes in our cycA study is vindicated by the changes also
seen in the lacZ, araD, and bgl genes (Figs 7 and 8). Biased base-pair changes, single-base SIs,
and IS movements are a general feature of different forms of nutrient limitation in the 4 genes. Furthermore, a new study published since submission has determined mutational spectra
under anaerobiosis [59]. This too found the IS150 difference to be the biggest single pattern
change, as in Fig 4B. The small increase in total mutation rates (1.6-fold) in anaerobic muta-
tion accumulation experiments [59] is also consistent with our data in Fig 2A. PLOS Biology | https://doi.org/10.1371/journal.pbio.2001477
June 8, 2017 Discussion This analysis of nutritional states on mutation rates and spectra under stringently controlled
conditions has produced results that challenge established assumptions on SIM and the ran-
domness of mutations in genetic variation. The major surprise is the very distinct mutational
mixes under 5 different forms of nutrient limitation at the same growth rate. This data suggests
that mutational spectra are highly susceptible to the environment. The detected plasticity of all
mutational types greatly extends mutation spectrum observations with individual stresses in PLOS Biology | https://doi.org/10.1371/journal.pbio.2001477
June 8, 2017 13 / 22 Mutational landscapes in 6 environments Another example of mutational bias likely due to a P-limited environment is in lungs [63]. SIs are most likely to occur in P-limited environments in our study. Indeed, there is evidence
that SIs provide the majority of parallel adaptations in Pseudomonas aeruginosa in 474 longitudi-
nal lung isolates [64]. Genome-wide analysis of these isolates also showed a much lower BPS/
indel ratio (3.4) than observed in bacteria generally (19.3; [65]). The BPS/SI ratio with P limita-
tion in Fig 4 was correspondingly low (1.6), whereas the highest ratio (32) was with O limitation. The C-limited state is prevalent in the competitive intestinal environment of E. coli, and it is
frequent in many parts of the biosphere. It is tempting to predict that the BPS bias to transi-
tions we find to be prevalent under C limitation provides a plausible cause of the transition
bias arising in evolving E. coli and other genomes [66]. Still, natural environments are often
not single-nutrient limited so we cannot predict how more complex environments (e.g.,
involving both C and O limitation) affect mutation rates and spectra. Nevertheless, environ-
mental causes may well contribute to the general transition bias in organisms [41], as shown in
Fig 4A and Fig 7. We do not have a detailed mechanistic explanation for shifts in spectra but the extensive
environmental-mutational plasticity we find is associated with the equally remarkable patterns
of DNA repair. The sheer complexity of the changes means that we cannot identify particular
gene-regulatory networks as being impacted by particular nutritional states. RpoS and other
networks associated with DNA repair may contribute [19,50,57,58], but there is no direct link
between RpoS levels in Fig 6 and particular mutation patterns. It will need a comprehensive
analysis of all repair functions to disentangle the spectrum differences. In relation to evolutionary theory, these findings profoundly change our understanding of
genetic variation in evolution. This is because spectral shifts in mutation availability occur
even when net mutation rates do not. Since not all mutational types are able to initiate all fit-
ness paths [67], the spectrum differences may well result in evolvability effects. The novel
implication is that evolution provides alternative adaptive pathways, as proposed for evolu-
tionary divergence [67]. Our inference is that models of evolution need to modify the historical
concept of “mutation rate” as a parameter in evolution. So we are confi-
dent of the generality of our findings within E. coli that environments have a strong impact on
mutational spectra. Our data provide an entirely new perspective of SIM. We find that all tested nutrient
stresses impact on mutational spectra, and the availability of particular types of mutations. Likewise, all individual mutation types are stress-affected. The established description of SIM,
as a process up-regulated by a stress response [5], covers only a part of an unexpectedly com-
plex environment–mutation landscape. Stress, resulting in major decreases in growth rates,
does not always equally increase mutation rates. We find novel situations in which stress regu-
lators down-regulate particular mutational types and up-regulate others, but net mutation
rates remain unchanged. Actually, the only universal mutational effect of suboptimal environ-
ments is that mutational spectra are shifted in all of the situations we studied. It is interesting to speculate how the environmental influences may impact the evolution of
bacteria, especially inside the mammalian habitat of E. coli. From our results, the implications
for bacterial evolution are that acquisition of new traits needing IS transposition is much like-
lier in anaerobic (colon) or Fe-limited (body secretions) than P-limited situations. There is
published evidence for this bias, because the majority of first-step bacterial adaptations in the
anaerobic gut of mice are due to IS transpositions [60]. Another example of an anaerobic envi-
ronment with unusually high rates of IS movement is in long-term stab cultures [61], and a
new study has shown that transposition rates are also altered by medium agar concentration
[62]. PLOS Biology | https://doi.org/10.1371/journal.pbio.2001477
June 8, 2017 14 / 22 PLOS Biology | https://doi.org/10.1371/journal.pbio.2001477
June 8, 2017 Bacteria strains, media, and culture conditions The E. coli K12 strain MC4100 [54], which is CycS and salicin-negative (Sal−) and has an
araD139 (Ara-) mutation, was used in this study. We also used a set of 6 E. coli strains CC101-
106 [52]. Each CC strain is Lac−and contains a different point mutation in lacZ affecting resi-
due 416 in β-galactosidase. The mutations necessary for Lac+ reversion are AT!GC (CC106),
GC!AT (CC102), GC!TA (CC104), GC!CG (CC103), AT!TA (CC105), and AT!CG
(CC101). “Unlimited” media used for exponential batch culture was the minimal medium previously
described [76], supplemented with 0.2% glucose. In all chemostat cultures, the dilution rate
was set at 0.1 h−1 [76]. We used the following media for 80 ml chemostat cultures, resulting in
5 different nutritional states. In the glucose-limited (C-limited) medium, the minimal medium
was supplemented with 0.02% glucose. For O-limited chemostats, the airflow through the
sparger was blocked to create an oxygen-depleted environment and supplemented with 0.08%
glucose as described previously [77]. An Fe-depleted environment was obtained by removing
sodium citrate and Fe2SO4 from the medium as described in [76] and supplemented with
0.04% glucose. In addition, contaminating iron was removed from all glassware and other che-
mostat equipment by soaking for 24 h in 2% hydrochloric acid followed by rinsing with MilliQ
water. The P-limited medium contained 0.2% glucose and was as previously described [78]. The N-limited medium was supplemented with 0.2% glucose and contained the same basal
medium as the P-limited culture but with (NH4)2SO4 reduced to 0.03 g/l and 1 mM K2HPO4. The higher glucose addition in some media was to ensure glucose excess in all conditions
except under carbon limitation. Anaerobic, phosphate-, nitrogen-, and iron-limiting condi-
tions result in less respiration and more fermentative metabolism, which consumes more glu-
cose, hence the need for more glucose in the media to avoid a double limitation. Mutational landscapes in 6 environments situations where particular mutations empower evolutionary divergence through different
mutations [67,72], the emergence of mutationally acquired antibiotic resistance in bacteria
[73], such as in the evolution of β-lactamase active sites [74], or the spectrum of mutations
causing cancer in humans [75]. PLOS Biology | https://doi.org/10.1371/journal.pbio.2001477
June 8, 2017 Mutational heterogeneity as much as
the net mutation rate may well influence evolvability; this notion is inconsistent with Neo-Dar-
winian assumptions that mutational effects have a minor role in evolution [68]. Especially rele-
vant are situations in which the acquisition of new characters requires specific mutations
rather than any random variation. For example, the spectra of IS and SI mutations in bgl and
ara genes (Fig 8) indicates that IS and SI mutations are very limited in some environments but
not in others. Altogether, our results support the view that the availability of mutations can be
a factor in evolution and may drive the acquisition of new characteristics through supplying
limiting mutations, called constraint-breaking mutations in recent models [68,69]. Another fundamental question arising from the mutation rate and evolvability differences
is whether the mutation biases are random with respect to adaptation. Based on our results, we
do not see a clear link between increased individual mutation types and their benefits in those
same environments, as has also been shown for starvation-induced mutagenesis [70]. For
example, SIs are not obviously beneficial under P limitation in E.coli, the environment in
which they are so prevalent. Although SIs may be mostly deleterious, the 10-fold increase in
BPSs under P limitation may potentiate alternative beneficial changes. The transition bias in C
limitation does not offer clear benefits, nor does the strongly elevated IS transposition under
anaerobic conditions. Nevertheless, some of many notions of mutational “chance” or “ran-
domness” in evolution [71] are impacted by our findings. For now, our conclusion is that envi-
ronmental biases do not provide directed mutations. Finally, the implication of our results extends to all those important domains of biology and
medicine where mutation availability and mutation bias have recognised roles. These include PLOS Biology | https://doi.org/10.1371/journal.pbio.2001477
June 8, 2017 15 / 22 Analysis of mutation rates We used the Luria-Delbruck fluctuation test [79] for measuring mutation rates in nutrient-
unlimited batch cultures but this method cannot be applied to continuous cultures. To deter-
mine mutation rates in chemostats, we adopted a method routinely used for continuous cul-
tures [80] as described in detail below. For the Luria-Delbruck fluctuation tests [79], a single colony of wild-type MC4100 was
inoculated in 5 ml MMA medium, supplemented with 0.2% wt/vol glucose and allowed to
propagate overnight at 37˚C with shaking at 200 rpm. The overnight cultures were diluted in 5
ml fresh MMA medium, supplemented with 0.2% wt/vol glucose and allowed to grow to opti-
cal density at 600 nm to 0.6. The exponentially growing cultures were then diluted 10,000-fold
into 100 ml in MMA medium supplemented with 0.2% wt/vol glucose and divided equally
into 20 separate McCartney bottles, each receiving 5 ml. The freshly diluted cultures were then
incubated at 37˚C overnight with shaking at 200 rpm. Culture samples were then plated sepa-
rately on cycloserine, arabinose, and salicin plates. The plates were then incubated for 24 h at
37˚C to detect CycR mutant colonies and 48 h for detection of Lac+, Ara+, and Bgl+ mutants,
respectively. For total colony forming unit counts, aliquots of appropriately diluted cultures
were plated on LB-agar plates. The mutation rates were then estimated from the number of
resistant colonies per culture and total cell count by using the Ma-Sandri-Sarkar maximum
likelihood (MSS-MLL) analysis [79]. For mutation rates in chemostats, a single colony of MC4100 was inoculated in 5 ml of
the above 5 nutrient-limited minimal media for 6 h; 1 ml of this starter culture was used as
inoculum for chemostats. Culture samples were taken at 2 time points, at time 0 h (i.e., when
cultures reached a steady OD600 (0.2 to 0.3, equivalent to 1.3–2.3 x 1010 bacteria in 80 ml
depending on the chemostat composition) and 1 sample at 72 h at the same maintained den-
sity. Aliquots were then plated or overlaid separately on the cycloserine, lactose, arabinose,
and salicin plates described above as well as for total counts on LB agar. Protein and gene expression analyses The levels of RpoD, RpoS, DinB, and MutS proteins in chemostats and exponentially growing
cultures of E. coli were determined by using the western blot protocol described previously
[50]. The expression level of mutY was analysed in the 6 different nutritional conditions as
described for the E. coli MC4100 derivative strain BW3500 containing a mutY-lacZ transcrip-
tional fusion [46]. Mutational landscapes in 6 environments mutation rates, we used salicin minimal agar plates; growth on salicin requires a transposition
of an IS element as described previously [53]. Arabinose and salicin plates were based on
MMA and contained 1% wt/vol arabinose and 1% wt/vol salicin respectively. Analysis of mutation rates Mutation rates were
calculated by using the following equation [80]: μ = [1(r2 –r1)]/[Nλ(t2—t1)], where, r1 and r2
are the number of mutants detected at times t1 and t2 respectively; N is total cell number,
which remains constant in a chemostat but was determined in each sample; λ is dilution rate,
which was set at 0.1 h−1 in these experiments. By adjusting population sizes to account for
mutation rate differences, we aimed to obtain a mean of 100 colonies per plate for counting. Isolation of mutants on selective media Acquisition of resistance to cycloserine from cycloserine-sensitive populations of MC4100
(CycS!CycR assay) was used to select mutations in cycA. The cycloserine-sensitive E. coli was
grown for 72 h in chemostats at a growth rate (dilution rate) of 0.1 h−1 in different nutrient-
limited chemostats before plating culture samples on cycloserine plates for detection of CycR
mutants. The cycloserine plates consisted of 0.2% wt/vol glucose, 40 μM cycloserine (Sigma-
Aldrich), and 1.5% wt/vol agar in minimal medium A. For the Lac+ reversion assay, bacteria containing mutant lacZ genes were grown in the
same growth conditions as used for the detection of CycR for 72 h in chemostats. The Lac+
reversion assay was performed by mixing 1 ml of concentrated cultures containing 1.3–2.3 x
1010 cells with 8 ml of molten (45˚C) MMA-top agar (0.7% agar in MMA) in a 50-ml tube. The contents were then overlaid onto 3 separate lactose MMA agar plates, which contain 1.5%
wt/vol lactose as a sole carbon source. The total number of Lac+ colonies in each sample was
counted after 48 h incubation at 37˚C. We used the reversion of the arabinose-negative MC4100 (with a frameshift mutation in
araD) to arabinose positive (Ara−! Ara+) to detect a 1 bp indel in araD by plating cultures on
MMA agar plates containing arabinose as the sole carbon source. For the IS transposition PLOS Biology | https://doi.org/10.1371/journal.pbio.2001477
June 8, 2017 16 / 22 PLOS Biology | https://doi.org/10.1371/journal.pbio.2001477
June 8, 2017 Mutational landscapes in 6 environments limited, and 245 from P-limited cultures) were randomly chosen for PCR sequencing as
described in [30]. The identified mutations were categorized into BPSs, SIs, LIs, and transpositions involving
one of several (IS) elements. Rates for each class and each individual type of mutation were
estimated from their frequency amongst the sequenced CycR mutants and the overall mutation
rate for the cycA gene based on the fluctuation tests and chemostat methods described above. We excluded only 1 culture from the analysis (Fe-limited) in which a jackpot event resulted in
75% of mutations of the same sequence. S1 Table. Sequence changes in 6 conditions.
(XLSX) S1 Table. Sequence changes in 6 conditions. (XLSX) S1 Data. Numerical data in figures. (XLSX) S1 Data. Numerical data in figures. (XLSX) Cluster analysis The tree showing the relationship among mutational spectra from the 6 different environ-
ments was based on the PAST software package [44]. Analyses of mutant fitness The fitness of CycR, Lac+, Ara+, and Bgl+ mutants relative ancestral MC4100 in the same 6 con-
ditions in which they were isolated was analysed as described previously in [40]. Fitness of
CycR, Lac+, Ara+, and Bgl+ in the nutrient-unlimited condition was obtained by comparing
the exponential growth rate of mutants with that of wild-type E. coli. Statistical analysis The upper and lower limits with 95% confidence interval of mutation rates for CycS>CycR,
Ara−>Ara+, and Bgl->Bgl+ were determined by the FALCOR web tool [79]. Student t test was
performed using Microsoft Excel. In all t tests, we used the 2-tailed test, assuming 2-sample
unequal variance. SDs among replicates are shown in the text and were also calculated using
Microsoft Excel. The SD was based on 20 replicate cultures for the Luria-Delbruck experi-
ments and at least 6 replicate chemostats in each environment. Supporting information S1 Table. Sequence changes in 6 conditions. (XLSX)
S1 Data. Numerical data in figures. (XLSX) S1 Table. Sequence changes in 6 conditions. (XLSX) Determination of the mutational spectrum in cycA The mutation spectrum in cycA in CycR mutants obtained in the nutritional states was deter-
mined by sequencing the entire length of a PCR product of cycA in CycR mutants. A total of
1,399 CycR mutants isolated from 6 replicate cultures from each condition (in total 249 from
Fe-limited, 228 from Un-limited, 234 from O-limited, 240 from N-limited, 203 from C- PLOS Biology | https://doi.org/10.1371/journal.pbio.2001477
June 8, 2017 17 / 22 PLOS Biology | https://doi.org/10.1371/journal.pbio.2001477
June 8, 2017 References 1. Bjedov I, Tenaillon O, Gerard B, Souza V, Denamur E, Radman M, et al. (2003) Stress-induced muta-
genesis in bacteria. Science 300: 1404–1409. https://doi.org/10.1126/science.1082240 PMID:
12775833 2. MacLean RC, Torres-Barcelo C, Moxon R (2013) Evaluating evolutionary models of stress-induced
mutagenesis in bacteria. Nature Reviews Genetics 14: 221–227. https://doi.org/10.1038/nrg3415
PMID: 23400102 3. Galhardo RS, Hastings PJ, Rosenberg SM (2007) Mutation as a stress response and the regulation of
evolvability. Critical Reviews in Biochemistry and Molecular Biology 42: 399–435. https://doi.org/10. 1080/10409230701648502 PMID: 17917874 4. Foster PL (2007) Stress-Induced Mutagenesis in Bacteria. Critical Reviews in Biochemistry and Molec-
ular Biology 42: 373–397. https://doi.org/10.1080/10409230701648494 PMID: 17917873 5. Gibson JL, Lombardo MJ, Thornton PC, Hu KH, Galhardo RS, Beadle B, et al. (2010) The sigma E
stress response is required for stress-induced mutation and amplification in Escherichia coli. Molecular
Microbiology 77: 415–430. https://doi.org/10.1111/j.1365-2958.2010.07213.x PMID: 20497332 6. Fitzgerald DM, Hastings PJ, Rosenberg SM (2017) Stress-Induced Mutagenesis: Implications in Can-
cer and Drug Resistance. Annual Review of Cancer Biology 1. https://doi.org/10.1146/annurev-
cancerbio-050216-121919 7. Long H, Miller SF, Strauss C, Zhao C, Cheng L, Ye Z, et al. (2016) Antibiotic treatment enhances the
genome-wide mutation rate of target cells. Proceedings of the National Academy of Sciences 113:
E2498–E2505. 8. Ram Y, Hadany L (2014) Stress-induced mutagenesis and complex adaptation. Proceedings of the
Royal Society B-Biological Sciences 281: 41025–41025. 9. Gutierrez A, Laureti L, Crussard S, Abida H, Rodriguez-Rojas A, Blazquez J, et al. (2013) beta-lactam
antibiotics promote bacterial mutagenesis via an RpoS-mediated reduction in replication fidelity. Nature
Communications 4: 1610–1610. https://doi.org/10.1038/ncomms2607 PMID: 23511474 10. Blazquez J, Couce A, Rodriguez-Beltran J, Rodriguez-Rojas A (2012) Antimicrobials as promoters of
genetic variation. Current Opinion in Microbiology 15: 561–569. https://doi.org/10.1016/j.mib.2012.07. 007 PMID: 22890188 11. Matic I (2013) Stress-Induced Mutagenesis in Bacteria. In: Mittelman D, editor. Stress-Induced Muta-
genesis: Springer New York. pp. 1–19. 12. Harris RS, Feng G, Ross KJ, Sidhu R, Thulin C, Longerich S, et al. (1997) Mismatch repair protein MutL
becomes limiting during stationary-phase mutation. Genes & Development 11: 2426–2437. 13. Bregeon D, Matic I, Radman M, Taddei F (1999) Inefficient mismatch repair: genetic defects and down
regulation. Journal of Genetics 78: 21–28. 14. Layton JC, Foster PL (2003) Error-prone DNA polymerase IV is controlled by the stress-response
sigma factor, RpoS, in Escherichia coli. Molecular Microbiology 50: 549–561. https://doi.org/10.1046/j. 1365-2958.2003.03704.x PMID: 14617178 15. Drake JW (1991) A Constant Rate of Spontaneous Mutation in DNA-Based Microbes. Author Contributions Conceptualization: Thomas Ferenci. Conceptualization: Thomas Ferenci. Data Curation: Ram P. Maharjan. Formal Analysis: Ram P. Maharjan. Funding acquisition: Thomas Ferenci. Investigation: Ram P. Maharjan. Methodology: Ram P. Maharjan. Project Administration: Ram P. Maharjan
Supervision: Thomas Ferenci. Writing – Review and Editing: Ram P. M Formal Analysis: Ram P. Maharjan. Funding acquisition: Thomas Ferenci. Project Administration: Ram P. Maharjan. Supervision: Thomas Ferenci. Supervision: Thomas Ferenci. Writing – Review and Editing: Ram P. Maharjan. PLOS Biology | https://doi.org/10.1371/journal.pbio.2001477
June 8, 2017 18 / 22 Mutational landscapes in 6 environments Writing – original draft: Thomas Ferenci. PLOS Biology | https://doi.org/10.1371/journal.pbio.2001477
June 8, 2017 Mutational landscapes in 6 environments 21. Shee C, Gibson JL, Darrow MC, Gonzalez C, Rosenberg SM (2011) Impact of a stress-inducible switch
to mutagenic repair of DNA breaks on mutation in Escherichia coli. Proceedings of the National Acad-
emy of Sciences of the United States of America 108: 13659–13664. https://doi.org/10.1073/pnas. 1104681108 PMID: 21808005 22. Ferenci T (2008) Bacterial physiology, regulation and mutational adaptation in a chemostat environ-
ment. Advances in Microbial Physiology 53: 169–229. https://doi.org/10.1016/S0065-2911(07)53003-1
PMID: 17707145 23. Brown JH, Gillooly JF, Allen AP, Savage VM, West GB (2004) Toward a metabolic theory of ecology. Ecology 85: 1771–1789. 24. Moore CM, Mills MM, Arrigo KR, Berman-Frank I, Bopp L, Boyd PW, et al. (2013) Processes and pat-
terns of oceanic nutrient limitation. Nature Geosci 6: 701–710. 25. Peterson CN, Mandel MJ, Silhavy TJ (2005) Escherichia coli starvation diets: Essential nutrients weigh
in distinctly. Journal of Bacteriology 187: 7549–7553. https://doi.org/10.1128/JB.187.22.7549-7553. 2005 PMID: 16267278 26. Lynch M (2010) Evolution of the mutation rate. Trends in Genetics 26: 345–352. https://doi.org/10. 1016/j.tig.2010.05.003 PMID: 20594608 27. Hershberg R (2015) Mutation—The Engine of Evolution: Studying Mutation and Its Role in the Evolution
of Bacteria. Cold Spring Harbor perspectives in biology 7: a018077. https://doi.org/10.1101/
cshperspect.a018077 PMID: 26330518 28. Lee H, Popodi E, Tang HX, Foster PL (2012) Rate and molecular spectrum of spontaneous mutations
in the bacterium Escherichia coli as determined by whole-genome sequencing. Proceedings of the
National Academy of Sciences of the United States of America 109: E2774–E2783. https://doi.org/10. 1073/pnas.1210309109 PMID: 22991466 29. Kibota TT, Lynch M (1996) Estimate of the genomic mutation rate deleterious to overall fitness in E. coli. Nature 381: 694–696. https://doi.org/10.1038/381694a0 PMID: 8649513 30. Maharjan R, Ferenci T (2015) Mutational Signatures Indicative of Environmental Stress in Bacteria. Molecular Biology and Evolution 32: 380–391. https://doi.org/10.1093/molbev/msu306 PMID:
25389207 31. Wolff E, Kim M, Hu KB, Yang HJ, Miller JH (2004) Polymerases leave fingerprints: Analysis of the muta-
tional spectrum in Escherichia coli rpoB to assess the role of polymerase IV in spontaneous mutation. Journal of Bacteriology 186: 2900–2905. https://doi.org/10.1128/JB.186.9.2900-2905.2004 PMID:
15090533 32. Brandis G, Pietsch F, Alemayehu R, Hughes D (2015) Comprehensive phenotypic characterization of
rifampicin resistance mutations in Salmonella provides insight into the evolution of resistance in Myco-
bacterium tuberculosis. Journal of Antimicrobial Chemotherapy 70: 680–685. https://doi.org/10.1093/
jac/dku434 PMID: 25362573 33. Jee J, Rasouly A, Shamovsky I, Akivis Y, R. Steinman S, Mishra B, et al. PLOS Biology | https://doi.org/10.1371/journal.pbio.2001477
June 8, 2017 References Proceedings of
the National Academy of Sciences of the United States of America 88: 7160–7164. PMID: 1831267 16. Andersson DI, Hughes D, Roth JR (2011) The Origin of Mutants under Selection: Interactions of Muta-
tion, Growth, and Selection. In: Section Ed. Finkel Steven, editor. EcoSal—Escherichia coli and Salmo-
nella: Cellular and Molecular Biology 101128 ASM Press, Washington, DC. 17. Wrande M, Roth JR, Hughes D (2008) Accumulation of mutants in "aging" bacterial colonies is due to
growth under selection, not stress-induced mutagenesis. Proceedings of the National Academy of Sci-
ences of the United States of America 105: 11863–11868. https://doi.org/10.1073/pnas.0804739105
PMID: 18701713 18. Saint-Ruf C, Garfa-Traore M, Collin V, Cordier C, Franceschi C, Matic I (2014) Massive Diversification
in Aging Colonies of Escherichia coli. Journal of Bacteriology 196: 3059–3073. https://doi.org/10.1128/
JB.01421-13 PMID: 24982303 19. Al Mamun AAM, Lombardo M- J, Shee C, Lisewski AM, Gonzalez C, Lin D, et al. (2012) Identity and
Function of a Large Gene Network Underlying Mutagenic Repair of DNA Breaks. Science 338: 1344–
1348. https://doi.org/10.1126/science.1226683 PMID: 23224554 20. Katz S, Hershberg R (2013) Elevated mutagenesis does not explain the increased frequency of antibi-
otic resistant mutants in starved aging colonies. PLoS Genet 9: 3968–3968. PLOS Biology | https://doi.org/10.1371/journal.pbio.2001477
June 8, 2017 19 / 22 Mutational landscapes in 6 environments 40. Maharjan R, Seeto S, Notley-McRobb L, Ferenci T (2006) Clonal adaptive radiation in a constant envi-
ronment. Science 313: 514–517. https://doi.org/10.1126/science.1129865 PMID: 16825532 41. Stoltzfus A, Norris RW (2016) On the Causes of Evolutionary Transition:Transversion Bias. Molecular
Biology and Evolution 33: 595–602. https://doi.org/10.1093/molbev/msv274 PMID: 26609078 42. Sousa A, Bourgard C, Wahl LM, Gordo I (2013) Rates of transposition in Escherichia coli. Biology Let-
ters 9: 30838–30838. 43. Lease RA, Belfort M (2000) Riboregulation by DsrA RNA: trans-actions for global economy. Molecular
Microbiology 38: 667–672. PMID: 11115103 44. Hammer O, Harper DAT, Ryan PD (2001) PAST: Palaeontological Statistics software package for edu-
cation and data analysis. Palaeontologica Electronica 4: Art. 4: 9 pp. 45. Lovett ST (2011) The DNA Damage Response. In: Storz G, Hengge R, editors. Bacterial Stress
Responses, 2nd Edition. pp. 205–228. 46. Notley-McRobb L, Pinto R, Seeto S, Ferenci T (2002) Regulation of mutY and nature of mutator muta-
tions in Escherichia coli populations under nutrient limitation. Journal of Bacteriology 184: 739–745. https://doi.org/10.1128/JB.184.3.739-745.2002 PMID: 11790743 47. Ponder RG, Fonville NC, Rosenberg SM (2005) A switch from high-fidelity to error-prone DNA double-
strand break repair underlies stress-induced mutation. Molecular Cell 19: 791–804. https://doi.org/10. 1016/j.molcel.2005.07.025 PMID: 16168374 48. Kamarthapu V, Epshtein V, Benjamin B, Proshkin S, Mironov A, Cashel M, et al. (2016) ppGpp couples
transcription to DNA repair in E. coli. Science 352: 993–996. https://doi.org/10.1126/science.aad6945
PMID: 27199428 49. Dorman CJ (2013) Genome architecture and global gene regulation in bacteria: making progress
towards a unified model? Nature Reviews Microbiology 11: 349–355. https://doi.org/10.1038/
nrmicro3007 PMID: 23549066 50. Maharjan R, Ferenci T (2014) Stress-Induced Mutation Rates Show a Sigmoidal and Saturable
Increase Due to the RpoS Sigma Factor in Escherichia coli. Genetics 198: 1231–1235. https://doi.org/
10.1534/genetics.114.170258 PMID: 25213168 51. Schroeder JW, Hirst WG, Szewczyk GA, Simmons LA (2016) The Effect of local sequence context on
mutational bias of genes encoded on the leading and lagging strands. Current Biology 26: 692–697. https://doi.org/10.1016/j.cub.2016.01.016 PMID: 26923786 52. Cupples CG, Miller JH (1989) A set of lacZ mutations in Escherichia coli that allow rapid detection of
each of 6 base substitutions. Proceedings of the National Academy of Sciences of the United States of
America 86: 5345–5349. PMID: 2501784 53. Hall BG (1999) Transposable elements as activators of cryptic genes in E. coli. Genetica 107: 181–
187. PMID: 10952211 54. PLOS Biology | https://doi.org/10.1371/journal.pbio.2001477
June 8, 2017 (2016) Rates and mechanisms
of bacterial mutagenesis from maximum-depth sequencing. Nature 534: 693–696. https://doi.org/10. 1038/nature18313 PMID: 27338792 34. Feher T, Cseh B, Umenhoffer K, Karcagi D, Posfai G (2006) Characterization of cycA mutants of
Escherichia coli—An assay for measuring in vivo mutation rates. Mutation Research-Fundamental and
Molecular Mechanisms of Mutagenesis 595: 184–190. https://doi.org/10.1016/j.mrfmmm.2005.11.004
PMID: 16376388 35. Lin DX, Gibson IB, Moore JM, Thornton PC, Leal SM, Hastings PJ (2011) Global Chromosomal Struc-
tural Instability in a Subpopulation of Starving Escherichia coli Cells. PLoS Genet 7: 2223–2223. 36. Wilke CO, Wang JL, Ofria C, Lenski RE, Adami C (2001) Evolution of digital organisms at high mutation
rates leads to survival of the flattest. Nature 412: 331–333. https://doi.org/10.1038/35085569 PMID:
11460163 37. Foster PL, Lee H, Popodi E, Townes JP, Tang HX (2015) Determinants of spontaneous mutation in the
bacterium Escherichia coli as revealed by whole-genome sequencing. Proceedings of the National
Academy of Sciences of the United States of America 112: E5990–E5999. https://doi.org/10.1073/
pnas.1512136112 PMID: 26460006 38. Ochman H, Elwyn S, Moran NA (1999) Calibrating bacterial evolution. Proceedings of the National
Academy of Sciences of the United States of America 96: 12638–12643. PMID: 10535975 39. Wielgoss S, Barrick JE, Tenaillon O, Wiser MJ, Dittmar WJ, Cruveiller S, et al. (2013) Mutation rate
dynamics in a bacterial population reflect tension between adaptation and genetic load. Proceedings of
the National Academy of Sciences of the United States of America 110: 222–227. https://doi.org/10. 1073/pnas.1219574110 PMID: 23248287 20 / 22 PLOS Biology | https://doi.org/10.1371/journal.pbio.2001477
June 8, 2017 Mutational landscapes in 6 environments 62. Zhang Z, Kukita C, Humayun MZ, Saier J, Milton H. (2017) Environment-directed activation the Escheri-
chia coli flhDC operon by transposons. Microbiology. 63. Rifat D, Bishai WR, Karakousis PC (2009) Phosphate Depletion: A Novel Trigger for Mycobacterium
tuberculosis Persistence. Journal of Infectious Diseases 200: 1126–1135. https://doi.org/10.1086/
605700 PMID: 19686042 64. Marvig RL, Sommer LM, Molin S, Johansen HK (2015) Convergent evolution and adaptation of Pseudo-
monas aeruginosa within patients with cystic fibrosis. Nature Genetics 47: 57-+. https://doi.org/10. 1038/ng.3148 PMID: 25401299 65. Chen JQ, Wu Y, Yang HW, Bergelson J, Kreitman M, Tian DC (2009) Variation in the Ratio of Nucleo-
tide Substitution and Indel Rates across Genomes in Mammals and Bacteria. Molecular Biology and
Evolution 26: 1523–1531. https://doi.org/10.1093/molbev/msp063 PMID: 19329651 66. Francino MP, Chao L, Riley MA, Ochman H (1996) Asymmetries Generated by Transcription-Coupled
Repair in Enterobacterial Genes. Science 272: 107–109. PMID: 8600517 67. Ferenci T, Maharjan R (2015) Mutational heterogeneity: A key ingredient of bet-hedging and evolution-
ary divergence? BioEssays 37: 123–130. https://doi.org/10.1002/bies.201400153 PMID: 25370372 68. Nei M (2013) Mutation-driven evolution: Oxford University Press. 69. Stoltzfus A, Cable K (2014) Mendelian-mutationism: the forgotten evolutionary synthesis. Journal of the
History of Biology 47: 501–546. https://doi.org/10.1007/s10739-014-9383-2 PMID: 24811736 70. Torkelson J, Harris RS, Lombardo MJ, Nagendran J, Thulin C, Rosenberg SM (1997) Genome-wide
hypermutation in a subpopulation of stationary-phase cells underlies recombination-dependent adap-
tive mutation. EMBO Journal 16: 3303–3311. https://doi.org/10.1093/emboj/16.11.3303 PMID:
9214645 71. Merlin F (2010) Evolutionary Chance Mutation: A Defense of the Modern Synthesis’ Consensus View. Philosophy & Theory in Biology 2. https://doi.org/10.3998/ptb.6959004.0002.003 72. Maharjan R, Ferenci T, Reeves P, Li Y, Liu B, Wang L (2012) The multiplicity of divergence mecha-
nisms in a single evolving population. Genome Biology 13: R41. https://doi.org/10.1186/gb-2012-13-6-
r41 PMID: 22682524 73. Goymer P (2009) Evolution: Good mutations available in all sizes. Nat Rev Micro 7: 324–324. 74. Hou CFD, Liu JW, Collyer C, Mitic N, Pedroso MM, Schenk G, et al. (2017) Insights into an evolutionary
strategy leading to antibiotic resistance. Scientific Reports 7: 40357–40357. https://doi.org/10.1038/
srep40357 PMID: 28074907 75. Alexandrov LB, Stratton MR (2014) Mutational signatures: the patterns of somatic mutations hidden in
cancer genomes. Current Opinion in Genetics & Development 24: 52–60. 76. Schliep M, Ryall B, Ferenci T (2012) The identification of global patterns and unique signatures of pro-
teins across 14 environments using outer membrane proteomics of bacteria. Molecular Biosystems 8:
3017–3027. PLOS Biology | https://doi.org/10.1371/journal.pbio.2001477
June 8, 2017 Ferenci T, Zhou ZM, Betteridge T, Ren Y, Liu Y, Feng L, et al. (2009) Genomic Sequencing Reveals
Regulatory Mutations and Recombinational Events in the Widely Used MC4100 Lineage of Escherichia
coli K-12. Journal of Bacteriology 191: 4025–4029. https://doi.org/10.1128/JB.00118-09 PMID:
19376874 55. Jiang C, Mithani A, Belfield EJ, Mott R, Hurst LD, Harberd NP (2014) Environmentally responsive
genome-wide accumulation of de novo Arabidopsis thaliana mutations and epimutations. Genome
Research 24: 1821–1829. https://doi.org/10.1101/gr.177659.114 PMID: 25314969 56. Deatherage DE, Kepner JL, Bennett AF, Lenski RE, Barrick JE (2017) Specificity of genome evolution
in experimental populations of Escherichia coli evolved at different temperatures. Proceedings of the
National Academy of Sciences. 114: E1904–E1912. 57. Storvik KAM, Foster PL (2010) RpoS, the Stress Response Sigma Factor, Plays a Dual Role in the Reg-
ulation of Escherichia coli’s Error-Prone DNA Polymerase IV. Journal of Bacteriology 192: 3639–3644. https://doi.org/10.1128/JB.00358-10 PMID: 20472798 58. Ferenci T (2016) Trade-off mechanisms shaping the diversity of bacteria. Trends in Microbiology 24:
209–223. https://doi.org/10.1016/j.tim.2015.11.009 PMID: 26705697 59. Shewaramani S, Finn TJ, Leahy SC, Kassen R, Rainey PB, Moon CD (2017) Anaerobically grown
Escherichia coli has an enhanced mutation rate and distinct mutational spectra. PLoS Genet 13:
e1006570. https://doi.org/10.1371/journal.pgen.1006570 PMID: 28103245 60. Barroso-Batista J, Sousa A, Lourenc¸o M, Bergman M- L, Sobral D, Demengeot J, et al. (2014) the first
steps of adaptation of Escherichia coli to the gut are dominated by soft sweeps. PLoS Genet 10:
e1004182. https://doi.org/10.1371/journal.pgen.1004182 PMID: 24603313 61. Naas T, Blot M, Fitch WM, Arber W (1994) Insertion sequence-related genetic variation in resting
Escherichia coli K-12. Genetics 136: 721–730. PMID: 7911771 PLOS Biology | https://doi.org/10.1371/journal.pbio.2001477
June 8, 2017 21 / 22 https://doi.org/10.1039/c2mb25212k PMID: 22956018 77. Manche K, Notley-McRobb L, Ferenci T (1999) Mutational adaptation of Escherichia coli to glucose limi-
tation involves distinct evolutionary pathways in aerobic and oxygen-limited environments. Genetics
153: 5–12. PMID: 10471695 78. Wang L, Spira B, Zhou ZM, Feng L, Maharjan RP, Li XM, et al. (2010) Divergence involving global regu-
latory gene mutations in an Escherichia coli population evolving underphosphate limitation. Genome
Biology and Evolution 2: 478–487. https://doi.org/10.1093/gbe/evq035 PMID: 20639316 79. Hall BM, Ma C-X, Liang P, Singh KK (2009) Fluctuation AnaLysis CalculatOR: a web tool for the deter-
mination of mutation rate using Luria–Delbru¨ck fluctuation analysis. Bioinformatics 25: 1564–1565. https://doi.org/10.1093/bioinformatics/btp253 PMID: 19369502 80. Kubitschek HE, Bendigkeit HE (1964) Mutation in continuous cultures. I. Dependence of mutational
response upon growth limiting factors. Mutation Research 1: 113-120. 22 / 22
|
https://openalex.org/W3119137505
|
https://inserm.hal.science/inserm-03315000/file/s12874-020-01190-w.pdf
|
English
| null |
COVID-19-related medical research: a meta-research and critical appraisal
|
BMC Medical research methodology
| 2,021
|
cc-by
| 7,820
|
To cite this version: Marc Raynaud, Huanxi Zhang, Kevin Louis, Valentin Goutaudier, Jiali Wang, et al.. COVID-19-
related medical research: a meta-research and critical appraisal. BMC Medical Research Methodology,
2021, 21 (1), pp.1. 10.1186/s12874-020-01190-w. inserm-03315000 COVID-19-related medical research: a meta-research
and critical appraisal
Marc Raynaud, Huanxi Zhang, Kevin Louis, Valentin Goutaudier, Jiali Wang,
Quentin Dubourg, Yongcheng Wei, Zeynep Demir, Charlotte Debiais, Olivier
Aubert, et al.
To cite this version:
Marc Raynaud, Huanxi Zhang, Kevin Louis, Valentin Goutaudier, Jiali Wang, et al.. COVID-19-
related medical research: a meta-research and critical appraisal. BMC Medical Research Methodology,
2021, 21 (1), pp.1. 10.1186/s12874-020-01190-w. inserm-03315000 Marc Raynaud, Huanxi Zhang, Kevin Louis, Valentin Goutaudier, Jiali Wang,
Quentin Dubourg, Yongcheng Wei, Zeynep Demir, Charlotte Debiais, Olivier
Aubert, et al. HAL Id: inserm-03315000
https://inserm.hal.science/inserm-03315000v1
Submitted on 5 Aug 2021 L’archive ouverte pluridisciplinaire HAL, est
destinée au dépôt et à la diffusion de documents
scientifiques de niveau recherche, publiés ou non,
émanant des établissements d’enseignement et de
recherche français ou étrangers, des laboratoires
publics ou privés. HAL is a multi-disciplinary open access
archive for the deposit and dissemination of sci-
entific research documents, whether they are pub-
lished or not. The documents may come from
teaching and research institutions in France or
abroad, or from public or private research centers. (2021) 21:1 Raynaud et al. BMC Medical Research Methodology
https://doi.org/10.1186/s12874-020-01190-w Open Access COVID-19-related medical research: a meta-
research and critical appraisal Marc Raynaud1†, Huanxi Zhang2†, Kevin Louis1†, Valentin Goutaudier1,3†, Jiali Wang2, Quentin Dubourg4,
Yongcheng Wei2, Zeynep Demir1,5, Charlotte Debiais1, Olivier Aubert1, Yassine Bouatou1, Carmen Lefaucheur6,
Patricia Jabre7, Longshan Liu2, Changxi Wang2, Xavier Jouven1, Peter Reese1,8, Jean-Philippe Empana1 and
Alexandre Loupy1* * Correspondence: alexandre.loupy@inserm.fr
†Marc Raynaud, Huanxi Zhang, Kevin Louis, and Valentin Goutaudier
contributed equally to the article as co-first author.
1Paris Translational Research Epidemiology and Biostatistics Department,
Hôpital Necker, 149 rue de Sèvres, 75015 Paris, France
Full list of author information is available at the end of the article * Correspondence: alexandre.loupy@inserm.fr * Correspondence: alexandre.loupy@inserm.fr
†Marc Raynaud, Huanxi Zhang, Kevin Louis, and Valentin Goutaudier
contributed equally to the article as co-first author. 1Paris Translational Research Epidemiology and Biostatistics Department,
Hôpital Necker, 149 rue de Sèvres, 75015 Paris, France
Full list of author information is available at the end of the article Abstract Background: Since the start of the COVID-19 outbreak, a large number of COVID-19-related papers have been
published. However, concerns about the risk of expedited science have been raised. We aimed at reviewing and
categorizing COVID-19-related medical research and to critically appraise peer-reviewed original articles. Methods: The data sources were Pubmed, Cochrane COVID-19 register study, arXiv, medRxiv and bioRxiv, from 01/
11/2019 to 01/05/2020. Peer-reviewed and preprints publications related to COVID-19 were included, written in
English or Chinese. No limitations were placed on study design. Reviewers screened and categorized studies
according to i) publication type, ii) country of publication, and iii) topics covered. Original articles were critically
appraised using validated quality assessment tools. Results: Among the 11,452 publications identified, 10,516 met the inclusion criteria, among which 7468 (71.0%)
were peer-reviewed articles. Among these, 4190 publications (56.1%) did not include any data or analytics
(comprising expert opinion pieces). Overall, the most represented topics were infectious disease (n = 2326, 22.1%),
epidemiology (n = 1802, 17.1%), and global health (n = 1602, 15.2%). The top five publishing countries were China
(25.8%), United States (22.3%), United Kingdom (8.8%), Italy (8.1%) and India (3.4%). The dynamic of publication
showed that the exponential growth of COVID-19 peer-reviewed articles was mainly driven by publications without
original data (mean 261.5 articles ± 51.1 per week) as compared with original articles (mean of 69.3 ± 22.3 articles
per week). Original articles including patient data accounted for 713 (9.5%) of peer-reviewed studies. A total of 576
original articles (80.8%) showed intermediate to high risk of bias. Last, except for simulation studies that mainly
used large-scale open data, the median number of patients enrolled was of 102 (IQR = 37–337). Conclusions: Since the beginning of the COVID-19 pandemic, the majority of research is composed by publications
without original data. Peer-reviewed original articles with data showed a high risk of bias and included a limited number
of patients. Together, these findings underscore the urgent need to strike a balance between the velocity and quality of
research, and to cautiously consider medical information and clinical applicability in a pressing, pandemic context. (Continued on next page) (Continued from previous page)
Systematic review registration: https://osf.io/5zjyx/ Keywords: COVID-19, Systematic review, Critical appraisal, Quality of research Keywords: COVID-19, Systematic review, Critical appraisal, Quality of research Methods In this context, while health systems are still adjusting
to the pandemic situation, medical research and peer-
review process have shown an unprecedented acceler-
ation to ease scientific communication [4] with many
topics around COVID-19 covered [5–7]. Background Providing
a
holistic
and
systematic
appraisal
of
COVID-19 research in the current pandemic context is
an unmet need. To achieve this goal, we designed a
meta-research including all available COVID-19 litera-
ture using a large task force dedicated to high volume
articles analytics. We aimed at investigating the dynam-
ics of COVID-19 publications, assessing the type of
medical articles published and the related health topic,
and
critically
appraising the
peer-reviewed,
original
articles. Originally reported in the Hubei province of China, the
coronavirus disease 2019 (COVID-19) represents a serious
and pressing threat to health all around the world [1]. As
of November 30th, 2020, a total of 1,461,049 deaths
among 62,829,641 cases were confirmed [2]. Since the
outbreak started, a huge worldwide effort has been
launched to address the unmet need for improving diag-
nosis, understanding the determinants, prognosis, patho-
genicity of COVID-19 infection, and thereby optimizing
decision-making and patient management, therapeutics
and prevention of the disease [3]. Inclusion and exclusion criteria Any medical publication related to COVID-19 was in-
cluded. No limitations were placed on publication
type and study design. Both peer-reviewed and pre-
prints articles were included. Publication related to
protocol reporting and full-text unavailable were ex-
cluded. The language was limited to English and
Chinese because China is the first country to report
COVID-19 cases and because the majority of high
impact scientific publications are published in the
English language. Hence, in this context encouraging open-access re-
search [18], preprints [19], and expedited review by
medical journals [20], the sharp increase of COVID-19-
related publications may sometimes result in flawed,
biased, or misleading research. Together these phenom-
ena run the risk of promoting incorrect information and
biased clinical practice, thereby hampering appropriate
decision-making and potentially harming patients [10,
21]. In addition, this trend may have unfortunate conse-
quences on public health policies and future research,
thus delaying the generation of valid scientific insights
that can enhance patient management and treatment
discovery. Search strategy We followed the Preferred Reporting Items for Sys-
tematic Reviews and Meta-Analyses (PRISMA) [22]
statement to design and report our meta-research,
where applicable (supplementary methods 1). A sys-
tematic literature search was performed in Pubmed
and Cochrane COVID-19 study registry for peer-
reviewed
medical
articles. Additional
search
using
bioRxiv, medRxiv, and arXiv platforms was performed
to include preprints for additional analysis. The litera-
ture search was performed between 1 November 2019
and 1 May 2020. “COVID-19”, “SARS-CoV-2” and
their synonyms were used for the searches. The de-
tailed search strategy for each database is provided in
supplementary methods 2. The protocol of the study
is available at https://osf.io/5zjyx/. Despite the vast investment by government agen-
cies and private consortiums to trace the number of
confirmed COVID-19 cases and related deaths in
real-time, and efforts to share data worldwide, con-
cerns about the risk of expedited science have been
raised [8–10]. So far, although numerous investiga-
tions have been conducted, many have shown sub-
optimal design, methods, analytics and interpretation. Some articles were not submitted for peer-review and
have been strongly criticized [11, 12], and some were
withdrawn after direct consequences on public health
[13]. Furthermore, it has been pointed out that a
substantial number of published articles was com-
posed of expert opinion without original data and an-
alytics
[14–16]. Last,
among
articles
with
data,
concerns have been expressed about their method-
ology and asymmetry between scientific content and
claims for utility [11, 17]. © The Author(s). 2021 Open Access This article is licensed under a Creative Commons Attribution 4.0 International License,
which permits use, sharing, adaptation, distribution and reproduction in any medium or format, as long as you give
appropriate credit to the original author(s) and the source, provide a link to the Creative Commons licence, and indicate if
changes were made. The images or other third party material in this article are included in the article's Creative Commons
licence, unless indicated otherwise in a credit line to the material. If material is not included in the article's Creative Commons
licence and your intended use is not permitted by statutory regulation or exceeds the permitted use, you will need to obtain
permission directly from the copyright holder. To view a copy of this licence, visit http://creativecommons.org/licenses/by/4.0/. The Creative Commons Public Domain Dedication waiver (http://creativecommons.org/publicdomain/zero/1.0/) applies to the
data made available in this article, unless otherwise stated in a credit line to the data. Raynaud et al. BMC Medical Research Methodology (2021) 21:1 Page 2 of 11 (2021) 21:1 Raynaud et al. BMC Medical Research Methodology Critical appraisal of original articles result was discussed by the two reviewers and resolved
by consensus, or where necessary, through adjudication
by a third reviewer. Subsequently, the references that
might meet the inclusion criteria were selected for full-
text reading. Before full-text reading, all reviewers were
trained using the same 100 full-texts. The final set of
publications were then randomly divided and assigned
to eight reviewers trained in systematic review and meta
analyses (ZD, QD, VG, KL, MR, JW, YW and HZ). Fi-
nally, all excluded references were re-checked by two re-
viewers (MR, AL). We aimed at critically appraising the peer-reviewed ori-
ginal articles, if they met the following criteria: (1) clin-
ical studies involving human subjects, (2) modelling and
simulation studies based on public health open access
data, e.g. epidemiological models aimed at understand-
ing the spread of the disease and the impact of different
interventions. Systematic reviews and basic science stud-
ies including animal, in-vitro and bioinformatic studies
were excluded. Different quality assessment tools were
used based on the study design (supplementary methods
3). To minimize errors, all the reviewers were trained on
several articles to use each assessment tool in a stan-
dardized manner. Uncertainty was resolved through
daily discussion among reviewers. The following data from each included article were ex-
tracted: (1) study basic information: journal, title, publi-
cation date, family name and country of first author, (2)
categorization index: type of publication and topics. For
the original research articles that underwent quality as-
sessment, the following information were recorded:
number of patients, primary and secondary outcome, pa-
tient consent and 151 total items related to the quality
assessment tools (see dedicated chapter in the methods
section). Validated assessment tools were used to assess the qual-
ity of COVID-19 original articles according to their re-
spective design: i) The New Ottawa Scale (NOS) tool for
case-control studies and cohort studies [24]. ii) The
Cochrane risk-of-bias (RoB 2) tool used for evaluating
randomized controlled trials [25]. (iii) The Risk Of Bias In
Non-randomised Studies - of Interventions (ROBINS-I)
tool was used for assessing non-randomized interventional
studies [26]. (iv) The Meta Quality Appraisal Tool (Meta-
QAT) was used for assessing simulation-based studies
[27]. (v) (AXIS) tool was used for cross-sectional studies
[28]. (vi) The Quality Assessment of Diagnostic Accuracy
Studies (QUADAS-2) tool was used for evaluating diag-
nostic study [29]. Critical appraisal of original articles (vii) The Quality in Prognostic Studies
tool (QUIPS) [30] was used for assessing prognostic stud-
ies, (viii) The checklist from Cochrane Murad et al. [31]
was used for assessing case series. Details about the assess-
ment tools used for each study type is presented in sup-
plementary method 3 and supplementary Tables 2, 3, 4, 5,
6, 7, 8, 9, 10. Endnote (Endnote X9, Thomson Reuters, Philadelphia,
PA, USA), Excel (Excel 2019, Microsoft, Redmond, WA,
USA) and NoteExpress (Version 3.2, Beijing Aegean
Software Co., Ltd., Beijing, China) software were used
for the screening, categorization, and appraisal of med-
ical articles. Dynamics of COVID-19 publications We aimed at investigating the dynamics of COVID-19
publications. To do so, we recorded the day of publica-
tion for each publication, and used the smooth function
from stats R package, to represent the cumulative numbers
of medical articles according to the time of publication. The number of COVID-19 confirmed cases worldwide was
extracted from the publicly available database of the Uni-
versity of John Hopkins: COVID-19 Map - Johns Hopkins
Coronavirus Resource Center [23]. R (version 3.2.1, R Foundation for Statistical Comput-
ing) and STATA (version 14, Data Analysis and Statis-
tical Software) software were used for the data analyses. Screening and data extraction First, after duplicate elimination, the references were
screened based on the titles and abstracts by two re-
viewers (HZ, JW). To ensure accuracy, a pilot exercise
was conducted using the same 100 articles to calibrate
the process of reviewer assessment of studies before the
format screening process commenced. Any discrepant Raynaud et al. BMC Medical Research Methodology (2021) 21:1 Raynaud et al. BMC Medical Research Methodology (2021) 21:1 Page 3 of 11 Page 3 of 11 Raynaud et al. BMC Medical Research Methodology (2021) 21:1 Raynaud et al. BMC Medical Research Methodology Critical appraisal of original articles Critical appraisal of original articles Critical appraisal of original articles Categorization of publications A total of 11,452 peer-reviewed or preprints references
made available from 1 November 2019 to 1 May 2020
have been identified with our search strategy. After re-
moving duplicates, studies not related to COVID-19,
studies written in a language different than English or
Chinese, and protocols, 10,516 references remained of
which 7468 (71.0%) were peer-reviewed articles. Among
these, 4190 (56.1%) articles were opinions that did not
include any data or analytics (comprising viewpoints, ed-
itorials, perspectives, expert opinions). Instead, original
studies accounted for 1109 articles (14.9%), case reports
697 (9.3%), research letters 786 (10.5%), reviews 638 We aimed at categorizing the included medical articles
by type of publications and related topics. Six types of
publication were pre-specified following definitions of
BMC Medical Research Methodology: original article,
research letter, review, systematic review, case reports or
case series, and publication without original data (gath-
ering viewpoint, editorial, perspective, expert opinions). To categorize the topics of all included articles, an ori-
ginal list of topics was developed before the review
started (supplementary Table 1). Each study was catego-
rized in up to three topics. Raynaud et al. BMC Medical Research Methodology (2021) 21:1 Page 4 of 11 Page 4 of 11 Raynaud et al. BMC Medical Research Methodology (2021) 21:1 Raynaud et al. BMC Medical Research Methodology (8.5%) and systematic reviews 48 (0.6%). The flowchart
of the study is presented in Fig. 1. The distribution of
the type of publication is depicted in supplementary Fig-
ure 1. We
then
assessed
the
distribution
of
countries
among
all
COVID-19
publications. The
top
five
COVID-19 publishing countries were China with 2717
(25.8%)
studies,
the
United
States
2349
(22.3%),
United Kingdom 930 (8.8%), Italy 856 (8.1%) and
India 357 (3.4%), followed by France 294 (2.8%),
Canada 261 (2.5%), Germany 219 (2.1%), Australia
187 (1.8%) and Iran 176 (1.7%) (Fig. 3). We present
the dynamics of COVID-19 publications according to
the number of confirmed COVID-19 cases for each
country in the supplementary Figure 3. (8.5%) and systematic reviews 48 (0.6%). The flowchart
of the study is presented in Fig. 1. The distribution of
the type of publication is depicted in supplementary Fig-
ure 1. Dynamics of COVID-19 publication and worldwide
distribution COVID-19 related medical publication showed exponen-
tial growth since February 2020 with 203.3 ± 48.2 articles
published every week in February 2020 up to 1645.0 ±
542.1 in April 2020 (Fig. 2a) with peer-reviewed articles
displaying a more dramatic increase than preprint arti-
cles (supplementary Figure 2). In peer-reviewed medical
studies, publications without original data dominated the
exponential growth of COVID-19 literature with 261.9 ±
61.1 articles published every week (Fig. 2b), followed by
original articles, case reports, reviews, research letters
and
systematic
reviews
with
69.3 ± 22.3,
43.2 ± 9.0,
39.9 ± 11.9, 49.3 ± 9.9, and 3.0 ± 2.5 articles respectively
published every week (Fig. 2b). COVID-19 publications and related topics Topics related to COVID-19 publications are depicted in
Fig. 4. Overall, among the 10,516 articles included in this
study, 45 topics have been identified. The classification
scheme is presented in detail in the supplementary Table 1. The top five most represented topics were 1) infec-
tious disease (n = 2326, 22.1%), 2) epidemiology (n =
1802, 17.1%), 3) global health (n = 1602, 15.2%), 4) pub-
lic health (n = 1426, 13.6%), and 5) therapeutics, drugs
and medicines (n = 1277, 12.1%). Topics related to COVID-19 publications are depicted in
Fig. 4. Overall, among the 10,516 articles included in this
study, 45 topics have been identified. The classification
scheme is presented in detail in the supplementary Table 1. The top five most represented topics were 1) infec-
tious disease (n = 2326, 22.1%), 2) epidemiology (n =
1802, 17.1%), 3) global health (n = 1602, 15.2%), 4) pub-
lic health (n = 1426, 13.6%), and 5) therapeutics, drugs
and medicines (n = 1277, 12.1%). In preprints, original articles represented 2699 (88.5%)
of articles, reviews 74 (2.4%), publications without ori-
ginal data 59 (1.9%), case reports 33 (1.1%), research let-
ters
126
(4.1%)
and
systematic
reviews
57
(1.9%)
(supplementary Figures 1C and 2). A total of 1193 articles (11.3%) related to simulation-
based studies, and 1124 (10.7%) and 1020 (9.7%) articles
respectively related to medicine and society and disease
transmission and have also been identified. Remaining Fig. 1 Study flowchart. Flowchart based on preferred reporting for systematic reviews and meta-analyses (PRISMA) guidelines (supplementary
method 1), depicting the review process and the inclusion/exclusion criteria. Pubmed and Cochrane COVID-19 register study were used for
identifying peer-reviewed articles, and bioRxiv, medRxiv and arXiv were used for identifying preprints Fig. 1 Study flowchart. Flowchart based on preferred reporting for systematic reviews and meta-analyses (PRISMA) guidelines (supplementary
method 1), depicting the review process and the inclusion/exclusion criteria. Pubmed and Cochrane COVID-19 register study were used for
identifying peer-reviewed articles, and bioRxiv, medRxiv and arXiv were used for identifying preprints Raynaud et al. BMC Medical Research Methodology (2021) 21:1
Page 5 of 11 Page 5 of 11 Raynaud et al. BMC Medical Research Methodology (2021) 21:1 Raynaud et al. BMC Medical Research Methodology t
i
i l
l t d t
di
l
i lti
i i
b
ti
l
d i t
ti
l
t di
W
Fig. COVID-19 publications and related topics 2 Dynamics of publication and trends in COVID-19 spread over time. This figure depicts the number of medical articles published and
number of COVID-19 cases diagnosed worldwide over time (panel a) and the trends over time of peer-reviewed articles (N = 7468, panel b),
categorized into publications without original data (N = 4190, 56.1%), original articles (N = 1109, 14.9%), cases reports (N = 697, 9.3%), reviews
(N = 638, 8.6%), research letters (N = 786, 10.5%), and systematic reviews (N = 48, 0.6%) Fig. 2 Dynamics of publication and trends in COVID-19 spread over time. This figure depicts the number of medical articles published and
number of COVID-19 cases diagnosed worldwide over time (panel a) and the trends over time of peer-reviewed articles (N = 7468, panel b),
categorized into publications without original data (N = 4190, 56.1%), original articles (N = 1109, 14.9%), cases reports (N = 697, 9.3%), reviews
(N = 638, 8.6%), research letters (N = 786, 10.5%), and systematic reviews (N = 48, 0.6%) Fig. 2 Dynamics of publication and trends in COVID-19 spread over time. This figure depicts the number of medical articles published and
number of COVID-19 cases diagnosed worldwide over time (panel a) and the trends over time of peer-reviewed articles (N = 7468, panel b),
categorized into publications without original data (N = 4190, 56.1%), original articles (N = 1109, 14.9%), cases reports (N = 697, 9.3%), reviews
(N = 638, 8.6%), research letters (N = 786, 10.5%), and systematic reviews (N = 48, 0.6%) comprising observational and interventional studies. We
used a total of 9 validated tools totaling 151 items to address
all types of study. The datasets corresponding to these ana-
lyses
can
be
downloaded
at
https://www.paristrans-
plantgroup.org/covid-19-related-medical-research.html. The
detail of the assessment tools used for each study type is
presented in supplementary method 3. Basic characteristics
of these studies are presented in Table 1. The detailed as-
sessment of study quality according to study type is shown
in supplementary Figures 6, 7, 8 and 9. categories were mainly related to medical specialties
studying the COVID-19 specific impact on different or-
gans (lung, heart, cardiovascular system, cerebral, kidney,
etc.). The distribution of topics and medical specialties
in peer-reviewed and preprint articles separately is
depicted in supplementary Figures 4 and 5. Critical appraisal of original articles We assessed the quality of research of the 713 clinical, peer-
reviewed
original
articles
(i.e. excluding
preprints), Page 6 of 11 (2021) 21:1 Raynaud et al. BMC Medical Research Methodology Fig. 3 Number of COVID-19-related medical articles published by
authors from 10 most productive countries. a All; b Peer-reviewed
articles; c Preprints Among the 306 cross-sectional studies, the median
number of patients was 217 (IQR = 80–730). A total of
253 studies (82.7%) were at high risk of bias according
to the AXIS tool checklist, mostly driven by lack of justi-
fication in the sample size (55.9%), and the selection bias
due to the low completion rate (59.3%). Among the 185 COVID-19 simulation-based studies,
the median number of patients was of 1428 (IQR = 14–
40,696). A total of 122 (65.9%) studies showed high risk
of bias according to the MetaQAT tool, with 74.1 and
36.8% for the methods and findings respectively. Among the 129 original articles with case series data,
the median number of patients was 18 (IQR = 9–53),
and 94 (72.9%) were at high risk of bias according to the
checklist from Murad et al. [31]. The follow-up duration
was inadequate for 51 studies (39.5%). Twenty-seven
studies (20.9%) did not provide sufficient data descrip-
tion while 38 (29.5%) lacked patients representativeness. Among the 68 case-control studies, the median num-
ber of patients was 108 (IQR = 62–212), and 32 (47.1%)
were considered at high risk of bias according to the
New Ottawa Scale (NOS). Case-control studies displayed
a median NOS score of 7.0 (IQR = 5.0–8.0). The selec-
tion items displayed a more biased score, as compared
with comparability and exposure items. Among the 50 cohort studies, a total of 23 (46.0%)
studies were considered at high risk of bias according to
the NOS scale. The median number of patients was of
110 (IQR = 54–327). Cohort studies displayed a median
NOS score of 7.0 (IQR = 5.5–8.0). The comparability
items displayed a more biased score, as compared with
selection and exposure items. Fig. 3 Number of COVID-19-related medical articles published by
authors from 10 most productive countries. a All; b Peer-reviewed
articles; c Preprints Among the 37 COVID-19 diagnostic studies, the me-
dian number of patients was of 84 (IQR = 49–215), and
all
showed
a
high
risk
of
bias
according
to
the
QUADAS-2 tool. Critical appraisal of original articles These included patient selection (N =
23, 62.2%), patient relevance (N = 14, 37.8%), data inter-
pretation (N = 16, 43.2%), and flowchart reliability (N =
19, 51.4%). Among the eight prognostic studies, the median num-
ber of patients was 143 (IQR = 66–217), and four
(50.0%) studies showed a high risk of bias according to
the QUIPS tool. Four (50.0%) did not provide informa-
tion on the patients who dropped out, 2 (25.0%) did not
adjust for important confounders and 4 (50.0%) had in-
adequate model strategy. Fig. 3 Number of COVID-19-related medical articles published by
authors from 10 most productive countries. a All; b Peer-reviewed
articles; c Preprints Fig. 3 Number of COVID-19-related medical articles published by
authors from 10 most productive countries. a All; b Peer-reviewed
articles; c Preprints Among original articles, cross-sectional studies (N = 306,
42.9%) and simulation-based studies (N = 185, 25.9%) were
the most represented, followed by case series (N = 129,
18.1%), case-control studies (N = 68, 9.5%), cohort studies
(N = 50, 7.0%), and diagnostic studies (N = 37, 5.2%) (sup-
plementary Figure 6). Interventional non-randomized trials,
prognostic
studies
and
randomized
controlled
trials
accounted for 8 (1.1%), 8 (1.1%) and 4 (0.6%) respectively
and are presented in supplementary Figures 7, 8 and 9. Among the twelve interventional trials, four RCTs,
which included a median number of 56 patients (IQR =
29–111) were evaluated using RoB2 tool. Half of studies
displayed a risk of bias for blinding in both the patients
and the clinicians. Among the eight interventional non-
randomized trials (median number of patients of 35
(IQR = 29–58))
evaluated
using
ROBINS-I
tool,
6
(75.0%) were at risk of bias for not adjusting for Raynaud et al. BMC Medical Research Methodology (2021) 21:1 Page 7 of 11 (2021) 21:1 Raynaud et al. BMC Medical Research Methodology Fig. 4 Topics addressed in COVID-19-related medical articles. Each barplot represents the number of articles dealing with the corresponding
topic. 200 topics were listed after the first screening. After the discussion and consensus with our teams, they were categorized into 45 topics
presented in the figure. All topics meaning is detailed in the supplementary Table 1. For a better insight, we have defined an ultimate categorization,
defined in the legend: 1) Epidemiology, diagnosis, prognosis and treatment, 2) Health policy, 3) Modeling, 4) Medical specialty, and 5) Other Fig. 4 Topics addressed in COVID-19-related medical articles. Critical appraisal of original articles Each barplot represents the number of articles dealing with the corresponding
topic. 200 topics were listed after the first screening. After the discussion and consensus with our teams, they were categorized into 45 topics
presented in the figure. All topics meaning is detailed in the supplementary Table 1. For a better insight, we have defined an ultimate categorization,
defined in the legend: 1) Epidemiology, diagnosis, prognosis and treatment, 2) Health policy, 3) Modeling, 4) Medical specialty, and 5) Other data and differs across countries. We have also shown
the topics addressed and that among the original articles,
only few met the high scientific standards. important confounders, especially for post-intervention
variables that could impact the effect of the intervention
on outcome. As highlighted in the results, the number of COVID-
19-related medical articles is exponentially rising. A
large number of case reports were published to share the
medical experiences in the pandemic and may have
served as an initial point for further studies. Moreover,
many studies were published in the form of a research
letter, which, while providing important data, is not a
complete original study in its format and often lacks
methodological information for quality assessment, af-
fecting the application of the findings. Surprisingly, the
peer-reviewed original articles accounted for only 10% of
all COVID-19-related medical articles. Overall, the large
number of publications without original data might be
due to the readiness of health workers and researchers Out of 82 studies assessed with two evaluation tools to
adequately address their design, 50 (61.0%) had consist-
ent risk of bias evaluation, 10 (12.2%) were categorized
as intermediate and high risk of bias, 17 (20.7%) were
categorized as low and intermediate risk of bias, and 5
(6.1%) were categorized as low and high risk of bias
(supplementary Figure 10). Discussion In this comprehensive meta-research comprising 10,516
COVID-19-related medical articles that were screened,
categorized and critically appraised, we have shown that
the dynamic of publications since the start of the out-
break is mainly driven by publication without original Page 8 of 11 Raynaud et al. BMC Medical Research Methodology (2021) 21:1 Table 1 Basic characteristics of COVID-19-related, peer-reviewed original articles
Type of original article
studies involving patients
Number of
studies (%)
Number of
patients
Median (IQR)
Number of studies at risk of bias (%)
Patient consent
Low
Intermediate
High
Written informed
consent
N (%)
Oral consent
N (%)
Open data
N (%)
No consent
N (%)
Case-control
68 (9.5)
108 (62–211)
11 (16.2)
25 (36.7)
32 (47.1)
22 (32.4)
2 (2.9)
2 (2.9)
42 (61.8)
Cohort
50 (7.0)
110 (54–327)
7 (14.0)
20 (40.0)
23 (46.0)
15 (30.0)
1 (2.0)
4 (8.0)
30 (60.0)
Cross-sectional
306 (42.9)
217 (80–730)
10 (3.3)
43 (14.0)
253 (82.7)
89 (29.1)
18 (5.9)
75 (24.5)
112 (40.5)
Case series
129 (18.1)
18 (9–53)
9 (6.9)
26 (20.2)
94 (72.9)
24 (18.6)
15 (11.6)
3 (2.3)
87 (67.4)
Diagnostic
37 (5.2)
84 (49–215)
0 (0)
0 (0)
37 (100.0)
3 (8.1)
0 (0)
0 (0)
34 (91.9)
Prognostic
8 (1.1)
143 (66–217)
3 (37.5)
1 (12.5)
4 (50.0)
0 (0)
0 (0)
0 (0)
8 (100.0)
Simulation
185 (25.9)
1428 (14–40,696)
16 (8.6)
47 (25.4)
122 (66.0)
3 (1.6)
1 (0.5)
131 (70.8)
50 (27.0)
Non-randomized trial
8 (1.1)
35 (29–58)
1 (12.5)
1 (12.5)
6 (75.0)
4 (50.0)
0 (0)
0 (0)
4 (50.0)
Randomized controlled trial
4 (0.6)
56 (29–111)
0 (0)
2 (50.0)
2 (50.0)
2 (50.0)
0 (0)
0 (0)
2 (50.0)
This table displays the basic characteristics of the 713 clinical, peer-reviewed, COVID-19-related, original articles we critically appraised based on several risk of bias tools, according to the type of studies. Eighty-two
studies were assessed using two tools, to better reflect their design. Shown are the number of studies, the median number of patients, the overall risk of bias after quality assessment, and how patient consent was
addressed by authors Page 9 of 11 Raynaud et al. BMC Medical Research Methodology (2021) 21:1 Raynaud et al. BMC Medical Research Methodology (2021) 21:1 Page 9 of 11 Raynaud et al. BMC Medical Research Methodology (2021) 21:1 This balance, however, may not be easily reachable. Discussion Our findings reveal that among the COVID-19-related
medical articles, many were not peer-reviewed, interven-
tional studies were often based on small case series data,
and the risk of bias of original studies was overly high,
illustrating the perception that standards tend to be re-
vised downwards when it comes to a pandemic situation. In other words, one of the fundamental principles of
medical science, that is, establishing associations with a
high level of evidence, has been too often ignored, pos-
sibly justified by the necessity of sharing information for,
in theory, a worldwide benefit [36]. The substantial risk
to public health is that low quality scientific findings,
which may be false, may draw valuable attention and re-
sources away from valid scientific results [10, 21]. Re-
searchers
and
medical
professionals
should
remain
aware of the noise surrounding the current medical lit-
erature, as science expediency may be higher in the
present time. to control the spread of the virus and their willingness
to share their experiences during the early stages of the
pandemic. to control the spread of the virus and their willingness
to share their experiences during the early stages of the
pandemic. We noted different publications trends based on the
country of authors. As the earliest epidemic centre,
China published many medical articles when the out-
break started, while in the western countries (e.g. UK
and the US), many articles were released even before do-
mestic COVID-19 infections were recognized. In Italy
however, articles were starting to be published around
the time when the first domestic COVID-19 infections
were identified. In addition, the findings consistently showed that the
most represented topics were related to infectious dis-
ease, epidemiology, global health, and public health
followed by studies related to health policy and medicine
and society. Interestingly, simulation-based studies were
also highly represented. Those studies were mainly con-
ducted to predict the number of cases in different sce-
narios such as the adoption of different containment
policies, demonstrating the concern and need for bring-
ing the outbreak under control. Many medical specialties
were represented, showing how physicians and re-
searchers worldwide have communicated about their ex-
periences and research about the COVID-19 [5–7], and
the challenges most of healthcare workers are facing to
fight the virus [32]. In addition, in this context, the translation between
medical research and clinical practice is essential. Discussion Many
healthcare professionals importantly depends on what is
currently published [37]. The frequent lack of reliability
on articles quality and data may lead to inadequate
decision-making and unfortunate consequences for the
patient [10, 21]. In that sense, COVID-19 health re-
searchers may have a more significant responsibility [16,
38]. The tremendous thirst for knowledge by the public
and the perceived value of providing information quickly
should not, however, influence the quality of research. More than ever, unproductive competition and oppor-
tunism should be avoided [20, 34] to publish relevant,
rigorous,
and
reliable
research
[39]. Collaborations
should be promoted and systematic reviews with regular
updates are also urgently required for the health practi-
tioners to gain a comprehensive understanding of the is-
sues concerned [5, 33, 40, 41]. Of the 713 original articles we evaluated, the low pro-
portion of high-quality articles was concerning, as less
than 20% were at low risk of bias determined by vali-
dated tools. Interventional studies, which are critical for
the discovery of effective drugs, were not only small in
number but also at high risk of bias. The diagnostic and
prognostic studies were of low quality and the results
were consistent with a previous systematic review that,
contrary to ours, focused on prediction models for prog-
nosis and diagnosis of COVID-19 [33]. The assessment of research quality, and rigorous de-
bate about the definition of quality, is a fundamental
step in the advancement of scientific knowledge [21]. Many concerns have been raised by methodologists and
researchers about the increased difficulty to converge to-
wards scientific thoroughness in a pandemic, pressing
time [9, 34]. This phenomenon of lowering of medical
research standards has been previously highlighted [21]. For instance, several trials have been published, while
using a small number of patients with scarce data [17]. Some articles were withdrawn, after having received
widespread media attention [12, 13, 35]. Social medias
may also play a role in the spread of misinformation, po-
tentially relaying false of biased studies [9]. Overall, these
phenomena underscore the need to strike a balance
between the velocity of science, and the rigor of
science [34]. Limitations
l l Several limitations should however be acknowledged. First, due to the exponential rise of COVID-19-related
medical articles and hence the time constraints, refer-
ences were not screened independently twice. This
raises the issue of reproducibility in the assessment of
each study’s risk of bias. However, our process of re-
viewer
training
and
daily
adjudication
among
re-
viewers may have minimized the risk of bias in the
assessment of studies. Second, we did not assess the
quality of research of preprints because of the very
high number. Third, given the inclusion period, we
could only assess a small number of interventional
studies, although many are ongoing and will be pub-
lished in the coming months. Page 10 of 11 Page 10 of 11 Raynaud et al. BMC Medical Research Methodology (2021) 21:1 Raynaud et al. BMC Medical Research Methodology (2021) 21:1 Raynaud et al. BMC Medical Research Methodology Funding The authors would like to thank INSERM–Action thématique incitative sur
programme Avenir (ATIP-Avenir) for their financial support. O. Aubert
received a grant from the Fondation Bettencourt Schueller. The financial
supports were provided for personal costs including the design and
collection, analysis, and interpretation of data and in writing the manuscript. 15. Wang D, Hu B, Hu C, et al. Clinical characteristics of 138 hospitalized
patients with 2019 novel coronavirus-infected pneumonia in Wuhan, China. JAMA. 2020;323(11):1061–9. 16. Bagdasarian N, Cross GB, Fisher D. Rapid publications risk the integrity of
science in the era of COVID-19. BMC Med. 2020;18:192. h
h
l
f
d
f 15. Wang D, Hu B, Hu C, et al. Clinical characteristics of 138 hospitalized
patients with 2019 novel coronavirus-infected pneumonia in Wuhan, China. JAMA. 2020;323(11):1061–9. 15. Wang D, Hu B, Hu C, et al. Clinical characteristics of 138 hospitalized
patients with 2019 novel coronavirus-infected pneumonia in Wuhan, China. JAMA. 2020;323(11):1061–9. 16. Bagdasarian N, Cross GB, Fisher D. Rapid publications risk the integrity of
science in the era of COVID-19. BMC Med. 2020;18:192. 17. Grein J, Ohmagari N, Shin D, et al. Compassionate use of Remdesivir for
patients with severe Covid-19. N Engl J Med. 2020;382(24):2327–36. 16. Bagdasarian N, Cross GB, Fisher D. Rapid publications risk the integrity of
science in the era of COVID-19. BMC Med. 2020;18:192. 16. Bagdasarian N, Cross GB, Fisher D. Rapid publications risk the integrity of
science in the era of COVID-19. BMC Med. 2020;18:192. 17. Grein J, Ohmagari N, Shin D, et al. Compassionate use of Remdesivir for
patients with severe Covid-19. N Engl J Med. 2020;382(24):2327–36. Competing interests
l We report no relationships or activities that could appear to have influenced
the present work. Consent for publication
Not applicable. Consent for publication
Not applicable. In conclusion, in this meta-research gathering both pre-
prints and published COVID-19-related medical articles,
we have presented the distribution of the different cat-
egories of medical publications, the dynamics of publica-
tions since the start of the outbreak, the variety of the
topics addressed, and the poor quality of research of
many peer-reviewed original articles. This study provides
a deep understanding on COVID-19-related medical re-
search and highlights medical topics of interest during
the first phase of the pandemic. We acknowledge that,
in this challenging time, emergency measures and rapid
adaptation by healthcare workers, medical research is
important and scientific communication should be pro-
moted. Nevertheless, in light of this study, we urge
healthcare researchers and practitioners to evaluate
medical publications with appropriate skepticism despite
the sense of urgency that the pandemic has generated,
and to bear in mind that high standards of research are
needed to make progress in controlling the pandemic:
advances in medical science should be driven by compel-
ling evidence, facilitating innovation and improvements
in human health, especially during a pandemic, from the
public health perspective to the individual care. Acknowledgements 10. Armstrong S. Research on covid-19 is suffering “imperfect incentives at
every stage”. BMJ (Clinical research ed). 2020;369:m2045. 10. Armstrong S. Research on covid-19 is suffering “imperfect incentives at
every stage”. BMJ (Clinical research ed). 2020;369:m2045. Authors’ contributions Study design and lead: MR and AL; Systematic screening: MR, HZ, KL, VG, JW,
QD, YW, ZD, CD; Data analysis: MR, HZ, KL, VG, AL; Data interpretation: MR,
HZ, KL, VG, OA, PRE, JPE, AL; Figures design: MR, HZ, KL, VG, AL; Manuscript
writing: MR, HZ, KL, VG, PR, JPE, AL; Manuscript reviewing: MR, HZ, KL, VG, JW,
QD, YW, ZD, CD, OA, YB, CL, PJ, LL, CW, XJ, PR, JPE, AL. The corresponding
author attests that all authors have read and approved the manuscript. The
corresponding author attests that all authors meet the ICMJE authorship
criteria. y
g
11. https://www.mediterranee-infection.com/wp-content/uploads/2020/03/
Hydroxychloroquine_final_DOI_IJAA.pdf. 12. Ji W, Wang W, Zhao X, Zai J, Li X. Cross-species transmission of the newly
identified coronavirus 2019-nCoV. J Med Virol. 2020;92:433–40. 13. Mehra MR, Desai SS, Ruschitzka F, Patel AN. RETRACTED:
Hydroxychloroquine or chloroquine with or without a macrolide for
treatment of COVID-19: a multinational registry analysis. Lancet. 2020;S0140-
6736(20):31180–6. 14. Shi H, Han X, Jiang N, et al. Radiological findings from 81 patients with
COVID-19 pneumonia in Wuhan, China: a descriptive study. Lancet Infect
Dis. 2020;20:425–34. Author details 1Paris Translational Research Epidemiology and Biostatistics Department,
Hôpital Necker, 149 rue de Sèvres, 75015 Paris, France. 2The First Affiliated
Hospital of Sun Yat-Sen University, Guangzhou, China. 3Montpellier University
Hospital, Montpellier, France. 4Pitié-Salpêtrière University Hospital, Assistance
Publique-Hôpitaux de Paris, Sorbonne University, Paris, France. 5Paediatrics
Unit, Necker University Hospital, Paris, France. 6Immunology and Nephrology
Department, Saint Louis Hospital, Paris, France. 7Cochrane Pre-hospital and
Emergency Care, Necker University Hospital, Paris, France. 8University of
Pennsylvania School of Medicine, Philadelphia, PA, USA. Received: 29 September 2020 Accepted: 8 December 2020 Supplementary Information Supplementary Information
h
l
l pp
y
The online version contains supplementary material available at https://doi. org/10.1186/s12874-020-01190-w. y
The online version contains supplementary material available at https://doi. org/10.1186/s12874-020-01190-w. 6. Gianola S, Jesus TS, Bargeri S, Castellini G. Characteristics of academic
publications, preprints, and registered clinical trials on the COVID-19
pandemic. PLoS One. 2020;15:e0240123. Additional file 1. 7. Nowakowska J, Sobocińska J, Lewicki M, Lemańska Ż, Rzymski P. When
science goes viral: The research response during three months of the
COVID-19 outbreak. Biomed Pharmacother. 2020;129:110451. Abbreviations Abbreviations
COVID-19: Coronavirus disease 2019; RCT: Randomized controlled trial;
UK: United Kingdom; US: United States COVID-19: Coronavirus disease 2019; RCT: Randomized controlled trial;
UK: United Kingdom; US: United States 8. https://www.weforum.org/agenda/2020/03/science-communication-covid-
coronavirus/. 8. https://www.weforum.org/agenda/2020/03/science-communication-covid-
coronavirus/. 9. Ioannidis JPA. Coronavirus disease 2019: the harms of exaggerated
information and non-evidence-based measures. Eur J Clin Investig. 2020;50:
e13222. 9. Ioannidis JPA. Coronavirus disease 2019: the harms of exaggerated
information and non-evidence-based measures. Eur J Clin Investig. 2020;50:
e13222. 19.
Johansson MA, Saderi D. Open peer-review platform for COVID-19 preprints.
Nature. 2020;579:29. 1.
https://www.who.int/emergencies/diseases/novel-coronavirus-2019/
situation-reports/. 1. https://www.who.int/emergencies/diseases/novel-coronavirus-2019/
situation-reports/. 2. https://www.arcgis.com/apps/opsdashboard/index.html#/bda7594740fd402
99423467b48e9ecf6. 2. https://www.arcgis.com/apps/opsdashboard/index.html#/bda7594740fd402
99423467b48e9ecf6. 3. Kolifarhood G, Aghaali M, Mozafar Saadati H, et al. Epidemiological and
clinical aspects of COVID-19; a narrative review. Arch Acad Emerg Med. 2020;8:e41. 3. Kolifarhood G, Aghaali M, Mozafar Saadati H, et al. Epidemiological and
clinical aspects of COVID-19; a narrative review. Arch Acad Emerg Med. 2020;8:e41. 4. Rubin EJ, Baden LR, Morrissey S, Campion EW. Medical journals and the
2019-nCoV outbreak. N Engl J Med. 2020;382:866. 4. Rubin EJ, Baden LR, Morrissey S, Campion EW. Medical journals and the
2019-nCoV outbreak. N Engl J Med. 2020;382:866. 5. Fidahic M, Nujic D, Runjic R, et al. Research methodology and characteristics
of journal articles with original data, preprint articles and registered clinical
trial protocols about COVID-19. BMC Med Res Methodol. 2020;20:161. References
h 1. https://www.who.int/emergencies/diseases/novel-coronavirus-2019/
situation-reports/. Conclusion Consent for publication
Not applicable. Availability of data and materials 17. Grein J, Ohmagari N, Shin D, et al. Compassionate use of Remdesivir for
patients with severe Covid-19. N Engl J Med. 2020;382(24):2327–36. We stand ready to provide the references used in the present study to any
researcher willing to reproduce the analysis. To do so, please contact the
corresponding author. We stand ready to provide the references used in the present study to any
researcher willing to reproduce the analysis. To do so, please contact the
corresponding author. 18. Majumder MS, Mandl KD. Early in the epidemic: impact of preprints on
global discourse about COVID-19 transmissibility. Lancet Glob Health. 2020;
8(5):e627–30. Ethics approval and consent to participate
Not applicable. 19. Johansson MA, Saderi D. Open peer-review platform for COVID-19 preprints. Nature. 2020;579:29. Page 11 of 11 Raynaud et al. BMC Medical Research Methodology (2021) 21:1 (2021) 21:1 20. Fuster V, Turco JV. COVID-19: a lesson in humility and an opportunity for
sagacity and Hope. J Am Coll Cardiol. 2020;75(20):2625–6. 21. Glasziou PP, Sanders S, Hoffmann T. Waste in covid-19 research. 21. Glasziou PP, Sanders S, Hoffmann T. Waste in covid-19 research. BMJ
(Clinical research ed). 2020;369:m1847. (Clinical research ed). 2020;369:m1847. 22. Moher D, Liberati A, Tetzlaff J, Altman DG. Preferred reporting items for
systematic reviews and meta-analyses: the PRISMA statement. PLoS Med. 2009;6:e1000097. 23. COVID-19 Dashboard by the Center for Systems Science and Engineering
(CSSE) at Johns Hopkins University (JHU). 2020. (Accessed 19 May 2020, at
https://coronavirus.jhu.edu/map.html). 24. Stang A. Critical evaluation of the Newcastle-Ottawa scale for the
assessment of the quality of nonrandomized studies in meta-analyses. Eur J
Epidemiol. 2010;25:603–5. 24. Stang A. Critical evaluation of the Newcastle-Ottawa scale for the
assessment of the quality of nonrandomized studies in meta-analyses. Eur J
Epidemiol. 2010;25:603–5. 24. Stang A. Critical evaluation of the Newcastle-Ottawa scale for 25. Sterne JAC, Savovic J, Page MJ, et al. RoB 2: a revised tool for assessing risk
of bias in randomised trials. BMJ (Clinical research ed). 2019;366:l4898. 26. Sterne JA, Hernan MA, Reeves BC, et al. ROBINS-I: a tool for assessing risk of
bias in non-randomised studies of interventions. BMJ (Clinical research ed). 2016;355:i4919. 27. Rosella L, Bowman C, Pach B, Morgan S, Fitzpatrick T, Goel V. The
development and validation of a meta-tool for quality appraisal of public
health evidence: Meta quality appraisal tool (MetaQAT). Public Health. 2016;
136:57–65. 28. Downes MJ, Brennan ML, Williams HC, Dean RS. Availability of data and materials Development of a critical
appraisal tool to assess the quality of cross-sectional studies (AXIS). BMJ
Open. 2016;6:e011458. 29. Whiting PF, Rutjes AW, Westwood ME, et al. QUADAS-2: a revised tool for
the quality assessment of diagnostic accuracy studies. Ann Intern Med. 2011;155:529–36. 30. Hayden JA, van der Windt DA, Cartwright JL, Côté P, Bombardier C. Assessing bias in studies of prognostic factors. Ann Intern Med. 2013;158:
280–6. 31. Murad MH, Sultan S, Haffar S, Bazerbachi F. Methodological quality and
synthesis of case series and case reports. BMJ Evid Based Med. 2018;23:60–3. 32. Nguyen LH, Drew DA, Graham MS, et al. Risk of COVID-19 among front-line
health-care workers and the general community: a prospective cohort
study. Lancet Public Health. 2020;5:e475–e83. 33. Wynants L, Van Calster B, Bonten MMJ, et al. Prediction models for
diagnosis and prognosis of covid-19 infection: systematic review and critical
appraisal. BMJ (Clinical research ed). 2020;369:m1328. 34. London AJ, Kimmelman J. Against pandemic research exceptionalism. Science (New York, NY). 2020;368:476–7. 35. Pradhan P, Pandey AK, Mishra A, et al. Uncanny similarity of unique inserts
in the 2019-nCoV spike protein to HIV-1 gp120 and Gag. bioRxiv. 2020;2020:
927871. 36. WHO releases guidelines to help countries maintain essential health services
during the COVID-19 pandemic. 2020. (Accessed 30 Mar 2020, at https://
www.who.int/news-room/detail/30-03-2020-who-releases-guidelines-to-
help-countries-maintain-essential-health-services-during-the-covid-19-
pandemic). 37. The Lancet Global H. Publishing in the time of COVID-19. Lancet Glob
Health. 2020;8:e860. 38. Liu Q, Luo D, Haase JE, et al. The experiences of health-care providers
during the COVID-19 crisis in China: a qualitative study. Lancet Glob Health. 2020;8:e790–e8. 38. Liu Q, Luo D, Haase JE, et al. The experiences of health-care providers
during the COVID-19 crisis in China: a qualitative study. Lancet Glob Health. 2020;8:e790–e8. 39. Mei X, Lee HC, Diao KY, et al. Artificial intelligence-enabled rapid diagnosis
of patients with COVID-19. Nat Med. 2020;26(8):1224–8. 39. Mei X, Lee HC, Diao KY, et al. Artificial intelligence-enabled rapid diagnosis
of patients with COVID-19. Nat Med. 2020;26(8):1224–8. 40. Dagens A, Sigfrid L, Cai E, et al. Scope, quality, and inclusivity of clinical
guidelines produced early in the covid-19 pandemic: rapid review. BMJ
(Clinical research ed). 2020;369:m1936. 41. Lu L, Li F, Wen H, et al. An evidence mapping and analysis of registered
COVID-19 clinical trials in China. BMC Med. 2020;18:167. Publisher’s Note Springer Nature remains neutral with regard to jurisdictional claims in
published maps and institutional affiliations. Springer Nature remains neutral with regard to jurisdictional claims in
published maps and institutional affiliations.
|
https://openalex.org/W2755886064
|
https://dspace.lib.cranfield.ac.uk/bitstream/1826/12510/3/thermal_modelling_approach_of_the_linear_friction_welding_process-2017.pdf
|
English
| null |
A computationally efficient thermal modelling approach of the linear friction welding process
|
Journal of materials processing technology
| 2,018
|
cc-by
| 9,006
|
1. Introduction quickly and accurately aligned and a forging force is applied to con-
solidate the joint. Linear friction welding is a solid-state joining process involving a
stationary workpiece rubbed against another with a linear motion,
under a compressive force to generate heat by friction and plastic de-
formation. The large deformation undergone by the material during the
process usually results in a refined microstructure which can improve
the properties of the weld relative to the parent material. Li et al. (2012) found an increase in the tensile strength at the joint when ap-
propriate welding parameters are used. Wanjara and Jahazi (2005)
recorded the highest hardness values at the weld centre for all the
welding conditions considered. Wang et al. (2017) found evidence of
anisotropic mechanical properties within titanium LFW due to the
strong texture developed. Typically, less than 10 s are required to
complete a titanium alloy weld using LFW, making it a fast welding
process which also offers good repeatability. As detailed by Kumar
(2013), LFW has been successfully implemented to weld titanium and
nickel-based super alloy bladed-disks. j
Owing to the rapid nature of LFW, it is difficult to get an insight into
the process and as explained by Li et al. (2016) the choice of welding
parameters have a significant impact on the heat generation and ma-
terial flow. Therefore, many authors have used numerical modelling as
an alternative to gain fundamental knowledge about LFW. Li et al. (2010) developed a 2D fully-coupled model which predicted a tem-
perature of 1000 °C within 1 s of welding. However, no thermocouples
recording
were
provided
to
validate
the
numerical
predictions. Schroeder et al. (2012) demonstrated the dependency of the flash
morphology upon the process parameters used, experiments and
models exhibited a good match. McAndrew et al. (2015a, 2015b) used
numerical models to evaluate the surface contaminant removal. A high
applied pressure was recommended to minimise the amount of burn-off
necessary to expel the contaminants. Numerical predictions were
compared with metallographic images to observe the contaminant
evolution. Turner et al. (2012) replicated numerically the welding
conditions investigated by Romero et al. (2009) who conducted syn-
chrotron X-ray diffraction experiments to predict the residual stress
within LFW. Due to the lack of experimental data at the weld interface,
it is unclear if peaks of residual stress are correctly predicted. A R T I C L E I N F O Numerical models used to simulate LFW rely on the modelling of the oscillations to generate heat. As a con-
sequence, simulations are time consuming, making analysis of 3D geometries difficult. To address this, a model
was developed of a Ti–6Al–4V LFW that applied the weld heat at the interface and ignored the material de-
formation and expulsion which was captured by sequentially removing row of elements. The model captured the
experimental trends and showed that the maximum interface temperature was achieved when a burn-offrate of
between 2 and 3 mm/s occurred. Moreover, the models showed that the interface temperature is reduced when a
weld is produced with a higher pressure and when the workpieces are oscillated along the shorter of the two
interface dimensions. This modelling approach provides a computationally efficient foundation for subsequent
residual stress modelling, which is of interest to end users of the process. Keywords:
Linear friction welding
Modeling
Titanium alloy Journal of M
aterials Processing Tech. 252 (2018) 849–858 Journal of M
aterials Processing Tech. 252 (2018) 849–858 Contents lists available at ScienceDirect A computationally efficient thermal modelling approach of the linear
friction welding process Clément Bühr⁎, Paul A. Colegrove, Anthony R. McAndrew
Cranfield University, Cranfield, Bedfordshire MK43 0AL, UK ⁎ Corresponding author. http://dx.doi.org/10.1016/j.jmatprotec.2017.09.013
Received 13 July 2017; Received in revised form 6 September 2017; Accepted 7 September 2017
⁎ Corresponding author.
Available online 14 Septem
ber 2017
0924-0136/ ©
2017 The Authors. Published by Elsevier B.V. This is an open access article under the CC BY license (http://creativecom
m
ons.org/licenses/BY/ 1. Introduction Authors in
the literature have attempted to model the complex mechanical mixing
of LFW at the weld interface between the two parts. Unlike most other
friction welding process, models of LFW in the literature are mostly
fully-coupled. For example, Grant et al. (2009) developed a sequen-
tially-coupled model simulating inertia friction welding where the LFW was first divided into four phases by Vairis and Frost (1998)
with the initial, transition, equilibrium and forging phases. During the
initial phase, heat is generated by friction of the asperities located at the
interfaces of the workpieces until the temperature is sufficient to create
a viscoplastic layer, characteristic of the transition phase. At this point,
the viscous material starts to be expelled from the interface creating
flash. Most of the flash occurs during the equilibrium phase, where a
quasi-steady state is reached for the interface force, thermal profile and
burn-offrate. Once the desired upset is achieved, the two parts are Journal of M
aterials Processing Tech. 252 (2018) 849–858 C. Bühr et al. Fig. 1. Workpiece dimensions and axis. rotational motion of the process was not modelled. Thermal and me-
chanical predictions were found in a good agreement against experi-
ments. Three flow modelling approaches have been applied to LFW in the
literature. The first approach developed by Vairis and Frost (2000) used
a deformable body oscillated against a rigid body. Computational time
was reduced with this approach; however a temperature dependant
friction coefficient needs to be defined to account for the heat genera-
tion. Furthermore, the mechanical mixing occurring at the interface to
form the joint cannot be modelled since only one body is deformed. Similar to the first approach, the second involves two deformable
bodies rubbed against each other. Despite the use of two deformable
bodies, the mechanical mixing is still not representative of the real
process since the two interfaces do not merge. Turner et al. (2011)
solved the problem by using a single body to represent the two original
parts, and a thermal profile accounting for the heat input from the in-
itial phases was mapped onto the mesh, allowing the material at the
centre to deform. Using this approach McAndrew et al. (2015a, 2015b)
successfully modelled the flash morphology for several welding condi-
tions. There are two dominant approaches to account for the heat gener-
ated during the welding phases within a numerical model. 1. Introduction As shown in Table 1, some of the welding parameters were
replicated to account for experimental variability. These welding
parameters cover most of the operating window of frequency, ampli-
tude and applied force of the LFW machine used. The experiments used
workpieces measuring 20 × 40 × 60 mm, which is illustrated in Fig. 1. The Ti–6Al–4V parent material had a bimodal alpha-beta micro-
structure. Experimentally the workpiece was oscillated in the x direc-
tion (along the interface dimension 40 mm), except for weld 5 where it
was oscillated transverse to this. Thermal histories were recorded
during the welding process using k-type thermocouples with an outer
diameter of 1 mm. EDM was used to produce the 1.2 mm diameter
holes shown Fig. 2(a). The thermocouples were inserted at depths of
0.3 mm, 1.2 mm, 2.7 mm, 4.2 mm and 5.2 mm from the weld interface
and an epoxy resin was used to fix them in place. To get the thermo-
couple wires out of the clamping tool, a groove was machined on one
workpiece, as shown in Fig. 2(b). The primary purpose of this paper is to present a novel modelling
approach, experimentally verified, able to predict the temperature
history of a linear friction weld that bypasses the modelling of the os-
cillations. Effects of rubbing velocity, burn-offrate, applied force and
oscillation direction on the temperature histories are investigated. The influence of the rubbing velocity was studied in the results
section by comparing welds 1, 2 and 4. The average rubbing velocity,
first defined by Addison (2008), is determined from the frequency f and
amplitude A with vr = 4Af. The effect of the applied force is examined
using welds 3 and 4, while the oscillation direction is studied using
welds 4 and 5. 1. Introduction The first
method uses a temperature dependant friction coefficient with a fully-
coupled model to generate the heat during all the welding phases. Blau
(2001) stated that the number or factors which potentially influence the
friction coefficient is large and includes: contact geometry, fluid and
flow properties, relative motion, applied forces, temperature and stiff-
ness and vibrations. As a consequence, it is necessary to apply extra care
when using friction coefficient values. The second method was first
used by McAndrew et al. (2014) where the machine data recorded
during welding were post-processed to determine the average heat flux
over the initial phase. This was applied to a thermal model to predict
the temperature distribution. After this, the single-body method men-
tioned above (developed by Turner et al. (2011)) was used to model the
equilibrium phase, and an inelastic heat fraction was specified, typi-
cally in the range of 90–100% to represent the amount of mechanical
work converted to heat. Both these approaches modelled the oscilla-
tions, so 3D models are computationally expensive and require weeks to
complete a simulation as mentioned by McAndrew et al. (2016). Therefore, models are often limited to two dimensions and complex
geometries cannot be considered. Fig. 1. Workpiece dimensions and axis. Table 1. As shown in Table 1, some of the welding parameters were
replicated to account for experimental variability. These welding
parameters cover most of the operating window of frequency, ampli-
tude and applied force of the LFW machine used. The experiments used
workpieces measuring 20 × 40 × 60 mm, which is illustrated in Fig. 1. The Ti–6Al–4V parent material had a bimodal alpha-beta micro-
structure. Experimentally the workpiece was oscillated in the x direc-
tion (along the interface dimension 40 mm), except for weld 5 where it
was oscillated transverse to this. Thermal histories were recorded
during the welding process using k-type thermocouples with an outer
diameter of 1 mm. EDM was used to produce the 1.2 mm diameter
holes shown Fig. 2(a). The thermocouples were inserted at depths of
0.3 mm, 1.2 mm, 2.7 mm, 4.2 mm and 5.2 mm from the weld interface
and an epoxy resin was used to fix them in place. To get the thermo-
couple wires out of the clamping tool, a groove was machined on one
workpiece, as shown in Fig. 2(b). Table 1. Fig. 3. Schematic illustration of the linear friction machine. 2.4. Application of the heat flux and modelling of the burn-off To avoid modelling the oscillations an accurate heat flux must be
applied to the weld region and elements iteratively removed from the
interface to account for the burn-off. The following sections describe
the four key areas. Since the oscillations are not modelled, it is necessary to find an
alternative way to account for the heat generation. To do so, the
average heat flux for each phase was estimated by post-processing the
machine data obtained when making a linear friction weld, as pre-
viously described. In accordance with the literature (Turner et al.,
2011), 100% of the mechanical energy is assumed to be transformed
into heat. A uniform surface heat flux (W m−2) was applied on the weld
interface during phase 1 and 2. Indeed, during phase 1 only dry friction
occurs while phase 2 is a much shorter phase in comparison with phases
1 and 3, where a transition between dry to sticking friction occurs. Therefore, application of the heat flux to the surface is a reasonable
assumption for the first two phases. However, the heat is generated by
the plastic deformation within the material during phase 3 over the
TMAZ (thermo-mechanically affected zone), implying a volumetric
generation of heat. A study of the influence of the phase 3 volumetric
heat distribution is performed on welds 1 and 4 from Table 1, by
considering three different heat distributions, shown in Fig. 5. As for
phases 1 and 2, a surface heat flux was considered for phase 3, as well
as two volumetric heat distributions, one is distributed over half the
TMAZ and the second one was distributed over the whole TMAZ. TMAZ
thicknesses were calculated using an equation from McAndrew et al. (2015a, 2015b). As will be proved in the results, a surface heat flux was
shown to be adequate and was used for the subsequent modelling work. Since deformation of the workpieces is not included in the model, it
does not capture the effects of strain-rate and plastic work. Never-
theless, these efforts are indirectly included with the heat flux calcu-
lated form the machine data. 2.1. Experiments The
predictions of the peak temperature in Table 2 indicate that a minimum
size of 0.3 mm is required within the 6.6 mm band to capture an ac-
curate thermal profile. Ti–6Al–4V temperature dependent specific heat
and conductivity from the DEFORM’s software library are used in the
Fig. 4. a) Schematic diagram of the full LFW structure with its planes of
symmetry, P1, P2 and P3 and b) geometry showing how only an eighth of
the sample was modelled with the corresponding mesh. C. Bühr et al. Journal of M
aterials Processing Tech. 252 (2018) 849–858 where Tphase is the duration of the phase being considered, Fint the force
at the weld interface and ν the velocity of the oscillating workpiece. Using the machine data for the five different sets of welding parameters
in Table 1, five models were built. interface
predicti
size of 0
curate th
and con
C. Bühr et al. Journal of M
aterials Processing Tech. 252 (2018) 849–858 C. Bühr et al. Fig. 4. a) Schematic diagram of the full LFW structure with its planes of
symmetry, P1, P2 and P3 and b) geometry showing how only an eighth of
the sample was modelled with the corresponding mesh. interface. Further away from this, the mesh is coarsened to 1 mm. The
predictions of the peak temperature in Table 2 indicate that a minimum
size of 0.3 mm is required within the 6.6 mm band to capture an ac-
curate thermal profile. Ti–6Al–4V temperature dependent specific heat
and conductivity from the DEFORM’s software library are used in the
model. where Tphase is the duration of the phase being considered, Fint the force
at the weld interface and ν the velocity of the oscillating workpiece. Using the machine data for the five different sets of welding parameters
in Table 1, five models were built. 2.1. Experiments Ti–6Al–4V linear friction welds were made at TWI Cambridge using
the Thompson E20 machine for the five welding parameters listed in During linear friction welding, several parameters were monitored
with high-speed data acquisition systems including the oscillator posi-
tion x, the in-plane force Fi, the axial position representing the burn-off
and the applied force Fa applied on the non-oscillating workpiece, as
shown in Fig. 3. Table 1
Welding parameters. Weld
Freq. Amp. Applied
pressure
Burn-off
Rubbing
velocity
Oscillation direction
along the interface
dimension:
(Hz)
(mm)
(MPa)
(mm)
(mm/s)
1
20
1.5
90
3
120
40 mm
2;6
30
2
90
3
240
40 mm
3
50
2.7
40
3
540
40 mm
4;7;8
50
2.7
90
3
540
40 mm
5
50
2.7
90
3
540
20 mm A similar approach to that developed by Ofem et al. (2010) and
reemployed by McAndrew et al. (2015a, 2015b) was used for analysing
the machine data. The machine data obtained during welding was post-
processed and the average heat flux (Watt) per phase was calculated
with the following formula: ∫
=
Q
F
dt
T
˙
ν
Phase
T
Phase
0
int
Phase ∫
=
Q
F
dt
T
˙
ν
Phase
T
Phase
0
int
Phase 850 Fig. 2. a) Positioning of the thermocouples
experimental sample showing the hole whe
thermocouples were fitted and the groove. Fig. 3. Schematic illustration of the linear friction machine. C. Bühr et al. Journal of M
aterials Processing Tech. 252 (2018) 84 Journal of M
aterials Processing Tech. 252 (2018) 849–858 C. Bühr et al. Fig. 2. a) Positioning of the thermocouples and b)
experimental sample showing the hole where the
thermocouples were fitted and the groove. Fig. 2. a) Positioning of the thermocouples and b)
experimental sample showing the hole where the
thermocouples were fitted and the groove. Fig. 3. Schematic illustration of the linear friction machine. 851 851 where Tphase is the duration of the phase being considered, Fint the force
at the weld interface and ν the velocity of the oscillating workpiece. Using the machine data for the five different sets of welding parameters
in Table 1, five models were built. interface. Further away from this, the mesh is coarsened to 1 mm. 2.3. Mesh and material properties As shown in Fig. 1 the real workpieces are 20 × 40 × 120 mm. Deformation and heat flow are approximately symmetric around the
planes (P1), (P2) and (P3), see Fig. 4(a), therefore only an eighth of the
geometry
was
included. As
a
result,
a
workpiece
measuring
10 × 20 × 60 mm was modelled using the FEA software ABAQUS, see
Fig. 4(b). The mesh is composed of eight-node linear heat transfer
bricks. Fine elements are needed at the weld interface and its vicinity to
ensure that steep thermal gradients are captured by the numerical
model. To determine the level of discretisation needed, a mesh sensi-
tivity study was conducted on weld 4 (welding conditions presented in
Table 1), see Table 2. The mesh element lengths displayed in Table 2
refer to a band of material located within 6.6 mm back from the weld Table 2
Mesh sensitivity results. Mesh element length
Total number of
elements
Interface temperature prior
cooling
(mm)
(°C)
0.7
31350
983
0.5
43313
986
0.3
98165
994
0.2
234417
994 Journal of M
aterials Processing Tech. 252 (2018) 849–858 Table 2 The thermocouple signal was lost before reaching phase 3 for weld 1;
therefore measurements were only added for weld 4 in Fig. 7(b). The
temperatures predicted are shown to be largely independent of the heat
distribution with the greatest difference occurring at the weld interface. The volumetric heat distribution over the whole TMAZ resulted in a
lower peak temperature and a shallower temperature gradient at the
vicinity of the interface due to the wider distribution of heat. Moreover,
the equation used to calculate the TMAZ thickness (McAndrew et al.,
2015a, 2015b), which is based on results from FEA models, tends to
over-predict their values compared to the experiments. Therefore
having a larger predicted TMAZ, will enhance the small differences
between thermal profiles predicted in Fig. 7. Based on this study, a
surface heat flux will be used for all subsequent modelling work since
the size of the TMAZ is not required, simplifying the analysis. The volumetric heat distribution over the whole TMAZ resulted in a
lower peak temperature and a shallower temperature gradient at the
vicinity of the interface due to the wider distribution of heat. Moreover,
the equation used to calculate the TMAZ thickness (McAndrew et al.,
2015a, 2015b), which is based on results from FEA models, tends to
over-predict their values compared to the experiments. Therefore
having a larger predicted TMAZ, will enhance the small differences
between thermal profiles predicted in Fig. 7. Based on this study, a
surface heat flux will be used for all subsequent modelling work since
the size of the TMAZ is not required, simplifying the analysis. Table 2 Modelling the burn-offduring the process is important during phase 852 Fig. 5. Three types of heat distributions investigated for phase 3. C. Bühr et al. Journal of M
aterials Processing Tech. 252 (2018) 849–858 C. Bühr et al. Table 3
Experimental conditions used by McAndrew et al. (2014). Weld
Freq. Amp. Applied pressure
Burn-off
Heat flux
Burn-offrate
(Hz)
(mm)
(MPa)
(mm)
(kW)
(mm/s)
9
30
2
40
3
7.37
2.09
10
50
2.7
40
3
12.08
4.1
13
30
1
125
3
4.22
1.1
16
31.6
2.3
85.3
2.5
9.57
3.16
21
30
2
40
3
7.33
2
25
30
1
125
3
4.15
1.15
Table 4
Heat flux and burn-offrate for the experimental conditions in Table 1. Weld
Heat flux
Burn-offrate
(kW)
(mm/s)
1
4.29
1.25
2
8.77
2.72
3
12.81
4.12
4
12.66
4.97
5
16.1
6.3
6
8.57
2.63
7
12.53
5.21
8
12.77
5.23 Table 3 Experimental conditions used by McAndrew et al. (2014). Table 4
Heat flux and burn-offrate for the experimental conditions in Table 1. Weld
Heat flux
Burn-offrate
(kW)
(mm/s)
1
4.29
1.25
2
8.77
2.72
3
12.81
4.12
4
12.66
4.97
5
16.1
6.3
6
8.57
2.63
7
12.53
5.21
8
12.77
5.23 Table 4
Heat flux and burn-offrate for the experimental conditions in Table 1 Fig. 5. Three types of heat distributions investigated for phase 3. 3 in particular, where it allows the temperature and the in-plane force
distributions across the interface to reach a quasi-steady state. The
burn-offis modelled in a step-wise approach where rows of elements
are removed at a pace which matches the experimental burn-offrate. Fig. 6 illustrates this approach with the heat flux applied during step 1
then a row of elements is removed during step 2 and the heat flux is
reapplied. For a typical burn-offvalue of 1.5 mm (3 mm total), 10 steps
are required for removal, with each layer being 0.15 mm thick. Hence
the thickness of the elements that are removed as part of the burn-offis
smaller than the 0.3 mm thickness used for the surrounding elements. Note that the effect of the number of steps on the thermal profile was
investigated, where the material was removed in 1, 5, 10 and 20 steps. heat flux distributions for the low rubbing velocity condition, weld 1
and the high rubbing velocity condition, weld 4 are displayed Fig. 7. 2.5. Additional data The trend of the equilibrium heat flux and the weld interface tem-
perature against the burn-offrate is analysed in the results section. In
addition to the welds presented Table 1, machine data from experi-
mental trials conducted by McAndrew et al. (2014), presented in
Table 3, were post-processed and a simulation of each was created
using the modelling approach presented in this chapter. The coupon
dimensions used by McAndrew are the same as those used earlier, see
Fig. 1. Values of equilibrium heat flux and burn-offrate of the welds
presented Table 1 are given in Table 4. The influence of removing the total burn-offin 1, 5, 10 and 20 steps
on the final thermal profile of phase 3, for welds 1 and 4 is displayed
Fig. 8. As stated previously, thermocouple measurements are only
presented for weld 4 in Fig. 8(b). The number of steps has a greater
effect for the high rubbing velocity weld 4 due to the steep thermal
gradients created for this welding condition. It can be seen that deleting
the 1.5 mm of burn-offin 1 step will under predict the interface tem-
perature for both welds. Beyond 5 steps, all the thermal profiles con-
verge toward the same distribution, so using 10 steps will be sufficiently 3.1. Effects of the heat flux distribution and steps for element removal Temperature profiles predicted at the end of phase 3 using the three Temperature profiles predicted at the end of phase 3 using the three Fig. 6. Step-wise removal approach. 853 Fig. 7. Comparison of the thermal profiles obtained
at the end of phase 3 for different heat flux dis-
tributions: a) weld 1 and b) weld 4. C. Bühr et al. Journal of M
aterials Processing Tech. 252 (2018) 849–858 large to have no impact on the temperature distribution and provides a
good match against the thermocouple recordings. wise removal approach
state of the weld interfa
The maximum inter
C. Bühr et al. large to have no impact on the temperature distribution and provides a
good match against the thermocouple recordings. large to have no impact on the temperature distribution and provides a
good match against the thermocouple recordings. wise removal approach of material manages to capture the quasi-static
state of the weld interface temperature. The maximum interface temperature of welds 1, 2 and 4 are
1022 °C, 1111 °C and 994 °C. Both, experiment and simulation de-
monstrate that increasing the rubbing velocity does not necessarily
result in an increase of the interface temperature. This fact is in contrast
with the results predicted by the numerical model of McAndrew et al. (2015a, 2015b), where an increase in the rubbing velocity resulted in
an increase of the weld interface temperature, see Fig. 10. Schroeder
et al. (2015) confirmed the effect of the rubbing velocity highlighted by
McAndrew with his numerical model and thermocouple recordings. However, Li et al. (2010) developed a 2D model where increasing the
rubbing velocity did not affect the weld interface temperature. These
peak temperature predictions are compared in Fig. 10, which shows an
increase of the weld interface temperature when increasing the rubbing
velocity, for the rubbing velocities under 480 mm/s. However, Turner
et al. (2011) model predicted a similar weld interface temperature for
the rubbing velocities above 480 mm/s. Differences between the results
may have arisen from the different modelling approaches used by the
authors as well as the different workpiece geometries and material
properties considered. Fig. 8. Influence of the number of steps to model the
burn-offfor: a) weld 1 and b) weld 4. Fig. 8. Influence of the number of steps to model the
burn-offfor: a) weld 1 and b) weld 4. Fig. 7. Comparison of the thermal profiles obtained
at the end of phase 3 for different heat flux dis-
tributions: a) weld 1 and b) weld 4.
Journal of M
aterials Processing Tech. 252 (2018) 849–858 3.2.1. Influence of the rubbing velocity Comparison of thermal histories obtained
from experiments and FEA simulations for three sets
of welding conditions: a) weld 1 (νr = 120 mm/s), b)
weld
2
(νr = 240 mm/s)
and
c)
weld
4
(νr = 540 mm/s). C. Bühr et al. Journal of M
aterials Processing Tech. 252 (2018) 849–858 Fig. 9. Comparison of thermal histories obtained
from experiments and FEA simulations for three sets
of welding conditions: a) weld 1 (νr = 120 mm/s), b)
weld
2
(νr = 240 mm/s)
and
c)
weld
4
(νr = 540 mm/s). C. Bühr et al. Journal of M
aterials Processing Tech. 252 (2018) 849–858 Journal of M
aterials Processing Tech. 252 (2018) 849–858 Fig. 9. Comparison of thermal histories obtained
from experiments and FEA simulations for three sets
of welding conditions: a) weld 1 (νr = 120 mm/s), b)
weld
2
(νr = 240 mm/s)
and
c)
weld
4
(νr = 540 mm/s). with different applied pressure can be integrated into the study. burn-offrate are low, as seen Table 4. This condition results in a slow
heat up of the weld interface and more heat loss due to conduction into
the surrounding cold material, creating a low thermal gradient, see
Fig. 11. Fig. 11, shows that increasing the rubbing velocity at a constant
applied pressure results in an increase of the thermal gradient. A similar
trend can be observed in the works of McAndrew et al. (2015a, 2015b)
and Turner et al. (2011). In contrast to weld 1, weld 4 heat flux and
burn-offrate are considerably higher. However, despite the high weld 4
heat flux, the temperature cannot build-up at the weld interface since
the hot material is removed at a high rate, creating a steep thermal
gradient, see Fig. 11. Weld 2 offers a compromise between weld 1 and 4
in terms of heat flux and burn-offrate, which produced a higher tem-
perature at the weld interface. The evolution of the equilibrium heat flux and the weld interface
temperature against the burn-offrate are presented Fig. 12. For both
plots, an equation of the trend with its R-squared (R2) value is provided. It can be seen that the equilibrium heat flux increases when increasing
the burn-offrate. An increase in the burn-offrate can be achieved in
three ways. It can be due to either an increase in rubbing velocity or
applied pressure or oscillating in the short rather than long direction. Fig. 10. Evolution of the weld interface temperature during the equili-
brium phase against the rubbing velocity predicted by: McAndrew et al.
(2015a, 2015b), Turner et al. (2011) and Li et al. (2010). 3.2.1. Influence of the rubbing velocity Thermal histories experimentally recorded and predicted by the
numerical model for three welding conditions are displayed Fig. 9. Despite the groove present to facilitate the passage of the wires, some of
the thermocouples broke during welding. Consequently, some tem-
perature histories are missing. An applied pressure of 90 MPa is main-
tained for all the welds, while rubbing velocities of 120 mm/s,
240 mm/s and 540 mm/s were used for weld 1, weld 2 and weld 4. Fig. 9 displays a reasonable agreement between experiments and si-
mulations, demonstrating the ability of the modelling approach to
capture actual thermal histories while bypassing the oscillating motion
of the workpieces. Nevertheless, discrepancies may have arisen from
the positioning of the thermocouples since the thermal gradients gen-
erated during the LFW process are very high. In addition, uncertainties
also arise from the measurement quality of the material properties used
in the models. The largest discrepancies arise where the thermocouples
are positioned the furthest. This may suggest that thermocouple wires
got pulled away from their initial positions during welding and because
of the high thermal gradient created, even a small offset in the original
position would result in a significant discrepancy. Finally, there is an
oscillation in the temperature predicted 0.3 mm from the weld interface
in the results presented Fig. 9. This is due to the approach used to ac-
count for the axial shortening with the step-wise removal of elements
and is therefore a modelling artefact. However, it shows that this step- These divergent results highlight that the trend of the interface
temperature cannot be predicted by looking only at the rubbing velo-
city. The behaviour of the process during the equilibrium phase is
crucial to understanding these temperature differences. The interface
temperature is determined by the balance between the heat input
during this phase and the speed at which the hot material is removed
from the interface, i.e. the burn-offrate. In the case of weld 1, both the average heat flux of phase 3 and the Fig. 8. Influence of the number of steps to model the
burn-offfor: a) weld 1 and b) weld 4. 854 854 burn-offrate are low, as seen Table 4. This condition results in a slow
heat up of the weld interface and more heat loss due to conduction into
the surrounding cold material, creating a low thermal gradient, see
Fig. 11. Fig. 3.2.1. Influence of the rubbing velocity In
the first case, the heat flux is linearly dependant on the velocity of the
moving workpiece so an increase in the rubbing velocity results in an
increase in the heat flux magnitude. However, when oscillating in the
shortest direction or increasing the applied pressure, the rubbing ve-
locity is unchanged. In these cases the heat flux increases because more
cold material is introduced to the weld interface. As detailed by
McAndrew et al. (2015a, 2015b), the greater heat flux is caused by a
larger friction force due to an increase in the flow stress as a con-
sequence of the colder deforming material. 3.2.1. Influence of the rubbing velocity 11, shows that increasing the rubbing velocity at a constant
applied pressure results in an increase of the thermal gradient. A similar
trend can be observed in the works of McAndrew et al. (2015a, 2015b)
and Turner et al. (2011). In contrast to weld 1, weld 4 heat flux and
burn-offrate are considerably higher. However, despite the high weld 4
heat flux, the temperature cannot build-up at the weld interface since
the hot material is removed at a high rate, creating a steep thermal
gradient, see Fig. 11. Weld 2 offers a compromise between weld 1 and 4
in terms of heat flux and burn-offrate, which produced a higher tem-
perature at the weld interface. with different applied pressure can be integrated into the study. The evolution of the equilibrium heat flux and the weld interfac
temperature against the burn-offrate are presented Fig. 12. For bo
plots, an equation of the trend with its R-squared (R2) value is provide
It can be seen that the equilibrium heat flux increases when increasin
the burn-offrate. An increase in the burn-offrate can be achieved
three ways. It can be due to either an increase in rubbing velocity
applied pressure or oscillating in the short rather than long direction. the first case, the heat flux is linearly dependant on the velocity of th
moving workpiece so an increase in the rubbing velocity results in a
increase in the heat flux magnitude. However, when oscillating in th
shortest direction or increasing the applied pressure, the rubbing v
locity is unchanged. In these cases the heat flux increases because mo
cold material is introduced to the weld interface. As detailed b
M A d
l (2015
2015b)
h
h
fl
i
d b
Fig. 9. Comparison of thermal histories obtain
from experiments and FEA simulations for three se
of welding conditions: a) weld 1 (νr = 120 mm/s),
weld
2
(νr = 240 mm/s)
and
c)
weld
(νr = 540 mm/s). C. Bühr et al. Journal of M
aterials Processing Tech. 252 (2018) 849–8 Fig. 9. Comparison of thermal histories obtained
from experiments and FEA simulations for three sets
of welding conditions: a) weld 1 (νr = 120 mm/s), b)
weld
2
(νr = 240 mm/s)
and
c)
weld
4
(νr = 540 mm/s). C. Bühr et al. Journal of M
aterials Processing Tech. 252 (2018) 849–858 Fig. 9. 3.2.2. A method to estimate the weld interface temperature Above a 3 mm/s burn-offrate, the contribution of conduction decreases
to a value of about 6%. Therefore conduction has much greater impact
on the temperature field at low burn-offrates. If conduction is ignored,
the power to make a weld can be estimated from the energy required to
produce the flash. To understand the contributions of heat lost by conduction and lost
in the flash, a heat balance over a control volume around the weld
interface can be developed: As previously mentioned, an increase in the applied pressure is
known to increase the burn-offrate (see Table 4 burn-offrate values,
weld 3 versus weld 4 where the applied pressure increases from 40 MPa
to 90 MPa). However it is possible to reduce the peak temperature by
reducing the applied pressure and the burn-offrate according to the
relationship in Fig. 12. This would contradict McAndrew et al. (2015)
and Turner et al. (2012) findings. McAndrew et al. (2015a, 2015b)
established that a decrease in the applied pressure has a small impact
on the experimental phase 3 heat flux. Furthermore, using McAndrew
et al. (2015a, 2015b) equation which predicts experimental burn-off
rates, the evolution of the burn-offrate is plotted against the applied
pressure for different rubbing velocity conditions in Fig. 14 (the am-
plitude is kept constant at 3 mm while the frequency varies from 10 Hz
to 50 Hz). This demonstrates that the burn-offrate is largely in-
dependent of the applied pressure for low rubbing velocities. Hence,
low burn-offrates can only be achieved by reducing the rubbing velo-
city and not the applied pressure. Consequently, if the initial burn-off
rate is 2 mm/s and the applied pressure is decreased, it will not affect
the burn-offrate or the phase 3 power; therefore the weld interface
temperature will be unchanged. =
−
−
Q
Q
Q
Q
Total
in
conduction
flash where QTotal is the total energy contained in the control volume, Qin
is the energy brought in the control volume by sliding or plastic work,
Qconduction is the energy lost by conduction and Qflash is the energy lost in
the flash. 3.2.2. A method to estimate the weld interface temperature .2.2. A method to estimate the weld interface temperature To provide further evidence for the variation in peak temperature
with rubbing velocity, models were built for the welding trials con-
ducted by McAndrew et al. (2014) displayed in Table 3. The burn-off
rate is considered rather than the rubbing velocity so data from welds As stated previously, the peak temperature is determined by a bal-
ance between equilibrium heat flux and burn-offrate. The highest Fig. 10. Evolution of the weld interface temperature during the equili-
brium phase against the rubbing velocity predicted by: McAndrew et al. (2015a, 2015b), Turner et al. (2011) and Li et al. (2010). 855 Fig
bri
(20 855 Journal of M
aterials Processing Tech. 252 (2018) 849–858 C. Bühr et al. Fig. 11. Thermal profiles, during phase 3 for: a) weld 1 (νr = 120 mm/s), b) weld 2 (νr = 240 mm/s) and c) weld 4 (νr = 540 mm/s). Fig. 11. Thermal profiles, during phase 3 for: a) weld 1 (νr = 120 mm/s), b) weld 2 (νr = 240 mm/s) and c) weld 4 (νr = 540 mm/s). g phase 3 for: a) weld 1 (νr = 120 mm/s), b) weld 2 (νr = 240 mm/s) and c) weld 4 (νr = 540 mm/s). 20 mm/s), b) weld 2 (νr = 240 mm/s) and c) weld 4 (νr = 540 mm/s) Fig. 11. Thermal profiles, during phase 3 for: a) weld 1 (νr = 120 m interface temperature is reached for a burn-offrate between 2 and
3 mm/s while increasing or decreasing the burn-offrate outside this,
results in a drop of temperature. This trend in the temperature confirms
the results obtained in the previous section on the influence of the
rubbing velocity. Based on Fig. 12, it is possible to estimate the mag-
nitude of the weld interface temperature obtained at the end of phase 3,
without using thermocouples or a numerical model, from the experi-
mental burn-offrate or the equilibrium heat flux. It is worth mentioning
that Fig. 12 is only valid for the workpiece geometry used in this study. of Fig. 13(b) is to quantify the contribution of the two mechanisms
responsible for heat losses in the control volume. It can be observed that
for burn-offrates less than about 3 mm/s, the heat flux lost by con-
duction represents about 30% of the total required to make the weld. Fig. 12. Evolution of the phase 3 heat flux and the equili-
brium weld interface temperature against the burn-offrate. 3.2.2. A method to estimate the weld interface temperature When the process is in steady-state, this equation simplifies to the
following after differentiating with respect to time:
˙
˙
˙ =
−
Q
Q
Q
˙
˙
˙
conduction
in
flash =
−
Q
Q
Q
˙
˙
˙
conduction
in
flash Indeed, since the temperature field reaches a quasi-steady state,
Q˙ Total is nil. Furthermore, Q˙ in represents the average equilibrium heat
flux, previously calculated from the post-processing of the machine
data, while is given by: =
−
Q
ρ A c BoR T
T
˙
· ·
·
·(
)
flash
p
flash
init where ρ is the density, A the area of
the weld cross-section, cp the specific heat capacity (an average value of
690 J/(Kg.K) is used), BoR the burn-offrate, Tflash the temperature of
the flash (taken at 1000 °C) and Tinit the temperature of the workpieces
prior welding. Fig. 13(a) displays the evolution of the magnitudes of the heat fluxes
acting in and out of the control volume against the burn-offrate. The
heat flux responsible for heat losses in the flash increases linearly with
the burn-offrate like Q˙ in, which provides energy to the weld. However,
the heat loss due to conduction is largely independent of the burn-off
rate used. Fig. 13(b) displays the magnitude of the heat fluxes lost in the
flash and by conduction, expressed as a percentage of Q˙ in. The objective 3.2.3. Influence of the applied pressure Thermal histories obtained from experi-
ments and FEA for two sets of experimental condi-
tions where only the applied pressure changes: a)
weld 3 (P = 40 MPa) and b) weld 4 (P = 90 MPa). Fig. 15. Thermal histories obtained from experi-
ments and FEA for two sets of experimental condi-
tions where only the applied pressure changes: a)
weld 3 (P = 40 MPa) and b) weld 4 (P = 90 MPa). Fig. 15. Thermal histories obtained from experi-
ments and FEA for two sets of experimental condi-
tions where only the applied pressure changes: a)
weld 3 (P = 40 MPa) and b) weld 4 (P = 90 MPa). 3.2.4. Influence of the oscillation direction 3.2.4. Influence of the oscillation direction match between experiments and simulations is observed. A higher
maximum temperature is reached for the lower applied pressure weld 3
compared to weld 4 reaching 1170 °C and 994 °C respectively. The
same trend was observed by McAndrew et al. (2015a, 2015b) and
Turner et al. (2012). Looking at Table 4, the applied pressure of 40 MPa
compared with 90 MPa had virtually no impact on the heat flux, with a
variation of about 1%, however it decreased the burn-offrate by about
17%. Therefore, for an equivalent heat flux, the hot material was left a
longer time at the weld interface, allowing the temperature to build-up. It is worth noticing that even if the burn-offrate of weld 3 is lower than
weld 4, it is still substantially higher than the burn-offrate of weld 1
(over three times higher) and the temperature at the interface does not
have time to conduct back to the same extent. Temperature histories of weld 4 and 5 are displayed Fig. 16, where
the oscillating workpiece was oscillated respectively in the 40 mm and
20 mm directions of the workpiece. As shown in Fig. 16, a slightly
cooler weld is produced when oscillating in the 20 mm direction. As
shown in Table 4, the sample that was oscillated in the 20 mm direction
(i.e weld 5) had a 27% higher burn-offrate compared to weld 4 despite
having the same rubbing velocity which is in agreement with
McAndrew et al. (2016). Oscillating in the 20 mm direction facilitates
the expulsion of the material since the material has less distance to
travel to form the flash. 3.2.3. Influence of the applied pressure a) Evolution of the heat flux magnitudes,
acting in and out of a control volume, against the
burn-offrate and b) contribution of the heat fluxes
from the flash and conduction expressed as a per-
centage of the heat flux In. Fig. 14. Evolution of the burn-offrate against the applied pressure for
C. Bühr et al. Journal of M
aterials Processing Tech. 252 (2018) 849–858 Fig. 13. a) Evolu
acting in and ou
burn-offrate and
from the flash an
centage of the he
C. Bühr et al. Journal of M
aterials Pr Journal of M
aterials Processing Tech. 252 (2018) 849–858 match between experiments and simulations is observed. A higher
maximum temperature is reached for the lower applied pressure weld 3
compared to weld 4 reaching 1170 °C and 994 °C respectively. The
3.2.4. Influence of the oscillation direction
Temperature histories of weld 4 and 5 are displayed Fig. 16, where
the oscillating workpiece was oscillated respectively in the 40 mm and
Fig. 13. a) Evolution of the heat flux magnitudes,
acting in and out of a control volume, against the
burn-offrate and b) contribution of the heat fluxes
from the flash and conduction expressed as a per-
centage of the heat flux In. Fig. 14. Evolution of the burn-offrate against the applied pressure for
different rubbing velocities (obtained from McAndrew et al. (2015a,
2015b) equation). Fig. 15. Thermal histories obtained from experi-
ments and FEA for two sets of experimental condi-
tions where only the applied pressure changes: a)
weld 3 (P = 40 MPa) and b) weld 4 (P = 90 MPa). C. Bühr et al. Journal of M
aterials Processing Tech. 252 (2018) 849–858 Fig. 13. a) Evolution of the heat flux magnitudes,
acting in and out of a control volume, against the
burn-offrate and b) contribution of the heat fluxes
from the flash and conduction expressed as a per-
centage of the heat flux In. Fig. 14. Evolution of the burn-offrate against the applied pressure for
different rubbing velocities (obtained from McAndrew et al. (2015a,
2015b) equation). Fig. 14. Evolution of the burn-offrate against the applied pressure for
different rubbing velocities (obtained from McAndrew et al. (2015a,
2015b) equation). Fig. 14. Evolution of the burn-offrate against the applied pressure for
different rubbing velocities (obtained from McAndrew et al. (2015a,
2015b) equation). Fig. 15. Therm
ments and FEA
tions where onl
weld 3 (P = 40 Fig. 15. 3.2.3. Influence of the applied pressure Comparisons of thermal histories between experiments and simu-
lations, for weld 3 and weld 4, are displayed in Fig. 15. Both welds were
made with a rubbing velocity of 540 mm/s while using an applied
pressure of 40 MPa for weld 3 and 90 MPa for weld 4. A reasonable Fig. 12. Evolution of the phase 3 heat flux and the equili-
brium weld interface temperature against the burn-offrate. 856 F
b 856 match between experiments and simulations is observed. A higher
maximum temperature is reached for the lower applied pressure weld 3
compared to weld 4 reaching 1170 °C and 994 °C respectively. The
same trend was observed by McAndrew et al. (2015a, 2015b) and
Turner et al. (2012). Looking at Table 4, the applied pressure of 40 MPa
compared with 90 MPa had virtually no impact on the heat flux, with a
i ti
f
b
t 1% h
it d
d th b
ff
t b
b
t
3.2.4. Influence of the oscillation direction
Temperature histories of weld 4 and 5 are displayed Fig. 16, where
the oscillating workpiece was oscillated respectively in the 40 mm and
20 mm directions of the workpiece. As shown in Fig. 16, a slightly
cooler weld is produced when oscillating in the 20 mm direction. As
shown in Table 4, the sample that was oscillated in the 20 mm direction
(i
ld 5) h d
27% hi h
b
ff
t
d t
ld 4 d
it
Fig. 13. a) Evolution of the heat flux magnitudes,
acting in and out of a control volume, against the
burn-offrate and b) contribution of the heat fluxes
from the flash and conduction expressed as a per-
centage of the heat flux In. Fig. 14. Evolution of the burn-offrate against the applied pressure for
different rubbing velocities (obtained from McAndrew et al. (2015a,
2015b) equation). Fig. 15. Thermal histories obtained from experi-
ments and FEA for two sets of experimental condi-
tions where only the applied pressure changes: a)
weld 3 (P = 40 MPa) and b) weld 4 (P = 90 MPa). C. Bühr et al. Journal of M
aterials Processing Tech. 252 (2018) 849–858 Fig. 13. 4. Conclusions McAndrew, A.R., Colegrove, P.A., Flipo, B.C.D., Bühr, C., 2016. 3D modelling of
Ti–6Al–4V linear friction welds. Sci. Technol. Weld. Join. 1718, 1–9. f
l
dd
ll
d f
l Ofem, U.U., Colegrove, P.A., Addison, A., Russell, M.J., 2010. Energy and force analysis of
linear friction welds in medium carbon steel. Sci. Technol. Weld. Join. 15, 479–485. Romero, J., Attallah, M.M., Preuss, M., Karadge, M., Bray, S.E., 2009. Effect of the forging
pressure on the microstructure and residual stress development in Ti–6Al–4 V linear
friction welds. Acta Mater. 57, 5582–5592. 4. A maximum weld interface temperature is reached for burn-offrate
values between 2 and 3 mm/s, for the workpiece geometry used in
this study. Schroeder, F., Ward, R.M., Turner, R.P., Attallah, M.M., Gebelin, J., Reed, R.C., 2012. Linear friction welding of titanium alloys for aeroengine applications: modelling and
validation. 9th Int Conf. Trends Weld. Res. 886–892. 4. Conclusions Eng. A 513–514, 366–375. Kumar, B.V.R.R., 2013. A review on blisk technology. Int. J. Innov. Res. Sci. Eng. Technol. 2, 1353–1358. Eng. A 513 514, 366 375. Kumar, B.V.R.R., 2013. A review on blisk technology. Int. J. Innov. Res. Sci. Eng. Technol. 2, 1353–1358. The key findings from this work are: Li, W.-Y., Ma, T., Li, J., 2010. Numerical simulation of linear friction welding of titanium
alloy: effects of processing parameters. Mater. Des. 31, 1497–1507. Li, W., Wu, H., Ma, T., Yang, C., Chen, Z., 2012. Influence of parent metal microstructure
and post-weld heat treatment on microstructure and mechanical properties of linear
friction welded Ti-6Al-4V joint. Adv. Eng. Mater. 14, 312–318. 1. A novel LFW process model that bypasses the need to dynamically
model the oscillations was developed. The advantage of this mod-
elling approach is that thermal profiles can be obtained quickly for
subsequent residual stress modelling. Li, W., Vairis, A., Preuss, M., Ma, T., 2016. Linear and rotary friction welding review. Int. Mater. Rev. 61, 71–100. McAndrew, A.R., Colegrove, P.A., Addison, A.C., Flipo, B.C.D., Russell, M.J., 2014. Energy and force analysis of Ti–6Al–4V linear friction welds for computational
modeling input and validation data. Metall. Mater. Trans. A 45, 6118–6128. d
l
ddi
li
ll 2. In general, the thermal profiles generated by the model are in good
agreement with the thermocouple measurements, therefore sug-
gesting the model captures the process trends well. McAndrew, A.R., Colegrove, P.A., Addison, A.C., Flipo, B.C.D., Russell, M.J., 2015a. Modelling the influence of the process inputs on the removal of surface contaminants
from Ti–6Al–4V linear friction welds. Mater. Des. 66, 183–195. 3. According to the model, the weld interface temperature does not
necessarily increase with the rubbing velocity. Moreover, applying a
high pressure or oscillating the workpiece along the shorter of the
two interface dimensions produces a cooler interface temperature. 3. According to the model, the weld interface temperature does not
necessarily increase with the rubbing velocity. Moreover, applying a
high pressure or oscillating the workpiece along the shorter of the
two interface dimensions produces a cooler interface temperature. Overall, the interface temperature can be explained by a balance
between heat generation and the heat lost as a consequence of the
flash generation. McAndrew, A.R., Colegrove, P.A., Addison, A.C., Flipo, B.C.D., Russell, M.J., Lee, L.A.,
2015b. Modelling of the workpiece geometry effects on Ti–6Al–4V linear friction
welds. Mater. Des. 87, 1087–1099. 3.2.3. Influence of the applied pressure In addition, the equilibrium heat flux of weld 5
is 27% higher compared to weld 4, which explains why weld 4 and
weld 5 have similar weld interface temperatures. 857 C. Bühr et al. Fig. 16. Thermal histories obtained
ments and FEA for two sets of experi
tions where only the oscillation directio
weld 4 (40 mm direction) and b) we
direction). Fig. 16. Thermal histories obtained from experi-
ments and FEA for two sets of experimental condi-
tions where only the oscillation direction changes: a)
weld 4 (40 mm direction) and b) weld 5 (20 mm
direction). Acknowledgements Schroeder, F., Ward, R.M., Turner, R.P., Walpole, A.R., Attallah, M.M., Gebelin, J.-C.,
Reed, R.C., 2015. Validation of a model of linear friction welding of Ti6Al4V by
considering welds of different sizes. Metall. Mater. Trans. B 46, 2326–2331. Schroeder, F., Ward, R.M., Turner, R.P., Walpole, A.R., Attallah, M.M., Gebelin, J.-C.,
Reed, R.C., 2015. Validation of a model of linear friction welding of Ti6Al4V by
considering welds of different sizes. Metall. Mater. Trans. B 46, 2326–2331. Turner, R., Gebelin, J.-C., Ward, R.M., Reed, R.C., 2011. Linear friction welding of
Ti–6Al–4V: modelling and validation. Acta Mater. 59, 3792–3803. The authors would like to thank the Honeywell Company and
Cranfield University for funding the research presented in that paper. Also, the help provided by Bertrand Flipo of The Welding Institute
(TWI) in conducting the experiments was greatly appreciated. Turner, R., Gebelin, J.-C., Ward, R.M., Reed, R.C., 2011. Linear friction welding of
Ti–6Al–4V: modelling and validation. Acta Mater. 59, 3792–3803. Turner R
Ward R M
March R
Reed R C
2012 The magnitude and origin of residual g
Ti–6Al–4V: modelling and validation. Acta Mater. 59, 3792–3803. T
R
W
d R M
M
h R
R
d R C
2012 Th
it d
d
i i
f
id
l g
Turner, R., Ward, R.M., March, R., Reed, R.C., 2012. The magnitude and origin of residual
stress in Ti–6Al–4V linear friction welds: an investigation by validated numerical Turner, R., Ward, R.M., March, R., Reed, R.C., 2012. The magnitude and origin of residual
stress in Ti–6Al–4V linear friction welds: an investigation by validated numerical
modeling. Metall. Mater. Trans. B 43, 186–197. Vairis, A., Frost, M., 1998. High frequency linear friction welding of a titanium alloy. Wear 217, 117–131. Blau, P.J., 2001. The significance and use of the friction coefficient. Tribol. Int. 34,
585–591. Addison, A., 2008. Linear friction welding of engineering metals. TWI Ind. Memb. Rep.
894. Grant, B., Preuss, M., Withers, P.J., Baxter, G., Rowlson, M., 2009. Finite element process
modelling of inertia friction welding advanced nickel-based superalloy. Mater. Sci. References Vairis, A., Frost, M., 2000. Modelling the linear friction welding of titanium blocks. Mater. Sci. Eng. A 292, 8–17. Addison, A., 2008. Linear friction welding of engineering metals. TWI Ind. Memb. Rep. 894. Wang, X.Y., Li, W.Y., Ma, T.J., Vairis, A., 2017. Characterisation studies of linear friction
welded titanium joints. Mater. Des. 116, 115–126. Blau, P.J., 2001. The significance and use of the friction coefficient. Tribol. Int. 34,
585–591. Wanjara, P., Jahazi, M., 2005. Linear friction welding of Ti–6Al–4V: processing, micro-
structure, and mechanical-property inter-relationships. Metall. Mater. Trans. A 36,
2149–2164. Grant, B., Preuss, M., Withers, P.J., Baxter, G., Rowlson, M., 2009. Finite element process
modelling of inertia friction welding advanced nickel-based superalloy. Mater. Sci. 858 Cranfield University
CERES Research Repository https://dspace.lib.cranfield.ac.uk/ School of Aerospace, Transport and Manufacturing (SATM) Staff publications (SATM) Buhr C, Colegrove PA, McAndrew AR. (2018) A computationally efficient thermal modelling
approach of the linear friction welding process. Journal of Materials Processing Technology,
Volume 252, February 2018, pp. 849-858
http://dx.doi.org/10.1016/j.jmatprotec.2017.09.013
Downloaded from CERES Research Repository, Cranfield University A computationally efficient thermal
modelling approach of the linear friction
welding process Buhr, Clement
2017-09-14
Attribution 4.0 International
|
https://openalex.org/W3123873167
|
https://www.intechopen.com/citation-pdf-url/65725
|
English
| null |
On the Deviation of the Lunar Center of Mass to the East: Two Possible Mechanisms Based on Evolution of the Orbit and Rounding Off the Shape of the Moon
|
IntechOpen eBooks
| 2,019
|
cc-by
| 10,869
|
Abstract It is known that the Moon’s center of mass (COM) does not coincide with the
geometric center of figure (COF) and the line “COF/COM” is not directed to the
center of the Earth, but deviates from it to the South-East. Here, we discuss two
mechanisms to explain the deviation of the lunar COM to the East from the mean
direction to Earth. The first mechanism considers the secular evolution of the
Moon’s orbit, using the effect of the preferred orientation of the satellite with
synchronous rotation to the second (empty) orbital focus. It is established that only
the scenario with an increase in the orbital eccentricity e leads to the required
displacement of the lunar COM to the East. It is important that high-precision
calculations confirm an increase e in our era. In order to fully explain the shift of the
lunar COM to the East, a second mechanism was developed that takes into account
the influence of tidal changes in the shape of the Moon at its gradual removal from
the Earth. The second mechanism predicts that the elongation of the lunar figure in
the early era was significant. As a result, it was found that the Moon could have
been formed in the annular zone at a distance of 3–4 radii of the modern Earth. Keywords: Moon, displacement of center of mass, formation and evolution,
gravitation On the Deviation of the Lunar
Center of Mass to the East: Two
Possible Mechanisms Based on
Evolution of the Orbit and
Rounding Off the Shape of the
Moon Boris P. Kondratyev 1. Introduction At the dawn of modern astronomy, Hevelius and Galileo established that the
optical libration of the Moon in longitude leads to a small (50–80) seeming (for
terrestrial observer) oscillations of the figure of our satellite in the East-West direc-
tion with a period in the anomalistic month. These oscillations disappear when the
Moon is at perigee and apogee. Oscillations of a different kind—optical oscillations
in latitude—occur with amplitude 60400 and a period of one draconic month with
the disappearance of the deviation, when the Moon is at the nodes of the orbit. 1 Lunar Science If the Moon was absolutely spherically symmetric, these optical librations would
not have resulted in additional rotational oscillations of its body. But since due to
the interaction with the Earth, the lunar body has tidal bulges, this leads to the
appearance of moments of force from external celestial bodies. Newton [1] If the Moon was absolutely spherically symmetric, these optical librations would
not have resulted in additional rotational oscillations of its body. But since due to
the interaction with the Earth, the lunar body has tidal bulges, this leads to the
appearance of moments of force from external celestial bodies. Newton [1]
predicted that deviations of an elongated body of the Moon from the direction to
the Earth must lead to real small rotational librations of the satellite relative to the
inertial reference system. These small oscillations are called the physical libration of
the Moon. predicted that deviations of an elongated body of the Moon from the direction to
the Earth must lead to real small rotational librations of the satellite relative to the
inertial reference system. These small oscillations are called the physical libration of
the Moon. It is necessary to understand that when moving along the orbit of the Moon, its
main axis is not directed at the center of mass of the Earth-Moon system and, on the
average, at the second (empty) focus of the lunar orbit [2, 3]. The latter will play an
important role in our theory. y
Due to the proximity of the Moon in our time, the movement of our satellite
is studied with such high accuracy that even a small asymmetry of its internal
structure must be taken into account. This asymmetry is manifested in that the
center of the Moon’s mass COM is offset relative to the geometric center of the lunar
figure COF. 1. Introduction g
This effect of shift is briefly mentioned in [4, 5]. Using astrometric data, an
approximate numerical evaluation of the offset was given in [6] and in a more
accurate version in [7]. A new approach based on the analysis of data obtained from
the Lunar Laser Ranging experiment allowed in [8] clarifies the parameters of the
shift of the Moon’s center of mass. Note that the definition of COF depends on the adopted model (sphere, ellip-
soid, etc.), so that results of different researchers may be slightly different. How-
ever, according to many sources, it is reasonably safe to suggest that two points of
the centers on the Moon really do not coincide. To consider the internal asymmetry of the mass distribution in the lunar body,
we introduce a coordinate system with the origin at the center of mass of the Moon,
where the X-axis is directed (approximately) to the Earth, the Y-axis to the left (if
viewed from the Earth), and the Z-axis—downward. 1. Introduction Then, according to the United
Lunar Control Network (ULCN), which takes into account the findings of many
studies, including information from spacecraft [9], the displacement of the center
of the figure relative to the center of mass “COM/COF” is equal to [10] Δx ≈ 1:71 km, Δy ≈ 0:73 km, Δz ≈ 0:26 km:
(1) (1) Based on the results of a study of the topography of the lunar surface using laser
altimetry from a satellite, the displacement of the “COM/COF” was determined
more accurately [11]: Based on the results of a study of the topography of the lunar surface using laser
altimetry from a satellite, the displacement of the “COM/COF” was determined
more accurately [11]: Δx ≈ 1:7752 km, Δy ≈ 0:7311 km, Δz ≈ 0:2399 km:
(2) (2) As follows from the analysis of observational data (1) or (2), the effect of
displacement of the center of the figure relative to the Moon’s center of mass
i
l d
t
l th
hift f th
t
f
t
d th E
th 0 001 R As follows from the analysis of observational data (1) or (2), the effect of
displacement of the center of the figure relative to the Moon’s center of mass
includes not only the shift of the center of mass toward the Earth 0:001 R
(R ¼ 1737:10 km the average radius of the Moon) but also the spatial deviation of
the line “COM/COF” to the North-West. Note that in the literature it often also
speaks of the displacement of the center of mass of the Moon relative to the center
of its figure; for the observer from the Earth, this shift of the center of mass occurs
down (to the South) and to the left (to the East). Then, all the signs in (1) and (2)
are reversed. According to (2), the total displacement of the lunar COM is equal to
Δ ≈ 1:935 km: As follows from the analysis of observational data (1) or (2), the effect of
displacement of the center of the figure relative to the Moon’s center of mass includes not only the shift of the center of mass toward the Earth 0:001 R
(R ¼ 1737:10 km the average radius of the Moon) but also the spatial deviation of
the line “COM/COF” to the North-West. 2. Optical libration of the Moon for the observer from the second focus Instead of the term “the direction of the Moon’s surface” often used in refer-
ences, it is more accurate to speak of the direction of the main lunar axis of inertia,
which only in two cases—at the position of the Moon at apogee and perigee—is
directed to the center of mass of the Earth-Moon system. To do this, we first
consider the optical libration of the Moon in longitude and place the observer in the
point of the second (empty) focus of the orbit [2]. Recall that in the first approximation the Moon moves on ellipse (now the
eccentricity of the orbit is e ¼ 0:0549 ), and this motion is synchronous, since there
is the resonance 1:1 of periods of axial rotation and revolution of the Moon around
the Earth. According to the Kepler’s first law, the motion is described by the formula r ¼
p
1 þ e cos υ ,
p ¼ a1 1 e2
:
(3) (3) Here, a1 is the main semiaxis, and e is the eccentricity of an ellipse. The angle of
the true anomaly υ is associated with the angle of the eccentric anomaly E cos υ ¼ cos E e
1 e cos E :
(4) (4) The time that has elapsed since the Moon was at perigee (E ¼ 0, υ ¼ 0), until the
moment when the angles are equal E; υ
ð
Þ, is equal to The time that has elapsed since the Moon was at perigee (E ¼ 0, υ ¼ 0), until the
moment when the angles are equal E; υ
ð
Þ, is equal to t ¼ E e sin E
ð
Þ
2π
T,
(5) (5) where T is the period of revolution on the ellipse. Since the lunar axial angular
velocity Ω must be equal the mean motion n ¼ 2π
T, the rotation angle δ of the major
axis of inertia of the Moon (see Figure 1) in the time t will be where T is the period of revolution on the ellipse. 1. Introduction Note that in the literature it often also
speaks of the displacement of the center of mass of the Moon relative to the center
of its figure; for the observer from the Earth, this shift of the center of mass occurs
down (to the South) and to the left (to the East). Then, all the signs in (1) and (2)
are reversed. According to (2), the total displacement of the lunar COM is equal to
Δ ≈ 1:935 km: 2 On the Deviation of the Lunar Center of Mass to the East: Two Possible Mechanisms Based on…
DOI: http://dx.doi.org/10.5772/intechopen.84465 On the Deviation of the Lunar Center of Mass to the East: Two Possible Mechanisms Based on…
DOI: http://dx.doi.org/10.5772/intechopen.84465 Besides, the shifts (1) and (2) of the center of the Moon’s mass are global in
nature, and, ultimately, they already include many different factors (see, e.g., [12])
Therefore, in particular, it is impossible to interpret the displacement of the center
of mass only as a displacement of the lunar core alone. y
p
Despite the seemingly geometric simplicity of the problem, the offset of the
center of the Moon’s mass remains an unexplored problem in the lunar science. The
importance of this problem is that the Moon is close enough to the Earth and the
accuracy of observations of its spin-orbital motion by the method LLR is now so
much high that for correct interpretation of these movements it is necessary to take
into account many celestial mechanical disturbances, including the indicated inter-
nal asymmetry of the Moon’s body. Here, we study the problem of the shift of the Moon’s center of mass to the East. To do this, we consider two geometric mechanisms that allow us to explain this
important feature of the internal structure of the Moon and shed light on some of
the currently controversial features of its evolution and origin (see also [13–15]). 2. Optical libration of the Moon for the observer from the second focus dC f 1
sin χ ¼
r
sin υ χ
ð
Þ ,
δ þ χ ¼ υ,
(7)
so
dC f 1 ¼ r
sin χ
sin υ χ
ð
Þ ¼ r sin χ
sin δ :
Then, the distance Δ ¼ dC f 2 ¼ 2a1e dCf 1 is dC f 1
sin χ ¼
r
sin υ χ
ð
Þ ,
δ þ χ ¼ υ,
(7)
so dC f 1
sin χ ¼
r
sin υ χ
ð
Þ ,
δ þ χ ¼ υ,
(7) dC f 1
sin χ ¼
r
sin υ χ
ð
Þ ,
δ þ χ ¼ υ,
(7)
so
dC f 1 ¼ r
sin χ
sin υ χ
ð
Þ ¼ r sin χ
sin δ : (7) so dC f 1 ¼ r
sin χ
sin υ χ
ð
Þ ¼ r sin χ
sin δ :
Then, the distance Δ ¼ dC f 2 ¼ 2a1e dCf 1 is dC f 1 ¼ r
sin χ
sin υ χ
ð
Þ ¼ r sin χ
sin δ : Δ
a1
¼ 2e
1 e2
1 þ e cos υ
sin χ
sin δ ¼ 2e
1 e2
1 þ e cos υ
sin υ ctg δ cos υ
f
g:
(8) Δ
a1
¼ 2e
1 e2
1 þ e cos υ
sin χ
sin δ ¼ 2e
1 e2
1 þ e cos υ
sin υ ctg δ cos υ
f
g:
(8) (8) Here, ctg δ is the function of the angle E (or true anomaly υ) ctg δ ¼ ctg E e sin E
ð
Þ ¼
1 þ
ffiffiffiffiffiffiffi
1e2
p
sin υ
eþ cos υ tg
e ffiffiffiffiffiffiffi
1e2
p
sin υ
1þe cos υ
h
i
ffiffiffiffiffiffiffi
1e2
p
sin υ
eþ cos υ tg
e ffiffiffiffiffiffiffi
1e2
p
sin υ
1þe cos υ
h
i :
(9) (9) Therefore, the required distance Δ
a1 from the point f 2, which is a continuation of
the lunar major inertia axis that crosses the apsidal line, is not, generally speaking,
zero and equal to Therefore, the required distance Δ
a1 from the point f 2, which is a continuation of
the lunar major inertia axis that crosses the apsidal line, is not, generally speaking,
zero and equal to Δ
a1
¼ e þ cos E ctg δ
ffiffiffiffiffiffiffiffiffiffiffiffi
1 e2
p
sin E
(10) (10) Expanding in powers of a small eccentricity gives Expanding in powers of a small eccentricity gives Δ
a1
¼ cos υ
2
e2 1
3
1 þ cos 2υ
2
e3 cos υ
8
7 4 cos 2υ
e4 þ …; Δ ≤0;
Δ
a1
¼ cos E
2
e2 þ 1
3
1
2 2 cos 2E
e3 cos E
24
1 þ 8 cos 2E
e4 þ …; Δ ≥0:
(11) (11) The results of calculations using formula (10) are shown in Figure 2. 2. Optical libration of the Moon for the observer from the second focus Since the lunar axial angular
velocity Ω must be equal the mean motion n ¼ 2π
T, the rotation angle δ of the major
axis of inertia of the Moon (see Figure 1) in the time t will be δ ¼ t Ω ¼ t n ¼ Tn
2π E e sin E
ð
Þ ¼ E e sin E:
(6) (6) From the triangle f 1MC (Figure 1) follows that From the triangle f 1MC (Figure 1) follows that 3 Lunar Science Figure 1. The large ellipse is the orbit of the Moon M (for clarity, the ellipticity is exaggerated), and P and A are the
points of perigee and apogee. The point of active focus f 1 is the center of mass of the Earth-Moon system, and f 2 is
the point of the second (passive) focus. Lunar Science Figure 1. Figure 1. The large ellipse is the orbit of the Moon M (for clarity, the ellipticity is exaggerated), and P and A are the
points of perigee and apogee. The point of active focus f 1 is the center of mass of the Earth-Moon system, and f 2 is
the point of the second (passive) focus. Figure 1. The large ellipse is the orbit of the Moon M (for clarity, the ellipticity is exaggerated), and P and A are the
points of perigee and apogee. The point of active focus f 1 is the center of mass of the Earth-Moon system, and f 2 is
the point of the second (passive) focus. Figure 1. The large ellipse is the orbit of the Moon M (for clarity, the ellipticity is exaggerated), and P and A are the
points of perigee and apogee. The point of active focus f 1 is the center of mass of the Earth-Moon system, and f 2 is
the point of the second (passive) focus. 2. Optical libration of the Moon for the observer from the second focus 4 On the Deviation of the Lunar Center of Mass to the East: Two Possible Mechanisms Based on…
DOI: http://dx.doi.org/10.5772/intechopen.84465 On the Deviation of the Lunar Center of Mass to the East: Two Possible Mechanisms Based on…
DOI: http://dx.doi.org/10.5772/intechopen.84465 On the Deviation of the Lunar Center of Mass to the East: Two Possible Mechanisms Based on…
DOI: http://dx.doi.org/10.5772/intechopen.84465 Figure 2. Graph of deviation Δ
a1 as a function of the true anomaly υ. Figure 2. Figure 2. Graph of deviation Δ
a1 as a function of the true anomaly υ. gure 2. aph of deviation Δ
a1 as a function of the true anomaly υ. It is important to emphasize that, according to formula (11), the effect of the
deviation Δ
a1 is already in the first approximation proportional to the square of the
eccentricity of the Moon’s orbit. Thus, when the Moon is moving on the ellipse around the Earth, the end of the
major axis of inertia will be approximately directed to the point of the second focus. Strictly speaking, this end of the axis will perform (without taking into account the
very small physical libration of the Moon in longitude) oscillatory motions in the
vicinity f 2 in the interval 1:5933 103 ≤Δ
a1
≤1:4275 103:
(12) (12) In our era, in a linear measure, this is approximately 612km ≤Δ ≤548km:
(13) (13) The results of calculations (12) and (13) show a small asymmetry oscillations
( 11%) relative to the right and left sides of the point f2. Emphasize that the
physical libration of the Moon in longitude has a very small amplitude and with a
large reserve of fits in the interval (13). Figure 3. Figure 3. (a) Orientation of the displaced center of mass S of the young Moon after the differentiation of the substance of
its body. A large circle is the orbit of the Moon in the early epoch, and a small ellipse is the cross section of the
Moon. Since the orbit is circular, the focuses f1 and f2 coincide with the center O. Relative sizes are not respected. The line O
0S is directed straight to the Earth; therefore, the Earth’s observer would see both points coinciding
with each other from Section 2, the motion on the ellipse the line passing through the center of the Moon’s figure
and its center of mass be directed to the second (empty) focus of the orbit. Therefore, in our era, when the
eccentricity of the lunar orbit has increased to its current value e ¼ 0:0549, we will observe the picture as in b. (b) The orientation of the lunar center of mass S in our era in the first version of the evolution of the Moon’s
orbit. The large ellipse is the orbit of the Moon, and the small ellipse is the cross section of the Moon. The Earth is
in the first focus f1 of the lunar orbit. The angle E characterizes the orientation of the Moon COM S relative to
the direction to Earth. (Sect. 4.1). One of the manifestations of the offset center of mass can be a different
thickness of crust in the near side and the far side of the Moon [18]. Thus, the core of the Moon was formed during the gravitational differentiation,
and then under the influence of a small asymmetry of tidal forces, the process of
displacement of the lunar center of mass toward the Earth began to occur. This offset
COM for the Earth observer can be characterized by the orientation angle E between
the line }COF=COM} and the direction to the center of the Earth (Figure 3b). 3. Resolution alternatives to choose between two options for the lunar
orbit evolution Since Darwin [16], many efforts were made to examine the secular evolution of
the Moon’s orbit, but so far it has not been established whether the orbit of the Moon in the past
more or less oblate than now. In the literature, this issue is still under discussion. In
this regard, the study of the shift of the Moon’s center of mass to the East may shed
some light on this important issue. g
p
Many researchers agree that gravitational differentiation of the Moon occurred
in the early era (see, e.g., [17]), with the result that the Moon’s center of mass is
slightly 0:001 R
ð
Þ shifted toward the Earth. We shall not discuss here the ques-
tion of the gravitational differentiation of the Moon and just to note that one of the
reasons for the displacement of the Moon’s center of mass to the Earth can be
some asymmetry of tidal forces from the Earth into two hemispheres of the Moon 5 Lunar Science Figure 3. (a) Orientation of the displaced center of mass S of the young Moon after the differentiation of the substance of
its body. A large circle is the orbit of the Moon in the early epoch, and a small ellipse is the cross section of the
Moon. Since the orbit is circular, the focuses f1 and f2 coincide with the center O. Relative sizes are not respected. The line O
0S is directed straight to the Earth; therefore, the Earth’s observer would see both points coinciding
with each other from Section 2, the motion on the ellipse the line passing through the center of the Moon’s figure
and its center of mass be directed to the second (empty) focus of the orbit. Therefore, in our era, when the
eccentricity of the lunar orbit has increased to its current value e ¼ 0:0549, we will observe the picture as in b. (b) The orientation of the lunar center of mass S in our era in the first version of the evolution of the Moon’s
orbit. The large ellipse is the orbit of the Moon, and the small ellipse is the cross section of the Moon. The Earth is
in the first focus f1 of the lunar orbit. The angle E characterizes the orientation of the Moon COM S relative to
the direction to Earth. 3.2 The first version: the evolution of the lunar orbit with increase in its
eccentricity First, suppose that in the early epoch the orbit of the Moon was more circular
than in our epoch. Consequently, during the secular evolution, the Moon’s orbit
became more and more eccentric, up to its modern value of eccentricity e ¼ 0:0549:
Recall now that the Moon’s COM, already shifted toward the Earth, after the
solidification of the lunar body will be fixed relative to its main axes of inertia. Since in
the early epoch the orbit of the Moon was almost circular, the line connecting the
geometrical center of the figure of the Moon and its center of mass was directed
exactly to the Earth (Figure 3a). First, suppose that in the early epoch the orbit of the Moon was more circular
than in our epoch. Consequently, during the secular evolution, the Moon’s orbit
became more and more eccentric, up to its modern value of eccentricity e ¼ 0:0549:
Recall now that the Moon’s COM, already shifted toward the Earth, after the
solidification of the lunar body will be fixed relative to its main axes of inertia. Since in First, suppose that in the early epoch the orbit of the Moon was more circular
than in our epoch. Consequently, during the secular evolution, the Moon’s orbit
became more and more eccentric, up to its modern value of eccentricity e ¼ 0:0549: Recall now that the Moon’s COM, already shifted toward the Earth, after the
solidification of the lunar body will be fixed relative to its main axes of inertia. Since in
the early epoch the orbit of the Moon was almost circular, the line connecting the
geometrical center of the figure of the Moon and its center of mass was directed
exactly to the Earth (Figure 3a). However, since in this version of the secular evolution the orbit of the Moon
becomes more eccentric, two foci appear (Figure 3b). In accordance with the laws
of celestial mechanics, as we know From Figure 3b, it can be seen that, for the observer from the Earth (point f1),
the center of mass S will now be located on the left (to the East) from the direction
to the center of the Moon (see also Figure 5). 3.2 The first version: the evolution of the lunar orbit with increase in its
eccentricity Thus, in the first variant of the evolution
of the Moon’s orbit, the modern Earth’s observer, in accordance with Figure 3b, will see
the Moon’s center of mass displaced to the left (to the East) from the direction to the center
of the figure. It is this location of the center of mass of the Moon relative to the center of its
figure that we observe in our era. f g
The contribution of this mechanism to the displacement of the Moon’s center of
mass to the East will be made in Section 4. 3.1 On the difference on tidal forces from the Earth in near and far lunar
hemispheres Assuming that the differentiation of the Moon occurred (according to cosmo-
gonic times) rather quickly, it is necessary to require that the shift of the lunar
center of mass toward the Earth occurred even before the Moon hardened. The real cause of the displacement of the Moon’s center of mass to the Earth
could be some asymmetry of tidal forces. Let us perform the required calculations. After the capture of the Moon in resonance 1:1, it was possible to talk about near and
far of its hemispheres. It is clear that the forces in the nearest and farthest points
are, respectively, equal to F1 ≈ 2GM⊕
R2
0
x 1 þ 3
2 x
,
F2 ≈ 2GM⊕
R2
0
x 1 3
2 x
,
x ¼ R
R0
,
(14) (14) 6 On the Deviation of the Lunar Center of Mass to the East: Two Possible Mechanisms Based on…
DOI: http://dx.doi.org/10.5772/intechopen.84465 On the Deviation of the Lunar Center of Mass to the East: Two Possible Mechanisms Based on…
DOI: http://dx.doi.org/10.5772/intechopen.84465 where R0 is the distance between the centers of the Earth-Moon and R is the
distance from the center of the Moon to the near (far) points of its surface. The
difference of these forces will be ΔF⊕¼ F1 F2 ≈ 6GM⊕
R2
0
x2:
(15) (15) In the era of its formation, the Moon could be much closer to Earth than in our
era (see, e.g., [16, 18, 19]). Due to the proximity to the Earth of the young Moon,
the difference in tidal forces (15) in both lunar hemispheres was much more in the
early era than it is now. In the era of the differentiation of the Moon, it was this
difference in tidal forces (15) that caused the displacement of the center of mass of
the Moon toward the Earth. Based on these provisions, we note that the very
solution to the question of the displacement of the Moon’s COM to the East is closely
related to the further secular evolution of its form and orbit. In particular, to find
out how the lunar COM would be located relative to the Earth’s observer in the
modern era, when its orbit evolved and eccentricity acquired modern significance,
consider two possible options with the initial eccentricity of the young Moon orbit. 3.3 The second version of the evolution: from more flattened to less flattened
lunar orbit If we assume that the orbit of the young Moon was more eccentric in the early
era than it is now, that is, during the secular evolution, the Moon’s orbit was
rounded; then in our era, when the orbital eccentricity decreased to the current
value e ¼ 0:0549, instead of Figure 3b, we will see the location of the center of
mass of the Moon, as shown in Figure 4. g
Thus, Figure 4 shows that in the second version of the evolution of the orbit a
modern observer from the Earth would see that the center of mass of the Moon is 7 Lunar Science Figure 4. The final configuration of the location of the lunar COMS in the second version of the evolution of its orbit. The
line O
0f 1 sets the direction (for the Earth observer) to the center of mass of the Moon in the early era, and the line
O
0f 0
1 sets the direction to the center of the figure of the Moon for the observer from the Earth in our time. In this
version, the observer would see that the center of mass of the Moon S is shifted to the right (to the West, as
indicated by the arrow) from the average direction to the center O0 of the figure of the Moon. Figure 4. gu
4. The final configuration of the location of the lunar COMS in the second version of the evolution of its orbit. The
line O
0f 1 sets the direction (for the Earth observer) to the center of mass of the Moon in the early era, and the line
O
0f 0
1 sets the direction to the center of the figure of the Moon for the observer from the Earth in our time. In this
version, the observer would see that the center of mass of the Moon S is shifted to the right (to the West, as
indicated by the arrow) from the average direction to the center O0 of the figure of the Moon. Figure 5. Elongated figure of the Moon in the early era (its cross section of the plane x2 ¼ 0 is shown by the ellipse with the
semiaxes a1 . a3). 3.3 The second version of the evolution: from more flattened to less flattened
lunar orbit The arrows represent the directions from the center O
0 of the Moon to both foci f1 and f2 of its
orbit around the Earth (the Earth in focus f1), as well as to the center of the mass S of the Moon. The angle α
between the line on S and the line to f1 measures orientation of the Moon’s center of mass, and the angle E
between the directions to the first focus f1 and second focus f2 measures the deflection of an ellipse from a circle. Figure 5. Elongated figure of the Moon in the early era (its cross section of the plane x2 ¼ 0 is shown by the ellipse with the
semiaxes a1 . a3). The arrows represent the directions from the center O
0 of the Moon to both foci f1 and f2 of its
orbit around the Earth (the Earth in focus f1), as well as to the center of the mass S of the Moon. The angle α
between the line on S and the line to f1 measures orientation of the Moon’s center of mass, and the angle E
between the directions to the first focus f1 and second focus f2 measures the deflection of an ellipse from a circle. shifted to the right (to the West) from the direction to the center of the figure. However, this is contrary to observations, so the second version of the evolution must be
discarded. 4. Correction factor to mechanism of orbit evolution Let us consider again (Figure 1) the motion of a satellite in an elliptical orbit
around a body of greater mass. The equation of an ellipse is given by formula (3). From the triangle O0f 1 f 2 by the sine theorem, we find the relation 8 On the Deviation of the Lunar Center of Mass to the East: Two Possible Mechanisms Based on…
DOI: http://dx.doi.org/10.5772/intechopen.84465 sin E ¼ 2e sin υ 1 þ e cos υ
ð
Þ
1 þ e2 þ 2e cos υ :
(16) (16) Then, the average angle E is given by the integral Then, the average angle E is given by the integral E
h i ¼ 1
π
ðπ
0
arcsin 2e sin υ 1 þ e cos υ
ð
Þ
1 þ e2 þ 2e cos υ
:
(17) (17) In particular, for the Moon’s orbit, the current value of eccentricity is equal
e ≈0:0549, and formula (17) gives In particular, for the Moon’s orbit, the current value of eccentricity is equal
e ≈0:0549, and formula (17) gives s
E
h i ≈ 0:0700:
(18) (18) Taking into account (18), in the framework of the first variant of the evolution
mechanism of the lunar orbit from the circle to the ellipse with the modern value
of eccentricity, we find that the ratio of the average angle E
h i to the angle arctg Δy
Δx
will be κ ¼
E
h i
arctg 0:7311=1:7752
ð
Þ ≈ 0:18:
(19) (19) Therefore, the first orbital evolution mechanism helps to explain approximately
18% of the observed current Moon’s offset COM to the East. In the linear measure,
it is Δy
j
j ≈ 0:132 km:
(20) (20) We emphasize that the conclusion of the theory that evolution of the orbit of the
Moon occurred with increasing eccentricity is consistent with the fact that at the
present time the eccentricity of the orbit of the Moon is really growing and, there-
fore, in the past it was less than today [20, 21] (see also [22–25]). Besides, the following should be noted. As is well known, due to perturbations,
all elements of the lunar orbit are subject to periodic perturbations [20, 26]. Thus,
for several thousand years, the eccentricity of the Moon’s orbit changes due to solar
perturbations in the range from 0.0255 to 0.0775. 4. Correction factor to mechanism of orbit evolution However, here we do not consider
the periodic perturbations: throughout in this chapter, we are talking about tidal
secular change in the average eccentricity of the Moon’s orbit, which is now equal
e ≈ 0:0549: Lunar Science Lunar Science The main symmetry semiaxis a1 of this spheroid was initially directed exactly to
the Earth. The main symmetry semiaxis a1 of this spheroid was initially directed exactly to
the Earth. Let us consider Figure 5. Due to the small orbit eccentricity, the angle E between
the main axis of the Moon’s figure and the direction to f1 was also initially small. However, in the evolution of the Moon’s orbit from the less eccentric to the more
eccentric, as was shown in the first mechanism, the angle E will increase monoton-
ically. This factor changes the orientation of the figure of the Moon relative to the
observer on the Earth, and the angle α will also increase. From a geometrical point
of view, during the evolution of the lunar orbit, the angle E can change only in the
interval of values 0 ≤E ≤2e ≈ 0:11: Moreover, taking into account the averaging
performed above (see form. (18)), the right part of the interval will be adjusted 0 ≤E ≤0:070:
(22) (22) In addition, although the angle α can vary from zero (in the early era of lunar
evolution) up to the current value α0 ¼ arctan 0:7311
1:7752
≈ 0:39, but also taking into
account the action of the first mechanism, the interval will be changed: 0 ≤α ≤α0,
(23) (23) where where α0 ¼ arctan 0:7311 0:1243
1:7752
≈ 0:329:
(24) (24) We emphasize that because of inequalities (22) and (23), the center of mass of
the Moon will have that arrangement which is shown in Figures 3b and 5. We emphasize that because of inequalities (22) and (23), the center of mass of
the Moon will have that arrangement which is shown in Figures 3b and 5. The problem consists in studying dependence between the angle α and the
changing form of the Moon during the secular evolution in the gravitational tidal
field of the Earth. 5. Second mechanism of displacement of the Moon’s center of mass
to the East Because of proximity of the Moon to Earth during an early era, which is offered
by many researchers, the main factor of formation for the Moon is a tidal force from
our planet. In the tidal field of the Earth, the figure of the early Moon stretched out,
which was also facilitated by its capture in spin-orbit resonance 1:1. Therefore, for
our approximate calculations, we can simulate the figure of the Moon using the
elongated (toward the Earth) spheroid with the semiaxes a1 . a2 ¼ a3. The equation
of the surface of this spheroid in Cartesian coordinates Ox1x2x3 is x2
1
a2
1
þ x2
2 þ x2
3
a2
3
¼ 1:
(21) (21) 9 6. Differential equation for evolution of the angle α As you know (see, e.g., [27]), a change in the shape of an ellipsoidal body can be
described by a linear velocity field. In particular, the evolution of the prolate
spheroid (21) in the moving frame of reference, whose axes coincide with the main
axes of this body at any time, can be represented by the velocity field: u1 ¼ _a1
a1
x1, u2 ¼ _a2
a2
x2, u3 ¼ _a3
a3
x3:
(25) (25) Here, the point above denotes the time derivative d
dt. Since for incompressible
figures the condition of volume preservation should be fulfilled (in this case—for
the volume of the prolate spheroid (21)), we have the additional ratio div u ¼ _a1
a1
þ 2 _a3
a3
¼ 0:
(26) (26) In the velocity field (25), the Moon’s shape will always remain a second-order
surface, and the streamlines will be represented by pieces of hyperboles (Figure 6). Owing to symmetry, the elongation of the spheroid (21) is described by the only
polar oblateness ε ¼ 1 a3
a1. Consider changing ε for the Moon’s shape. In this case 10 Figure 6. Streamlines at deformation of the Moon’s shape (the section is shown by ellipse). Arrows depict the direction of
deformation at the stage of rounding the figure in the early era of evolution. On the Deviation of the Lunar Center of Mass to the East: Two Possible Mechanisms Based on…
DOI: http://dx.doi.org/10.5772/intechopen.84465 On the Deviation of the Lunar Center of Mass to the East: Two Possible Mechanisms Based on…
DOI: http://dx.doi.org/10.5772/intechopen.84465 Figure 6. Streamlines at deformation of the Moon’s shape (the section is shown by ellipse). Arrows depict the direction of
deformation at the stage of rounding the figure in the early era of evolution. 6. Differential equation for evolution of the angle α two components (first and third) of the velocity field in (25) taking into account a
condition of incompressibility (26) will take the form two components (first and third) of the velocity field in (25) taking into account a
condition of incompressibility (26) will take the form u1 ¼ γx1,
u3 ¼ 1
2 γx3;
γ ¼ 1
a1
da1
dt :
(27) (27) In the plane Ox1x3, the condition x2 ¼ 0 is satisfied, and expressions for angles E
and α, (see Figure 5) will be equal: E ¼ arctg x3
x1
,
E α ¼ arctg x0
3
x0
1
:
(28) (28) Here, x1; x3
ð
Þ and x0
1; x0
3
are the coordinates of the points of intersection of
the Moon’s surface by the rays O0f 1 and O0S, respectively. Therefore, Here, x1; x3
ð
Þ and x0
1; x0
3
are the coordinates of the points of intersection of
the Moon’s surface by the rays O0f 1 and O0S, respectively. Therefore, α ¼ arctg x0
3
x0
1
arctg x3
x1
:
(29) (29) Differentiating expression (29) with respect to time t, we find Differentiating expression (29) with respect to time t, we find _α ¼ x0
1 _x0
3 x0
3 _x
0
1
x02
1 þ x02
3
x1 _x3 x3 _x1
x2
1 þ x2
3
;
(30) (30) By substituting in (30) the components of the velocity field (27), we obtain _E ¼ 3
4 γ sin 2E;
_E _α ¼ 3
4 γ sin 2 E α
ð
Þ:
(31) (31) Thus, the derivative of the angle α will be equal to _α ¼ 3
4 γ sin 2E sin 2 E α
ð
Þ
½
:
(32) (32) More convenient than (32), below will be the next form of differential equation: dα
dt ¼ 3
2 γ sin α cos 2E α
ð
Þ:
(33) (33) 11 11 Lunar Science Lunar Science 7. Solution of Eq. (33) Let us turn to the analysis of the differential equation (33) and transform the
derivative dα
dt: dα
dt ¼ dα
dε
dε
dt :
(34) (34) dε
dt ¼ d
dt
1 a3
a1
¼ a3 _a1 a1 _a3
a2
1
,
(35) (35) therefore, in agreement with (34), dε
dt ¼ 3
2 γ 1 ε
ð
Þ:
(36) (36) Substituting (36) in (34) and then the result in (33), we have _α ¼ 3
2 γ 1 ε
ð
Þ dα
dε ¼ 3
2 γ sin α cos 2E α
ð
Þ:
(37) (37) As a result, the differential equation for the angle α takes the form dα
dε ¼ sin α cos 2E α
ð
Þ
1 ε
:
(38) (38) Separating the variables in (38) and integrating and taking into account the
auxiliary formula Separating the variables in (38) and integrating and taking into account the
auxiliary formula ð
dα
sin α cos 2E α
ð
Þ ¼
1
cos 2E ln
sin α
cos 2E α
ð
Þ ,
(39) (39) we obtain a solution for equation (38) in the form we obtain a solution for equation (38) in the form 1
cos 2E ln
sin α
cos 2E α
ð
Þ ¼ C þ ln 1 ε
ð
Þ,
(40) (40) where C is the integration constant. Potentiating expression (40), we find the
solution in the form where C is the integration constant. Potentiating expression (40), we find the
solution in the form ε α; E
ð
Þ ¼ 1 C exp
sin α
cos 2E α
ð
Þ
1
cos 2E
(
)
:
(41) (41) 8. Analysis of the solution (41) and estimation of the elongation of the
lunar figure in early era 8. Analysis of the solution (41) and estimation of the elongation of the
lunar figure in early era 8. Analysis of the solution (41) and estimation of the elongation of the
lunar figure in early era In formula (41), the constant integration C is defined by the known observa-
tional data. As in the modern epoch of tidal evolution of the Moon the
supplemented relations 12 On the Deviation of the Lunar Center of Mass to the East: Two Possible Mechanisms Based on…
DOI: http://dx.doi.org/10.5772/intechopen.84465 On the Deviation of the Lunar Center of Mass to the East: Two Possible Mechanisms Based on…
DOI: http://dx.doi.org/10.5772/intechopen.84465 ε ≈ 0:0125, E ¼ 0:07,
α ¼ arctan 0:7311 0:1243
1:7752
≈ 0:32937,
(42) (42) then the formula (41) gives then the formula (41) gives C ≈ 0:713:
(43) C ≈ 0:713:
(43 (43) Thus, the solution of equation (41) will get in the form Thus, the solution of equation (41) will get in the form Thus, the solution of equation (41) will get in the form ε α; E
ð
Þ ¼ 1 0:713 exp
sin α
cos 2E α
ð
Þ
1
cos 2E
! :
(44) (44) Formula (44) represents the solution of the problem: it describes the change in
the Moon’s oblateness ε during the tidal evolution and establishes the dependence
between ε and the angle α. Recall that α is the angle between the directions (from
the center of the Moon) to the first focus of the orbit and the Moon’s COM. As we
already know, in the course of evolution, the angle α varied (in radians) within the
limits given in (23). g
The graphic image of the function of two variables from (44) is shown in
Figure 7. g
Graphs for the two extreme values of the angle E are shown in Figure 8. As seen
in Figure 8, the oblateness ε of the figure is very little depending on the angle E. Moreover, in the initial era, ε for all E has the same value and could not exceed the
value ε ¼ 1 a3
a1
≈ 0:285:
(45) (45) a1
(
)
Figure 7. 3D image of the function ε α; E
ð
Þ. The angle α is set in radians. Figure 8. g
The dependence of the oblateness ε of the Moon shape from the angle α between the line }COM=COF} of the
Moon and the mean direction to the Earth. The graph shows the change ε during the tidal evolution. Two
extreme angle values E ¼ 0:0 (upper curve) and E ¼ 0:07 are taken for comparison. The beginning and the
end of the evolutionary process correspond to the values α ≈0 and α ≈0:329. Thus, the second mechanism explains both the displacements of the center of mass of
the Moon to the East and predicts that the oblateness of the Moon in the early era could
not exceed the value ε ≈ 0:285: Thus, the second mechanism explains both the displacements of the center of mass of
the Moon to the East and predicts that the oblateness of the Moon in the early era could
not exceed the value ε ≈ 0:285: 8. Analysis of the solution (41) and estimation of the elongation of the
lunar figure in early era The oblateness of shape of the Moon ε α; E
ð
Þ in the
early era very little depends on the value of the parameter E, and its value does not exceed ε ≈0:285. Figure 7. 3D image of the function ε α; E
ð
Þ. The angle α is set in radians. The oblateness of shape of the Moon ε α; E
ð
Þ in the
early era very little depends on the value of the parameter E, and its value does not exceed ε ≈0:285. 13 Figure 8. The dependence of the oblateness ε of the Moon shape from the angle α between the line }COM=COF} of the
Moon and the mean direction to the Earth. The graph shows the change ε during the tidal evolution. Two
extreme angle values E ¼ 0:0 (upper curve) and E ¼ 0:07 are taken for comparison. The beginning and the
end of the evolutionary process correspond to the values α ≈0 and α ≈0:329. Lunar Science Figure 8. The dependence of the oblateness ε of the Moon shape from the angle α between the line }COM=COF} of the
Lunar Science Lunar Science 9. Some consequences: how close to the earth could the Moon be formed Above we established that on the known shift of the Moon’s center of mass to the
East, we can find the oblateness (45), which the Moon could have in the epoch of its
formation. The corresponding spheroid eccentricity will be equal to e ≈ 0:70:
(46) (46) Proceeding from (46) and using the theory of tidal equilibrium figures, it is
possible to estimate how close to each other might be the Earth and the Moon in
the early era. For this purpose, without loss of generality, we assume that the
satellite is uniform (at the Moon, as we know, and now concentration of
substance very small), and its mass in comparison with the mass of the Earth can be
neglected Then in the tidal approach for the potential of the Earth the equation o Proceeding from (46) and using the theory of tidal equilibrium figures, it is
possible to estimate how close to each other might be the Earth and the Moon in
the early era. For this purpose, without loss of generality, we assume that the
satellite is uniform (at the Moon, as we know, and now concentration of
substance very small), and its mass in comparison with the mass of the Earth can be
neglected. Then, in the tidal approach for the potential of the Earth, the equation of
hydrostatic equilibrium of the satellite with synchronous rotation has the first
integral [28]: the early era. For this purpose, without loss of generality, we assume that the
satellite is uniform (at the Moon, as we know, and now concentration of
substance very small), and its mass in comparison with the mass of the Earth can be
neglected. 9. Some consequences: how close to the earth could the Moon be formed Then, in the tidal approach for the potential of the Earth, the equation of
hydrostatic equilibrium of the satellite with synchronous rotation has the first
integral [28]: p
ρ þ const ¼ φ þ 1
2 Ω2 3x2
1 x2
3
;
Ω2 ¼ GM⊕
R3
⊕
:
(47) (47) 14 On the Deviation of the Lunar Center of Mass to the East: Two Possible Mechanisms Based on…
DOI: http://dx.doi.org/10.5772/intechopen.84465 On the Deviation of the Lunar Center of Mass to the East: Two Possible Mechanisms Based on…
DOI: http://dx.doi.org/10.5772/intechopen.84465 Here, p is the pressure, ρ is the density, φ is the quadratic internal gravitational
potential of the satellite, Ω is the angular velocity rotation of the satellite, and R⊕is
the distance between the centers of the Earth and the Moon. 10. Discussion and conclusions Here, it is necessary to add the following. As is well known, in the problem of
secular perturbations, the perturbation function is replaced by its secular part. The
influence of the Sun leads only to periodic perturbations of the eccentricity of the
lunar orbit, which we do not take into account here. In this chapter, we ignore
periodic oscillations and consider only tidal secular changes in the average eccen-
tricity of the lunar orbit. y
As for the tidal influence of the Sun on the figure of the Moon, it turns out to be
insignificant compared to the influence of the Earth. Indeed, the ratio of force ΔF⊙
to force ΔF⊕from (15) is equal to ΔF⊙
ΔF⊕
¼ M⊙
M⊕
R⊕
R⊙
4
≈ 105: ΔF⊙
ΔF⊕
¼ M⊙
M⊕
R⊕
R⊙
4
≈ 105: Therefore, to solve the posed problem within the framework of our model, the
influence of the Sun can be neglected. Therefore, to solve the posed problem within the framework of our model, the
influence of the Sun can be neglected. In the theory of the tidal evolution of the Moon’s orbit and its form, we encoun-
ter problems that are difficult to give exact answers. Above, we examined some of
the conclusions from those observational facts that the center of mass of the Moon
is slightly shifted to the East. Two geometrical mechanisms have been developed to
explain this shift. p
The first mechanism considers the secular evolution of the Moon’s orbit, using
the effect of the preferred orientation of the satellite with synchronous rotation to
the second orbital focus. According to this mechanism, only the scenario of secular
evolution of the orbit with the increase of eccentricity leads to the desired offset of the
center of the Moon’s mass to the East. It is important to note that this conclusion that
the evolution of the Moon’s orbit occurred with an increase e is consistent with the
fact that at present the eccentricity of the lunar orbit is indeed increasingly, and
therefore in the past, it was less than today [20, 21] (see also [22–25]). p
y
To fully explain the displacement of the center of the Moon’s mass to the East, a
second mechanism was developed, which takes into account the influence of tidal
changes in the shape of the Moon as it gradually moves away from the Earth. 9. Some consequences: how close to the earth could the Moon be formed For satellite with the
form of the prolate spheroid (21), we have [27] φ ¼ πGρ I A1x2
1 A3 x2
2 þ x2
3
;
A1 ¼ 1 e2
e3
ln 1 þ e
1 e 2 1 e2
e2
;
A3 ¼ 1
e2 1 e2
2e3
ln 1 þ e
1 e :
(48) (48) The internal pressure of the equilibrium figure should also be a quadratic func-
tion from the coordinates The internal pressure of the equilibrium figure should also be a quadratic func-
tion from the coordinates p ¼ p0 1 x2
1
a2
1
x2
2 þ x2
3
a2
3
:
(49) (49) From the first integral (47) is possible to find a square of angular velocity
rotation of satellite Ω2
πGρ ¼ 2 A1 1 e2
ð
ÞA3
4 e2
:
(50) (50) Since Since Ω2
2πGρ ¼
M⊕
2πρR3
⊕
¼ κ
x3 ,
(51) (51) where we have identified the following characters where we have identified the following characters x ¼ R⊕
R⊕
;
κ ¼ 2
3
ρ⊕
ρ ≈ 1:09875,
(52) (52) the ratio (51) can be represented as the ratio (51) can be represented as the ratio (51) can be represented as the ratio (51) can be represented as κ
x3 ¼ A1 1 e2
ð
ÞA3
4 e2
:
(53) (53) Substituting the value e from (46) into the right-hand side (53), we obtain the
cubic equation Substituting the value e from (46) into the right-hand side (53), we obtain the
cubic equation κ
x3 ¼ 0:0324,
(54) (54) from which we find the required distance from which we find the required distance from which we find the required distance x ≈ 3:24:
(55) (55) x ≈ 3:24: Thus, the Moon with oblateness (45) could form at a very close distance from
the Earth: at a distance of only three and a quarter of the mean radii of the modern
Earth. This result slightly corrects the one we received earlier [15]. Note that the prolate spheroid with meridional eccentricity (45) is a stable figure
of equilibrium. In fact, the instability of this type of figure occurs only when
e ≥0:883 (see, e.g., [28]). 15 Lunar Science 10. Discussion and conclusions The
essence of the second mechanism is fully consistent with the fact that the distance
between Earth and Moon is now really increasing and the Earth’s spin is slowing in
reaction. In addition, the second mechanism predicts that the Moon’s figure flattening in
the early era was very significant and reached the value of ε ≈ 0:285: In turn, based
on the theory of tidal equilibrium figures, it allowed us to estimate how close to
Earth could the Moon be formed as an astronomical body. According to formula
(55), the Moon was formed in the ring zone at a distance of 3–4 medium radii of the
present Earth. This result seems to be consistent with the modern view that the
Moon was formed as a result of a gigantic impact in the immediate vicinity of the
proto-Earth. p
Since the formation of the Moon as a celestial body and so far the Earth-Moon
system has been and remains a binary planet, the physical laws of its development
have always been the same. In the early era, however, the tidal forces between the
Earth and the Moon were much more important. Indeed, now the tidal force has
very little effect on the Moon, because of which it is removed from the Earth for
only 3.8 cm per year. However, studying the evolution of the moon still requires a
great effort of researchers. g
In summary, we can say that the method presented here really allows to take
into account additional observational facts in the structure of the Moon. We have 16 On the Deviation of the Lunar Center of Mass to the East: Two Possible Mechanisms Based on…
DOI: http://dx.doi.org/10.5772/intechopen.84465 shown that from the hidden fact that in our era there is a slightly shift of the center
of the Moon’s mass to the East, and not to the West, you can get valuable informa-
tion about the evolution of the orbit of the Moon and its shape. This finding
supports the scenario [29] that the Moon could be formed about 4.5 billion in the
surrounding “donut” from the hot gas that appeared after the collision of Theia with
proto-Earth.
Author details
Boris P. Kondratyev1,2,3
1 Sternberg Astronomical Institute, M.V. Lomonosov Moscow State University,
Russia
2 Faculty of Physics of the M.V. Lomonosov Moscow State University, Russia
3 Сentral Astronomical Observatory at Pulkovo, Russia
*Address all correspondence to: work@boris-kondratyev.ru
© 2019 The Author(s). Licensee IntechOpen. This chapter is distributed under the terms
of the Creative Commons Attribution License (http://creativecommons.org/licenses/
by/3.0), which permits unrestricted use, distribution, and reproduction in any medium,
On the Deviation of the Lunar Center of Mass to the East: Two Possible Mechanisms Based on…
DOI: http://dx.doi.org/10.5772/intechopen.84465 On the Deviation of the Lunar Center of Mass to the East: Two Possible Mechanisms Based on…
DOI: http://dx.doi.org/10.5772/intechopen.84465 On the Deviation of the Lunar Center of Mass to the East: Two Possible Mechanisms Based on…
DOI: http://dx.doi.org/10.5772/intechopen.84465 On the Deviation of the Lunar Center of Mass to the East: Two Possible Mechanisms Based on…
DOI: http://dx.doi.org/10.5772/intechopen.84465 shown that from the hidden fact that in our era there is a slightly shift of the center
of the Moon’s mass to the East, and not to the West, you can get valuable informa-
tion about the evolution of the orbit of the Moon and its shape. This finding
supports the scenario [29] that the Moon could be formed about 4.5 billion in the
surrounding “donut” from the hot gas that appeared after the collision of Theia with
proto-Earth. shown that from the hidden fact that in our era there is a slightly shift of the center
of the Moon’s mass to the East, and not to the West, you can get valuable informa-
tion about the evolution of the orbit of the Moon and its shape. This finding
supports the scenario [29] that the Moon could be formed about 4.5 billion in the
surrounding “donut” from the hot gas that appeared after the collision of Theia with
proto-Earth. Author details
Boris P. Kondratyev1,2,3
1 Sternberg Astronomical Institute, M.V. Lomonosov Moscow State University,
Russia
2 Faculty of Physics of the M.V. Lomonosov Moscow State University, Russia
3 Сentral Astronomical Observatory at Pulkovo, Russia
*Address all correspondence to: work@boris-kondratyev.ru
© 2019 The Author(s). Licensee IntechOpen. This chapter is distributed under the terms
of the Creative Commons Attribution License (http://creativecommons.org/licenses/
by/3.0), which permits unrestricted use, distribution, and reproduction in any medium,
provided the original work is properly cited. © 2019 The Author(s). Licensee IntechOpen. This chapter is distributed under the terms
of the Creative Commons Attribution License (http://creativecommons.org/licenses/
by/3.0), which permits unrestricted use, distribution, and reproduction in any medium,
provided the original work is properly cited. 17 Lunar Science References [1] Newton I. Mathematical principles of
natural philosophy. In: Bernard Cohen I,
Whitman A, editors. A Guide to
Newton’s Principia. University of
California Press; 1999
[2] Kondratyev BP. On one inaccuracy of
Isaac Newton. Kvant. 2009;5:38
[3] Murray K, Dermott S. Dynamics of
the Solar System. M.: FIZMATLIT,
2010; p. 588 (trans. from English). [4] Yakovkin AA. The radius and shape
of the moon. Bulletin AOE. 1934;4
[5] Bohme S. Bearbeitung der
Aufnahmen von F. Hayn zur
Ortsbestimmung des Mondes. Astronomische Nachrichten. 1953;256:
356 [1] Newton I. Mathematical principles of
natural philosophy. In: Bernard Cohen I,
Whitman A, editors. A Guide to
Newton’s Principia. University of
California Press; 1999 [1] Newton I. Mathematical principles of
natural philosophy. In: Bernard Cohen I,
Whitman A, editors. A Guide to
Newton’s Principia. University of
California Press; 1999 [12] Lemoine FG, Goossens S, Sabaka TJ,
Nicholas JB, Mazarico E, Rowlands DD,
et al. GRGM900C: A degree-900 lunar
gravity model from GRAIL primary and
extended mission data. GeoRL. 2014;41:
3382. DOI: 10.1002/2014GL060027 [12] Lemoine FG, Goossens S, Sabaka TJ,
Nicholas JB, Mazarico E, Rowlands DD,
et al. GRGM900C: A degree-900 lunar
gravity model from GRAIL primary and
extended mission data. GeoRL. 2014;41:
3382. DOI: 10.1002/2014GL060027 [2] Kondratyev BP. On one inaccuracy of
Isaac Newton. Kvant. 2009;5:38 [13] Kondratyev BP. The deviation of the
lunar center of mass to the east of the
direction toward the earth. A Mechanism
Based on Orbital Evolution. Astronomy
Reports. 2018;62(8):542. DOI: 10.1134/
S106377291808005X [13] Kondratyev BP. The deviation of the
lunar center of mass to the east of the
direction toward the earth. A Mechanism
Based on Orbital Evolution. Astronomy
Reports. 2018;62(8):542. DOI: 10.1134/
S106377291808005X [3] Murray K, Dermott S. Dynamics of
the Solar System. M.: FIZMATLIT,
2010; p. 588 (trans. from English). [4] Yakovkin AA. The radius and shape
of the moon. Bulletin AOE. 1934;4 [14] Kondratyev BP. The deviation of the
lunar center of mass to the east of the
direction toward the earth. A Mechanism
Based on Rounding of the Figure of the
Moon. Astronomy Reports. 2018;
62(10):705. DOI: 10.1134/S106377
2918100062 [5] Bohme S. Bearbeitung der
Aufnahmen von F. Hayn zur
Ortsbestimmung des Mondes. Astronomische Nachrichten. 1953;256:
356 [6] Shakirov KS. The influence of the
internal structure of the moon on its
rotation. Izvestia AOE. 1963;34 [15] Kondratyev BP. On the deviation of
the lunar center of mass to the East. References Two
possible mechanisms based on evolution
of the orbit and rounding off the shape
of the Moon. Astrophysics and Space
Science. 2018;186(186) [7] Lipsky YN, Nikonov VA. The
position of the center of the figure of the
moon. Astronomicheskii Zhurnal. 1971;
48:445 [16] Darwin GH. Tidal Friction in
Cosmogony, Scientific Papers 2. Cambridge University Press; 1908 [8] Calame O. Free librations of the
Moon determined by an analysis of laser
range measurements. Moon. 1976;15:343 [17] Urey HC. Chemical evidence
relative to the origin of the solar system. MNRAS. 1966;131:212 [17] Urey HC. Chemical evidence
relative to the origin of the solar system. MNRAS. 1966;131:212 [9] Archinal BA, Rosiek MR, Kirk RL,
Redding BL. Completion of the Unified
Lunar Control Network 2005 and
Topographic Model. Virginia: US
Geological Survey. 2006 [18] Wieczorek MA, Neumann GA,
Nimmo F, Kiefer WS, Taylor GJ, Melosh
HJ, et al. The crust of the Moon as seen
by GRAIL. Science. 2013;339(6120):671. DOI: 10.1126/science.1231530 [10] Iz H, Ding XL, Dai CL, Shum CK. Polyaxial figures of the Moon. Journal of
Geodesy. 2011;1(4):348 [11] Barker MK, Mazarico E, Neumann
GA, Zuber MT, Kharuyama J, Smith DE. A new lunar digital elevation model
from the Lunar Orbiter Laser Altimeter
and SELENE Terrain Camera. Icarus. 2016;273:346 [20] Macdonald GJF. Tidal friction. Reviews of Geophysics. 1964;2:467. DOI: 10.1029/RG002i003p00467 [20] Macdonald GJF. Tidal friction. Reviews of Geophysics. 1964;2:467. DOI: 10.1029/RG002i003p00467 18 On the Deviation of the Lunar Center of Mass to the East: Two Possible Mechanisms Based on…
DOI: http://dx.doi.org/10.5772/intechopen.84465 [21] Goldreich P. History of the lunar
orbit. Reviews of Geophysics and Space
Physics. 1966;4:411
[22] Simon JL, Bretagnon P, Chapront J,
Chapront-Touze M, Francou G,
Laskar J. Numerical expressions for
precession formulae and mean elements
for the moon and planets. A&A. 1994;
282:663
[23] Chapront J, Chapront-Touzé M,
Francou G. A new determination of
lunar orbital parameters, precession
constant and tidal acceleration from
LLR measurements. A&A. 2002;387:700
[24] Laskar J, Fienga A, Gastineau M,
Manche H. La2010: A new orbital
solution for the long-termmotion of the
Earth. A&A. 2011;532(A89):15
[25] Folkner WM, Williams JG, Boggs
DH, Park RS, Kuchynka P. The
Planetary and Lunar Ephemerides
DE430 and DE431. The Interplanetary
Network Progress Report. 42-196. 2014. pp. 1-81
[26] Deprit A. The movement of the
moon in space. In: Kopal Z, editor. Physics and Astronomy of the Moon. New York and London: Academic Press;
1971
[27] Kondratyev BP. Dinamika
ellipsoidal'nykh gravitiruiushchikh
figure. References Moscow: Nauka; 1989
[28] Chandrasekhar S. Ellipsoidal
Equilibrium Figures. New Haven and
L
d
Y l U i
it P
1969 [24] Laskar J, Fienga A, Gastineau M,
Manche H. La2010: A new orbital
solution for the long-termmotion of the
Earth. A&A. 2011;532(A89):15 [26] Deprit A. The movement of the
moon in space. In: Kopal Z, editor. Physics and Astronomy of the Moon. New York and London: Academic Press;
1971 [27] Kondratyev BP. Dinamika
ellipsoidal'nykh gravitiruiushchikh
figure. Moscow: Nauka; 1989 [28] Chandrasekhar S. Ellipsoidal
Equilibrium Figures. New Haven and
London: Yale University Press; 1969 19
|
https://openalex.org/W3157658372
|
https://escholarship.org/content/qt6tm2h57z/qt6tm2h57z.pdf?t=qt8ngb
|
English
| null |
Anaerobic gut fungi are an untapped reservoir of natural products
|
Proceedings of the National Academy of Sciences of the United States of America
| 2,021
|
cc-by
| 14,183
|
UC Berkeley
UC Berkeley Previously Published Works
Title
Anaerobic gut fungi are an untapped reservoir of natural products
Permalink
https://escholarship.org/uc/item/6tm2h57z
Journal
Proceedings of the National Academy of Sciences of the United States of America,
118(18)
ISSN
0027-8424
Authors
Swift, Candice L
Louie, Katherine B
Bowen, Benjamin P
et al.
Publication Date
2021-05-04
DOI
10.1073/pnas.2019855118
Peer reviewed UC Berkeley
UC Berkeley Previously Published Works
Title
Anaerobic gut fungi are an untapped reservoir of natural products
Permalink
https://escholarship.org/uc/item/6tm2h57z
Journal
Proceedings of the National Academy of Sciences of the United States of America,
118(18)
ISSN
0027-8424
Authors
Swift, Candice L
Louie, Katherine B
Bowen, Benjamin P
et al. Publication Date
2021-05-04
DOI
10.1073/pnas.2019855118
Peer reviewed UC Berkeley UC Berkeley
UC Berkeley Previously Published Works
Title
Anaerobic gut fungi are an untapped reservoir of natural products
Permalink
https://escholarship.org/uc/item/6tm2h57z
Journal
Proceedings of the National Academy of Sciences of the United States of America,
118(18)
ISSN
0027-8424
Authors
Swift, Candice L
Louie, Katherine B
Bowen, Benjamin P
et al. Publication Date
2021-05-04
DOI
10.1073/pnas.2019855118
Peer reviewed UC Berkeley Previously Published Works https://escholarship.org/uc/item/6tm2h57z Anaerobic gut fungi are an untapped reservoir of
natural products Candice L. Swifta, Katherine B. Louieb, Benjamin P. Bowenb, Heather M. Olsonc,d, Samuel O. Purvinec,d,
Asaf Salamovb, Stephen J. Mondob,e, Kevin V. Solomonf, Aaron T. Wrightc, Trent R. Northenb,g,h,
Igor V. Grigorievb,g,i, Nancy P. Kellerj, and Michelle A. O’Malleya,h,1 Candice L. Swifta, Katherine B. Louieb, Benjamin P. Bowenb, Heather M. Olsonc,d, Samuel O. Purvinec,d,
Asaf Salamovb, Stephen J. Mondob,e, Kevin V. Solomonf, Aaron T. Wrightc, Trent R. Northenb,g,h,
Igor V. Grigorievb,g,i, Nancy P. Kellerj, and Michelle A. O’Malleya,h,1 aDepartment of Chemical Engineering, University of California, Santa Barbara, CA 93106; bDepartment of Energy Joint Genome Institute, Lawrence
Berkeley National Laboratory, Berkeley, CA 94720; cEarth and Biological Sciences Division, Pacific Northwest National Laboratory, Richland, WA 99352;
dEnvironmental Molecular Sciences Laboratory, Pacific Northwest National Laboratory, Richland, WA 99352; eDepartment of Agricultural Biology, Colorado
State University, Fort Collins, CO, 80523; fDepartment of Agricultural and Biological Engineering, Purdue University, West Lafayette, IN 47907;
gEnvironmental Genomics and Systems Biology Division, Lawrence Berkeley National Laboratory, Berkeley, CA 94720; hJoint BioEnergy Institute, Emeryville,
CA 94608; iDepartment of Plant and Microbial Biology, University of California, Berkeley, CA 94720; and jDepartment of Medical Microbiology
and Immunology and Bacteriology, University of Wisconsin–Madison, Madison, WI 53706 Edited by Michael A. Fischbach, Stanford University, Stanford, CA, and accepted by Editorial Board Member James J. Collins March 15, 2021 (received for
review September 24, 2020) Edited by Michael A. Fischbach, Stanford University, Stanford, CA, and accepted by Editorial Board Member James J. Collins March 15, 2021 (received for
review September 24, 2020) Edited by Michael A. Fischbach, Stanford University, Stanford, CA, and accepted by Editorial Board Member James J. Col
review September 24, 2020) el A. Fischbach, Stanford University, Stanford, CA, and accepted by Editorial Board Member James J. Collins March 15, 2
er 24 2020) Stanford University, Stanford, CA, and accepted by Editorial Board Member James J. Collins March 15, 2021 (received fo Anaerobic fungi (class Neocallimastigomycetes) thrive as low-
abundance members of the herbivore digestive tract. The ge-
nomes of anaerobic gut fungi are poorly characterized and have
not been extensively mined for the biosynthetic enzymes of nat-
ural products such as antibiotics. Here, we investigate the poten-
tial of anaerobic gut fungi to synthesize natural products that
could regulate membership within the gut microbiome. Comple-
mentary ’omics’ approaches were combined to catalog the natural
products of anaerobic gut fungi from four different representative
species: Anaeromyces robustus (A. Anaerobic gut fungi are an untapped reservoir of
natural products robustus), Caecomyces churro-
vis (C. churrovis), Neocallimastix californiae (N. californiae), and
Piromyces finnis (P. finnis). In total, 146 genes were identified that
encode biosynthetic enzymes for diverse types of natural prod-
ucts, including nonribosomal peptide synthetases and polyketide
synthases. In addition, N. californiae and C. churrovis genomes
encoded seven putative bacteriocins, a class of antimicrobial pep-
tides typically produced by bacteria. During standard laboratory
growth on plant biomass or soluble substrates, 26% of total core
biosynthetic genes in all four strains were transcribed. Across all
four fungal strains, 30% of total biosynthetic gene products
were detected via proteomics when grown on cellobiose. Liquid
chromatography-tandem mass spectrometry (LC-MS/MS) charac-
terization of fungal supernatants detected 72 likely natural prod-
ucts from A. robustus alone. A compound produced by all four
strains of anaerobic fungi was putatively identified as the
polyketide-related styrylpyrone baumin. Molecular networking
quantified similarities between tandem mass spectrometry (MS/
MS) spectra among these fungi, enabling three groups of natural
products to be identified that are unique to anaerobic fungi. Over-
all, these results support the finding that anaerobic gut fungi syn-
thesize natural products, which could be harnessed as a source of
antimicrobials, therapeutics, and other bioactive compounds. Certain fungal genera, such as Aspergillus, are disproportionately
studied, although they represent only a fraction of sequenced
fungal genomes (6). Rediscovery of natural products like anti-
biotics has proved problematic, requiring innovative approaches
to silence known antibiotic-producing genes (7), or alternatively,
investigation of rarely explored microbiomes, such as the rumen,
for sequence-divergent biosynthetic genes. Examples of antibi-
otics discovered from unusual environments include lugdunin,
which was discovered from a commensal bacteria of the human
microbiome (8), as well as teixobactin, which was discovered
from a screen of previously uncultured bacteria (9). Both lug-
dunin and teixobactin were active against Staphylococcus aureus,
and teixobactin was active without detectable resistance. MICROBIOLOGY Anaerobic
gut
fungi
(class
Neocallimastigomycetes)
are
understudied organisms that thrive as members of a consortium
of archaea, bacteria, and protozoa in the digestive tracts of large
herbivores (10–12). In these habitats, fungi are vastly out-
numbered by prokaryotic microorganisms by several orders of
magnitude (10–12). For instance, rumen bacteria are estimated
at 1010 cells per gram rumen contents (10–12) whereas fungi are
estimated at 106 per gram (10–12). These fungi are of recent Powered by the California Digital Library
University of California eScholarship.org eScholarship.org PNAS 2021 Vol. 118 No. 18 e2019855118 Results and Discussion The Genomes of Anaerobic Gut Fungi Encode Diverse Biosynthetic
Enzymes for Natural Products and Antimicrobial Peptides. Previ-
ously, we isolated and sequenced the genomes of four species of
anaerobic gut fungi from the early-branching fungal class Neo-
callimastigomycetes (14). Using antiSMASH version 3.0 (19) to
mine the genomes of Anaeromyces robustus, Caecomyces chur-
rovis, Neocallimastix californiae, and Piromyces finnis, we uncov-
ered 146 genes encoding enzymes responsible for the synthesis of
various classes of secondary metabolites (Fig. 1). These enzymes
include canonical classes such as polyketide synthases (PKSs)
and nonribosomal peptide synthetases (NRPSs), as well as pu-
tative classes based on the ClusterFinder (20) algorithm. The
number of predicted core biosynthetic genes, or backbone genes,
in all four strains as a proportion of total genes is commensurate
with the prolific secondary metabolite-producing aspergilli (SI
Appendix, Table S1), which contain roughly 50 to 70 backbone The Biosynthetic Genes of Anaerobic Fungi Are Isolated or Cluster
with Nonconventional Genes. The biosynthetic enzymes of fungal
secondary metabolism are typically, but not always, encoded by
genes locally clustered on the chromosome with other genes in
the biological pathway, such as genes that encode tailoring en-
zymes, transporters, self-resistance genes, and transcription fac-
tors (27, 28). AntiSMASH predicted cluster accessory genes
based on GlimmerHMM (29) and up to 20 kbp intergenic dis-
tance for the outermost gene (30). Based on RNA-seq data,
antiSMASH was a poor predictor of the accessory genes. In
order to delineate the accessory genes of each cluster, we relied
on a variety of gene prediction models, including GeneMark (31,
32) and fgenesh (33), and only included genes that were vali-
dated via RNA sequencing (Materials and Methods). The curated
gene clusters are presented in the Secondary Metabolite Clusters
feature of the MycoCosm portal (26) as well as in SI Appendix,
Dataset S3. Fig. 1. Anaerobic fungal genomes reveal putative natural products of many
different types. The genomes of anaerobic fungi (13) were mined for their
biosynthetic gene clusters and cluster types by antiSMASH 3.0 (19) using
profile Hidden Markov Models with the ClusterFinder option (20). *Cf =
gene clusters identified by ClusterFinder. The ClusterFinder algorithm ex-
tends the secondary metabolite search to include biosynthetic gene clusters
of unknown types based on the occurrence of common protein family do-
mains inside and outside of the cluster (20). Significance biotechnological interest due to their array of biomass-degrading
enzymes, but through genome and transcriptome sequencing it
has become evident that they also have a range of biosynthetic
enzymes for natural products (13–15). We hypothesize that an-
aerobic gut fungi synthesize natural products to compete with
other microbes for survival in their native environment. Natural
products are known to serve a variety of functions to their pro-
ducers in other environments, including oxidative stress tolerance
(16), fungal development (17), and antibiosis (18). Similarly, the
natural products of anaerobic gut fungi may serve directly (by an-
tibiosis) or indirectly (by conferring environmental stress tolerance)
to allow the fungi to persist despite being outnumbered by other
members of the rumen community. g
p
(
pp
)
Surprisingly, antiSMASH identified nine bacteriocins, or an-
timicrobial peptides (AMPs) typically produced by bacteria (21),
in the genomes of anaerobic fungi: two predicted peptides were
found in N. californiae and four unique peptide sequences were
found in C. churrovis. We validated the antiSMASH predictions
against other tools specifically designed to identify AMPs from
sequence data (SI Appendix, Supplementary Text). Namely, we
queried the six unique bacteriocin amino acid sequences using
Antimicrobial
Peptide
Calculator
and
Predictor
(22)
and
CAMPSign (23). Although none of the sequences belonged to the
45 AMP families in CAMPSign, subsequent BLAST to the AMP
Databases indicated that all sequences shared at least 31.6%
identity to putative bacteriocins or lactococcin 972 (24) (SI Ap-
pendix, Dataset S1). The bacteriocins located on C. churrovis scaf-
folds 90 and 616 and N. californiae scaffold 388 were transcribed
but not detected in the proteome. Taken together, these results
indicate that both C. churrovis and N. californiae genomes encode
potential AMPs in addition to an arsenal of PKSs and NRPSs. Here, we take an integrated approach combining genomics,
transcriptomics, proteomics, and metabolomics to develop a
pipeline to identify and characterize natural products from an-
aerobic gut fungi. By using antibiotics and Secondary Metabo-
lites Analysis Shell (antiSMASH) (19), we classify the types of
biosynthetic enzymes present in the fungal genomes of represen-
tative Neocallimastigomycetes and quantify the homology between
strains as well as to other organisms. Transcriptomics and proteo-
mics are used to validate and refine these predictions. Finally, we
demonstrate by metabolomics and molecular networking that an-
aerobic gut fungi produce a polyketide-related compound baumin,
as well as at least three groups of natural products. Significance Anaerobic gut fungi are important members of the gut micro-
biome of herbivores, yet they exist in small numbers relative to
bacteria. Here, we show that these early-branching fungi pro-
duce a wealth of secondary metabolites (natural products) that
may act to regulate the gut microbiome. We use an integrated
’omics’-based approach to classify the biosynthetic genes pre-
dicted from fungal genomes, determine transcriptionally active
genes, and verify the presence of their enzymatic products. Our
analysis reveals that anaerobic gut fungi are an untapped
reservoir of bioactive compounds that could be harnessed for
biotechnology. natural products | secondary metabolism | anaerobes | fungi |
transcriptomics biotechnology. S S
econdary metabolites, or natural products, have inspired
many
medicinal
drugs,
including
antibiotics,
antitumor
agents, and immunosuppressants (1). In addition to pharma-
ceuticals, natural products have also found use as valuable bio-
based products such as drop-in biofuels and renewable polymers
(2, 3). Across microbial diversity, fungi are especially prolific
secondary metabolite producers, with a single strain such as
Aspergillus nidulans FGSC A4 producing 15 compounds char-
acterized in the Minimum Information about a Biosynthetic
Gene cluster database (4) or Aspergillus fumigatus with over 18
characterized metabolites (5). Despite the wealth of valuable
polyketides and other secondary metabolites already derived
from fungi, the capacity for discovery is far from realization. Author contributions: C.L.S., T.R.N., N.P.K., and M.A.O. designed research; C.L.S., K.B.L.,
B.P.B., H.M.O., S.O.P., K.V.S., and A.T.W. performed research; A.T.W., T.R.N., I.V.G., and
N.P.K. contributed new reagents/analytic tools; C.L.S., K.B.L., B.P.B., H.M.O., S.O.P., A.S.,
S.J.M., K.V.S., I.V.G., N.P.K., and M.A.O. analyzed data; and C.L.S. and M.A.O. wrote
the paper. The authors declare no competing interest. The authors declare no competing interest. This article is a PNAS Direct Submission. M.A.F. is a guest editor invited by the
Editorial Board. This open access article is distributed under Creative Commons Attribution License 4.0
(CC BY). This open access article is distributed under Creative Commons Attribution License 4.0
(CC BY). 1To whom correspondence may be addressed. Email: momalley@ucsb.edu. 1To whom correspondence may be addressed. Email: momalley@ucsb.edu. This article contains supporting information online at https://www.pnas.org/lookup/suppl/
doi:10.1073/pnas.2019855118/-/DCSupplemental. This article contains supporting information online at https://www.pnas.org/lookup/suppl/
doi:10.1073/pnas.2019855118/-/DCSupplemental. Published April 27, 2021. PNAS 2021 Vol. 118 No. 18 e2019855118 https://doi.org/10.1073/pnas.2019855118
|
1 of 10 genes per strain. Neocallimastigomycetes surpass other members
of Chytridiomycota by an order of magnitude in the number of
backbone genes per strain (SI Appendix, Table S1). Significance p
To further affirm the biosynthetic genes of anaerobic gut
fungi, we compared the antiSMASH predictions to the second-
ary metabolite genes predicted by the Secondary Metabolite
Unknown Regions Finder (SMURF) algorithm (25) in the Joint
Genome Institute (JGI) MycoCosm portal (26) (SI Appendix,
Dataset S2). For all strains except A. robustus, antiSMASH, with
the ClusterFinder algorithm enabled, predicted more biosyn-
thetic genes because it detected a wider array of natural product
classes than SMURF, including bacteriocins and putative classes
such as fatty acid and saccharide derivatives. For A. robustus,
SMURF predicted an additional five PKS-like biosynthetic
genes. Despite these differences (discussed in greater detail the
SI Appendix, Supplementary Text), the majority of the regions on
each scaffold predicted by antiSMASH or SMURF to harbor
biosynthetic genes were the same. A total of 90% of the back-
bone genes predicted by SMURF in each fungal strain were
located on the same or an overlapping scaffold region where
antiSMASH also identified biosynthetic genes. Swift et al.
Anaerobic gut fungi are an untapped reservoir of natural products Results and Discussion Approximately 60% of the backbone genes with RNA-seq
support are located in clusters of two or more genes, and 40%
of the backbone genes are isolated (neighbored by genes greater
than 10 kbp apart or by genes with poor RNA-seq coverage). For
the backbone genes of anaerobic fungi that are located in clus-
ters, some of the neighboring genes are not typically found in
either bacterial or other fungal biosynthetic gene clusters. Many
of the neighboring genes encode hypothetical proteins or lack any
homology-based annotations. However, in some cases, the neigh-
boring genes include solute transporters and enzymes responsi-
ble for posttranslational modifications (e.g., phosphorylation and naerobic fungal genomes reveal putative natural products of Fig. 1. Anaerobic fungal genomes reveal putative natural products of many Fig. 1. Anaerobic fungal genomes reveal putative natural products of many
different types. The genomes of anaerobic fungi (13) were mined for their
biosynthetic gene clusters and cluster types by antiSMASH 3.0 (19) using
profile Hidden Markov Models with the ClusterFinder option (20). *Cf =
gene clusters identified by ClusterFinder. The ClusterFinder algorithm ex-
tends the secondary metabolite search to include biosynthetic gene clusters
of unknown types based on the occurrence of common protein family do-
mains inside and outside of the cluster (20). 0
|
PNAS The putative bacteriocins were sister
to Ciliophora, Firmicutes, or Actinobacteria (SI Appendix, Figs. S2 and S5–S7), with the exception of C. churrovis bacteriocins on
scaffolds 90 and 616, which were most closely related to eukaryotes
from Rhizaria (SI Appendix, Figs. S3 and S4). Therefore, the gut
fungal bacteriocins may have been acquired from protozoa or
bacteria in the rumen. There are many instances where HGT has
been supported as the mechanism of acquisition of biosynthetic
gene clusters (BGCs) between bacteria and fungi (43, 46–49) as
well as between fungi (50), though such BGC HGT mechanisms
have not been previously characterized in the rumen. However, the
case for HGT is not as definitive for the bacteriocins as for the
NRPSs, since in order to identify homologs, it was necessary to
relax the E-value threshold to 0.1 and expand the search databases
to include the Marine Microbial Eukaryote Transcriptome Se-
quencing Project (MMETSP) (51) (Materials and Methods). Nev-
ertheless, it is clear that some of the genetic potential for natural
products present in gut fungal genomes may be due to the complex
microbial community in which they evolved. g
g
Due to the high level of HGT associated the carbohydrate
active enzymes of Neocallimastigomycetes (14), we probed
whether any core biosynthetic genes may have also arisen in
these fungi via HGT from bacteria. Phylogenetic trees of the
PKS ketosynthase domains and NRPS condensations domains
were constructed. These domains append additional subunits to
the growing product chain, and they have been shown to be a
good proxy for the entire biosynthetic gene when constructing
phylogenies (42–45). HGT with bacteria was not supported for
the PKS genes, since no ketosynthase domains nested within
bacterial sequences and only 10% of domains were sister to
bacteria. However, 44% of the fungal NRPS condensation do-
mains were sister to or nested within domains from bacterial
genes (SI Appendix, Fig. S1). Many of these bacteria are native to
the rumen, such as Clostridium cellulovorans, thus supporting the
hypothesis that some of the biosynthetic genes were likely hori-
zontally transferred from bacteria. The majority of the tran-
scribed NRPS genes were not part of a gene cluster (SI Appendix,
Dataset S3). Therefore, at least some of the fungal NRPS genes
may have been acquired by HGT of a single bacterial gene or
transfer of an operon and subsequent loss of neighboring genes. 0
|
PNAS y (
)
Nonconventional neighboring genes that are present in more
than one gene cluster include C-type lectins (N. californiae
Protein Ids 502167 and 674020 and P. finnis 349079), peptidases
(C. churrovis 519541 and P. finnis 241287), and calmodulin-
related proteins of the EF-hand superfamily (A. robustus 27040
and C. churrovis 200925). Although the functions of these genes
are unknown, it is possible that they may be self-resistance genes. Self-resistance genes have been observed in both bacterial and
fungal biosynthetic gene clusters (38, 39). Another candidate
self-resistance gene is C. churrovis 17006, encoding ribosomal
protein L19e (specific to eukaryotes and archaea), which sug-
gests that the backbone enzyme, encoded by Protein Id 17094,
may synthesize a compound with activity against another eu-
karyote. It has been suggested, but not proven, that variant
copies of the ribosomal L11 protein may be self-resistance genes
for Bacillus cereus American Type Culture Collection 14579,
which is a producer of thiocillin (40). The function of these
nonconventional neighboring genes in the gene clusters of an-
aerobic fungi and whether they have a role in gut fungal sec-
ondary metabolism remains to be determined. MICROBIOLOGY p
q
g
g g
Similarly, phylogenies were constructed for the bacteriocins
(SI Appendix, Figs. S2–S7). The putative bacteriocins were sister
to Ciliophora, Firmicutes, or Actinobacteria (SI Appendix, Figs. S2 and S5–S7), with the exception of C. churrovis bacteriocins on
scaffolds 90 and 616, which were most closely related to eukaryotes
from Rhizaria (SI Appendix, Figs. S3 and S4). Therefore, the gut
fungal bacteriocins may have been acquired from protozoa or
bacteria in the rumen. There are many instances where HGT has
been supported as the mechanism of acquisition of biosynthetic
gene clusters (BGCs) between bacteria and fungi (43, 46–49) as
well as between fungi (50), though such BGC HGT mechanisms
have not been previously characterized in the rumen. However, the
case for HGT is not as definitive for the bacteriocins as for the
NRPSs, since in order to identify homologs, it was necessary to
relax the E-value threshold to 0.1 and expand the search databases
to include the Marine Microbial Eukaryote Transcriptome Se-
quencing Project (MMETSP) (51) (Materials and Methods). Nev-
ertheless, it is clear that some of the genetic potential for natural
products present in gut fungal genomes may be due to the complex
microbial community in which they evolved. 0
|
PNAS Biosynthetic Gene Sequences Support Horizontal Gene Transfer from
Other Rumen Microbes as a Mechanism of Acquisition. We compared
the similarity of the genes encoding core biosynthetic enzymes to
other organisms to deduce the novelty and phylogenetic origin of
the genes. The top-scoring BLAST+ (41) hits (Fig. 2) for 20% of
the total core biosynthetic genes were other fungal genes (pro-
tein sequence identity >30%, coverage >25%, and E-value <1 ×
10−8). The majority of the homologous genes were hypothetical
or uncharacterized proteins from other early-diverging fungi like
chytrids, with a few instances of genes from higher-order fungi. A Fig. 2. Biosynthetic genes from anaerobic fungi show the greatest similarity
to bacteria. Core biosynthetic genes with at least three domains identified
by antiSMASH were queried against NCBI’s nonredundant protein database
using BLAST+. Top hits (largest bitscore) with E-value less than 1 × 10−8,
greater than 30% identity, and greater than 25% coverage were classified
for each biosynthetic gene according to taxonomy. y
y
Since 20% of the total biosynthetic genes were similar in se-
quence to other fungi, we investigated whether similarities exis-
ted in the regulation of secondary metabolism. Velvet regulatory
proteins, which are characterized by a velvet domain ∼150 amino
acids long, are known to coordinate development with secondary
metabolism in other fungi, typically in complex with the meth-
yltransferase LaeA and other velvet proteins (52, 53). Homologs
of the developmental regulator vosA gene of A. nidulans (54, 55),
which contains a velvet domain at the N terminus of the protein,
were present in the C. churrovis (MycoCosm protein Ids 623244
and 624976), N. californiae (112212), and P. finnis (179530) ge-
nomes. These proteins have a primary region of homology cen-
tered at the velvet domain, with some conserved amino acids
distal to the velvet domain (SI Appendix, Table S2 and Datasets
S4–S6). Genes containing the velvet domain have been found in
the genomes of other species of Chytridiomycota, such as the
frog pathogen Batrachochytrium dendrobatidis (53). However, the
anaerobic gut fungi are unique among the chytrids in that their
genomes contain not only velvet homologs but also the biosyn-
thetic machinery for secondary metabolism. Thus, the develop-
ment and secondary metabolism of anaerobic gut fungi may be Fig. 2. Biosynthetic genes from anaerobic fungi show the greatest similarity
to bacteria. PNAS
|
3 of 10
https://doi.org/10.1073/pnas.2019855118 0
|
PNAS 2 of 10 https://doi.org/10.1073/pnas.2019855118 https://doi.org/10.1073/pnas.2019855118 palmitoylation), which are more commonly observed in biosyn-
thetic gene clusters. Notably, only the PKS-like gene cluster of
P. finnis located on scaffold 39 (core gene MycoCosm Protein Id
358210) includes a putative transcription factor (414496). How-
ever, the A. robustus PKS located on scaffold 258 and N. californiae
PKS-like gene cluster on scaffold 59 both include proteins with
ankyrin repeats (A. robustus 270780 and N. californiae 668532) that
may be bANK family transcription factors found in several other
fungi (34–36). The predicted gut fungal proteins do not match the
motif of basic amino acids found in other bANK proteins (34, 35,
37), but this motif is not required for transcription factor
activity (37). total of 80% of the homologous genes from higher-order fungi
were from basidiomycetes, possibly due to the ancestral intake of
basidiomycete fungi with forage by the herbivore hosts and
subsequent horizontal gene transfer (HGT). However, the top
hits for 63% of the gut fungal core biosynthetic genes appeared
to be of bacterial origin rather than fungal. to be of bacterial origin rather than fungal. Due to the high level of HGT associated the carbohydrate
active enzymes of Neocallimastigomycetes (14), we probed
whether any core biosynthetic genes may have also arisen in
these fungi via HGT from bacteria. Phylogenetic trees of the
PKS ketosynthase domains and NRPS condensations domains
were constructed. These domains append additional subunits to
the growing product chain, and they have been shown to be a
good proxy for the entire biosynthetic gene when constructing
phylogenies (42–45). HGT with bacteria was not supported for
the PKS genes, since no ketosynthase domains nested within
bacterial sequences and only 10% of domains were sister to
bacteria. However, 44% of the fungal NRPS condensation do-
mains were sister to or nested within domains from bacterial
genes (SI Appendix, Fig. S1). Many of these bacteria are native to
the rumen, such as Clostridium cellulovorans, thus supporting the
hypothesis that some of the biosynthetic genes were likely hori-
zontally transferred from bacteria. The majority of the tran-
scribed NRPS genes were not part of a gene cluster (SI Appendix,
Dataset S3). Therefore, at least some of the fungal NRPS genes
may have been acquired by HGT of a single bacterial gene or
transfer of an operon and subsequent loss of neighboring genes. Similarly, phylogenies were constructed for the bacteriocins
(SI Appendix, Figs. S2–S7). Swift et al.
Anaerobic gut fungi are an untapped reservoir of natural products 0
|
PNAS A phylogenetic tree of the PKS
genes of A. robustus, C. churrovis, N. californiae, and P. finnis,
shown in SI Appendix, Fig. S8, affirms the close evolutionary
relationships between the PKS genes of different fungal genera. All of the PKS genes are transcribed during the in vitro culti-
vation described previously (13, 57). Transcriptomics, Proteomics, and N6-Methylation Indicate that Many
of the Biosynthetic Genes of Anaerobic Gut Fungi Are Active during
Standard Laboratory Cultivation. Following the establishment of
the presence of biosynthetic genes in gut fungal genomes, we
probed what proportion of these genes were expressed. We
demonstrate here through a combination of transcriptomics, epi-
genetics, and proteomics that anaerobic gut fungi transcribe and
translate a substantial portion of their core biosynthetic genes. Out
of 131 total biosynthetic genes of three or more catalytic domains
(e.g., adenylation) across all four fungal strains, 34 are actively
transcribed at midlog phase during the standard laboratory growth
conditions described previously (13, 57), whereas the remainder
are silent (Fig. 5). The proportion of transcribed genes varied
between 22 and 31% across all four strains of anaerobic gut fungi. Using five different media formulations with varied nutrient
complexity and availability (SI Appendix, Table S4), 13 of the
backbone genes of N. californiae were differentially regulated (SI
Appendix, Fig. S9). The presence of messenger RNA (mRNA) and
its regulation are promising indicators that some secondary me-
tabolite genes are active even when anaerobic gut fungi are cul-
tivated outside of their native environment. These results also
support the recent finding by Amos and colleagues (59) that many
biosynthetic genes are actively transcribed during midlog phase,
not only during stationary phase. However, it is possible that more
genes are expressed during late stationary phase, but this was not
tested by transcriptomics due to prevalence of highly degraded
mRNA from cultures harvested at that phase. To probe the conservation of neighboring genes in PKS gene
clusters, we compared the PKS gene clusters from PKS family 1
(Fig. 4). Six genes were conserved between C. churrovis and A. robustus, and three genes were conserved between N. californiae
and P. finnis. Across all four strains, the PKS gene and a gene of
unknown function containing a WD-(trptophan-aspartic acid) 40
repeat were conserved. The PKS gene was present in two copies
in the N. californiae genome: one copy on scaffold 26 and the
second on scaffold 182. 0
|
PNAS Core biosynthetic genes with at least three domains identified
by antiSMASH were queried against NCBI’s nonredundant protein database
using BLAST+. Top hits (largest bitscore) with E-value less than 1 × 10−8,
greater than 30% identity, and greater than 25% coverage were classified
for each biosynthetic gene according to taxonomy. Swift et al. Anaerobic gut fungi are an untapped reservoir of natural products PNAS
|
3 of 10
https://doi.org/10.1073/pnas.2019855118 possibility is that the polyketide regulates the complex life cycle
of anaerobic gut fungi. In the life cycle of anaerobic gut fungi,
motile zoospores encyst into plant biomass and grow into a
vegetative state, which develops reproductive sacs called spo-
rangia that bear many zoospores (11). Secondary metabolites are
known to regulate morphology and differentiation in other fungi,
especially sporulation in ascomycetes (17). regulated by a velvet domain–containing protein acting in con-
cert with other proteins. At present, it is not known whether the
velvet proteins form a complex with a LaeA-like methyl-
transferase, similar to filamentous fungi. Polyketide Synthases Are Conserved between Genera of Anaerobic
Gut Fungi. Although some of the core biosynthetic genes of an-
aerobic gut fungi are homologous to bacteria or higher fungi, the
majority of PKSs are unique to the anaerobic gut fungi (SI Ap-
pendix, Dataset S7). On average, the PKS genes only share 34%
amino acid identity to their top-scoring homolog, excluding
Neocallimastigomycetes, and the highest similarity was only 39%
(C. churrovis PKS on scaffold 118). We hypothesize that PKS
genes present in multiple strains of gut fungi have important
biological functions that confer fitness to anaerobic gut fungi,
either by promoting their unique life cycle or distancing micro-
bial competitors. A total of 23 iterative type I PKS genes of four
or more enzymatic domains were identified by antiSMASH
across all four fungal strains. These 23 PKS genes group into six
PKS families by OrthoFinder (56). The complete OrthoFinder
results,
including
additional
genes
identified
as
PKSs
by
SMURF, some of which were categorized as ClusterFinder fatty
acids by antiSMASH, are presented in SI Appendix, Table S3. All
of the families have antiSMASH-predicted genes in three or
more strains, and PKS families 1, 2, and 4 are represented across
all four strains. The corresponding gene clusters of the PKSs
contain orthologous neighboring genes (Fig. 3 and SI Appendix,
Dataset S3), which suggests that the polyketides in each family
may serve a common function. 0
|
PNAS The gene cluster on scaffold 182 in-
cluded Protein Id 705610, a Rap1-GTPase–activating protein,
which was an ortholog of A. robustus Protein Id 283391. All
constituent genes in these gene clusters were transcriptionally
active. It is possible that these gene clusters constitute a poly-
ketide biosynthesis pathway, but these gene clusters could also be
an artifact of regions of conserved genomic synteny between
fungal strains. Regardless of whether the PKS gene products
independently synthesize a polyketide or are part of a more
complex biosynthetic pathway, the conservation of the PKS gene
suggests that the polyketide may be biologically important. One Another indicator of active genes in early-diverging fungi is
the presence of adenine N6-methylation marks on the promoter
regions (60). Dense methylated adenine clusters (MACs) were
observed within 500 bp of the transcription start site of 6 out of
13 core biosynthetic genes for P. finnis, 8 out of 14 for C. chur-
rovis, and 3 out of 46 core genes for A. robustus (SI Appendix,
Dataset S8). In addition, neighboring genes in the gene clusters
were also marked by MACs: 34 neighboring genes in A. robustus
clusters, 33 in P. finnis clusters, and 43 in C. churrovis clusters. The Type 1 PKS genes identified by antiSMASH were highly
methylated: five out of seven PKS genes from P. finnis and five
out of six from C. churrovis. These data corroborate the tran-
scriptomic evidence that anaerobic gut fungi actively transcribe a
significant portion of their backbone genes and associated gene
clusters during standard laboratory cultivation. g
y
Finally, we searched for detectable proteins in both the
membrane-bound and cytosolic fractions of fungal intracellular
proteins. Proteomics confirmed that that at least 30% of the total Fig. 3. Many PKS families are conserved across genera of Neocallimastigomycetes. A total of 23 PKS genes predicted by antiSMASH across four fungal strains
(vertical axis) can be represented in six PKS families (horizontal axis) as grouped by OrthoFinder (56). Only one member per species is depicted in the figure. Neighboring orthologous genes in each cluster are defined as bidirectional top-scoring BLASTp hits from filtered model proteins between genomes with
E-value threshold of 10−5 and are indicated by matching colors in each PKS family. No color signifies the gene lacks a corresponding ortholog in the cluster. Full annotations of accessory genes are available in SI Appendix, Dataset S3. 0
|
PNAS Triangle: PKS; Circle: posttranslational modification enzyme; asterisk: multiple
genes depicted as a single gene; diamond: transporter; square: all other genes. Fig. 3. Many PKS families are conserved across genera of Neocallimastigomycetes. A total of 23 PKS genes predicted by antiSMASH across four fungal strains
(vertical axis) can be represented in six PKS families (horizontal axis) as grouped by OrthoFinder (56). Only one member per species is depicted in the figure. Neighboring orthologous genes in each cluster are defined as bidirectional top-scoring BLASTp hits from filtered model proteins between genomes with
E-value threshold of 10−5 and are indicated by matching colors in each PKS family. No color signifies the gene lacks a corresponding ortholog in the cluster. Full annotations of accessory genes are available in SI Appendix, Dataset S3. Triangle: PKS; Circle: posttranslational modification enzyme; asterisk: multiple
genes depicted as a single gene; diamond: transporter; square: all other genes. 4 of 10
|
PNAS 4 of 10
|
PNAS 4 of 10
| 4 of 10 Swift et al. Anaerobic gut fungi are an untapped reservoir of natural products https://doi.org/10.1073/pnas.2019855118 Fig. 4. A PKS gene cluster is conserved among four strains of anaerobic gut fungi. Regions 50 bp and larger of at least 35% identity are highlighted in gray
between genes. The turquoise PKS gene and red gene of unknown function encoding a protein with a WD 40 repeat are shared among all four strains. For a
complete list of protein annotations, see SI Appendix, Dataset S3. Figure was generated using Easyfig (58). Fig. 4. A PKS gene cluster is conserved among four strains of anaerobic gut fungi. Regions 50 bp and larger of at least 35% identity are highlighted in gray
between genes. The turquoise PKS gene and red gene of unknown function encoding a protein with a WD 40 repeat are shared among all four strains. For a
complete list of protein annotations, see SI Appendix, Dataset S3. Figure was generated using Easyfig (58). biosynthetic enzymes from all four strains are translated into
protein (SI Appendix, Table S5), thus increasing the likelihood that
the secondary metabolism of anaerobic gut fungi is functionally
active during laboratory cultivation. Notably, all copies of PKSs
belonging to family 1 were expressed (SI Appendix, Table S5). In
addition, PKS families 4 and 6, which were represented in the ge-
nomes of C. churrovis, N. californiae, and P. finnis were also
expressed in these three strains. Across all lines of evidence (tran-
scriptomics, N6-methylation, and proteomics), 53% of core bio-
synthetic genes were active by at least one metric. biosynthetic enzymes from all four strains are translated into
protein (SI Appendix, Table S5), thus increasing the likelihood that
the secondary metabolism of anaerobic gut fungi is functionally
active during laboratory cultivation. Notably, all copies of PKSs
belonging to family 1 were expressed (SI Appendix, Table S5). In
addition, PKS families 4 and 6, which were represented in the ge-
nomes of C. churrovis, N. californiae, and P. finnis were also
expressed in these three strains. Across all lines of evidence (tran-
scriptomics, N6-methylation, and proteomics), 53% of core bio-
synthetic genes were active by at least one metric. exact mass consistent with the styrylpyrone baumin (SI Appendix,
Dataset S12). 4 of 10
|
PNAS Styrylpyrones are found in mushrooms, espe-
cially medicinal mushrooms, and are thought to have roles sim-
ilar to those of flavonoids in plants, such as antioxidants. Baumin
itself was first detected as a product of the fungus Phellimus
baumii (now renamed Sanghuangporus baumii) from the dis-
tantly related fungal phylum Basidiomycota (62, 63). This com-
pound, putatively identified as baumin, was also produced by
C. churrovis, N. californiae, and P. finnis. In all strains, it was
observed at 10-fold or greater intensity in the supernatant of
fungal cultures compared to the growth medium (SI Appendix,
Dataset S13). MICROBIOLOGY Three Groups of Natural Products from A. robustus and N. californiae
Are Visualized via Molecular Networking of Tandem Mass Spectrometry
Spectra. To further validate that anaerobic gut fungi synthesize
natural products, we analyzed the nonpolar metabolites of A. robustus, C. churrovis, N. californiae, and P. finnis by liquid chro-
matography (LC)–tandem mass spectrometry (LC-MS/MS). We
first built molecular networks using the Global Natural Products
Social Molecular Networking (GNPS) platform (61) to distinguish
groups of natural products based on LC-MS/MS datasets collected
for A. robustus and N. californiae. To discriminate between com-
pounds secreted by A. robustus or N. californiae and compounds
already present in the complex growth medium or released from
autoclaving the reed canary grass growth substrate, we constructed
a molecular network showing separate conditions for secreted
nonpolar metabolites from A. robustus or N. californiae and com-
pounds from a control of complex growth medium. The majority of
nodes in three clusters of the network (Fig. 6) were only present in
the anaerobic fungal strains. None of the nodes matched the
spectral libraries in GNPS. Similarly, we constructed a molecular
network of the nonpolar metabolites of C. churrovis and P. finnis (SI
Appendix, Datasets S9 and S10) and observed a cluster of 12 nodes
present in the fungal supernatant but absent from the control and
spectral libraries in GNPS. These findings support the hypothesis
that the anaerobic gut fungi produce strain-specific as well as
conserved secondary metabolites. Since the cultivation of anaerobic
fungi requires the use of complex medium that contains a small
amount of clarified rumen fluid, which is expected to harbor a low
concentration of background secondary metabolites secreted by
native microbes, there may be additional natural products that are
present in both fungal supernatant and the growth medium. Swift et al.
Anaerobic gut fungi are an untapped reservoir of natural products 4 of 10
|
PNAS )
We also used SIRIUS 4.0 (64) and CANOPUS (65) to predict
the structure and class of the observed compound. Rather than
baumin, SIRIUS predicted a flavonoid, whereas CANOPUS
predicted a hydroxyflavonoid. However, upon inspection of the
metabolic pathways annotated in the MycoCosm portal for A. robustus, we found that A. robustus lacked any genes encoding
the biosynthetic enzymes of flavonoids. Furthermore, sequence
alignment of flavonoid biosynthetic enzymes in higher-order Fig. 5. Many core biosynthetic genes of anaerobic gut fungi are transcribed
during standard laboratory cultivation. Transcriptomes were previously ac-
quired from anaerobic fungi cultivated on both grasses and soluble sugars
(13, 57). The number of biosynthetic genes represented in the transcriptome
is indicated by the gray bars, and the number of genes absent from the
transcriptome (silent) are represented by empty bars. The percentage of
transcribed genes is presented by the black triangles (secondary axis). Fig. 5. Many core biosynthetic genes of anaerobic gut fungi are transcribed
during standard laboratory cultivation. Transcriptomes were previously ac-
quired from anaerobic fungi cultivated on both grasses and soluble sugars
(13, 57). The number of biosynthetic genes represented in the transcriptome
is indicated by the gray bars, and the number of genes absent from the
transcriptome (silent) are represented by empty bars. The percentage of
transcribed genes is presented by the black triangles (secondary axis). Anaerobic Gut Fungi Produce a Polyketide Related to the Antioxidant
Baumin. Among the 72 compounds detected from A. robustus
(SI Appendix, Dataset S11), one had fragmentation spectra and PNAS
|
5 of 10
https://doi.org/10.1073/pnas.2019855118 PNAS
|
5 of 10
https://doi.org/10.1073/pnas.2019855118 the predicted proteins from A. robustus identified no
s. Therefore, baumin remained the top candidate for
nown compound. The putative baumin is a secondary
metabolite directly detected from anaerobic gut f
serve the anaerobic gut fungi as an oxygen scav
men of the host animal after forage intake. Hob
he molecular network generated from nonpolar untargeted metabolomics of A. robustus and N. californiae illustrates chemic
natural products. Red rectangles enclose putative natural product clusters (A, B, and C) and baumin (D). Clusters A, B, and C ar
ork, and the chemical structure of baumin is shown in D. Node colors are as follows: blue = feature detected in N. californiae
robustus supernatant only, lilac = A. robustus and N. californiae, green = control only (autoclaved and incubated grass in liquid
ngal supernatant and control. 6 of 10
|
PNAS
https://doi.org/10.1073/pnas.2019855118 Materials and Methods Routine Cultivation of Anaerobic Gut Fungi. A. robustus, C. churrovis, and N. californiae were isolated via reed canary grass enrichment from the feces of
sheep or goat at the Santa Barbara Zoo, as described previously (13, 14, 57). P. finnis was isolated from the feces of a horse at Verrill Farm Stables in
Concord, MA, USA (13, 14, 57). The fungal strains were routinely transferred
every 3 to 4 d into fresh reduced liquid medium with 0.1 g of 4 mm milled
reed canary grass as growth substrate. P. finnis was cultivated in Medium C
(67). A. robustus, C. churrovis, and N. californiae were cultivated in a reduced
formulation of Medium C containing 0.25 g of yeast extract (Thermo Fisher
Scientific), 0.5 g BactoTM Casitone, and 7.5% clarified rumen fluid. (
,
)
The gene cluster responsible for the production of baumin in
S. baumii is not known at this time, which limited our ability to
assign the gene cluster in anaerobic gut fungi. AntiSMASH pre-
dicted only one PKS gene cluster (accession OCB83923.1) with
more than two domains from the S. baumii genome. The core
biosynthetic gene was a hybrid NRPS-Type I PKS with PKS ar-
chitecture of KS-AT-DH-KR-ACP (ketosynthase-acyltransferase-
dehydratase-ketoreductase-acyl carrier protein). The domain ar-
chitecture of this PKS is similar to PKS family 4 of the anaerobic
fungi, although some members of this family lack the dehydratase
domain (PKS genes from A. robustus scaffold 127, C. churrovis
scaffold 129, and N. californiae scaffold 428). Protein BLAST re-
sults of the S. baumii PKS gene against the genes from PKS family 4
(SI Appendix, Table S3) are presented in SI Appendix, Datasets
S14–S18. However, sequence similarity is only ∼30% between
members of PKS family 4 from anaerobic fungi and the S. baumii
PKS. Three
additional
PKS
gene
products
(OCB90292.1,
OCB89330.1, and OCB83944.1) were detected by a protein BLAST
of the ketosynthase domain from OCB83923.1 against the National
Center for Biotechnology Information (NCBI) nonredundant pro-
tein sequences database filtered by S. baumii. Using BLAST+ (41)
in the MycoCosm portal (26), we queried the four PKS gene
products from S. baumii against the filtered model proteins of each
anaerobic gut fungus (SI Appendix, Table S6). Conclusion Integrated ’omics’ analysis of anaerobic gut fungi revealed the
untapped potential of these nonmodel organisms as secondary
metabolite producers. Species of anaerobic gut fungi from four
distinct genera (Anaeromyces, Caecomyces, Neocallimastix, and
Piromyces) possess the biosynthetic enzymes for polyketides,
nonribosomal peptides, bacteriocins, and other natural product
classes. The number of detected backbone genes per fungus is on
the same order of magnitude as the natural product prolific as-
pergilli. Upon inspection, some of the biosynthetic genes of an-
aerobic fungi were similar to those found in bacteria, suggesting
the possibility of horizontal gene transfer between fungi and
bacteria in the rumen microbiome. HGT was further supported
by the fact that in phylogenetic trees of NRPS condensations
domains as well as bacteriocins, the fungal genes nested within or
were sister to bacterial genes. Although many of the biosynthetic
genes of anaerobic fungi were similar to bacteria, their regula-
tion may still be typical of fungal secondary metabolism. Ho-
mologs of velvet regulatory proteins, which are known to link
fungal development and secondary metabolism in filamentous
fungi, were identified in the predicted proteins of anaerobic
fungi. PKS genes identified within the fungal genomes were
highly conserved between strains, indicating that polyketides may
serve important biological functions for anaerobic fungi. Even
during standard laboratory growth, transcriptomics and proteo-
mics has demonstrated that much of their secondary metabolism
is active. LC-MS/MS detected numerous secondary metabolites,
including a compound putatively identified as the styrylpyrone
baumin. Further experiments will be necessary to decipher the
functions of the secondary metabolites of anaerobic fungi, but
among many possibilities, they may serve as regulators of the
fungal life cycle or defense or compounds against bacterial com-
petitors. In addition to their native function, natural products from
anaerobic gut fungi are a promising source of antimicrobial pep-
tides, antibiotics, and therapeutics. Horizontal Gene Transfer Analysis of the PKS Ketosynthase Domains, NRPS
Condensation Domains, and Bacteriocins. PKS ketosynthase and NRPS con-
densation domains were selected based on Pfam (protein families) (69) anno-
tations of protein sequences from the corresponding genomes. Selected
sequences were used to search for homologs using BLAST+ (41) against NCBI’s
nonredundant database (downloaded July 2019) with an E-value threshold of
1 × 10−5. Additionally, BLAST analysis was performed against fungal proteins
from MycoCosm database (26), excluding sequences belonging to Neo-
callimastigomycota clade. For each ketosynthase domain, we constructed a
phylogenetic tree based on selected homologs. Materials and Methods Sequence alignments
of OCB83923.1 resulted in the best combination of percent identity
and subject coverage (>30% for both), but the corresponding sub-
jects from each anaerobic gut fungus belonged to both PKS families
3 and 4. Based on these results, it remains unclear which gene cluster
is responsible for baumin synthesis, and experimental validation is
still necessary for both anaerobic gut fungi and S. baumii. Mining Fungal Genomes for Biosynthetic Gene Clusters Using antiSMASH. FASTA format genome files for A. robustus (14), C. churrovis, N. californiae
(14), and P. finnis (14) (available from the MycoCosm (26) portal) were
submitted separately to the antiSMASH 3.0 server (14, 60, 68). Default pa-
rameters were used, and the ClusterFinder analysis option selected. Since C. churrovis was sequenced after the launch of antiSMASH 4.0, it was analyzed
by the legacy command line version of antiSMASH 3.0. Mining Fungal Genomes for Biosynthetic Gene Clusters Using antiSMASH. FASTA format genome files for A. robustus (14), C. churrovis, N. californiae
(14), and P. finnis (14) (available from the MycoCosm (26) portal) were
submitted separately to the antiSMASH 3.0 server (14, 60, 68). Default pa-
rameters were used, and the ClusterFinder analysis option selected. Since C. churrovis was sequenced after the launch of antiSMASH 4.0, it was analyzed
by the legacy command line version of antiSMASH 3.0. Comparison of antiSMASH and SMURF-Based Biosynthetic Gene Predictions. The command line implementation of BLAST+ (version 2.7.1) was used to
construct a local database of the antiSMASH (68)-predicted biosynthetic genes
and the MycoCosm (26) Secondary Metabolite (SM) Clusters (predicted from a
SMURF (25)-derived algorithm). The antiSMASH library was queried against the
SM Clusters library with the −gapopen and −gapextend options set to the
maximum values (32767) to ensure gap-free alignments. The top bitscore hit for
each query sequence were compiled into SI Appendix, Dataset S3. MICROBIOLOGY Protein BLAST Analysis of Core Biosynthetic Genes against NCBI Nonredundant
Databases. Core biosynthetic genes predicted by antiSMASH (19) were
queried against the NCBI nonredundant protein databases using version
2.7.1 of the command line implementation of BLAST+ (41), excluding Neo-
callimastigomycota from the results. Thresholds for hits were as follows:
minimum E-value 10−8, minimum qcovhsp 25%, and minimum identity 30%. The top hit for each query was considered to be the hit with the highest
bitscore within these thresholds. Swift et al.
Anaerobic gut fungi are an untapped reservoir of natural products Materials and Methods The biosynthetic core gene in the reading
frame with the most predicted domains was queried, except in cases where
ClusterFinder (20) predicted multiple genes. In this case, all biosynthetic
genes were searched. If the top hit for all genes was from the same taxo-
nomic phylum, the result was counted once (e.g., cluster 3 on scaffold 152 of
N. californiae). Otherwise, each phylum was counted. AntiSMASH genes
containing fewer than three domains were not included in this analysis. PNAS
|
7 of 10
https://doi.org/10.1073/pnas.2019855118 4 of 10
|
PNAS Self-looping nodes were truncated below baumin. PNAS Fig. 6. The molecular network generated from nonpolar untargeted metabolomics of A. robustus and N. californiae illustrates chemically diverse metab-
olites and natural products. Red rectangles enclose putative natural product clusters (A, B, and C) and baumin (D). Clusters A, B, and C are magnified below
the network, and the chemical structure of baumin is shown in D. Node colors are as follows: blue = feature detected in N. californiae supernatant only,
pink = A. robustus supernatant only, lilac = A. robustus and N. californiae, green = control only (autoclaved and incubated grass in liquid growth medium),
gray = fungal supernatant and control. Self-looping nodes were truncated below baumin. Fig. 6. The molecular network generated from nonpolar untargeted metabolomics of A. robustus and N. californiae illustrates chemically diverse metab-
olites and natural products. Red rectangles enclose putative natural product clusters (A, B, and C) and baumin (D). Clusters A, B, and C are magnified below
the network, and the chemical structure of baumin is shown in D. Node colors are as follows: blue = feature detected in N. californiae supernatant only,
pink = A. robustus supernatant only, lilac = A. robustus and N. californiae, green = control only (autoclaved and incubated grass in liquid growth medium),
gray = fungal supernatant and control. Self-looping nodes were truncated below baumin. metabolite directly detected from anaerobic gut fungi, and it may
serve the anaerobic gut fungi as an oxygen scavenger in the ru-
men of the host animal after forage intake. Hobson reported up fungi to the predicted proteins from A. robustus identified no
homologs. Therefore, baumin remained the top candidate for
the unknown compound. The putative baumin is a secondary Swift et al. Anaerobic gut fungi are an untapped reservoir of natural products to 0.6% oxygen transiently present in the gaseous phase of the
rumen (11, 66). Conclusion Trypsin was added in a
1:50 (w:w) trypsin:protein ratio and samples were incubated for 3 h at 37 °C. Samples were centrifuged at 5,000 g at room temperature for 10 min to pellet
particulate material, and the clarified samples were then subjected to C18 solid
phase extraction cleanup as described previously (14) with the exception that a
Strata C18-E 50 mg column (Phenomenex) was used. The samples were then
diluted to a concentration of 0.1 μg/uL for LC-MS analysis. A. robustus, P. finnis, and N. californiae by Pfam domain search. To further
expand the search, we used vosA from A. nidulans to query the other ge-
nomes by a protein BLAST+ search against all protein models in the
remaining three strains of anaerobic gut fungi. Through this approach, we
identified putative velvet proteins from N. californiae and P. finnis (SI Ap-
pendix, Table S2). The presence of a velvet domain was confirmed in all
putative velvet proteins by CD-Search (76). A. robustus, P. finnis, and N. californiae by Pfam domain search. To further
expand the search, we used vosA from A. nidulans to query the other ge-
nomes by a protein BLAST+ search against all protein models in the
remaining three strains of anaerobic gut fungi. Through this approach, we
identified putative velvet proteins from N. californiae and P. finnis (SI Ap-
pendix, Table S2). The presence of a velvet domain was confirmed in all
putative velvet proteins by CD-Search (76). Classification of Type I PKS Genes into Families and Assessment of PKS Gene
Cluster Transcription. PKS genes predicted by antiSMASH (19) and SMURF (25)
for A. robustus, C. churrovis, N. californiae, and P. finnis were grouped into
families by OrthoFinder (56) with default parameters. OrthoFinder defines
an orthogroup as a group of genes that are descended from a common gene
in the last common ancestor. The advantages of OrthoFinder include the
ability to remove sequence length bias from sequence similarity scores as
well as the ability to define orthogroup similarity limits (56). Further details
about the OrthoFinder algorithm can be found in ref. 56. The OrthoFinder
algorithm
can
be
downloaded
from
www.stevekellylab.com/software/
orthofinder. Transcriptionally active genes in the PKS gene clusters were
determined using the metric of at least 5× coverage by RNA-seq reads over
more than 95% of the length of the gene during standard laboratory cul-
tivation described previously (13, 57). Proteomics Mass Spectrometry and Data Analysis. Conclusion The top 12 FT-HCD-MS/MS spectra were
acquired in data-dependent mode, excluding singly charged ions, with a
resolution of 17.5 k (AGC target 1 × 105) and an isolation window of 2.0 m/z
using a normalized collision energy of 30 and exclusion time of 30 s. Quantification of Biosynthetic Gene Transcription and N6-Methylation. Transcriptome
assemblies for A. robustus, C. churrovis, N. californiae, and P. finnis were described
previously (13, 57). To determine the number of transcribed biosynthetic genes,
local BLAST libraries were prepared from the antiSMASH amino acid predictions of
biosynthetic genes (e.g., PKS and NRPS). A protein BLAST was performed locally
using Blast2GO (78) with the respective transcriptome as the subject sequences
(78). The biosynthetic genes were considered transcribed if hits were returned with
E-value cutoff 0.001, similarity greater than 95%, and Hsp/Query greater than
95%. Only antiSMASH genes containing three or more catalytic domains (e.g.,
adenylation) with at least 100 amino acids were queried. Proteomics data analysis was performed as previously described (14), with
the exception that peptide fragments were mapped to the transcriptomes
(13, 57) translated into all open reading frames as well as to the antiSMASH-
predicted biosynthetic enzymes. N6-methyldeoxyadenine positions were collected either from previously
published data (60) (P. finnis and A. robustus) or using the Sequel I PacBio se-
quencing platform (C. churrovis) followed by analysis using the smrtlink version
8.0.0.80529 pb basemods workflow. Following detection, 6 mA modified sites
were filtered and MACs were identified as described previously (60). Dense
MACs were quantified as described previously (60). Promoters were considered
methylated if MACs were present within 500 bp of the transcription start site. Preparation of Fungal Supernatant Samples for Metabolomics. Routinely pas-
saged A. robustus, C. churrovis, N. californiae, or P. finnis was inoculated into
60 mL serum bottles (VWR International) containing 40 mL of anaerobic,
autoclaved Medium C (67) with 0.4 g of 4 mm-milled reed canary grass. After
3 d of growth at 39 °C, these seed cultures were used to inoculate four
replicate Hungate tubes per fungal strain containing 9 mL of anaerobic,
autoclaved Medium C and 0.1 g of 4 mm-milled reed canary grass. For each
serum bottle or Hungate tube, 1.0 mL of fungal inoculum was used. Four
Hungate tubes containing anaerobic, autoclaved Medium C and reed canary
grass were incubated at 39 °C for use as a control. Conclusion Separation was performed
prior to mass spectrometry (MS) by a Waters nanoAcquity M-Class dual
pumping ultra-performance liquid chromatography system (UPLC) using a
5 μL injection at 3 μL/min with reverse-flow elution onto the analytical col-
umn at 300 nL/min. The gradient profile of mobile phases of A) 0.1% formic
acid in water, and B) 0.1% formic acid in acetonitrile was the following
(min, %B): 0, 1; 2, 8; 20, 12; 75, 30; 97, 45; 100, 95; 110, 95; 115, 1; and 150,
1. The trapping column was 150 μm internal diameter (ID) and 4 cm in
length, and the analytical column was 75 μm ID and 70 cm in length. The
columns were packed in-house using 360 μm outer diameter (OD) fused silica
(Polymicro Technologies Inc.) with 2 mm sol-gel frits for media retention and
contained Jupiter C18 media (Phenomenex). Particle sizes for the trapping
and analytical columns were 5 and 3 μm, respectively. Curation of Biosynthetic Genes and Gene Clusters Using RNA-Seq Models. All
biosynthetic genes were manually curated to ensure that they are fully
supported by RNA-seq data. In the case of incomplete models, we used the
BRAKER1 pipeline (77), which combines usage of RNA-seq read alignments with
GeneMark-ET and AUGUSTUS gene finding to extend the gene models to
completeness. RNA-seq data were previously acquired from fungal cultures
grown on grasses and soluble sugars (13, 57). Clusters were delineated starting
with the core biosynthetic gene and determining all genes in the 5′ and 3′ di-
rection with at least 5× coverage across at least 95% of the gene length by RNA-
seq reads and within 10 kbp consecutive intergenic distance of their neighbor. Proteomics data were collected on a Q-Exactive Plus mass spectrometer
(Thermo Scientific) with a homemade nano-electrospray ionization inter-
face. The electrospray emitters were prepared from 150 μm OD × 20 μm ID
chemically etched fused silica (80). The spray voltage was 2.2 kV, and the ion
transfer tube temperature was 250 °C. Data were collected for 120 min after
a 20 min delay from time of sample injection and trapping. Fourier trans-
form- (FT) MS spectra were acquired with a resolution of 35 k (AGC target
3 × 106) from 400 to 2,000 m/z. Conclusion Cultures and controls were
harvested after 6 d of incubation, centrifuged at 3,220 g for 10 min with the
swinging bucket rotor (Eppendorf F-34-6-38) at 4 °C, and the fungal super-
natant was frozen at −80 °C for exometabolomics analysis. Sample Preparation for Proteomics. Anaerobic serum bottles containing 40 mL
of Medium C (67) and 5 g/L cellobiose (Fisher Scientific) were preheated to
39 °C and then inoculated with 1.0 mL each of A. robustus, C. churrovis, N. californiae, or P. finnis from routine passaging. After 3 d of growth (4 d for
P. finnis), 1.0 mL of each culture was used to inoculate each serum bottle for
later proteomic analysis. Each serum bottle contained 80 mL of Medium C
with 5 g/L cellobiose (Fischer Scientific) as the carbon source. For each fungal
strain, six 80 mL cultures were prepared. After 3 d of growth, C. churrovis
cultures were harvested, and after 6 d of growth, cultures of A. robustus, N. californiae, and P. finnis were harvested. The cultures were transferred into
50 mL Falcon tubes and centrifuged at 3,200 g and 4 °C for 10 min using a
swinging bucket rotor (Eppendorf A-4-81). The supernatant was removed,
and each pellet was washed with 5.0 mL of pH 7.4 phosphate-buffered saline
(PBS) solution and centrifuged again to remove the PBS. Samples were
frozen at −80 °C until the time of extraction. Extraction and LC-MS/MS of Nonpolar Metabolites. Ethyl acetate extraction of
nonpolar metabolites from fungal supernatant was performed as follows:
2 mL ethyl acetate was added to 1.5 to 2 mL fungal supernatant, vortexed and
sonicated for 10 min in a water bath (room temperature), centrifuged (5 min
at 5,000 rpm), then the top ethyl acetate layer removed to another tube. For
2 mL supernatant samples, this process was repeated with another 2 mL ethyl
acetate added to the sample, then the top layer removed and combined with
the previous extract. Extracts were dried in a SpeedVac (SPD111V, Thermo
Scientific) and stored at −20 °C. For proteomic extraction, all chemicals were obtained from Sigma Aldrich
unless otherwise noted. Fungal cell pellets were extracted utilizing a method
similar to MPLEx (79), where the pellets were suspended in 5 mL ice-cold
water, 6.75 mL methanol, and homogenized with a disposable probe ho-
mogenizer (Omni International). Conclusion We selected up to 10 best hits
from 1) prokaryota, 2) nonfungal eukaryotes, and 3) non-Neocallimastigomycota
fungal proteins, such that the maximum number of sequences used for each tree
was 31. Sequences were aligned using MAFFT (Multiple Alignment using Fast
Fourier Transform) (70) with subsequent removal of nonreliable aligned posi-
tions using trimAl (71). Phylogenetic trees were constructed using FastTree (72)
and RAxML (73). We considered as potential nonfungal HGT events the cases
when a given Neocallimastigomycota domain was nested within a prokaryotae
or nonfungal eukaryota clade, and all branches of the tree had at least a 70% of
bootstrap support values. Analysis of the bacteriocins was performed similarly,
but the E-value threshold was relaxed to 0.1 and MMETSP (51) was queried in
addition to MycoCosm and NCBI’s nonredundant databases. Identification of Velvet Homologs. The velvet domain protein family has been
previously established in filamentous fungi (53). The velvet domain family
proteins were assigned to a Pfam (74), PF11754, as well as InterPro (75)
family IPR021740. Filtered model proteins from of A. robustus, C. churrovis,
P. finnis, and N. californiae belonging to PF11754 or IPR021740 were
searched using the MycoCosm (26) portal. Two proteins were identified with
the velvet motif in C. churrovis. Protein Id 623244 was a homolog of vosA
from A. nidulans (accession ABI51618). Proteins were not identified in PNAS
|
7 of 10
https://doi.org/10.1073/pnas.2019855118 PNAS
|
7 of 10
https://doi.org/10.1073/pnas.2019855118 centrifuged at 5,000 g, 4 °C for 10 min. The top (polar metabolite) layer of
the triphasic separation and the lower (nonpolar metabolite) layer were not
used in this study. The protein interphase pellet was washed with 1 mL of
ice-cold methanol by vortexing and centrifuging as above. The supernatant
was removed and disposed, and the pellets allowed to dry slightly. The
pellets were reconstituted in an 8 M urea, 100 mM NH4HCO3 buffer, and a
Bicinchoninic Acid protein assay (Thermo Fisher Pierce) was performed to
quantify the protein content in the pellet. A total of 1 mg of protein was utilized
for digestion, normalized to the same volume for all samples. Dithiothreitol was
added to a 5 mM concentration in each sample, and the samples were incu-
bated at 37 °C for 1 h with shaking at 800 rpm on a thermomixer (Eppendorf). The samples were then diluted eightfold with 50 mM NH4HCO3, and cal-
cium chloride was added to a concentration of 1 mM. Swift et al.
Anaerobic gut fungi are an untapped reservoir of natural products PNAS
https://doi.org/10.1073/pnas.2019855118 PNAS
https://doi.org/10.1073/pnas.2019855118 Conclusion Ice-cold chloroform was then added to the
homogenate so that the chloroform:methanol:water ratio was 8:4:3, and
the samples were vigorously vortexed for 1 min. The samples were placed on
ice for 5 min, followed by another 1 min vortex step. The samples were then In preparation for LC-MS analysis, 150 to 300 μL LC-MS grade methanol
containing 1 μg/mL internal standard (2-Amino-3-bromo-5-methylbenzoic
acid, Sigma) was added to dried extracts, followed by a brief vortex and 8 of 10 8 of 10
|
PNAS Swift et al. Anaerobic gut fungi are an untapped reservoir of natural products |
PNAS sonication in a water bath for 10 min, then centrifugation for 5 min at 5,000
rpm. A total of 150 μL of resuspended extract was then centrifuge filtered
(2.5 min at 2,500 rpm) using a 0.22 μm filter (UFC40GV0S, Millipore) and
transferred to a glass autosampler vial. Reverse phase chromatography was
performed by injecting 2 μL of sample into a C18 chromatography column
(Agilent ZORBAX Eclipse Plus C18, 2.1 × 50 mm 1.8 μm) warmed to 60 °C with
a flow rate of 0.4 mL/min equilibrated with 100% buffer A (100% LC-MS
water with 0.1% formic acid) for 1 min, followed by a linear gradient to
100% buffer B (100% acetonitrile with 0.1% formic acid) at 7 min, and then
held at 100% B for 1.5 min. MS and MS/MS data were collected in centroid
form in both positive and negative ion mode using a Thermo Q Exactive HF
mass spectrometer (ThermoFisher Scientific) with full MS spectra acquired
ranging from 80 to 1,200 m/z at 60,000 resolution, and fragmentation data
was acquired using an average of stepped collision energies of 10, 20, and 40
eV at 17,500 resolution and 20, 50, and 60 eV for a single replicate. Mass
spectrometer source settings included a sheath gas flow rate of 55 (au),
auxiliary gas flow of 20 (au), sweep gas flow of 2 (au), spray voltage of 3 kV,
and capillary temperature of 400 °C. Sample injection order was random-
ized, and an injection blank of methanol only run between each sample. Raw data are available for download at https://genome.jgi.doe.gov/portal/. complexed with the substrate kaempferol, Aspergillus japonicus CBS 114.51),
RAQ53266.1 (leucoanthocyanidin dioxygenase, Aspergillus flavus), GAO86351.1
(myricetin O-methyltransferase, Aspergillus udagawae), CCE28660.1 (related
to naringenin, 2-oxoglutarate 3-dioxygenase, Claviceps purpurea), and 20.1,
RAQ48556.1 (quercetin 2, Aspergillus flavus). There were no hits for any of
these sequences (E-value threshold 10−5). Visualization of Nonpolar Untargeted Metabolomics Data via Molecular
Networking. Molecular networks were constructed from the MS/MS data
described above. Two separate networks were constructed: one for A. robustus and N. californiae and a Medium C control and the other for C. churrovis, P. finnis, and a Medium C control. Molecular networks were cre-
ated using the online workflow at GNPS (61). All MS/MS peaks within +/−
17 Da of the precursor m/z were removed. The MS/MS spectra were further
filtered by selecting only the top six peaks in the
+/−50 Da window
throughout the spectrum. |
PNAS Consensus spectra were created by clustering the
data using MS-Cluster (86) with a MS/MS fragment ion tolerance of 0.5 Da
and a parent mass tolerance of 2.0 Da. Consensus spectra with fewer than
two spectra were eliminated. A network was then created with the fol-
lowing criteria used for the edges: 1) cosine score above 0.7 and 2) greater
than six matched peaks. Furthermore, edges between nodes were only
considered in the network if and only if each of the consensus spectra
represented by the nodes were part of other node’s top 10 most similar
nodes. The spectra in the network were subsequently queried against the
spectral libraries of GNPS. The library spectra were filtered to be consistent
with the input data. Only pairings between network spectra and library
spectra with scores above 0.7 and at least six matched peaks were kept. Metabolomics Data Analysis and Identification of Baumin from A. robustus. Peak finding was performed with MZmine (81). Filtering the features that
were at least fourfold higher in intensity than the control resulted in 116
peaks. Metabolite Atlas workflow tools were used to remove features that
were visually recognized as artifacts of the peak-finding process (isotopes,
background ions, unnecessary adducts, etc.) and to refine retention times
for feature integration across files (82). These features were further filtered
to those with sample/control ratios of at least 4. MICROBIOLOGY Data Availability. The MS data were deposited in public repository
MassIVE (MSV000085907). The GNPS jobs for A. robustus and N. californiae
can be accessed at https://gnps.ucsd.edu/ProteoSAFe/status.jsp?task=
af74716b912a435eb53c1307a1dad092. The GNPS job for C. churrovis and
P. finnis can be accessed at https://gnps.ucsd.edu/ProteoSAFe/status.jsp? task=6fb6a9367cf34b669b8bc00862541af9. AntiSMASH GenBank files of the
core biosynthetic genes identified in the genomes of A. robustus, C. churrovis,
N. californiae, and P. finnis are available at the following GitHub repository:
https://github.com/cswift3/Additional-datasets-for-Anaerobic-fungi-are-an-
untapped-reservoir-of-natural-products. This repository also contains phylo-
genetic trees in Newick format supporting the HGT analysis of NRPS conden-
sation domains and PKS ketosynthase domains of A. robustus, C. churrovis,
N. californiae, and P. finnis. Last, this repository contains molecular networks
corresponding to Fig. 6 and SI Appendix, Dataset S9 in GRAPHML format for
visualization in Cytoscape (87). All other study data are included in the article
and/or supporting information. Each MS2 fragmentation spectrum was searched with Pactolus, an in-house
implementation of the MIDAS (Metabolite Identification via Database Search-
ing) (83) scoring algorithm. |
PNAS The MIDAS scoring algorithm traverses the possible
fragmentation paths and scores an identification based on m/z values matching
structures along a fragmentation path. The Pactolus implementation precom-
putes and stores the fragmentation paths for each molecule, whereas the
MIDAS algorithm computes the fragmentation paths on the fly. The Pactolus
code can be found at https://github.com/biorack/pactolus. Suggested identifi-
cations for each MS/MS spectrum were mapped back to the filtered list of
features above. For the feature m/z 523.1232 at 4.7 min, the compound baumin
was identified as a top hit as calculated by Pactolus. To investigate the likeli-
hood of this identification, an isotope simulation using XCalibur 2.2SP1
(Thermo Scientific) was used to determine potential molecular formulas of the
feature. The chemical formula C27H22O11, which corresponds to baumin, was
calculated as a protonated adduct with an error of −0.288 ppm. Further sup-
port for this identification is given by the MS/MS spectra, with detected m/z
supporting likely fragments of the baumin structure (SI Appendix, Dataset S12). Peak finding was performed as above for C. churrovis, N. californiae, and P. finnis to ascertain whether baumin was also produced by those strains. ACKNOWLEDGMENTS. This research project was supported by a grant from
Santa Barbara Cottage Hospital and the University of California, Santa
Barbara (UCSB), and a gift from the Gordon and Betty Moore Foundation to
M.A.O. A portion of this research was performed under the JGI–Environmental
Molecular Sciences Laboratory (EMSL) Collaborative Science Initiative and used
resources at the US Department of Energy (DOE) JGI and the EMSL, which are
DOE Office of Science User Facilities. Both facilities are sponsored by the Office
of Biological and Environmental Research and operated under Contract Nos. DE-AC02-05CH11231 (JGI) and DE-AC05-76RL01830 (EMSL). C.L.S is also sup-
ported by an NSF Graduate Research Fellowship Program under Grant No. 1650114, a UCSB Graduate Division Dissertation Fellowship, and the UCSB Con-
nie Frank Fellowship. We thank Dr. Jennifer Smith, manager of the Biological
Nanostructures Laboratory within the California NanoSystems Institute (CNSI),
supported by the UCSB and the University of California, Office of the President. We acknowledge support from the Center for Scientific Computing from the
CNSI, MRL (Materials Research Laboratory): an NSF MRSEC (DMR-1121053) and
NSF CNS-0960316. We further thank Prof. Javier Read de Alaniz (UCSB) and
Prof. Yi Tang (University of California Los Angeles) for their comments in
developing this manuscript. 1. F. J. Hanke, Natural products as a resource for biologically active compounds. Pharm.
Res. 13, 1133–1141 (1986).
2. P. P. Peralta-Yahya, F. Zhang, S. B. del Cardayre, J. D. Keasling, Microbial engineering
for the production of advanced biofuels. Nature 488, 320–328 (2012).
3. P. A. Wilbon, F. Chu, C. Tang, Progress in renewable polymers from natural terpenes,
terpenoids, and rosin. Macromol. Rapid Commun. 34, 8–37 (2013).
4. M. H. Medema et al., Minimum information about a biosynthetic gene cluster. Nat.
Chem. Biol. 11, 625–631 (2015).
5. N. Raffa, N. P. Keller, A call to arms: Mustering secondary metabolites for success and
survival of an opportunistic pathogen. PLoS Pathog. 15, e1007606 (2019).
6. Y. F. Li et al., Comprehensive curation and analysis of fungal biosynthetic gene
clusters of published natural products. Fungal Genet. Biol. 89, 18–28 (2016). Swift et al.
Anaerobic gut fungi are an untapped reservoir of natural products 8. A. Zipperer et al., Human commensals producing a novel antibiotic impair pathogen
colonization. Nature 535, 511–516 (2016). 7. E. J. Culp et al., Hidden antibiotics in actinomycetes can be identified by inacti-
vation of gene clusters for common antibiotics. Nat. Biotechnol. 37, 1149–1154
(2019). 9. L. L. Ling et al., A new antibiotic kills pathogens without detectable resistance. Nature
517, 455–459 (2015). 7. E. J. Culp et al., Hidden antibiotics in actinomycetes can be identified by inacti-
vation of gene clusters for common antibiotics. Nat. Biotechnol. 37, 1149–1154
(2019).
8. A. Zipperer et al., Human commensals producing a novel antibiotic impair pathogen
colonization. Nature 535, 511–516 (2016).
9. L. L. Ling et al., A new antibiotic kills pathogens without detectable resistance. Nature
517, 455–459 (2015).
10. C. G. Orpin, Y. W. Ho, “Ecology and function of the anaerobic rumen fungi” in Recent
Advances on the Nutrition of Herbivores (Malaysian Society of Animal Production,
Serdang, Malaysia, 1991), pp. 163–170.
11. A. P. J. Trinci et al., Anaerobic fungi in herbivorous animals. Mycol. Res. 98, 129–152
(1994). 11. A. P. J. Trinci et al., Anaerobic fungi in herbivorous animals. Mycol. Res. 98, 129–152
(1994). 6. Y. F. Li et al., Comprehensive curation and analysis of fungal biosynthetic gene
clusters of published natural products. Fungal Genet. Biol. 89, 18–28 (2016). 7. E. J. Culp et al., Hidden antibiotics in actinomycetes can be identified by inacti-
vation of gene clusters for common antibiotics. Nat. Biotechnol. 37, 1149–1154
(2019). |
PNAS Chernoff, M. Borodovsky, Gene prediction in
novel fungal genomes using an ab initio algorithm with unsupervised training. Ge-
nome Res. 18, 1979–1990 (2008). 68. K. Blin et al., antiSMASH 4.0-improvements in chemistry prediction and gene cluster
boundary identification. Nucleic Acids Res. 45, W36–W41 (2017). 69. R. D. Finn et al., The Pfam protein families database: Towards a more sustainable
future. Nucleic Acids Res. 44, D279–D285 (2016). 33. V. Solovyev, P. Kosarev, I. Seledsov, D. Vorobyev, Automatic annotation of eukaryotic
genes, pseudogenes and promoters. Genome Biol. 7 (suppl. 1), 10.1–12 (2006). 70. K. Katoh, K. Misawa, K. Kuma, T. Miyata, MAFFT: A novel method for rapid multiple se-
quence alignment based on fast Fourier transform. Nucleic Acids Res. 30, 3059–3066 (2002). 34. H. J. Bussink, A. Clark, R. Oliver, The Cladosporium fulvum Bap1 gene: Evidence for a
novel class of Yap-related transcription factors with ankyrin repeats in phytopatho-
genic fungi. Eur. J. Plant Pathol. 107, 655–659 (2001). 71. S. Capella-Gutiérrez, J. M. Silla-Martínez, T. Gabaldón, trimAl: A tool for automated
alignment
trimming
in
large-scale
phylogenetic
analyses. Bioinformatics
25,
1972–1973 (2009). alignment
trimming
in
large-scale
phylogenetic
analyses. Bioinformatics
25,
1972–1973 (2009). 35. E. M. Niehaus et al., Apicidin F: Characterization and genetic manipulation of a new
secondary metabolite gene cluster in the rice pathogen Fusarium fujikuroi. PLoS One
9, e103336 (2014). 72. M. N. Price, P. S. Dehal, A. P. Arkin, FastTree: Computing large minimum evolution
trees with profiles instead of a distance matrix. Mol. Biol. Evol. 26, 1641–1650 (2009). 36. L. J. Jia et al., A linear nonribosomal octapeptide from Fusarium graminearum facil-
itates cell-to-cell invasion of wheat. Nat. Commun. 10, 922 (2019). 73. A. Stamatakis, RAxML version 8: A tool for phylogenetic analysis and post-analysis of
large phylogenies. Bioinformatics 30, 1312–1313 (2014). 37. K. F. Pedley, J. D. Walton, Regulation of cyclic peptide biosynthesis in a plant path-
ogenic fungus by a novel transcription factor. Proc. Natl. Acad. Sci. U.S.A. 98,
14174–14179 (2001). 74. R. D. Finn et al., The Pfam protein families database. Nucleic Acids Res. 38, D211–D222 (2010). 74. R. D. Finn et al., The Pfam protein families database. Nucleic Acids 75. A. L. Mitchell et al., InterPro in 2019: Improving coverage, classification and access to
protein sequence annotations. Nucleic Acids Res. 47, D351–D360 (2018). 38. M. |
PNAS Bayram et al., VelB/VeA/LaeA complex coordinates light signal with fungal de-
velopment and secondary metabolism. Science 320, 1504–1507 (2008). 16. G. Shabuer et al., Plant pathogenic anaerobic bacteria use aromatic polyketides to
access aerobic territory. Science 350, 670–674 (2015). p
y
53. O. Bayram, G. H. Braus, Coordination of secondary metabolism and development in
fungi: The velvet family of regulatory proteins. FEMS Microbiol. Rev. 36, 1–24 (2012). 17. A. M. Calvo, R. A. Wilson, J. W. Bok, N. P. Keller, Relationship between secondary
metabolism and fungal development. Microbiol. Mol. Biol. Rev. 66, 447–459 (2002). 54. M. Ni, N. Gao, N.-J. Kwon, K.-S. Shin, J.-H. Yu, Regulation of Aspergillus Conidiation
(Cellular and Molecular Biology of Filamentous Fungi, 2010), pp. 559–576. 18. M. Bärenstrauch et al., Molecular crosstalk between the endophyte Paraconiothyrium
variabile and the phytopathogen Fusarium oxysporum–Modulation of lipoxygenase activity
and beauvericin production during the interaction. Fungal Genet. Biol. 139, 103383 (2020). 55. M. Ni, J. H. Yu, A novel regulator couples sporogenesis and trehalose biogenesis in
Aspergillus nidulans. PLoS One 2, e970 (2007). 9. T. Weber et al., antiSMASH 3.0-a comprehensive resource for the gen 19. T. Weber et al., antiSMASH 3.0-a comprehensive resource for the genome mining of
biosynthetic gene clusters. Nucleic Acids Res. 43, W237–W243 (2015). 56. D. M. Emms, S. Kelly, OrthoFinder: Solving fundamental biases in whole genome
comparisons dramatically improves orthogroup inference accuracy. Genome Biol. 16,
157 (2015). biosynthetic gene clusters. Nucleic Acids Res. 43, W237–W243 (2015). 20. P. Cimermancic et al., Insights into secondary metabolism from a global analysis of
prokaryotic biosynthetic gene clusters. Cell 158, 412–421 (2014). 57. J. K. Henske et al., Transcriptomic characterization of Caecomyces churrovis: A novel,
non-rhizoid-forming lignocellulolytic anaerobic fungus. Biotechnol. Biofuels 10, 305
(2017). 21. P. D. Cotter, R. P. Ross, C. Hill, Bacteriocins–A viable alternative to antibiotics? Nat. Rev. Microbiol. 11, 95–105 (2013). 22. G. Wang, X. Li, Z. Wang, APD3: The antimicrobial peptide database as a tool for re-
search and education. Nucleic Acids Res. 44, D1087–D1093 (2016). 58. M. J. Sullivan, N. K. Petty, S. A. Beatson, Easyfig: A genome comparison visualizer. Bioinformatics 27, 1009–1010 (2011). 23. F. H. Waghu, R. S. Barai, S. Idicula-thomas, Leveraging family-specific signatures for
AMP discovery and high-throughput annotation. Sci. Rep. 6, 24684 (2016). 59. G. C. A. Amos et al., Comparative transcriptomics as a guide to natural product dis-
covery and biosynthetic gene cluster functionality. Proc. Natl. Acad. Sci. U.S.A. |
PNAS 114,
E11121–E11130 (2017). AMP discovery and high-throughput annotation. Sci. Rep. 6, 24684 24. B. Martínez, J. E. Suárez, A. Rodríguez, Lactococcin 972 : A homodimeric lactococcal
bacteriocin whose primary target is not the plasma membrane. Microbiology
(Reading) 142, 2393–2398 (1996). 60. S. J. Mondo et al., Widespread adenine N6-methylation of active genes in fungi. Nat. Genet. 49, 964–968 (2017). 25. N. Khaldi et al., SMURF: Genomic mapping of fungal secondary metabolite clusters. Fungal Genet. Biol. 47, 736–741 (2010). 61. M. Wang et al., Sharing and community curation of mass spectrometry data with
global natural products social molecular networking. Nat. Biotechnol. 34, 828–837
(2016). 26. I. V. Grigoriev et al., MycoCosm portal: Gearing up for 1000 fungal genomes. Nucleic
Acids Res. 42, D699–D704 (2014). 62. I.-K. Lee, M.-S. Han, M.-S. Lee, Y.-S. Kim, B.-S. Yun, Styrylpyrones from the medicinal
fungus Phellinus baumii and their antioxidant properties. Bioorg. Med. Chem. Lett. 20, 5459–5461 (2010). 27. A. Rokas, J. H. Wisecaver, A. L. Lind, The birth, evolution and death of metabolic gene
clusters in fungi. Nat. Rev. Microbiol. 16, 731–744 (2018). 28. P. N. Tran, M. R. Yen, C. Y. Chiang, H. C. Lin, P. Y. Chen, Detecting and prioritizing
biosynthetic gene clusters for bioactive compounds in bacteria and fungi. Appl. Mi-
crobiol. Biotechnol. 103, 3277–3287 (2019). 63. I.-K. Lee, B.-S. Yun, Styrylpyrone-class compounds from medicinal fungi Phellinus and
Inonotus spp., and their medicinal importance. J. Antibiot. (Tokyo) 64, 349–359
(2011). 29. W. H. Majoros, M. Pertea, S. L. Salzberg, TigrScan and GlimmerHMM: Two open
source ab initio eukaryotic gene-finders. Bioinformatics 20, 2878–2879 (2004). 64. K. Dührkop et al., SIRIUS 4: A rapid tool for turning tandem mass spectra into me-
tabolite structure information. Nat. Methods 16, 299–302 (2019). 30. M. H. Medema et al., antiSMASH: Rapid identification, annotation and analysis of
secondary metabolite biosynthesis gene clusters in bacterial and fungal genome se-
quences. Nucleic Acids Res. 39, W339–W346 (2011). 65. K. Dührkop et al., Classes for the masses: Systematic classification of unknowns using
fragmentation spectra. bioRxiv [Preprint] (2020). 10.1101/2020.04.17.046672. 66. P. N. Hobson, Rumen micro-organisms. Prog. Ind. Microbiol. 9, 41–77 (1971). 31. A. V. Lukashin, M. Borodovsky, GeneMark.hmm: New solutions for gene finding. Nucleic Acids Res. 26, 1107–1115 (1998). 67. M. K. Theodorou, J. Brookman, A. P. J. Trinci, Anaerobic fungi. Methods in Gut Mi-
crobial Ecology for Ruminants (Springer-Verlag, Berlin, Heidelberg, 2005), pp. 55–66. 32. V. Ter-Hovhannisyan, A. Lomsadze, Y. O. |
PNAS The MS-GF+ (1.3.0) Workflow was used in the ProteoSAFe web server,
available through the Center for Computational Mass Spectrometry, to run
structure and class prediction by SIRIUS 4.0 (64) and CANOPUS (65), respec-
tively. The job is publicly available at the following URL: https://proteomics2. ucsd.edu/ProteoSAFe/status.jsp?task=6e6cf05848424ca1bdba0f5b48ccafc6 We checked A. robustus for its genetic capability to produce flavonoids. No gene models were assigned to the Flavonoid Biosynthesis KEGG (84) map,
which is a component of MAP01060 on the MycoCosm portal (26). The fol-
lowing genes related to flavonoid biosynthesis in higher-order fungi, selected
from SI Appendix, Supplementary File S1 of ref. 85, were queried using BLAST+
(41) against filtered model proteins of A. robustus in the MycoCosm portal
(26): RAQ52167.1 (chalcone synthase, Aspergillus flavus), PYH41479.1 (chalcone
isomerase, Aspergillus saccharolyticus), PIG83686.1 (dihydroflavonal-4-reductase,
partial, Aspergillus arachidicola), CEL03464.1 (Isoflavone reductase family pro-
tein, Aspergillus calidoustus), RAH85834.1 (quercetin 2,3-dioxygenase anaerobically 10. C. G. Orpin, Y. W. Ho, “Ecology and function of the anaerobic rumen fungi” in Recent
Advances on the Nutrition of Herbivores (Malaysian Society of Animal Production,
Serdang, Malaysia, 1991), pp. 163–170. g
y
pp
11. A. P. J. Trinci et al., Anaerobic fungi in herbivorous animals. Mycol. Res. 98, 129–152
(1994). PNAS
|
9 of 10
https://doi.org/10.1073/pnas.2019855118 12. C. Kubicek, I. Druzhinina, Environmental and Microbial Relationships (THE MYCOTA
IV, 2007). 49. J. Kominek
et
al.,
Eukaryotic
acquisition
of
a
bacterial
operon. Cell
176,
1356–1366.e10 (2019). 13. K V. Solomon et al., Early-branching gut fungi possess a large, comprehensive array of
biomass-degrading enzymes. Science 351, 1192–1195 (2016). 50. N. Khaldi, J. Collemare, M. H. Lebrun, K. H. Wolfe, Evidence for horizontal transfer of
a secondary metabolite gene cluster between fungi. Genome Biol. 9, R18 (2008). econdary metabolite gene cluster between fungi. Genome Biol. 9, R18 14. C. H. Haitjema et al., A parts list for fungal cellulosomes revealed by comparative
genomics. Nat. Microbiol. 2, 17087 (2017). 51. P. J. Keeling et al., The marine microbial eukaryote transcriptome sequencing project
(MMETSP): Illuminating the functional diversity of eukaryotic life in the oceans
through transcriptome sequencing. PLoS Biol. 12, e1001889 (2014). 15. I. A. Podolsky et al., Harnessing nature’s anaerobes for biotechnology and bio-
processing. Annu. Rev. Chem. Biomol. Eng. 10, 105–128 (2019). 15. I. A. Podolsky et al., Harnessing nature’s anaerobes for biot 15. I. A. Podolsky et al., Harnessing nature s anaerobes for biot
processing. Annu. Rev. Chem. Biomol. Eng. 10, 105–128 (2019). 52. Ö. |
PNAS Alanjary et al., The Antibiotic Resistant Target Seeker (ARTS), an exploration en-
gine for antibiotic cluster prioritization and novel drug target discovery. Nucleic Acids
Res. 45, W42–W48 (2017). 76. Marchler-Bauer A, S. H. Bryant, CD-Search: Protein domain annotations on the fly. Nucleic Acids Res. 32, 327–331 (2004). 77. K. J. Hoff, S. Lange, A. Lomsadze, M. Borodovsky, M. Stanke, BRAKER1: Unsupervised
RNA-Seq-based
genome
annotation
with
GeneMark-ET
and
AUGUSTUS. Bio-
informatics 32, 767–769 (2016). 39. G. A. Vandova, A. Nivina, C. Khosla, R. W. Davis, Identification of polyketide biosynthetic
gene clusters that harbor self- resistance target genes. bioRxiv [Preprint] (2020). 78. S. Götz et al., High-throughput functional annotation and data mining with the
Blast2GO suite. Nucleic Acids Res. 36, 3420–3435 (2008). 40. L. C. Wieland Brown, M. G. Acker, J. Clardy, C. T. Walsh, M. A. Fischbach, Thirteen
posttranslational modifications convert a 14-residue peptide into the antibiotic thi-
ocillin. Proc. Natl. Acad. Sci. U.S.A. 106, 2549–2553 (2009). 79. E. S. Nakayasu et al., MPLEx: A robust and universal protocol for single-sample inte-
grative proteomic, metabolomic, and lipidomic analyses. mSystems 1, e00043-16 (2016). 41. C. Camacho et al., BLAST+: Architecture and applications. BMC Bioinformatics 10, 421 (2009). 80. R. T. Kelly et al., Chemically etched open tubular and monolithic emitters for nano-
electrospray ionization mass spectrometry. Anal. Chem. 78, 7796–7801 (2006). 42. J. C. Nielsen et al., Global analysis of biosynthetic gene clusters reveals vast potential of
secondary metabolite production in Penicillium species. Nat. Microbiol. 2, 17044 (2017). 81. M. Katajamaa, J. Miettinen, M. Orešiˇc, MZmine: Toolbox for processing and visualization
of mass spectrometry based molecular profile data. Bioinformatics 22, 634–636 (2006). 43. S. Kroken, N. L. Glass, J. W. Taylor, O. C. Yoder, B. G. Turgeon, Phylogenomic analysis
of type I polyketide synthase genes in pathogenic and saprobic ascomycetes. Proc. Natl. Acad. Sci. U.S.A. 100, 15670–15675 (2003). 82. B. P. Bowen, T. R. Northen, Dealing with the unknown: Metabolomics and metabolite
atlases. J. Am. Soc. Mass Spectrom. 21, 1471–1476 (2010). 44. C. Rausch, I. Hoof, T. Weber, W. Wohlleben, D. H. Huson, Phylogenetic analysis of
condensation domains in NRPS sheds light on their functional evolution. BMC Evol. Biol. 7, 78 (2007). 83. Y. Wang, G. Kora, B. P. Bowen, C. Pan, MIDAS: A database-searching algorithm for
metabolite identification in metabolomics. Anal. Chem. 86, 9496–9503 (2014). 45. N. |
PNAS Ziemert et al., Diversity and evolution of secondary metabolism in the marine
actinomycete genus Salinispora. Proc. Natl. Acad. Sci. U.S.A. 111, E1130–E1139 (2014). 84. H. Ogata et al., KEGG: Kyoto encyclopedia of genes and genomes. Nucleic Acids Res. 27, 29–34 (1999). 45. N. Ziemert et al., Diversity and evolution of secondary metabolism in the marine
actinomycete genus Salinispora. Proc. Natl. Acad. Sci. U.S.A. 111, E1130–E1139 (2014). 46. G. Landan et al., Evolution of isopenicillin N synthase genes may have involved hor-
izontal gene transfer. Mol. Biol. Evol. 7, 399–406 (1990). 46. G. Landan et al., Evolution of isopenicillin N synthase genes may have involved hor-
izontal gene transfer. Mol. Biol. Evol. 7, 399–406 (1990). 85. T. K. Mohanta, Fungi contain genes associated with flavonoid biosynthesis pathway. J. Funct. Foods 68, 103910 (2020). izontal gene transfer. Mol. Biol. Evol. 7, 399–406 (1990). 86. A. M. Frank et al., Spectral archives: Extending spectral libraries to analyze both
identified and unidentified spectra. Nat. Methods 8, 587–591 (2011). 47. I. Schmitt, H. T. Lumbsch, Ancient horizontal gene transfer from bacteria enhances
biosynthetic capabilities of fungi. PLoS One 4, e4437 (2009). 47. I. Schmitt, H. T. Lumbsch, Ancient horizontal gene transfer biosynthetic capabilities of fungi. PLoS One 4, e4437 (2009). 48. H. Jenke-Kodama, A. Sandmann, R. Müller, E. Dittmann, Evolutionary implications of
bacterial polyketide synthases. Mol. Biol. Evol. 22, 2027–2039 (2005). 87. P. Shannon et al., Cytoscape: A software environment for integrated models of bio-
molecular interaction networks. Genome Res. 13, 2498–2504 (2003). 10 of 10
|
PNAS
https://doi.org/10.1073/pnas.2019855118 10 of 10
|
PNAS Swift et al. Swift et al. Anaerobic gut fungi are an untapped reservoir of natural products Swift et al. Anaerobic gut fungi are an untapped reservoir of natural products
|
https://openalex.org/W3198928698
|
https://europepmc.org/articles/pmc8488937?pdf=render
|
English
| null |
The Role of Zero-Point Vibration and Reactant Attraction in Exothermic Bimolecular Reactions with Submerged Potential Barriers: Theoretical Studies of the R + HBr → RH + Br (R = CH<sub>3</sub>, HO) Systems
|
The journal of physical chemistry. A/The journal of physical chemistry. A.
| 2,021
|
cc-by
| 12,147
| ERROR: type should be string, got "https://doi.org/10.1021/acs.jpca.1c05839\nJ. Phys. Chem. A 2021, 125, 8386−8396 ACCESS\nMetrics & More Without zero-point vibration these reactions would be very slow, which is a manifestation of a\nunique quantum effect. Reactions where the reactivity is determined by dynamical factors such as the vibrationally enhanced\nattraction are found to be beyond the range of applicability of Polanyi’s rules. ■INTRODUCTION The Role of Zero-Point Vibration and Reactant Attraction in\nExothermic Bimolecular Reactions with Submerged Potential\nBarriers: Theoretical Studies of the R + HBr →RH + Br (R = CH3, HO)\nSystems The Role of Zero-Point Vibration and Reactant Attraction in\nExothermic Bimolecular Reactions with Submerged Potential\nBarriers: Theoretical Studies of the R + HBr →RH + Br (R = CH3, HO)\nSystems Published as part of The Journal of Physical Chemistry virtual special issue “125 Years of The Journal of\nPh\nl Ch\n” Published as part of The Journal of Physical Chemistry virtual special issue “125 Years of The Journal of\nPhysical Chemistry”. Benjámin Csorba, Péter Szabó, Szabolcs Góger, and György Lendvay*\nCite This: J. Phys. Chem. A 2021, 125, 8386−8396\nRead Online\nACCESS\nMetrics & More\nArticle Recommendations\n*\nsı\nSupporting Information\nABSTRACT: The dynamics of the reactions CH3 + HBr →CH4 + Br and\nHO + HBr →H2O + Br have been studied using the quasiclassical trajectory\nmethod to explore the interplay of the vibrational excitation of the breaking\nbond and the potential energy surface characterized by a prereaction van der\nWaals well and a submerged barrier to reaction. The attraction between the\nreactants is favorable for the reaction, because it brings together the reactants\nwithout any energy investment. The reaction can be thought to be controlled\nby capture. The trajectory calculations indeed provide excitation functions\ntypical to capture: the reaction cross sections diverge when the collision energy\nis reduced toward zero. Excitation of reactant vibration accelerates both\nreactions. The barrier on the potential surface is so early that the coupling\nbetween the degrees of freedom at the saddle point geometry is negligible. However, the trajectory calculations show that when the breaking bond is\nstretched at the time of the encounter, an attractive force arises, as if the radical approached a HBr molecule whose bond is partially\nbroken. As a result, the dynamics of the reaction are controlled more by the temporary “dynamical”, vibrationally induced than by\nthe “static” van der Waals attraction even when the reactants are in vibrational ground state. The cross sections are shown to drop to\nvery small values when the amplitude of the breaking bond’s vibration is artificially reduced, which provides an estimate of the\nreactivity due to the “static” attraction. Without zero-point vibration these reactions would be very slow, which is a manifestation of a\nunique quantum effect. Reactions where the reactivity is determined by dynamical factors such as the vibrationally enhanced\nattraction are found to be beyond the range of applicability of Polanyi’s rules. Benjámin Csorba, Péter Szabó, Szabolcs Góger, and György Lendvay* Article ACCESS\nMetrics & More ABSTRACT: The dynamics of the reactions CH3 + HBr →CH4 + Br and\nHO + HBr →H2O + Br have been studied using the quasiclassical trajectory\nmethod to explore the interplay of the vibrational excitation of the breaking\nbond and the potential energy surface characterized by a prereaction van der\nWaals well and a submerged barrier to reaction. The attraction between the\nreactants is favorable for the reaction, because it brings together the reactants\nwithout any energy investment. The reaction can be thought to be controlled\nby capture. The trajectory calculations indeed provide excitation functions\ntypical to capture: the reaction cross sections diverge when the collision energy\nis reduced toward zero. Excitation of reactant vibration accelerates both\nreactions. The barrier on the potential surface is so early that the coupling\nbetween the degrees of freedom at the saddle point geometry is negligible. However, the trajectory calculations show that when the breaking bond is\nstretched at the time of the encounter, an attractive force arises, as if the radical approached a HBr molecule whose bond is partially\nbroken. As a result, the dynamics of the reaction are controlled more by the temporary “dynamical”, vibrationally induced than by\nthe “static” van der Waals attraction even when the reactants are in vibrational ground state. The cross sections are shown to drop to\nvery small values when the amplitude of the breaking bond’s vibration is artificially reduced, which provides an estimate of the\nreactivity due to the “static” attraction. Without zero-point vibration these reactions would be very slow, which is a manifestation of a\nunique quantum effect. Reactions where the reactivity is determined by dynamical factors such as the vibrationally enhanced\nattraction are found to be beyond the range of applicability of Polanyi’s rules. However, the trajectory calculations show that when the breaking bond is\nstretched at the time of the encounter, an attractive force arises, as if the radical approached a HBr molecule whose bond is partially\nbroken. As a result, the dynamics of the reaction are controlled more by the temporary “dynamical”, vibrationally induced than by\nthe “static” van der Waals attraction even when the reactants are in vibrational ground state. The cross sections are shown to drop to\nvery small values when the amplitude of the breaking bond’s vibration is artificially reduced, which provides an estimate of the\nreactivity due to the “static” attraction. The Journal of Physical Chemistry A According to high-level ab initio calculations, the\nattraction between the reactants modifies this picture: the\ngeometry of the reactants at the saddle point corresponding to\nH-abstraction on the PES becomes so reactant-like that the\nbreaking H−Br bond is hardly longer than the equilibrium\ndistance (1.487 vs 1.413 Å for both reactions), and the forming\nbond is as long as 1.7 and 1.551 Å for reactions R19,20 and R2,\nrespectively.23 Moreover, the potential barrier submerges\nbelow the reactant level, as shown in Figure 1, which means\nthat the primary factor determining the dynamics, especially at\nlow collision energies, can be assumed to be the attractive\npotential leading to the prereaction van der Waals well. In\ngeneral, the dynamical consequence of the long-range\nattraction is that the reaction cross sections are very large at\nlow collision energy and decrease quickly when the latter\nincreases. The phenomenon when the reactants attract each\nother, and there is no barrier to the reaction so that the\nmajority of collisions lead to reaction, is called capture.24\nCapture-type behavior is characterized by excitation functions\ndiverging with decreasing collision energy. The rate coefficients\ncorresponding to this kind of excitation function are\ncharacterized by negative activation energy, as are those\nobserved for both reactions R1 and R2. For reaction R1,\ndiverging cross sections at decreasing collision energy have\nbeen observed in recent quasiclassical trajectory and reduced-\ndimensional quantum dynamical calculations.25 For reaction\nR2, de Oliveira et al.23 reported excitation functions that seem\nto show extremely fast divergence of the reaction cross sections\nwhen the collision energy decreases, which was supported by\nthe quantum dynamical calculations of D. Wang et al.26 The\ncross sections observed in molecular beam experiments by\nKasai and co-workers27,28 also increase with decreasing\ncollision energy. For reactions with an early barrier, such as\nreactions R1 and R2, Polanyi rules of reaction dynamics29\npredict that vibrational excitation of the reactants promotes the Useful information also comes from studies of reactions\nrelated to R2. Guo and co-workers32,33 studied the effect of\nreactant vibrational excitation of two reactions of the HO +\nHX family, with X = F and with X = Cl. The reaction of HF is\nendothermic with a high, late barrier, while that of HCl is\nexothermic with a low, early barrier. The Journal of Physical Chemistry A According to high-level ab initio calculations, the\nattraction between the reactants modifies this picture: the\ngeometry of the reactants at the saddle point corresponding to\nH-abstraction on the PES becomes so reactant-like that the\nbreaking H−Br bond is hardly longer than the equilibrium\ndistance (1.487 vs 1.413 Å for both reactions), and the forming\nbond is as long as 1.7 and 1.551 Å for reactions R19,20 and R2,\nrespectively.23 Moreover, the potential barrier submerges\nbelow the reactant level, as shown in Figure 1, which means\nthat the primary factor determining the dynamics, especially at\nlow collision energies, can be assumed to be the attractive\npotential leading to the prereaction van der Waals well. In\ngeneral, the dynamical consequence of the long-range\nattraction is that the reaction cross sections are very large at\nlow collision energy and decrease quickly when the latter\nincreases. The phenomenon when the reactants attract each\nother, and there is no barrier to the reaction so that the\nmajority of collisions lead to reaction, is called capture.24\nCapture-type behavior is characterized by excitation functions\ndiverging with decreasing collision energy. The rate coefficients\ncorresponding to this kind of excitation function are\ncharacterized by negative activation energy, as are those\nobserved for both reactions R1 and R2. For reaction R1,\ndiverging cross sections at decreasing collision energy have\nbeen observed in recent quasiclassical trajectory and reduced-\ndimensional quantum dynamical calculations.25 For reaction\nR2, de Oliveira et al.23 reported excitation functions that seem\nto show extremely fast divergence of the reaction cross sections\nwhen the collision energy decreases, which was supported by\nthe quantum dynamical calculations of D. Wang et al.26 The\ncross sections observed in molecular beam experiments by\nKasai and co-workers27,28 also increase with decreasing\ncollision energy. For reactions with an early barrier, such as\nreactions R1 and R2, Polanyi rules of reaction dynamics29 the experiments reported negative activation energy.15,18,19\nThe curiosity of these reactions is that, because a weak H−Br\nbond is broken and a much stronger C−H or O−H bond is\nformed, they are significantly exothermic. The potential barrier\nto reaction is early and low, in agreement with the expectation\nfor exoergic reactions, based on the Bell−Evans−Polányi21,22 to reaction is early and low, in agreement with the expectation\nfor exoergic reactions, based on the Bell−Evans−Polányi21,22\nprinciple. ■INTRODUCTION the reactions of F atoms with H2O10 and with methane,11 but\nlittle is known about the general rules. In the class of reactions\nof hydrogen halides with alkyl and other radicals, those\ninvolving Br atoms attracted attention because of their\nimportance in atmospheric chemistry12,13 and flame retarda-\ntion.14 The experimental studies of H atom-abstraction\nreactions from HBr were instrumental in the determination\nof heats of formation of the radicals.15−18 For the reactions of\nHBr with methyl radicals Hydrogen abstraction reactions by halogen atoms and by OH\nradicals from small molecules are prototypes of bimolecular\natom-transfer reactions. As they lend themselves to detailed\nexperimental and theoretical reaction dynamical studies, they\nalso serve as testing grounds of theories on the general rules of\nreaction dynamics. A characteristic feature of these reactions is\nthat on their potential energy surfaces (PESs) shallow potential\nwells appear due to the attractive long-range forces between\nthe two reactant as well as the two product particles.1 When\nboth reactants are polar, the depth of the well corresponding to\nthe prereaction complex generally exceeds 10 kJ/mol,2−5\nespecially when well-defined hydrogen bonds can be formed.6\nWhen only one of the reactants is polar, then the well is\nsignificantly less deep,7−9 and the attractive forces acting at a\nlong-range are rather weak. The presence of the potential well\ncan influence the dynamics of the reaction, as demonstrated for Received:\nJune 30, 2021\nPublished: September 20, 2021 © 2021 The Authors. Published by\nAmerican Chemical Society 8386 Figure 1. Potential energy profiles of the (a) CH3 + HBr (R1) and (b) HO + HBr (R2) reactions. The classical energy levels of the stationary\npoints characterizing the Czakó-Góger-Szabó-Lendvay20 potential energy surface are given in kJ/mol. S.P. denotes the saddle point. The Journal of Physical Chemistry A\npubs.acs.org/JPCA\nArticle https://doi.org/10.1021/acs.jpca.1c05839\nJ. Phys. Chem. A 2021, 125, 8386−8396 The Journal of Physical Chemistry A The Journal of Physical Chemistry A Article pubs.acs.org/JPCA Figure 1. Potential energy profiles of the (a) CH3 + HBr (R1) and (b) HO + HBr (R2) reactions. The classical energy levels of the stationary\npoints characterizing the Czakó-Góger-Szabó-Lendvay20 potential energy surface are given in kJ/mol. S.P. denotes the saddle point. CH\nHBr\nCH\nBr\n3\n4\n+\n→\n+\n(R1)\nand with OH radicals\nHO\nHBr\nH O\nBr\n2\n+\n→\n+\n(R2) CH\nHBr\nCH\nBr\n3\n4\n+\n→\n+\n(R1)\nand with OH radicals\nHO\nHBr\nH O\nBr\n2\n+\n→\n+\n(R2) reaction less efficiently than an equal amount of translational\nenergy. The rules do not exclude that reactant vibration (in\nfact, that of the breaking bond) enhances the reactivity; the\nfocus is on the relative efficiency with respect to translation. These rules apply to reactions with positive potential barriers,\nand not much is known about how the presence of the\nprereaction potential well interferes with them. For reaction\nR1, the currently available information on how the vibrational\nexcitation of the HBr molecule, i.e., the breaking bond,\ninfluences the reaction cross sections comes from the\ntheoretical study by Y. Wang et al.,30 who performed\nreduced-dimensional quantum scattering calculations on\nreaction R1 on an analytical potential energy surface.31 On\nthe PES they used, the barrier to reaction is positive, and\naccordingly, the excitation functions they obtained for the\nreaction of HBr in the vibrational ground state correspond to\nwhat is referred to as activated behavior: the cross sections are\nzero below a threshold and rise slowly above it. However, for\nHBr excited by one vibrational quantum, the shape of the\nexcitation function is qualitatively different: the cross sections\nare very large at low collision energy and decrease quickly with\nrising collision energy, i.e., they display capture-type behavior. The observation of this kind of excitation function seems to\ncontradict the presence of the potential barrier on the PES. (R1) (R2) the experiments reported negative activation energy.15,18,19\nThe curiosity of these reactions is that, because a weak H−Br\nbond is broken and a much stronger C−H or O−H bond is\nformed, they are significantly exothermic. The potential barrier\nto reaction is early and low, in agreement with the expectation\nfor exoergic reactions, based on the Bell−Evans−Polányi21,22\nprinciple. ■METHODS The dynamics of reactions R1 and R2 have been studied by\nstandard quasiclassical trajectory (QCT) calculations.41,42\nInitial conditions were generated by the Raff−Porter−Miller\nscheme43 for the diatomic reactants and by normal mode\nsampling for the CH3 radical.44−46 For testing the possible\ntemporal evolution of the internal state of CH3 during the\ninitial free flight, we utilized the observation47,48 that if sets of\ntrajectories are started at various initial reactant separations,\nthus allowing different initial flight time, the reaction cross\nsections oscillate or systematically increase or decrease if\nplotted against the initial distance. The details of the test have\nbeen described in ref 25. Briefly, sets of 16 000 trajectories\nwere integrated starting from different center-of-mass reactant\ndistances in the range of covering a 12 to 32 Å at two collision\nenergies. This range of initial distances corresponds to a flight\ntime range at least 50 periods of C−H vibration. The reaction\ncross sections were found to fluctuate within an 8% range of\nthe average, without any tendency. The phenomenon was also observed for the very endothermic\nH + HF37,39 and for the almost thermoneutral H + HCl40\nhydrogen-abstraction reactions. According to quasiclassical\ntrajectory calculations, the switch of the excitation function\nfrom activated to capture-type was found to take place as soon\nas the energy content of the HX vibration exceeded the\npotential barrier, which occurred at excitation by about 2.5\nquanta for HF and below 2 quanta for HCl. The reason for the\ndrastic change of the excitation functions was traced back to\nthe shape of the potential energy surface. When the breaking\nbond is highly excited, the amplitude of the X−H bond length\noscillation is very large. When the vibration is at the outer\nturning point (OTP), the H atom is so far from the X atom\nthat the bond will behave as partially broken, which makes it\neasy for the approaching reactant to abstract the H atom. In\nterms of the PES, this is manifested when one calculates the\npotential energy as a function of the length of the forming\nbond at fixed values of the breaking bond length: As shown in\nFigure S1 for the reaction of HF with H, at equilibrium H−X\ndistance the potential energy increases monotonously as the\nreactants approach each other. ■METHODS At low collision energies, maximum impact parameters\nas large as 14 Å were needed to get converged reaction\nprobabilities and cross sections, while at large relative\nvelocities, 4.5 Å is satisfactory. These values are similar to\nthose observed for the H + H2O(vstretch = 4) reaction.36−38 p\ng\nReactant vibration with large amplitude can induce\nunexpected features to the dynamics of reactions in which\nthe potential barrier to reaction is submerged as a reef and is\nlocated very close in the configuration space to the minimum\nof a pre-reaction well. In such cases, the reacting system has\nenough energy to glide over the potential barrier. If the\nreactants are captured in the well for a long enough time, and\nenergy is completely redistributed, then the outcome of the\nencounter depends only on statistical factors. In such cases,\nonly the magnitude of the total energy made available to the\nreactants counts; its source does not (subject to angular\nmomentum conservation). However, considering that the\ncoupling between the degrees of freedom in a van der Waals\ncomplex is weak, one cannot expect complete energy\nredistribution. Thus, there is a good chance that the effect of\nvibrational and translational energy on the reactivity is\ndifferent. We intend to explore the influence of vibrational excitation\nof the reactants on the dynamics of reactions R1 and R2 and\nfind an explanation to the unexpectedly fast divergence of the\ncross sections at low collision energy. In the rest of the\nmanuscript, first we briefly summarize the methodology, and\nthen present the excitation functions and opacity functions at\ndifferent conditions. This will be followed by an analysis of the\npotential energy surfaces and the role of the amplitude of the\ninitial reactant vibration, with special attention to its\nmagnitude in the vibrational ground state. We will vary the\namplitude with various methods, changing the vibrational\nquantum number beyond that dictated by semiclassical The Journal of Physical Chemistry A In both reactions, when\nthe HX reactant is in vibrational ground state, the cross\nsections are zero below a threshold associated with the\npotential barrier, in agreement with the expected activated\nbehavior. However, when the HX reactant is vibrationally\nexcited, the change of the excitation functions differs for the\ntwo reactions. For the reaction of HF, with respect to the\nground-state reaction, the threshold energy is reduced by\napproximately the energy of the vibrational quantum and the\ncross sections grow an order of magnitude faster. On the other\nhand, for the reaction of HCl, reactant vibrational excitation\nchanges the character of the excitation function from activated\nto capture-type. That vibrational excitation can switch the character of the\nexcitation function is not unknown in the literature. Smith and\nco-workers34 observed extreme, 16 orders of magnitude speed-\nup for the H + H2O →H2 + OH reaction when the local O−H 8387 https://doi.org/10.1021/acs.jpca.1c05839\nJ. Phys. Chem. A 2021, 125, 8386−8396 The Journal of Physical Chemistry A Article pubs.acs.org/JPCA quantization. Finally, we briefly discuss the connection\nbetween the observed vibrational effect and Polanyi’s rules. stretch mode of water was excited by three or four vibrational\nquanta. The reaction is endothermic and has a late barrier, so\nin light of Polanyi’s rule, the fact that the rate increases by\nvibrational excitation of the reactant is not surprising, but the\nmagnitude is. The explanation, the appearance of capture-type\nexcitation functions at vibrational excitation by more than 2\nquanta, was provided by the related theoretical studies.35−38 ■METHODS When the length of the\nbreaking H−X bond is increased, the rate of the potential\nenergy increase slows down, and above a certain H−X\ndistance, the curves become attractive (see Figure S1b). When at the time of the encounter of the approaching\nreactants the breaking bond is near the OTP of its vibration,\nthis attraction pulls the reactants together. g ,\ny\ny\nThe maximum impact parameter was varied according to the\ncollision energy. The production calculations were performed\nwith impact parameters that were large enough to ensure that\nno reactive collisions occur in the 0.5 Å wide outer ring of the\ntarget. At low collision energies, maximum impact parameters\nas large as 14 Å were needed to get converged reaction\nprobabilities and cross sections, while at large relative\nvelocities, 4.5 Å is satisfactory. These values are similar to\nthose observed for the H + H2O(vstretch = 4) reaction.36−38\nTrajectories were integrated with the velocity−Verlet and the\nRunge−Kutta−Gill method for reactions R1 and R2,\nrespectively, with time steps 0.1 or 0.07 fs, ensuring energy\nconservation to better than 0.05 kJ/mol. All reactive collisions\nwere included in the cross-section calculations, without any\nweighting. This method resulted in good agreement with\nexcitation functions provided by reduced-dimensional quan-\ntum scattering calculations25 and with the experimental\nthermal rate coefficients23 for reaction R1. For the calculation\nof excitation functions, 124 000 trajectories were integrated at\neach collision energy and vibrational state. Opacity functions\nwere determined by running 50 000 trajectories at each impact\nparameter The statistical errors of the quantities obtained with\nthe Monte Carlo QCT method were calculated using the\nstandard prescription,41,42 and in most cases are as small as the\nsize of symbols shown in the plots. The calculations were\nperformed using an extensively modified version40,49−51 of the\nVENUS code.52 The potential energy surface developed\nearlier,9,23 referred to as CGSL PES was used for the\nsimulations of reaction R1, while the trajectory calculations\nfor reaction R2 were performed using the PES of de Oliveira et\nal.23 The maximum impact parameter was varied according to the\ncollision energy. The production calculations were performed\nwith impact parameters that were large enough to ensure that\nno reactive collisions occur in the 0.5 Å wide outer ring of the\ntarget. ■RESULTS Cross Sections. The excitation functions for reactions R1\nand R2 are plotted in Figure 2 for the ground and first and\nsecond excited states of the HBr reactant. The reactive cross\nsections diverge quickly as the collision energy decreases,\nwhich is the origin of the negative activation energy observed\nboth experimentally15−18 and in simulations.25 If the\nsubmerged barrier were not present, the divergence could be 8388 https://doi.org/10.1021/acs.jpca.1c05839\nJ. Phys. Chem. A 2021, 125, 8386−8396 Figure 2. Excitation functions of the (a) CH3 + HBr(v) and (b) HO\n+ HBr(v) reaction for v = 0, 1, and 2. The methyl and HO radicals are\nin their vib-rotational ground state. The error bars calculated with the\nstandard Monte Carlo formula are smaller than the symbol size. Figure 3. Opacity functions of the (a) CH3 + HBr and (b) HO + HBr\nreaction at various collision energies. All reactants are in vib-rotational\nground state. The Journal of Physical Chemistry A\npubs.acs.org/JPCA\nArticle Figure 3. Opacity functions of the (a) CH3 + HBr and (b) HO + HBr\nreaction at various collision energies. All reactants are in vib-rotational\nground state. pubs.acs.org/JPCA\nArticle Figure 3. Opacity functions of the (a) CH3 + HBr and (b) HO + HBr\nreaction at various collision energies. All reactants are in vib-rotational\nground state. pubs.acs.org/JPCA\nArticle The Journal of Physical Chemistry A The Journal of Physical Chemistry A Article pubs.acs.org/JPCA p\ng Figure 2. Excitation functions of the (a) CH3 + HBr(v) and (b) HO\n+ HBr(v) reaction for v = 0, 1, and 2. The methyl and HO radicals are\nin their vib-rotational ground state. The error bars calculated with the\nstandard Monte Carlo formula are smaller than the symbol size. Figure 3. Opacity functions of the (a) CH3 + HBr and (b) HO + HBr\nreaction at various collision energies. All reactants are in vib-rotational\nground state. Individual Trajectories. As described in the Introduction,\nfor several typical reactions taking place on potential surfaces\nwith a positive barrier, capture-type excitation functions were\nobserved at low collision energies when the breaking bond was\nvibrationally sufficiently highly excited. The phenomenon was\ntraced back to the behavior of the reacting system near the\ncorner region of the PES. Figure 4 is intended to show that\nreaction R2 displays the same qualitative behavior (the\ndynamics of reaction R1 are very similar). ■RESULTS Representative\nreactive trajectories for reaction R2 are projected on the r(O−\nH)−r(H−Br) plane, together with the contour plots of the cut\nof the multidimensional PES along the same plane, with all\nother coordinates being fixed at the saddle point values. At\nrelatively large reactant separation, where the interaction is\nweak, the trajectories oscillate between the equipotential lines\ncorresponding to the zero-point energy of the HBr vibration. At large O−H distances, the equipotentials are parallel to the\nhorizontal axis, which reflects that the interaction is small, thus\nthe internal potential of HBr does not change. considered to be the natural consequence of the long-range\nattraction between the reactants. The appearance of divergent\ncross sections indicates that the decisive factorat least at low\ncollision energiesis the attractive potential, and the potential\nbarrier plays a secondary role. The magnitude of the reactivity\nenhancement with decreasing collision energy, however, seems\nto be rather large if one considers that the PES on the reactant\nside is flat, and the small long-range attraction leads to a\nshallow potential well instead of the many kJ/mol deep minima\nin ion−molecule and radical−radical reactions. Vibrational excitation of HBr by one quantum is favorable\nfor both reactions. The shapes of the excitation functions\nremain similar to those for the ground state, but they run\nabove the latter. The enhancement of reactivity is not\nsurprising, since the bond to be broken is excited. The\nenhancement factor, the ratio of the cross sections for v(HBr)\n= 1 to those at v(HBr) = 0 at identical collision energies\n(shown in Figure S2), is the largest at around Ecoll = 10 kJ/mol,\nwhere the cross sections for v(HBr) = 1 are larger than for\nv(HBr) = 0 by about a factor of 1.6 and 4 for reactions R1 and\nR2, respectively, and decreases when the collision energy\nincreases or decreases. When HBr is excited by a second\nvibrational quantum, the additional enhancement of the cross\nsections is significantly smaller than that induced by the first. The v(HBr) = 2 to v(HBr) = 1 enhancement factor is not\nlarger than 1.16 and 1.11 for reactions R1 and R2, respectively,\nat any collision energy. At low collision energy, the three\nexcitation functions converge. This indicates that the efficiency\nof reactant vibrational excitation does not increase without\nlimits with the vibrational energy; instead, a saturation effect\ncan be observed. https://doi.org/10.1021/acs.jpca.1c05839\nJ. Phys. Chem. A 2021, 125, 8386−8396 ■RESULTS Accordingly, the amplitude and the classical action of the\nH−Br vibration remain constant during the approach of the\nreactants. At relatively small reactant separation (at around\nr(O−H) = 2.5 Å), the equipotentials at energies corresponding\nto the zero-point vibrational energy of HBr and above start to\nturn away from the horizontal axis when r(O−H) decreases. The trajectories near the outer turning points of the H−Br\noscillation keep touching the same lines, which means that the\nvibration remains adiabatic. Since the equipotentials are bent,\nwhen the trajectory arrives close to them, a force component\narises parallel to the forming bond, which slightly accelerates\nthe approach of the reactants. This is reflected in the growing\nhorizontal distance between the successive OTPs. This is a\nmanifestation of the same attraction that was observed for\nother reactions when the breaking bond was vibrationally\nhighly excited (see Figure S1). When the trajectory reaches the\nequipotential corresponding to the available energy in the (so\nfar adiabatic) vibration at a point where its curvature is large,\nthen, due to the force component parallel to the r(OH) axis,\nthe trajectory is reflected into the product valley (see Figure 4a\nand b). The motion hardly depends on the presence of the\nbarrier, because it is low. As a result, in many cases the\npotential barrier is crossed “in the wrong direction”, for\nexample, perpendicular to the minimum energy path (Figure\n4c), as if the trajectory “were dropped from above” on the\nsaddle point region. What is remarkable is that in reactions R1\nand R2, the phenomenon appears at the lowest physically Opacity Functions. In Figure 3, the opacity functions for\nreactions R1 and R2 are plotted at selected collision energies. The change of the shape is typical for reactions with attractive\npotential. At very low collision energy, the reaction\nprobabilities are large, around 0.7 in the entire impact\nparameter range extending, for example, up to 12 Å at Ecoll =\n0.01 kJ/mol for reaction R1, where they suddenly drop. This\nlimit marks the location of the (orientation averaged)\ncentrifugal barrier. Capture, in fact, does not guarantee that\nreaction occurs, even though the energetic requirements are\nfulfilled. With increasing collision energy, the opacity functions\nshrink, and for reaction R1 a maximum appears near the high-\nimpact-parameter end of the curves, which disappear when the\ncollision energy is above about 5 kJ/mol. 8389 https://doi.org/10.1021/acs.jpca.1c05839\nJ. Phys. Chem. ■RESULTS A 2021, 125, 8386−8396 Figure 4. (a−c) Representative trajectories for the HO + HBr (ν = 0) reaction, together with the contour representation of the potential energy\nsurface plotted as a function of the lengths of the forming and breaking bonds. The rest of the geometrical parameters are set to their value at the\nsaddle point of the PES. The collision energy is 0.05 kJ/mol. The contour lines are drawn in 1 kJ/mol steps. The magenta horizontal line is a guide\nto the eye near the outer turning point of HBr vibration at v = 0. Note that the other coordinates also change during the course of the reaction;\nthus, the section of the PES along the r(O−H)−r(H−Br) plane in reality also varies slightly between successive time steps. Panel (d) is a magnified\nview of the same cut of the PES, with energy spacing 0.2 kJ/mol. The Journal of Physical Chemistry A\npubs.acs.org/JPCA\nArticle The Journal of Physical Chemistry A\npubs.acs.org/JPCA\nArticle The Journal of Physical Chemistry A Article pubs.acs.org/JPCA pubs.acs.org/JPCA Figure 4. (a−c) Representative trajectories for the HO + HBr (ν = 0) reaction, together with the contour representation of the potential energy\nsurface plotted as a function of the lengths of the forming and breaking bonds. The rest of the geometrical parameters are set to their value at the\nsaddle point of the PES. The collision energy is 0.05 kJ/mol. The contour lines are drawn in 1 kJ/mol steps. The magenta horizontal line is a guide\nto the eye near the outer turning point of HBr vibration at v = 0. Note that the other coordinates also change during the course of the reaction;\nthus, the section of the PES along the r(O−H)−r(H−Br) plane in reality also varies slightly between successive time steps. Panel (d) is a magnified\nview of the same cut of the PES, with energy spacing 0.2 kJ/mol. Figure 5. Sections of the potential energy surfaces as functions of the lengths of the forming and breaking bonds for the (a) CH3 + HBr and (b)\nHO + HBr reactions. The colored horizontal lines represent the bond length of the breaking bond at the vibrational outer turning point of HBr at\nvarious vibrational quantum numbers. In each panel, the lowest line corresponds to the ground state of HBr, followed by ν = 1, 2. Energies in\nkJ/mol. Figure 5. https://doi.org/10.1021/acs.jpca.1c05839\nJ. Phys. Chem. A 2021, 125, 8386−8396 ■RESULTS Thus,\nthe attraction arising when the zero-point vibration is at the\nouter turning point effectively supplements the weak non-\nbonding attraction between the reactants with equilibrium\nbond lengths. This is the reason the excitation functions for\nthese reactions diverge so quickly when the reactant molecule\nis vibrationally unexcited. It is reasonable to consider the\nattraction arising when the breaking bond is significantly\nstretched as originating from the dynamics of the reacting\nsystem, compared with the “static” van der Waals-type\ninteraction that brings together the components of the pre-\nreaction complex. We shall refer to the attraction due to the\nlarge amplitude of vibration as “vibrationally induced”. Since\nthis kind of attraction is strong already in the vibrational\nground state of the HBr reactant, it is not surprising that when\nthe vibrational energy available for the reactant is increased\nabove the ground-state level by one or two quanta, the cross\nsections do not increase as much as one might expect. The\nvibrational excitation certainly increases the amplitude of the\nHBr bond length oscillation above that of the vibrational\nground state. However, the reactivity enhancement caused by\nthe zero-point oscillation is so large that increasing the\namplitude further will not induce as large a change as\nvibrational excitation of the reactant would in the absence of\nthe extra, dynamically induced attraction. Figure 6. Cuts of the potential energy surfaces of reactions R1 and R2\nalong the horizontal lines in Figure 5: the potential energy as a\nfunction of the length of the forming C−H (left panel) and O−H\n(right panel) bond at fixed values of the length of the breaking H−Br\nbond. The top three lines correspond to the outer turning point of the\n(from top downward) v = 2, 1, 0 vibrational states of HBr. Figure 6. Cuts of the potential energy surfaces of reactions R1 and R2\nalong the horizontal lines in Figure 5: the potential energy as a\nfunction of the length of the forming C−H (left panel) and O−H\n(right panel) bond at fixed values of the length of the breaking H−Br\nbond. The top three lines correspond to the outer turning point of the\n(from top downward) v = 2, 1, 0 vibrational states of HBr. These arguments seem to provide (one of) the reasons why\nthe reactivity enhancement by vibrational excitation of HBr is\nlarger for reaction R1 than for R2. ■RESULTS Sections of the potential energy surfaces as functions of the lengths of the forming and breaking bonds for the (a) CH3 + HBr and (b)\nHO + HBr reactions. The colored horizontal lines represent the bond length of the breaking bond at the vibrational outer turning point of HBr at\nvarious vibrational quantum numbers. In each panel, the lowest line corresponds to the ground state of HBr, followed by ν = 1, 2. Energies in\nkJ/mol. possible vibrational energy content of the reactant, i.e., the\nzero-point energy. visible in the projection shown in the figure, such as the\nrotation of the reactants. The energy gained in this coupling\nwas lost by the relative translation, and the trajectory was\ntrapped for about 15 H−Br vibrational periods, because the\nremaining translational energy was not enough to get out of\nthe well either across the barrier or back to reactants, until the\ncoupling with bending channeled some energy back into this\nmode. The trajectory in Figure 4b allows a glimpse at the role of\nthe pre-reaction potential well. In this specific collision, the\ntrajectory spent a long time in the well. Temporarily, the\namplitude of the vibration of HBr increased, due to the\ncoupling with the relative translation. This coupling was\ninduced by the motion along the degrees of freedom not https://doi.org/10.1021/acs.jpca.1c05839\nJ. Phys. Chem. A 2021, 125, 8386−8396 8390 The Journal of Physical Chemistry A pubs.acs.org/JPCA Article Article ■DISCUSSION less efficient in promoting early barrier reactions than\ntranslational energy, as it is familiar from Polanyi’s rules. Role of the Shape of the PES for Reactions with\nExtreme Reactivity Enhancement by Vibrational Ex-\ncitation. The trajectory calculations indicate that in reactions\nR1 and R2, the trajectories leading to reaction follow a path\nsimilar to what was seen for some other reactions when the\nvibration of the breaking bond was highly excited. The earlier\nobservations of the appearance of capture-type excitation\nfunctions include some highly endothermic hydrogen-\nabstraction reactions (H + H2O, H + HF)35−39 with reactant\nvibrational quantum number above 3, and a close to\nthermoneutral reaction (H + HCl).40 For the latter, the\nbarrier is comparable in height to a vibrational quantum, and\nthe extreme reactivity can be seen already at ν(HCl) = 2. Reactions R1 and R2 are exothermic, and the reactivity\nenhancement seems to arise already when the reactant HBr is\nin the vibrational ground state. ■RESULTS While the location of the\nbarrier is distinctly different for the highly endothermic, almost\nthermoneutral, and exothermic reactions, the condition for\nhigh reactivity seems to be common for all cases: The\namplitude of the vibration of the breaking bond is large enough\nto ensure that the outer turning point is displaced far from the\nMEP, to the region of configuration space where the\ninteraction of the reactants is attractive. The attraction is\nmanifested in the shape of the contour lines of the potential\nenergy plotted against the lengths of the forming and breaking\nbonds: The equipotentials turn away from the horizontal axis\nwhen followed right to left (see Figures 4, 5, and S3). Another\nmanifestation of the attraction critical for reactivity enhance-\nment is that the cuts of the PES as functions of the length of\nthe forming bond plotted at fixed values of the length of the\nextended breaking bond are monotonously attractive (Figure\n6). Every time the breaking bond vibration approaches the Figure 4d and Figure 5 show that for reactions R1 and R2\ncharacterized by a submerged barrier, the repulsive contour\nlines (those that turn downward when traced from right to left\nin the figures) are at very low energies, below the reactant level. The reason for this is that the barrier is low even with respect\nto the well of the prereaction complex. This feature of the PES\nof reactions R1 and R2 (and very probably many other\nreactions with submerged, early potential barriers) are\nexceptional in the sense that the enhancement of the reactivity\nby vibrational excitation in fact occurs already when the\nreactants are in the vibrational ground state. Figure 5 shows\nthat the vibrational energy of the vibrationally unexcited HBr\nbond is so large that for both reactions, on the cut of the PES\nalong the r(X−H)−r(H−Br) plane (X = C or O), the contour\nline corresponding to it turns upward with decreasing r(X−H). In Figure 6, the cut of the PESs for both reactions are plotted\nas a function of the length of the forming bond at fixed values\nof the breaking bond. When the H−Br bond is long, the\npotential curves monotonously decrease when the length of the\nforming bond shortens toward its equilibrium distance. https://doi.org/10.1021/acs.jpca.1c05839\nJ. Phys. Chem. A 2021, 125, 8386−8396 The Journal of Physical Chemistry A In the other set of\ncalculations, we reduced the vibrational quantum number of\nHBr from 0 to −0.4 and −0.49, i.e., decreased the vibrational\nenergy, respectively, to 20% and 2% of the semiclassical zero-\npoint energy. For some cases, we combined the two methods. Figure 7 shows the change of the excitation functions due to\nthe variation of the mass of the abstracted H atom for reaction\nR1 and the influence of the initial vibrational quantum number\nof HBr for reaction R2. The reactivity drastically drops both\nwhen one increases the mass of the H atom and when the\nvibration is frozen. y\ny\nThe calculations with artificially reduced vibrational\namplitude indicate that the lack of vibrational energy inhibits\nthe reaction. In reality, complete quenching of reactant\nvibration is not possible, because it is quantized and the\nlowest energy level, the zero-point energy, is finite. In reactions\nR1 and R2 the corresponding amplitude is large enough to\nallow the system to visit the region of the PES where attraction\narises between the reactants. This means that the large\nreactivity in these systems is made possible by the existence of\nzero-point energy, which is the manifestation of an interesting\nquantum effect. q\nIt is instructive to look at the effect of changing the mass of\nthe transferred atom or the vibrational quantum number of the\nHBr reactant on the opacity functions underlying the reaction\ncross sections. Figure 8a shows that when the mass of the\nreactive H atom increases, the opacity functions shrink both in\nheight and in width, and their character changes: the large-\nimpact-parameter range becomes completely nonreactive when\nthe mass of the atom to be transferred is large. At low collision\nenergy (left panels), the shape of the opacity functions for\nreaction R1 reflects capture-type behavior when the mass of\nthe reactive H atom is small (1 or 2 g/mol): the reaction\nprobabilities are very large up to large impact parameters, with\na sudden falloff. In contrast, at large masses the probabilities\nare drastically smaller at small impact parameters and decrease\nquickly and monotonously with increasing impact parameter. At larger collision energies, where the reactant’s attraction has\na smaller influence on the dynamics, the opacity functions\ndecrease roughly linearly with increasing impact parameter,\nand no qualitative difference can be seen between the small\nand large masses of the transferred atom. The Journal of Physical Chemistry A Article pubs.acs.org/JPCA pubs.acs.org/JPCA Figure 7. Excitation functions for (a) reaction R1 with the masses of the transferred H atom set to 1, 2, 15, and 80 g/mol (left panel) with ν(HBr)\n= 0 and with ν(HBr) = 4 for mass 15 g/mol; (b) for reaction R2 with vibrational quantum numbers −0.49, −0.4, 0, 1, and 2 with protium mass as\nwell as with mass for the H atom set to 80 g/mol, combined with ν(HBr) = 0. is added. When the vibrational excitation is increased further,\nthe reactivity will not increase significantly for either reaction,\nbecause the vibrationally induced attraction almost fully\noperates already at v = 1. probably negligible effect. The mass effect is excluded when\nthe vibrational amplitude is decreased by diminishing the\nrespective quantum number. In Figure 7b, one can see that the\nreaction can be frozen this way too. In both sets of calculations,\nthe excitation functions turn upward at very low collision\nenergies even when the mass of the transferred H atom is set to\nvery large values or when the vibrational “quantum number” is\nmade very small. This remaining capture-type reactivity shows\nthe effect of the “static” attraction, which is rather small when\nit is not assisted by the vibrationally induced attraction. p\ny\nDynamics at Small Vibrational Amplitudes. In QCT\nsimulations, by directly controlling the vibrational amplitude of\nHBr, one can test whether really the large amplitude of the\nground-state HBr vibration is responsible for the large\nreactivity. One possibility is that one increases the mass of\nthe H atom that can be abstracted from the HBr molecule. Experimentally, this can be done by deuterium substitution,\nbut since the amplitude decreases roughly as the 1/4th power\nof the ratio of the mass of protium to that of the heavy isotope,\nthe observable consequences are not spectacular. In\nsimulations of collision dynamics in QCT calculations, one\nhas more freedom and can increase the mass arbitrarily. Another way to reduce the amplitude of the HBr vibration that\nis not available in experiments is that one reduces the\nvibrational action below the 1/2 hν semiclassical prescription. We used both methods. In one set of simulations, we increased\nthe mass of the reactive H atom to 2, 15, and 80 g/mol (the\nlatter two values match those of the group/atom between\nwhich the H atom is transferred). https://doi.org/10.1021/acs.jpca.1c05839\nJ. Phys. Chem. A 2021, 125, 8386−8396 ■RESULTS Figure 5 shows that for\nreaction R2 the contour lines turn away from the horizontal\naxis starting from about the HBr bond length corresponding to\nthe OTP of the zero-point vibration, while for reaction R1, the\neffect occurs at significantly lower energy. This suggests that\nfor the reaction of HO with HBr, the zero-point vibrational\namplitude is at the borderline where the vibrationally induced\nattraction arises, while for the reaction of CH3, the zero-point\namplitude is well above the limit. One can expect that for\nreaction R1 the zero-point vibration induces a reactivity\nenhancement that approaches an upper limit, and by exciting\nthe HBr vibration, the reactivity cannot increase very much. In\nreaction R2, the reactivity enhancement generated by the zero-\npoint vibration is still not as close to the upper limit, and there\nis room for further enhancement when a vibrational quantum OTP, a force component arises that is parallel to the direction\nof approach of the reactants and pulls the reactants toward\neach other. For early barrier reactions, this is not typical\nbehavior. When the barrier is relatively high and is located at\nthe same early position as for reactions R1 and R2, the\ntopography of a saddle requires that the equipotentials turn\ntoward the horizontal axis, similarly to the three lowest contour\nlines above the barrier in Figure 4d. The force component\narising from the curvature of the contour lines is repulsive and\nslows down the approach of the reactants. This force\ncomponent is one of the factors that make vibrational energy 8391 Figure 7. Excitation functions for (a) reaction R1 with the masses of the transferred H atom set to 1, 2, 15, and 80 g/mol (left panel) with ν(HBr)\n= 0 and with ν(HBr) = 4 for mass 15 g/mol; (b) for reaction R2 with vibrational quantum numbers −0.49, −0.4, 0, 1, and 2 with protium mass as\nwell as with mass for the H atom set to 80 g/mol, combined with ν(HBr) = 0. The Journal of Physical Chemistry A\npubs.acs.org/JPCA\nArticle The Journal of Physical Chemistry A In contrast,\nthe probability increases approximately by only a factor of 1.15\nwhen v(HBr) grows from 0 to 1, and the reactivity\nenhancement is negligible when one more vibrational quantum\nbecomes available. These trends show that the vibrational\nground state of HBr is close to some “large vibrational\namplitude limit” for reaction R2 in the capture regime. As\ndiscussed in connection with Figures 5 and 6, this is connected\nto the shape of the potential energy surface: At small\nvibrational amplitude, the OTP of the vibration remains\nclose to the minimum energy path, and the system cannot\nreach the region where the vibrationally induced attraction is\neffective (see Figures 4d and 5). Under such conditions, the\n“static” attraction does bring together the reactants, but it is\nnot strong enough to effectively guide them through the\nbarrier. Once the vibrational amplitude of HBr is large enough\nto allow the reactants to visit the region of the PES where the\nvibrationally induced attraction arises, significant reactivity\nenhancement can be seen. Figure 8b shows from another\nperspective that for reaction R2 this happens somewhere close\nto v(HBr) = 0, and the change is quite sudden. y\nVirtual Violation of Polanyi’s Rule. At first glance, the\nenhancement of the reactivity of an early-barrier reaction by\nvibrational excitation seems to violate one of Polanyi’s rules. The latter states that when the potential barrier is shifted to the\nreactant valley, if one provides the same energy in the form of\ntranslation or vibration, the former is more favorable in\npromoting the reaction. The reason is that the collision energy\nis deposited in the degree of freedom that is directed along the\nuphill valley toward the crest of the barrier, so it can be fully\nutilized by the reactive system to surmount the potential\nbarrier. Vibration, in contrast, corresponds to motion in the\nperpendicular direction, and is de facto useless in climbing the\nbarrier. It can be utilized for surmounting the potential barrier\nonly if it is channeled to the right, uphill direction. If the\npotential barrier is early, the coupling to translation is rather\nlimited, and the vibration remains completely passive. The Journal of Physical Chemistry A pubs.acs.org/JPCA Article Article barrier of the PES, even when the vibrational amplitude is\nsmall. The large vibrational amplitude in this regime cannot\nincrease the reactivity effectively, because the ratio of the time\nscales of vibration and translation becomes less favorable than\nwhen the reactants approach each other slowly. As the relative\nvelocity of the reactants increases, fewer and fewer vibrational\nperiods are completed while the reactants are close to each\nother, and the oscillation of the length of the breaking bond\nrarely reaches the outer turning point where the vibrationally\ninduced attraction is effective. Connection to Non-IRC Dynamics. For the vibrationally\ninduced attraction to operate, the vibrational amplitude needs\nto be large in comparison with the width of the reactant and\nproduct valleys and of the saddle point region. Thus, an\nintrinsic property of such reacting systems is that they do not\nclosely follow the minimum energy path. There is a group of\nphenomena known in the literature where the reaction does\nnot visit certain regions of the PES that are close to the MEP,\nfor example, some van der Waals-type wells. These processes\nare said to be characterized by non-IRC dynamics53−55 (IRC,\nor intrinsic reaction coordinate in this context is equivalent to\npathways involving multiple minima and saddle points\ncontiguously connected by the respective minimum energy\npaths). Non-IRC dynamics is generally considered to take\nplace when the reactants pass a potential barrier, and for\ndynamical reasons, the trajectories leave the neighborhood of\nthe product side of the MEP. In a sense, the behavior of\nreactions where reactivity enhancement is caused by vibra-\ntionally induced attraction can be considered a kind of non-\nIRC dynamics. Here, however, the large deviation from the\nIRC acts before the reactants pass the potential barrier, instead\nof arising after that. As in reactions R1 and R2 the barrier\nregion is often crossed far from the saddle point itself, there is a\nlarge chance of post-transition state non-IRC dynamics in the\nconventional sense. This can be manifested in the product\nenergy distribution among the translational, vibrational, and\nrotational degrees of freedom, but can have chemical\nconsequences such as roaming. In fact, roaming was found\nto take place in the H + HF and H + HCl reactions.39,40 We\nplan to study the possible manifestations of post-transition-\nstate non-IRC dynamics for reactions R1 and R2. Figure 8. The Journal of Physical Chemistry A Opacity functions of (a) reaction R1with different masses of\nthe H atom (denoted as M) of the HBr molecule and (b) reaction R2\nwith various vibrational quantum numbers of HBr. All other degrees\nof freedom are in the ground state. R2 is much larger when v(HBr) increases from −0.4 to 0 than\nwhen it changes from 0 to 1 or 1 to 2, especially when\nconsidering that in the former case the increase of the\nvibrational energy is less than one-half of that in the latter two\ncases. When v(HBr) changes from −0.49 to 0 and −0.4 to 0,\nthe enhancement of the reaction probability at, for example, b\n= 2 Å is roughly a factor of 10 and 5, respectively. In contrast,\nthe probability increases approximately by only a factor of 1.15\nwhen v(HBr) grows from 0 to 1, and the reactivity\nenhancement is negligible when one more vibrational quantum\nbecomes available. These trends show that the vibrational\nground state of HBr is close to some “large vibrational\namplitude limit” for reaction R2 in the capture regime. As\ndiscussed in connection with Figures 5 and 6, this is connected\nto the shape of the potential energy surface: At small\nvibrational amplitude, the OTP of the vibration remains\nclose to the minimum energy path, and the system cannot\nreach the region where the vibrationally induced attraction is\neffective (see Figures 4d and 5). Under such conditions, the\n“static” attraction does bring together the reactants, but it is\nnot strong enough to effectively guide them through the\nbarrier. Once the vibrational amplitude of HBr is large enough\nto allow the reactants to visit the region of the PES where the\nvibrationally induced attraction arises, significant reactivity\nenhancement can be seen. Figure 8b shows from another\nperspective that for reaction R2 this happens somewhere close\nto v(HBr) = 0, and the change is quite sudden. R2 is much larger when v(HBr) increases from −0.4 to 0 than\nwhen it changes from 0 to 1 or 1 to 2, especially when\nconsidering that in the former case the increase of the\nvibrational energy is less than one-half of that in the latter two\ncases. When v(HBr) changes from −0.49 to 0 and −0.4 to 0,\nthe enhancement of the reaction probability at, for example, b\n= 2 Å is roughly a factor of 10 and 5, respectively. The Journal of Physical Chemistry A In Figure 8b, the\neffect of the variation of v(HBr) is displayed. Reduction of the\nreactant’s vibrational quantum number below 0 induces a\nqualitative change of the opacity functions, similarly to the\nincrease of the mass of the transferred atom. Remarkably, at\nlow collision energy the difference of the reactivity in reaction To test the whether the larger inertia of the reactant that\naccompanies the increase of the mass of the H atom of HBr\ncan influence the reactivity beyond reducing the vibrational\namplitude, we calculated the excitation functions with\ncombined variation of mass and vibrational quantum number. For reaction R1, increasing the mass of the H atom to 15 g/\nmol at νHBr = 0 reduces the cross section at Ecoll = 2 kJ/mol\nfrom 40.9 to 4.3 Å2 (see Figure 7). The reactivity, however, can\nbe recovered by vibrational excitation of HBr by increasing the\nvibrational quantum number to 4 (the respective cross section\nbecomes 25.3 Å2). This proves that the mass change\npredominantly affects the reactivity via reducing the vibrational\namplitude, and the lower velocity of approach has a small, 8392 https://doi.org/10.1021/acs.jpca.1c05839\nJ. Phys. Chem. A 2021, 125, 8386−8396 Figure 8. Opacity functions of (a) reaction R1with different masses of\nthe H atom (denoted as M) of the HBr molecule and (b) reaction R2\nwith various vibrational quantum numbers of HBr. All other degrees\nof freedom are in the ground state. The Journal of Physical Chemistry A The Journal of Physical Chemistry A In terms\nof the potential energy surface, for reactions for which\nPolanyi’s rules are designed, the early potential barrier is\nrelatively high or at least positive, and the contour lines on the\nreactant side of the barrier remain repulsive up to large\ndistances from the minimum energy path (in the cuts the\ncontour lines turn toward the forming bond axis). Even for this It is worth noting that at large collision energies, where the\nattraction between the reactants does not affect the reactivity\nas much as at low collision energies, the reaction probabilities\nfor reaction R2 are not very sensitive to the reactant’s\nvibrational quantum number. This agrees with the expectation\nthat the translational energy can be utilized for climbing the 8393 https://doi.org/10.1021/acs.jpca.1c05839\nJ. Phys. Chem. A 2021, 125, 8386−8396 The Journal of Physical Chemistry A pubs.acs.org/JPCA Article Article reducing the vibrational action below the zero-point value,\nwhich resulted in enormous reduction of the reactivity. The\nexcitation functions are capture-type even in this case, which is\ndue to the attractive potential leading into the prereaction\npotential well, but the magnitude of the residual reactivity is\nmuch smaller than what the “vibrationally enhanced attraction”\ninduces. This means that the zero-point energy of the reactant\nvibration is necessary to make these reactions as fast as it is\nmeasurable in experiments. The reactions would be much\nslower without z.p.e., which is a unique quantum effect. kind of reaction, the “vibrationally induced” attraction does\narise when the amplitude of the vibration of the breaking bond\nis large. The attraction facilitates the reaction and even induces\nenormous rate enhancement, such as that observed exper-\nimentally and explained by theory for the reaction of\nvibrationally highly excited water with H atoms.36−40 In the\nprevious sections we have seen that the same factors determine\nthe reactivity when the potential barrier to reaction is early and\nis submerged so that it forms a reef next to a shallow\nprereaction potential well. Vibrational excitationin fact,\nalready when it is relatively lowin such cases does promote\nthe reaction, which might sound like a violation of Polanyi’s\nrule. However, the rule also includes a comparison with the\nefficiency of collisional energy. The translational energy in the\ncases of vibrationally induced attraction, instead of promoting\nthe reaction, is not favorable; instead, the reactivity decreases\nwith increasing collision energy. Notes The authors declare no competing financial interest. The authors declare no competing financial interest. ■AUTHOR INFORMATION The effect of vibrational excitation on the reactivity of systems\nwhose potential energy surfaces are characterized by a\npotential well corresponding to a prereaction complex and a\nsubmerged barrier acting as a reef in the formed “lagoon” were\nstudied. For reactions of CH3 and HO radicals with HBr, the\nQCT calculations revealed unexpectedly large reactivity: the\nreaction cross sections diverge swiftly when the collision\nenergy is reduced. In addition, both reactions are accelerated\nwhen the HBr reactant is vibrationally excited. The capture-\ntype excitation functions observed for this reaction repeat what\nhas been seen for the HO + HBr reaction. The large reactivity\nhas been traced back to a static component determined by the\nshape of the potential energy surface and a dynamical factor\noriginating in the dynamics of the motion of atoms. The static\nfactor is that the potential energy decreases on the path leading\ninto the prereaction potential well when the distance between\nthe reactants diminishes. The dynamical factor comes from the\nbond length oscillation of the breaking H−Br bond, the\namplitude of which is large already in the vibrational ground\nstate of HBr. The oscillation generates extra attraction between\nthe reactants, essentially independent of whether there is a\nbarrier to the reaction. The additional attraction arises when\nthe reacting system leaves the close neighborhood of the\nminimum energy path (MEP). In particular, when the HBr\nmolecule is fully stretched, the trajectories visit the region of\nthe PES where, as a function of the length of the forming bond,\nthe potential is attractive. The larger the vibrational excitation,\nthe larger the attraction in the stretched phase of the reactant\nvibration is, and the larger the reactivity. The curiosity of the\nreactions studied here is that the potential energy surface\nallows large-amplitude vibration even in the vibrational ground\nstate of the reactants. As a consequence, the divergence of the\nexcitation function is enhanced more by “vibrationally\nenhanced attraction” than by static attraction. In test\ncalculations, the reactant vibrational amplitude was artificially\ndecreased by increasing the mass of the abstracted atom or by Corresponding Author György Lendvay −Institute of Materials and Environmental\nChemistry, Research Centre for Natural Sciences, H-1117\nBudapest, Hungary; Center for Natural Sciences, Faculty of\nEngineering, University of Pannonia, Veszprém 8200,\nHungary;\norcid.org/0000-0002-2150-0376;\nEmail: lendvay.gyorgy@ttk.mta.hu The Journal of Physical Chemistry A Thus, the question, “in which\nmode should one provide the same energy to achieve larger\nreactivity?” is meaningless. Polanyi’s rules apply to systems\nwhich more-or-less follow the minimum energy path. This is\nnot the case when the vibrational amplitude is large, so one\nshould not expect the rules to apply to this kind of reactivity\nenhancement. It remains to be seen whether the extension to\nPolanyi’s rules, the sudden vector projection model of Guo and\nco-workers56,57 can explain this phenomenon. The conditions inducing the vibrational enhancement of the\nreactivity of this kind of early barrier reactions are different\nfrom those that govern reactions that more closely follow the\nMEP, for which Polanyi’s rules have been designed. Thus,\nthese reactions are beyond the sphere of applicability of these\nrules. Authors Benjámin Csorba −Institute of Materials and Environmental\nChemistry, Research Centre for Natural Sciences, H-1117\nBudapest, Hungary Budapest, Hungary\nPéter Szabó −Institute of Materials and Environmental\nChemistry, Research Centre for Natural Sciences, H-1117\nBudapest, Hungary; Present Address: Department of\nPhysics and Materials Science, University of Luxembourg,\nL-1511 Luxembourg, Luxembourg\nSzabolcs Góger −Institute of Materials and Environmental\nChemistry, Research Centre for Natural Sciences, H-1117\nBudapest, Hungary; Present Address: Department of\nPhysics and Materials Science, University of Luxembourg,\nL-1511 Luxembourg, Luxembourg Péter Szabó −Institute of Materials and Environmental\nChemistry, Research Centre for Natural Sciences, H-1117\nBudapest, Hungary; Present Address: Department of\nPhysics and Materials Science, University of Luxembourg,\nL-1511 Luxembourg, Luxembourg Péter Szabó −Institute of Materials and Environmental\nChemistry, Research Centre for Natural Sciences, H-1117\nBudapest, Hungary; Present Address: Department of\nPhysics and Materials Science, University of Luxembourg,\nL-1511 Luxembourg, Luxembourg g\ng\nSzabolcs Góger −Institute of Materials and Environmental\nChemistry, Research Centre for Natural Sciences, H-1117\nBudapest, Hungary; Present Address: Department of\nPhysics and Materials Science, University of Luxembourg,\nL-1511 Luxembourg, Luxembourg Complete contact information is available at:\nhttps://pubs.acs.org/10.1021/acs.jpca.1c05839 *\nsı Supporting Information Plots of potential energy surfaces for the H+HF reaction\nand the vibrational enhancement factors for reactions R1\nand R2 (PDF) ■ASSOCIATED CONTENT *\nsı Supporting Information\nThe Supporting Information is available free of charge at\nhttps://pubs.acs.org/doi/10.1021/acs.jpca.1c05839. ■REFERENCES 2014, 53, 1122. (32) Song, H.; Li, J.; Guo, H. Mode Specificity in the HF + OH →F\n+ H2O Reaction. J. Chem. Phys. 2014, 141, 164316. g\ng\n(12) Yung, Y. L.; Pinto, J. P.; Watson, R. T.; Sander, S. P. Atmospheric Bromine and Ozone Perturbations in the Lower\nStratosphere. J. Atmos. Sci. 1980, 37, 339−353. y\n(33) Song, H.; Guo, H. Mode Specificity in the HCl + OH →Cl + (33) Song, H.; Guo, H. Mode Specificity in the HCl + OH →Cl +\nH2O Reaction: Polanyi’s Rules vs. Sudden Vector Projection model. J. Phys. Chem. A 2015, 119, 826−831. p\nJ\n(13) Wayne, R. P. Chemistry of Atmospheres; Oxford University\nPress: Oxford, U.K., 2000. y\n(34) Barnes, P. W.; Sharkey, P.; Sims, I. R.; Smith, I. W. M. Rate\nCoefficients for the Reaction and Relaxation of H2O in Specific\nVibrational States with H Atoms and H2O. Faraday Discuss. 1999,\n113, 167−180. (14) Noto, T.; Babushok, V. I.; Burgess, D. R. F.; Hamins, A.; Tsang,\nW.; Miziolek, A. Effect of Halogenated Flame Inhibitors on C1-C2\nOrganic Flames, Twenty-Sixth Symposium (International) on Combus-\ntion; The Combustion Institute, Pittsburgh, 1996; pp 1377−1383. (35) Schatz, G. C.; Wu, G.; Lendvay, G.; Fang, D.-C.; Harding, L. B. Reaction of H with Highly Vibrationally Excited Water: Activated or\nNot? Faraday Discuss. 1999, 113, 151−165. (15) Russell, J. J.; Seetula, J. A.; Gutman, D. Kinetics and\nThermochemistry of Methyl, Ethyl, and Isopropyl. Study of the\nEquilibrium R + HBr ⇌R-H + Br. J. Am. Chem. Soc. 1988, 110,\n3092−3099 Note that the rate coefficients reported in this paper were\nshown to be too low by about a factor of two in Ref 17.. (36) Barnes, P.; Sims, I. R.; Smith, I. W. M.; Lendvay, G.; Schatz, G. C. The Branching Ratio Between Reaction and Relaxation in the\nRemoval of H2O from its |04>−Vibrational State in Collisions with H\natoms. J. Chem. Phys. 2001, 115, 4586−4592. (16) Nicovich, J. M.; Van Dijk, C. A.; Kreutter, K. D.; Wine, P. H. Kinetics of the Reactions of Alkyl Radicals with Hydrogen Bromide\nand Deuterium Bromide. J. Phys. Chem. 1991, 95, 9890−9896. y\n(37) Bene, E.; Lendvay, G.; Póta, G. Dynamics of Bimolecular\nReactions of Vibrationally Excited Molecules, in Theory of chemical\nreaction dynamics, Laganà, A.; Lendvay, G., Eds.; Kluwer: Dordrecht,\n2004. y\n(17) Seakins, P. W.; Pilling, M. J.; Niiranen, J. T.; Gutman, D.;\nKrasnoperov, L. N. ■REFERENCES (20) Góger, S.; Szabó, P.; Czakó, G.; Lendvay, G. Flame Inhibition\nChemistry: Rate Coefficients of the Reactions of HBr with CH3 and\nOH Radicals at High Temperatures Determined by Quasiclassical\nTrajectory Calculations. Energy Fuels 2018, 32, 10100−10105. (1) Guo, H. Quantum Dynamics of Complex-forming Bimolecular\nReactions. Int. Rev. Phys. Chem. 2012, 31, 1−68. y\n(2) Li, G.; Zhou, L.; Li, Q.-S.; Xie, Y.; Schaefer, H. F., III The\nEntrance Complex, Transition State, and Exit Complex for the F +\nH2O →HF + OH Reaction. Phys. Chem. Chem. Phys. 2012, 14,\n10891. (21) Bell, R. P. The Theory of Reactions Involving Proton Transfers. Proc. Soc. London, Ser. A 1936, 154, 414. (22) Evans, M. G.; Polanyi, M. Inertia and Driving Force of\nChemical Reactions. Trans. Faraday Soc. 1938, 34, 11. (3) Guo, Y.; Zhang, M.; Xie, Y.; Schaefer, H. F., III. Communication: Some Critical Features of the Potential Energy\nSurface for the Cl + H2O →HCl + OH Forward and Reverse\nReactions. J. Chem. Phys. 2013, 139, 041101. y\n(23) de Oliveira-Filho, A. G. S.; Ornellas, F. R.; Bowman, J. M. (23) de Oliveira-Filho, A. G. S.; Ornellas, F. R.; Bowman, J. M. Quasiclassical Trajectory Calculations of the Rate Constant of the\nOH + HBr - Br + H2O Reaction Using a Full-dimensional Ab Initio\nPotential Energy Surface Over the Temperature Range 5 to 500 K. J. Phys. Chem. Lett. 2014, 5, 706−712. Quasiclassical Trajectory Calculations of the Rate Constant of the\nOH + HBr - Br + H2O Reaction Using a Full-dimensional Ab Initio Potential Energy Surface Over the Temperature Range 5 to 500 K. J. Phys. Chem. Lett. 2014, 5, 706−712. J\ny\n(4) Zhang, M.; Hao, Y.; Guo, Y.; Xie, Y.; Schaefer, H. F. Anchoring\nthe Potential Energy Surface for the Br + H2O →HBr + OH\nReaction. Theor. Chem. Acc. 2014, 133, 1513. (24) Troe, J. Recent Advances in Statistical Adiabatic Channel\nCalculations of State-Specific Dissociation Dynamics. Adv. Chem. Phys. 1997, 101, 819−851. (5) Hao, Y.; Gu, J.; Guo, Y.; Zhang, M.; Xie, Y.; Schaefer, H. F., III\nSpin-orbit Corrected Potential Energy Surface Features for the I\n(2P3/2) + H2O →HI + OH Forward and Reverse Reactions, Phys. Phys. Chem. Chem. Phys. 2014, 16, 2641−2646. (25) Gao, D.; Xin, X.; Wang, D.; Szabó, P.; Lendvay, G. in\npreparation. (26) Wang, Y.; Li, Y.; Wang, D. The Journal of Physical Chemistry A pubs.acs.org/JPCA Article ■ACKNOWLEDGMENTS Financial support for this work has been provided by the\nNational Research, Development and Innovation Fund of\nHungary under Grant No. K129140 (GL) as well as by the\ngrant VEKOP-2.3.2-16-2017-00013 sponsored by the Govern-\nment of Hungary, cofinanced by the European Union. 8394 https://doi.org/10.1021/acs.jpca.1c05839\nJ. Phys. Chem. A 2021, 125, 8386−8396 The Journal of Physical Chemistry A ■REFERENCES Quantum Dynamics Study of\nEnergy Requirement on Reactivity for the HBr + OH Reaction with a\nNegative-Energy Barrier. Sci. Rep. 2017, 7, 40314. y\ny\n(6) Li, J.; Li, Y.; Guo, H. Communication: Covalent Nature of X-\nH2O (X = F, Cl, and Br) Interactions. J. Chem. Phys. 2013, 138,\n141102. Negative-Energy Barrier. Sci. Rep. 2017, 7, 40314. (\n) (27) Che, D.-C.; Matsuo, T.; Yano, Y.; Bonnet, L.; Kasai, T. Negative Collision Energy Dependence of Br Formation in the OH +\nHBr Reaction. Phys. Chem. Chem. Phys. 2008, 10, 1419−1423. (7) Wheeler, M. D.; Tsiouris, M.; Lester, M. I.; Lendvay, G. OH\nVibrational Activation and Decay Dynamics of CH4-OH Complexes. J. Chem. Phys. 2000, 112, 6590. y\ny\n(28) Che, D.-C.; Doi, A.; Yamamoto, Y.; Okuno, Y.; Kasai, T. Collision energy dependence for the Br formation in the reaction of\nOD + HBr. Phys. Scr. 2009, 80, 048110. (8) Czakó, G.; Bowman, J. M. Reaction Dynamics of Methane with\nF, O, Cl, and Br on Ab Initio Potential Energy Surfaces. J. Phys. Chem. A 2014, 118, 2839. (29) Polanyi, J. C. Some Concepts in Reaction Dynamics. Science\n1987, 236, 680−690. (9) Czakó, G. Accurate Ab Initio Potential Energy Surface,\nThermochemistry, and Dynamics of the Br(2P, 2P3/2) + CH4 →\nHBr + CH3 Reaction. J. Chem. Phys. 2013, 138, 134301. (30) Wang, Y.; Ping, L.; Song, H.; Yang, M. Breakdown of the\nVibrationally Adiabatic Approximation in the Early-barrier CH3 +\nHBr →CH4 + Br Reaction. Theor. Chem. Acc. 2017, 136, 59. (10) Li, J.; Jiang, B.; Guo, H. Enhancement of Bimolecular Reactivity\nby a Pre-reaction van der Waals Complex: The Case of F + H2O - HF\n+ HO. Chem. Sci. 2013, 4, 629−632. (31) Espinosa-Garcia, J. Potential Energy Surface for the CH3 + HBr\n→CH4 + Br Hydrogen Abstraction Reaction: Thermal and State-\nselected Rate Constants, and Kinetic Isotope Effects. J. Chem. Phys. 2002, 117, 2076−2086. (11) Westermann, T.; Kim, J. B.; Weichman, M. L.; Hock, C.;\nYacovitch, T. I.; Palma, J.; Neumark, D. M.; Manthe, U. Resonances (11) Westermann, T.; Kim, J. B.; Weichman, M. L.; Hock, C.;\nYacovitch, T. I.; Palma, J.; Neumark, D. M.; Manthe, U. Resonances\nin the Entrance Channel of the Elementary Chemical Reaction of\nFluorine and Methane, Angew. Angew. Chem., Int. Ed. 2014, 53, 1122. in the Entrance Channel of the Elementary Chemical Reaction of\nFluorine and Methane, Angew. Angew. Chem., Int. Ed. https://doi.org/10.1021/acs.jpca.1c05839\nJ. Phys. Chem. A 2021, 125, 8386−8396 ■REFERENCES Kinetics and Thermochemistry of R + Hydrogen\nBromide ⇌RH + Bromine Atom Reactions: Determinations of the\nHeat of Formation of Ethyl, Isopropyl, sec-Butyl and tert-Butyl\nRadicals. J. Phys. Chem. 1992, 96, 9847−9855. (38) Bene, E.; Póta, G.; Lendvay, G. Dynamics of Bimolecular\nReactions of Vibrationally Highly Excited Molecules: Quasiclassical\nTrajectory Studies. J. Phys. Chem. A 2005, 109, 8336−8340. J\ny\n(18) Seetula, J. A. Kinetics of the R + HBr →RH + Br (R = CH2I or\nCH3) Reaction. An Ab Initio Study of the Enthalpy of Formation of\nthe CH2I, CHI2 and CI3 Radicals. Phys. Chem. Chem. Phys. 2002, 4,\n455−460. (39) Bene, E.; Lendvay, G. Theoretical Study of the Reaction of H\nAtoms with Vibrationally Highly Excited HF Molecules. J. Phys. Chem. A 2006, 110, 3231−3237. ́ (40) Bencsura, Á.; Lendvay, G. Bimolecular Reactions of Vibration-\nally Excited Molecules. Roaming Atom Mechanism at Low Kinetic\nEnergies. J. Phys. Chem. A 2012, 116, 4445−4456. (19) Mullen, C.; Smith, M. A. Temperature Dependence and Kinetic\nIsotope Effects for the OH + HBr Reaction and H/D Isotopic\nVariants at Low Temperatures (53−135 K) Measured Using a Pulsed\nSupersonic Laval Nozzle Flow Reactor. J. Phys. Chem. A 2005, 109,\n3893−3902 and references therein. g\nJ\ny\n(41) Truhlar, D. G.; Muckerman, J. T. in Atom-Molecule Collision\nTheory: A Guide for the Experimentalist, Bernshtein, R. B., Ed.; Plenum\nPress: New York, 1979; Chapter 16, pp 505−566. 8395 https://doi.org/10.1021/acs.jpca.1c05839\nJ. Phys. Chem. A 2021, 125, 8386−8396 Article pubs.acs.org/JPCA The Journal of Physical Chemistry A The Journal of Physical Chemistry A (42) Porter, R. N.; Raff, L. M. in Dynamics of Molecular Collisions,\nPart B, Miller, W. H., Ed.; Plenum Press: New York, 1976; Chapter 1,\npp 1−52. (43) Raff, L. M.; Porter, R. N.; Miller, W. H. Quasiclassical Selection\nof Initial Coordinates and Momenta for a Rotating Morse Oscillator. J. Chem. Phys. 1975, 63, 2214−2218. (44) Chapman, S.; Bunker, D. L. An Exploratory Study of Reactant\nVibrational Effects in CH3 + H2 and its Isotopic Variants. J. Chem. Phys. 1975, 62, 2890−2899. y\n(45) Hase, W. L. in Encyclopedia of Computational Chemistry,\nSchleyer, P. v. R., Ed.; John Wiley & Sons, Ltd: Chichester, UK, 2002. (\n) (46) Lendvay, G. in Unimolecular Kinetics, Comprehensive Chemical\nKinetics Vol 43, Robertson, S. H., Ed.; Elsevier: Amsterdam,\nNetherlands, 2019; Chapter 3, pp 109−272. (47) Nagy, T.; Vikár, A.; Lendvay, G. Oscillatory Reaction Cross\nSections Caused by Normal Mode Sampling in Quasiclassical\nTrajectory Calculations. J. Chem. Phys. 2016, 144, 14104. (\n) (48) Nagy, T.; Lendvay, G. Beyond the Normal Mode Picture: the\nImportance of the Reactant’s Intramolecular Mode Coupling in\nQuasiclassical Trajectory Simulations. Mol. Phys. 2021, e1939451. (49) Szabó, P.; Lendvay, G. A Quasiclassical Trajectory Study of the\nReaction of H Atoms with O2(1Δg). J. Phys. Chem. A 2015, 119,\n7180−7189. (50) Van Wyngarden, A. L.; Mar, K. A.; Boering, K. A.; Lin, J. J.;\nLee, Y. T.; Lin, S.-Y.; Guo, H.; Lendvay, G. Nonstatistical Behavior of\nReactive Scattering in the 18O + 32O2 Isotope Exchange Reaction. J. Am. Chem. Soc. 2007, 129, 2866−2870. (51) Lahankar, S. A.; Zhang, J.; Minton, T. K.; Guo, H.; Lendvay, G. Dynamics of the O-Atom Exchange Reaction 16O(3P) + 18O18O(3Σg\n−)\n→16O18O(3Σg\n−) + 18O(3P) at Hyperthermal Energies. J. Phys. Chem. A 2016, 120, 5348−5359. (52) Hase, W. L.; Duchovic, R. J.; Lu, D.-H.; Swamy, K. N.; Vande,\nS. R.; Linde, R.; Wolf, J. VENUS: A General Chemical Dynamics\nComputer Program; Wayne State University: Detroit, MI, 1988. (\n) (53) Bowman, J. M.; Shepler, B. C. Roaming Radicals. Annu. Rev. Phys. Chem. 2011, 62, 531−53. (54) Jayee, B.; Hase, W. L. Nonstatistical Reaction Dynamics. Annu. Rev. Phys. Chem. 2020, 71, 289−313. y\n(55) Lourderaj, U.; Park, K.; Hase, W. L. Classical Trajectory\nSimulations of Post-transition State Dynamics. Int. Rev. Phys. Chem. 2008, 27, 361−403. (56) Jiang, B.; Guo, H. Relative Efficacy of Vibrational Vs. The Journal of Physical Chemistry A Translational Excitation in Promoting Atom-Diatom Reactivity:\nRigorous Examination of Polanyi’s Rules and Proposition of Sudden\nVector Projection (SVP) Model. J. Chem. Phys. 2013, 138, 234104. (57) Guo, H.; Jiang, B. The Sudden Vector Projection Model for\nReactivity: Mode Specificity and Bond Selectivity Made Simple. Acc. Chem. Res. 2014, 47, 3679−3685. (56) Jiang, B.; Guo, H. Relative Efficacy of Vibrational Vs. Translational Excitation in Promoting Atom-Diatom Reactivity:\nRigorous Examination of Polanyi’s Rules and Proposition of Sudden\nVector Projection (SVP) Model. J. Chem. Phys. 2013, 138, 234104. (57) Guo, H.; Jiang, B. The Sudden Vector Projection Model for\nReactivity: Mode Specificity and Bond Selectivity Made Simple. Acc. Chem. Res. 2014, 47, 3679−3685. 8396"
|
https://openalex.org/W2288057272
|
http://www.scielo.br/pdf/csp/v31n9/0102-311X-csp-31-9-1916.pdf
|
Portuguese
| null |
Alcohol use alone and in combination with other drugs among truck drivers on highways in São Paulo State, Brazil: a cross-sectional study
| null | 2,015
|
cc-by
| 8,444
|
Correspondência
L. G. Oliveira
Departamento de Medicina
Legal, Ética Médica e
Medicina Social e do
Trabalho, Faculdade de
Medicina, Universidade
de São Paulo.
Av. Dr. Arnaldo 455, São
Paulo, SP 01246-903, Brasil.
lucgoliver@gmail.com 1 Faculdade de Medicina,
Universidade de São Paulo,
São Paulo, Brasil. Uso exclusivo de álcool e em associação a
outras drogas entre motoristas de caminhão que
trafegam por rodovias do Estado de São Paulo,
Brasil: um estudo transversal Alcohol use alone and in combination with other
drugs among truck drivers on highways in São
Paulo State, Brazil: a cross-sectional study Consumo exclusivo del alcohol, en combinación
con otras drogas, entre los conductores que
transitan por las carreteras del Estado de São
Paulo, Brasil: un estudio transversal Kae Leopoldo 1
Vilma Leyton 1
Lucio Garcia de Oliveira 1 ARTIGO ARTICLE
1916 ARTIGO ARTICLE
1916 ARTIGO ARTICLE
1916 Uso exclusivo de álcool e em associação a
outras drogas entre motoristas de caminhão que
trafegam por rodovias do Estado de São Paulo,
Brasil: um estudo transversal Cad. Saúde Pública, Rio de Janeiro, 31(9):1916-1928, set, 2015 Kae Leopoldo 1
Vilma Leyton 1
Lucio Garcia de Oliveira 1 Introdução relacionados ao consumo de álcool são os que
causam maior número de afastamentos do tra
balho e aposentadorias precoces 8. Nesse con
texto, prioridade deve ser dada à investigação da
tendência atual do uso múltiplo de drogas 9,10,11,
em que usuários de álcool usam-no juntamen
te a outras substâncias psicoativas, ao mesmo
tempo ou não, com finalidades diversas 10. Preo
cupa notar que o uso múltiplo de drogas agrava
a emissão de comportamentos de risco no trân
sito 12, tornando o condutor mais predisposto ao
acontecimento de acidentes de trânsito. Embora
a existência do uso múltiplo de drogas já tenha
sido citada entre motoristas de caminhão 13, de
talhamentos são necessários. A Organização Mundial da Saúde (OMS) apon
tou que os acidentes de trânsito causaram, em
2010, cerca de 1,24 milhões de mortes e feriu de
20 milhões a 50 milhões de pessoas no mundo,
gerando um ônus de 1% a 2% do produto interno
bruto (PIB) dos países de renda baixa e média 1. No Brasil, no ano de 2012, houve 46.051
mortes (Departamento de Informática do SUS. Estatísticas vitais. http://www2.datasus.gov.br/
DATASUS/index.php?area=0205, acessado em
17/Nov/2014) e 619 mil pessoas foram feridas
em decorrência de acidentes de trânsito 2, one
rando os cofres públicos em 22 bilhões de Re
ais, o correspondente a 1,2% do PIB brasileiro
3. Nesse cenário, as rodovias do Estado de São
Paulo concentram o maior número de acidentes
de trânsito, totalizando mais de 70 mil acidentes
e 20 mil vítimas por ano 3. Quanto ao tipo de ve
ículo, os caminhões respondem por, aproxima
damente, 30% dessas ocorrências nas rodovias
brasileiras (Departamento Nacional de Infraes
trutura de Transportes. Estatísticas de acidentes. http://www.dnit.gov.br/rodovias/operacoes-
rodoviarias/estatisticas-de-acidentes, acessado
em 17/Nov/2014). Em março de 2010, a Assembleia Geral das
Nações Unidas proclamou o período de 2011 a
2020 como a Década de Ação pela Segurança no
Trânsito, que tem por objetivo reduzir 50% da
mortalidade mundial no trânsito 14. O Brasil é um
dos países signatários e também se propôs a essa
meta mundial. Dessa forma, conhecer o padrão
de uso de álcool e sua associação a outras dro
gas entre motoristas de caminhão é subsídio im
prescindível para que as autoridades públicas e
competentes elaborem medidas de intervenção
e políticas públicas que venham a reduzir os aci
dentes de trânsito pela categoria. Resumo Saúde Pública, Rio de Janeiro, 31(9):1916-1928, set, 2015 USO DE ÁLCOOL E OUTRAS DROGAS ENTRE MOTORISTAS DE CAMINHÃO
1917 Introdução Ademais, em
contexto nacional, a realização de estudos sobre
o uso de álcool entre os motoristas é essencial
à compreensão e, sobretudo, ao cumprimento
das leis que coíbem o comportamento de beber
e dirigir, como a Lei no 11.705/2008 15 (conhecida
por Lei Seca) e a Lei no 12.706/2012 16, que estabe
lecem punições severas aos infratores. Dirigir sob o efeito de álcool é uma das prin
cipais causas de acidentes de trânsito 1, de tal
forma que a ingestão de poucas doses alcoólicas
já é suficiente para aumentar a predisposição do
condutor para emitir algum comportamento de
risco 4. No Brasil, é preocupante notar que quase
40% da população relataram ter dirigido ao me
nos uma vez depois de ter bebido 5. Especificamente entre os motoristas de ca
minhão, estudos sobre o uso de álcool e outras
substâncias psicoativas ainda são incipientes 6. Uma revisão sistemática da literatura apontou
recentemente que 54,3% dos motoristas de cami
nhão brasileiros relataram usar álcool, enquanto
3,6% deles tinham algum nível de álcool no san
gue, conforme os resultados da análise toxicoló
gica de amostras biológicas 6, sugerindo, então,
que esses últimos estivessem dirigindo sob o
efeito de álcool. Entretanto, os poucos estudos
que avaliaram o uso de álcool entre os motoristas
de caminhão deixaram de caracterizar o padrão
de uso, assim como não identificaram quantos
destes estariam sob o risco de desenvolver abuso
ou dependência. Essa informação é imprescin
dível, já que reincidentes do comportamento de
beber e dirigir fazem uso pesado de álcool 7, ne
cessitando de intervenções focadas no sujeito. Portanto, de forma inédita, o presente traba
lho avalia o padrão de uso de álcool e a existência
de uso múltiplo de drogas entre motoristas de
caminhão, com a identificação das substâncias
psicoativas mais frequentemente envolvidas
nessa situação, assunto que não foi tratado dire
tamente por estudos prévios, tampouco por le
vantamentos estatísticos. Finalmente, levanta-se
a hipótese de que usuários de múltiplas drogas
consumiriam mais álcool do que usuários ex
clusivos de álcool, questão que também é foco
deste estudo. Resumo Os acidentes de trânsito têm causado mais de
um milhão de mortes no mundo. O Brasil é um
dos países recordistas quanto a esse indicador. Como o consumo de álcool é fator etiológico
para o acontecimento de acidentes de trânsito,
buscou-se estimar o padrão de uso de álcool e o
uso múltiplo de álcool e outras drogas em uma
amostra de conveniência de 684 motoristas de
caminhão no Estado de São Paulo, Brasil. Obser
vou-se que, nos trinta dias prévios à entrevista,
67,3% dos participantes usaram álcool, 34,6% de
forma pesada, 26% como binge drinking e 9,2%
estavam sob o risco de desenvolver dependência. Ainda, 54,6% deles relataram o uso múltiplo de
álcool e outras drogas, tendo usado álcool pre
dominantemente com tabaco e energéticos. Os
participantes que relataram uso múltiplo de
álcool e outras drogas apresentaram consumo
mais pesado de álcool em relação àqueles que
ingeriram apenas álcool. Em linhas gerais, o uso
de drogas é um problema no contexto de trânsi
to e pode piorar sob a condição de uso múltiplo
de álcool e outras drogas. Assim, os autores suge
rem a vigilância do tema, dado que esse quadro
gera, potencialmente, não só sérios problemas
à saúde do usuário, mas também à sociedade
como um todo. Traffic accidents cause more than a million
deaths per year worldwide. Brazil is one of the
leading countries in traffic accidents. Since al
cohol is a known etiological factor for traffic ac
cidents, the pattern of alcohol use alone and in
combination with other drugs was assessed in a
convenience sample of 684 truck drivers in São
Paulo State, Brazil. 67.3% of participants report
ed alcohol use in the previous 30 days, 34.6% re
ported heavy drinking, 26% binge drinking, and
9.2% were at risk of developing alcohol addic
tion. Furthermore, 54.6% reported multiple drug
use, mostly alcohol with tobacco and energy
drinks. Truck drivers that reported multiple drug
use showed heavier alcohol use than those who
consumed only alcohol. Drinking and driving is
problematic and can be aggravated by multiple
drug use. The authors thus suggest monitoring
the issue, which creates serious problems for us
ers and society as a whole. Traffic Accidents; Alcoholism; Alcoholic
Beverages; Cross-sectional Studies Traffic Accidents; Alcoholism; Alcoholic
Beverages; Cross-sectional Studies Acidentes de Trânsito; Alcoolismo; Bebidas
Alcoólicas; Estudos Transversais Acidentes de Trânsito; Alcoolismo; Bebidas
Alcoólicas; Estudos Transversais http://dx.doi.org/10.1590/0102-311X00047214 Cad. Cad. Saúde Pública, Rio de Janeiro, 31(9):1916-1928, set, 2015 •
Informações sobre uso de álcool
e outras drogas contemplada com recursos financeiros da Fun
dação de Amparo à Pesquisa do Estado de São
Paulo (FAPESP), Programa Auxílio Pesquisa Jo
vem Pesquisador (processo no 2011/11682-0). Ainda como parte do instrumento de pesquisa,
os participantes foram solicitados a responder
sobre a experiência pessoal com o uso de álcool,
tabaco e outras drogas, conforme o uso na vi
da (definido como o uso experimental, ou seja,
“pelo menos uma vez na vida”), nos últimos 12
meses (no ano, ou seja, “pelo menos uma vez
nos 12 meses que antecederam a entrevista”) e
nos últimos 30 dias 18. Especificamente sobre o
uso de álcool, se foi positivo nos últimos 30 dias,
determinou-se, então, a frequência e, sobretudo,
a quantidade de uso em uma sessão típica (em
termos do número de doses-padrão de álcool) e
na ocasião de maior consumo. Posteriormente,
as variáveis de frequência e quantidade de uso
de álcool foram combinadas para determinar o
padrão de consumo da substância nos últimos
30 dias. Então, o padrão de uso de álcool foi cate
gorizado em leve, moderado e pesado, de acordo
com os critérios adotados pela pesquisa Gen
der, Alcohol and Culture: An International Study
(GENACIS) 19, da OMS. Ainda nesse sentido, os
participantes foram questionados sobre o uso de
álcool no padrão beber pesado episódico (BPE ou
binge drinking), definido, para homens, como o
uso de cinco ou mais doses-padrão de álcool por
ocasião, dentro de um período de duas horas 20. Os critérios do Teste de Triagem do Envolvimento
com Álcool, Cigarro e Outras Substâncias (ASSIST-
WHO, versão 3.1) 21 também foram incluídos no
instrumento de pesquisa, a fim de avaliar o nível
de risco para o desenvolvimento de dependên
cia, em associação ao uso de álcool, categorizado
em: (a) “risco baixo” (uso ocasional ou não pro
blemático; até 10 pontos); (b) “risco moderado”
(uso regular que necessita de intervenção breve;
de 11 a 26 pontos) e (c) “risco alto” (uso frequente
e problemático, indicativo de que o indivíduo já
deve ser encaminhado a um programa especia
lizado de tratamento; 27 ou mais pontos). Co
mo as frequências de uso de “risco alto” foram
baixas, as pontuações referentes a “risco mode
rado” e “risco alto” foram agrupadas (acima de
11 pontos), visando a descrever, no geral, o uso
nocivo de álcool. •
Informações sobre uso de álcool
e outras drogas Finalmente, as medidas de uso
na vida, no ano e no mês foram empregadas pa
ra a avaliação da frequência do uso múltiplo de
drogas entre os participantes, mediante proce
dimentos já descritos por Oliveira et al. 11. Nesse
sentido, duas categorias de uso múltiplo foram
investigadas: (a) uso múltiplo de drogas do tipo
concorrente (CPU), que consiste no uso de du
as ou mais substâncias psicoativas em ocasiões
diferentes (dentro de um período de um mês,
l
t
i t
l d t
) Métodos Este artigo é parte integrante de um estudo epi
demiológico, exploratório, observacional, do ti
po transversal, aprovado pelo Comitê de Ética
em Pesquisa (CEP) da Faculdade de Medicina,
Universidade de São Paulo (FMUSP; protocolo
no 377/11). A pesquisa foi realizada no período
de junho de 2012 a setembro de 2013, sendo Some-se a esse quadro o fato de que o uso de
álcool pode dificultar ou impossibilitar a ativida
de laboral dos motoristas de caminhão, uma vez
que os transtornos mentais e comportamentais Cad. Saúde Pública, Rio de Janeiro, 31(9):1916-1928, set, 2015 Leopoldo K et al. 1918 Leopoldo K et al. •
Informações sobre uso de álcool
e outras drogas Participantes Uma amostra não probabilística de 684 motoris
tas de caminhão que circulavam por três rodo
vias do Estado de São Paulo (Presidente Dutra,
Fernão Dias e Cônego Domênico Rangoni) foi
recrutada em postos de atendimento das enti
dades civis Serviço Social do Transporte (SEST),
Serviço Nacional de Aprendizagem do Trans
porte (SENAT. http://www.sestsenat.org.br/Pagi
nas/Index.aspx). Como a pesquisa que originou
o presente estudo pretendeu avaliar os efeitos do
uso de substâncias psicoativas sobre o funciona
mento de atenção de motoristas de caminhão,
os sujeitos que apresentassem pelo menos uma
condição de saúde que interferisse nessa avalia
ção foram excluídos da amostra, a citar: (a) ter
dificuldade para a visualização de cores; (b) estar
sob o uso terapêutico de medicamentos psicoati
vos; (c) relatar o acontecimento de traumatismo
cranioencefálico (TCE) na vida; (d) ter sofrido al
gum episódio com perda de consciência na vida;
(e) ter histórico de doenças neurológicas, assim
como (f) de soropositividade para HIV. Cad. Saúde Pública, Rio de Janeiro, 31(9):1916-1928, set, 2015 Resultados Todos os motoristas de caminhão que estavam à
disposição nos postos de atendimento da SEST-
SENAT foram abordados por um recrutador
da equipe, que, então, informava os potenciais
participantes sobre a realização da pesquisa
naquele dia, horário e posto de atendimento. Caso consentissem em participar, os motoris
tas eram então encaminhados a entrevistadores
que explicaram os objetivos do estudo, o tempo
necessário para responder aos instrumentos de
pesquisa, ressaltando os princípios de volunta
riedade e confidencialidade da informação. O
Termo de Consentimento Livre e Esclarecido foi
lido pelos entrevistadores e, quando de acordo,
assinado pelos motoristas. Em contrapartida, se
o motorista declinava de participar do estudo,
suas informações de gênero, idade e motivo de
recusa foram anotadas. Entre aqueles que acei
taram participar, o entrevistador aplicou o ins
trumento de pesquisa na íntegra, com a solicita
ção das informações supracitadas. Finalizado o
preenchimento do questionário, o participante
foi encaminhado à avaliação antropométrica por
profissionais de saúde do Departamento de Me
dicina Legal, Ética Médica e Medicina Social e
do Trabalho, da FMUSP. Todos os participantes
foram avaliados individualmente, em ambientes
fechados, seguros e silenciosos, cujo uso havia
sido destinado exclusivamente à realização das
atividades desta pesquisa. Dados sociodemográficos Aceitaram participar do estudo 684 motoristas
de caminhão, 149 (22%) dos quais foram exclu
ídos por terem preenchido pelo menos um dos
critérios de exclusão. Dos participantes excluí
dos, a maioria (76,9%) preencheu apenas um
critério de exclusão e os demais (23,1%) dois
critérios ou mais. Dentre estes, ter tido episódio
de perda de consciência foi o mais prevalente
(46,3%), seguido do acontecimento de episó
dio de TCE (27,9%). Assim, fazem parte des
ta pesquisa as informações referentes aos 535
motoristas restantes. Os participantes têm idade média de 37,8
± 7,78 anos, 8,6 ± 2,28 anos de escolaridade e,
em sua maioria (74,7%), declararam-se casa
dos ou em situação marital. Quanto ao vínculo
empregatício, 60,9% dos participantes estavam
contratados no momento da entrevista e tinham
uma média de 12,5 ± 8,1 anos de experiência co
mo motoristas profissionais. A maioria (60,2%)
trabalhava em dois turnos (diurno e noturno),
dirigia uma média de 12,1 ± 3,88 horas diárias,
percorrendo uma distância média de 1.127,3 ±
1.020,84km (Tabela 1). •
Informações sociodemográficas,
antropométricas e ocupacionais Um instrumento de pesquisa estruturado, já va
lidado por Leyton et al. 17 para uso com moto
ristas de caminhão no Brasil, foi aplicado a fim
de registrar as informações demográficas (idade,
estado civil, nível de escolaridade, entre outras)
e ocupacionais (tipo de vínculo empregatício,
carga diária de trabalho, distância percorrida,
entre outras) dos participantes. Também foram
registradas suas informações antropométricas:
peso, altura, índice de massa corporal (IMC), cir
cunferência cervical e abdominal, pressão arte
rial (PA), frequência cardíaca (bpm), entre outras. Como parte do instrumento, o participante foi
questionado sobre a prática de atividade física
e existência de agravos de saúde, tais como (a)
hipertensão arterial (HAS); (b) diabetes mellitus;
(c) dislipidemia e (d) histórico familiar de doença
arterial coronariana (DAC); perguntou-se ainda
(e) se fazia uso de medicamentos não psicoativos
e (f) qual teria sido a data da última consulta mé
dica. Como as informações antropométricas não
fazem parte do escopo deste estudo, não são aqui
descritas em detalhes. Cad. Saúde Pública, Rio de Janeiro, 31(9):1916-1928, set, 2015 USO DE ÁLCOOL E OUTRAS DROGAS ENTRE MOTORISTAS DE CAMINHÃO
1919 categorizadas conforme a mediana. Para a ava
liação das possíveis diferenças de padrão de con
sumo de álcool entre usuários apenas de álcool e
usuários de múltiplas drogas, as variáveis categó
ricas foram comparadas valendo-se do teste de χ2
de Pearson e as variáveis numéricas, mediante o
teste de Kruskal Wallis ou Mann-Whitney. A hipó
tese nula foi rejeitada ao nível de p < 0,05. (b) uso múltiplo de drogas do tipo simultâneo
(SPU), que envolve o emprego de duas ou mais
substâncias em uma mesma sessão de uso 9,10. Ambas as categorias de uso múltiplo de drogas
tiveram como foco o uso de álcool (combinação
de álcool a outras drogas), já que é a substância
mais comumente envolvida nessa situação 22. Cad. Saúde Pública, Rio de Janeiro, 31(9):1916-1928, set, 2015 Análise dos dados Dos participantes, 95,7% relataram ter consumi
do álcool ao menos uma vez na vida; 77,6%, no
ano; 67,3%, nos trinta dias prévios à entrevista. Dentre aqueles que relataram ter bebido nos últi
mos trinta dias, 61,3% referiram fazê-lo com uma
frequência pelo menos semanal. Em termos da
quantidade ingerida de álcool, os participantes
relataram o consumo médio de 6,4 doses alcoó
licas por ocasião de uso e, quando solicitados a
responder sobre o consumo máximo por ocasião,
disseram ter ingerido uma média de 8,2 doses
alcoólicas. Quanto ao tipo de bebida, 96,4% dos
participantes referiram consumir cerveja; 22,5%,
bebidas destiladas; 9,7%, vinho. Todos os questionários foram submetidos a pro
cedimentos de digitação dupla. O banco de da
dos foi construído no software Epi Info versão
6.0 (Centers for Disease Control and Prevention,
Atlanta, Estados Unidos). Checagens de consis
tência das informações e correções pertinentes
foram realizadas. Posteriormente, os dados fo
ram transferidos e analisados no programa Stata
versão 11.2 (StataCorp LP, College Station, Esta
dos Unidos). Procedeu-se, em seguida, à análise
descritiva das variáveis. As variáveis categóricas
foram expressas em porcentagens (%; intervalo
de 95% de confiança – IC95%) e as variáveis nu
méricas, por meio de média ± desvio padrão. Por
vezes, algumas das variáveis numéricas foram Em relação ao padrão de uso de álcool, en
quanto 31,9% dos participantes declararam-se
abstêmios nos trinta dias prévios à entrevista, Cad. Saúde Pública, Rio de Janeiro, 31(9):1916-1928, set, 2015 Leopoldo K et al. 1920 Leopoldo K et al. Tabela 1 Tabela 1 Distribuição das características sociodemográficas e ocupacionais de motoristas de caminhão abordados em rodovias do
Estado de São Paulo, Brasil (N = 535), junho de 2012 a 25 de setembro de 2013. Análise dos dados Variáveis
n
Total
Média (± desvio padrão)
%
IC95%
Idade (anos)
37,8 (± 7,78)
≤ 36
272
50,9
> 36
262
49,1
Escolaridade (anos)
8,6 (± 2,28)
≤ 9
261
48,8
> 9
274
51,1
Estado civil
Solteiro
101
19,2
15,9-22,9
Casado/Amasiado
392
74,7
70,7-78,3
Separado/Divorciado
32
6,1
4,2-8,5
Anos de profissão
12,5 (± 8,1)
≤ 10
217
40,6
> 10
318
59,4
Tipo de serviço
Contratado
326
60,9
56,6-65,1
Autônomo
209
39,1
34,9-43,3
Turno de trabalho
Diurno
100
18,7
15,5-22,2
Diurno e noturno
322
60,2
55,9-64,3
Noturno
67
12,5
9,7-15,6
Outro
46
8,6
6,3-11,2
Jornada diária (horas)
12,1 (± 3,88)
≤ 12
267
67,4
> 12
126
32,1
Trajetória percorrida (km)
1.127,3 (± 1.020,84)
≤ 750
197
50,1
> 750
196
49,9
Total
535
100,0 Distribuição das características sociodemográficas e ocupacionais de motoristas de caminhão abordados em rodovias do
Estado de São Paulo, Brasil (N = 535), junho de 2012 a 25 de setembro de 2013. Cad. Saúde Pública, Rio de Janeiro, 31(9):1916-1928, set, 2015 Uso múltiplo de álcool e outras drogas 34,6% (dos que haviam usado alguma quan
tidade de álcool nesse período) enquadraram-
se no padrão de uso pesado; 17,9%, no padrão
moderado; 15,6%, no padrão leve de uso. Já 26%
daqueles que beberam no último mês relataram
ter ingerido álcool no padrão BPE, isto é, con
sumiram cinco ou mais doses alcoólicas em um
período de duas horas e pelo menos uma vez
no período citado. Soma-se a esse quadro o fato
de que, conforme os critérios do ASSIST-WHO,
identificou-se que 9,2% dos participantes não
abstêmios estavam sob o risco, ao menos mo
derado, de desenvolver dependência de álcool
(Tabela 2). 34,6% (dos que haviam usado alguma quan
tidade de álcool nesse período) enquadraram-
se no padrão de uso pesado; 17,9%, no padrão
moderado; 15,6%, no padrão leve de uso. Já 26%
daqueles que beberam no último mês relataram
ter ingerido álcool no padrão BPE, isto é, con
sumiram cinco ou mais doses alcoólicas em um
período de duas horas e pelo menos uma vez
no período citado. Soma-se a esse quadro o fato
de que, conforme os critérios do ASSIST-WHO,
identificou-se que 9,2% dos participantes não
abstêmios estavam sob o risco, ao menos mo
derado, de desenvolver dependência de álcool
(Tabela 2). O usuário de múltiplas drogas referiu-se ao uso
de álcool associado a pelo menos uma substân
cia psicoativa, tendo sido subdividido em uso
múltiplo de drogas do tipo concorrente (CPU) ou
simultâneo (SPU). Nesse sentido, 94,1% dos par
ticipantes que já haviam experimentado álcool
(uso na vida) relataram ter experimentado, tam
bém, alguma outra substância psicoativa (CPU),
incluindo-se a cafeína dos energéticos nessa
relação. O uso múltiplo de drogas do tipo CPU
foi relatado, ainda, por 75,2% dos participantes
que beberam nos 12 meses prévios à entrevista e
por 53,6% daqueles que beberam no último mês. Dentre os que relataram ter feito CPU na vida, Cad. Saúde Pública, Rio de Janeiro, 31(9):1916-1928, set, 2015 USO DE ÁLCOOL E OUTRAS DROGAS ENTRE MOTORISTAS DE CAMINHÃO
1921 Tabela 2 Distribuição das variáveis sobre o consumo de álcool entre motoristas de caminhão abordados em rodovias do Estado de São
Paulo, Brasil (N = 535), junho de 2012 a setembro de 2013. Cad. Saúde Pública, Rio de Janeiro, 31(9):1916-1928, set, 2015 Uso múltiplo de álcool e outras drogas Distribuição das variáveis sobre o uso múltiplo de álcool e outras drogas, dos tipos concorrente (CPU) e simultâneo (SPU),
para as medidas de uso na vida, no ano e no mês, entre motoristas de caminhão abordados em rodovias do Estado de São
Paulo, Brasil (N = 535), junho de 2012 a setembro de 2013. Distribuição das variáveis sobre o uso múltiplo de álcool e outras drogas, dos tipos concorrente (CPU) e simultâneo (SPU),
para as medidas de uso na vida, no ano e no mês, entre motoristas de caminhão abordados em rodovias do Estado de São
Paulo, Brasil (N = 535), junho de 2012 a setembro de 2013. CPU
Vida
Ano
Mês
n
%
n
%
n
%
Pelo menos uma substância
482
94,1
312
75,2
193
53,6
Bebidas energéticas
433
84,6
253
61,0
122
33,9
Anfetaminas
301
58,8
126
30,4
55
15,3
Tabaco
237
46,3
100
24,1
80
22,2
Maconha
122
23,8
11
2,7
5
1,4
Cocaína
97
19,0
34
8,2
8
2,3
Crack
10
2,0
-
-
-
-
Metanfetamina
6
1,2
-
-
-
-
SPU
Vida
Ano
Mês
n
%
n
%
n
%
Pelo menos uma substância
263
54,6
206
66,0
147
76,2
Bebidas energéticas
148
34,2
79
31,2
36
29,5
Anfetaminas
33
11,0
8
6,3
1
1,8
Tabaco
143
60,3
79
79,0
60
75,0
Maconha
35
28,7
4
36,4
1
20,0
Cocaína
41
42,3
17
50,0
3
37,5
Crack
2
20,0
-
-
-
-
Metanfetamina
-
-
-
-
-
- Cad. Saúde Pública, Rio de Janeiro, 31(9):1916-1928, set, 2015 Distribuição das variáveis sobre o uso múltiplo de álcool e outras drogas, dos tipos concorrente (CPU) e simultâneo (SPU),
para as medidas de uso na vida, no ano e no mês, entre motoristas de caminhão abordados em rodovias do Estado de São
Paulo, Brasil (N = 535), junho de 2012 a setembro de 2013. Uso múltiplo de álcool e outras drogas Variáveis
n
Total
Média (± desvio padrão)
%
IC95%
Uso na vida
Sim
512
95,7
93,6-97,2
Uso no ano
Sim
415
77,6
73,8-81,0
Uso no mês
Sim
360
67,3
63,1-71,3
Frequência de uso no mês (vez/semana)
Menos de 1
137
38,7
33,6-44,0
Pelo menos 1
217
61,3
56,0-66,4
Número de doses por ocasião
6,4 (± 6,43)
≤ 5
212
59,0
53,7-64,2
> 5
147
41,0
35,8-46,2
Número máximo de doses por ocasião
8,2 (± 9,23)
≤ 5
180
50,1
44,8-55,4
> 5
179
49,9
44,6-55,2
Binge drinking
Sim
93
26,0
21,5-30,8
Frequência de binge drinking
Mensalmente
54
58,1
47,4-68,2
Semanalmente
39
41,9
31,7-52,6
Padrão do uso de álcool (no mês)
Abstêmios
166
31,9
27,9-36,1
Uso leve
81
15,6
12,6-19,0
Uso moderado
93
17,9
14,7-21,5
Uso pesado
180
34,6
30,5-38,9
ASSIST-WHO (uso de risco)
4,1 (± 3,89)
Sem risco
327
90,8
87,4-93,6
Com risco
33
9,2
6,4-12,6
Bebe cerveja
Sim
347
96,4
93,9-98,1
Bebe vinho
Sim
35
9,7
6,9-13,3
Bebe destilado
Sim
81
22,5
18,3-27,2
Total
535
100,0
ASSIST-WHO: Teste de Triagem do Envolvimento com Álcool, Cigarro e Outras Substâncias. taminas e cigarro despontaram como as substân
cias psicoativas mais frequentemente usadas en
tre pessoas que relataram beber (CPU), enquanto
cigarro, cocaína e energéticos foram as substân
cias mais comumente usadas simultaneamente a
álcool (SPU) (Tabela 3). 54,6% já haviam feito uso múltiplo de drogas do
tipo SPU, assim como 66% dos que fizeram CPU
no ano e 76,2% dos que fizeram CPU nos trinta
dias prévios à entrevista. Portanto, observou-se
que quanto mais recente o engajamento em uso
múltiplo de drogas do tipo CPU, maior seria a
probabilidade de ter feito esse uso na mesma
ocasião de consumo (SPU). Os energéticos, anfe Cad. Saúde Pública, Rio de Janeiro, 31(9):1916-1928, set, 2015 Leopoldo K et al. 1922 Leopoldo K et al. Tabela 3 Tabela 3 Distribuição das variáveis sobre o uso múltiplo de álcool e outras drogas, dos tipos concorrente (CPU) e simultâneo (SPU),
para as medidas de uso na vida, no ano e no mês, entre motoristas de caminhão abordados em rodovias do Estado de São
Paulo, Brasil (N = 535), junho de 2012 a setembro de 2013. Padrão de uso de álcool entre participantes
que relataram usar apenas álcool e aqueles
que fizeram uso múltiplo de drogas Saúde Pública, Rio de Janeiro, 31(9):1916-1928, set, 2015 USO DE ÁLCOOL E OUTRAS DROGAS ENTRE MOTORISTAS DE CAMINHÃO
1923 Tabela 4 Padrão de uso de álcool entre usuários exclusivos de álcool (álcool) e aqueles que associam o uso de álcool a pelo menos uma outra droga, do tipo
concorrente (CPU) ou simultâneo (SPU), entre motoristas de caminhão que relataram usar álcool nos trinta dias prévios à entrevista, abordados
em rodovias do Estado de São Paulo, Brasil (n = 359), junho de 2012 a setembro de 2013. em rodovias do Estado de São Paulo, Brasil (n = 359), junho de 2012 a setembro de 2013. Variáveis
Álcool
CPU
SPU
Média (± desvio padrão)
Média (± desvio padrão)
Média (± desvio padrão)
Valor de p
Número de doses por ocasião
4,9 ± 4,07
6,5 ± 8,53
7,6 ± 7,50
< 0,01*
Número máximo doses por ocasião
6,1 ± 5,77
7,0 ± 8,41
10,5 ± 11,78
< 0,001*
ASSIST-WHO
4,9 ± 3,35
5,3 ± 4,02
5,9 ± 4,23
0,057
%
%
%
Valor de p
Binge drinking
Sim
21,8
19,6
28,8
0,297
Padrão de uso de álcool (no mês)
Uso leve
29,4
39,1
14,7
< 0,001*
Uso moderado
29,4
15,2
25,9
Uso pesado
41,3
45,6
59,5
Total (n)
166
46
146
ASSIST-WHO: Teste de Triagem do Envolvimento com Álcool, Cigarro e Outras Substâncias. * p < 0,05. Valores de p para a comparação entre os entrevistados que relataram consumir exclusivamente álcool nos últimos trinta dias
ou fizeram uso múltiplo de drogas do tipo concorrente (CPU) ou simultâneo (SPU), quanto ao número de doses alcoólicas,
número máximo de doses alcoólicas, Teste de Triagem do Envolvimento com Álcool, Cigarro e Outras Substâncias (ASSIST-
WHO) e padrão de uso de álcool, em rodovias do Estado de São Paulo, Brasil (n = 359), junho de 2012 a setembro de 2013. Doses
Máximo de doses
ASSIST-WHO
Padrão
Álcool vs. CPU
0,836
0,824
0,682
0,159
Álcool vs. SPU
< 0,001
< 0,001
< 0,001
< 0,001
CPU vs. SPU
0,050
< 0,01
0,190
< 0,01 A prevalência de uso experimental de álco
ol foi de 95,7%, de 77,6% para o uso no ano e
67,3% no mês. Padrão de uso de álcool entre participantes
que relataram usar apenas álcool e aqueles
que fizeram uso múltiplo de drogas Padrão de uso de álcool entre participantes
que relataram usar apenas álcool e aqueles
que fizeram uso múltiplo de drogas sideradas, fossem identificadas. Nesse caso, não
foi identificada diferença entre os participantes
que relataram consumir apenas álcool e aqueles
que houvessem feito uso múltiplo de drogas do
tipo CPU para nenhuma das variáveis. Em con
trapartida, os usuários que consumiram apenas
álcool relataram usar menos doses alcoólicas por
ocasião (p < 0,001), menor número máximo de
doses alcoólicas por ocasião (p < ,001), menor
pontuação no ASSIST-WHO (p < 0,001) e, ainda,
apresentaram padrão de uso de álcool menos
pesado (p < 0,001) em relação ao uso múltiplo
de drogas do tipo SPU. Igualmente, os usuários
do tipo CPU relataram consumir menos doses
alcoólicas por ocasião (p = 0,05), menor núme
ro máximo de doses alcoólicas por ocasião (p <
0,01) e padrão menos pesado de uso (p < 0,01),
do que usuários do tipo uso múltiplo de drogas
do tipo SPU. Finalmente, não houve diferença
entre os grupos CPU e SPU quanto à pontuação
no ASSIST-WHO (p = 0,1895) (Tabelas 4 e 5). Com base nesses resultados, foi importante iden
tificar se o padrão de uso de álcool seria influen
ciado pelo uso múltiplo de drogas, de tal forma
que, para isso, os participantes foram agrupa
dos em: (a) usuários apenas de álcool (álcool),
(b) uso múltiplo de drogas do tipo CPU e (c) uso
múltiplo de drogas do tipo SPU. Dessa forma,
identificou-se diferença do número de doses
alcoólicas consumidas por ocasião, nos últimos
trinta dias, entre os grupos (p < 0,01), assim co
mo uma diferença quanto ao número máximo
de doses alcoólicas consumidas por ocasião (p <
0,001) e padrão do uso de álcool nos últimos trin
ta dias (p < 0,001). Uma tendência de diferença
entre os grupos foi observada quando avaliado
o risco de desenvolvimento de dependência de
álcool, de acordo com a pontuação do ASSIST-
WHO. Posteriormente, os grupos (álcool; CPU;
SPU) foram comparados, dois a dois, para que
diferenças intergrupos, quanto às variáveis con Cad. Padrão de uso de álcool entre participantes
que relataram usar apenas álcool e aqueles
que fizeram uso múltiplo de drogas Especificamente em relação ao
uso experimental de álcool, no presente traba
lho a prevalência identificada entre os motoristas
de caminhão foi superior à previamente relata
da para a população geral brasileira (74,6%) 31,
sendo superior também à prevalência detecta
da entre homens brasileiros de 35 anos ou mais
(86,1%) 31, faixa etária condizente com a idade
desta amostra. Cad. Saúde Pública, Rio de Janeiro, 31(9):1916-1928, set, 2015 gem do Envolvimento com Álcool, Cigarro e Outras Substâncias. Discussão Em face desse cenário, preocupa observar
que o padrão do uso de álcool entre os moto
ristas de caminhão investigados nesta pesquisa
seja superior ao já identificado para a população
geral brasileira e também do Estado de São Paulo. Preocupa ainda mais constatar a existência do
uso múltiplo de drogas entre eles. É possível que tal padrão de uso de álcool e
de outras drogas entre esses motoristas possa ser
uma estratégia para suportar as condições insa
lubres de sua profissão 17,35. Ademais, especula
-se que esse uso possa ser uma medida alterna
tiva após o controle exercido sobre a produção,
prescrição e comercialização das anfetaminas,
de acordo com o estipulado pela Resolução RDC
no 52/2011 da Agência Nacional de Vigilância
Sanitária 36. Em particular sobre o padrão de uso de ál
cool, identificou-se que 34,6% dos participantes
fizeram uso pesado da substância, prevalência
superior aos 21,5% entre os homens, de 35 a 49
anos, residentes do Estado de São Paulo 19. A di
ferença torna-se ainda mais notável ao se con
siderar que aquele estudo (GENACIS) 19 usou,
como medida de uso de álcool, os últimos 12
meses prévios à entrevista, enquanto na pre
sente pesquisa foi utilizada a medida de uso
no último mês. Sobretudo, é preocupante notar que o uso de
álcool afeta a direção mesmo após poucas do-
ses 37 e que afeta também condutores sóbrios que
tenham o costume de beber excessivamente 38,
indicando a inexistência de um nível seguro de
uso de álcool quando se pensa em associá-lo à
direção. No cenário descrito anteriormente, cau
sa preocupação, ainda, observar que a proble
mática do beber e dirigir pode piorar sob a con
dição de uso múltiplo de drogas, uma vez que se
identificou que motoristas que relataram seguir
este padrão bebiam mais e de forma mais pesa
da que aqueles que não se enquadravam nesse
tipo de uso. Ainda, identificou-se que 26% dos partici
pantes relataram ter bebido no padrão BPE no
mês que antecedeu a entrevista, o que corrobora
os dados de Pechansky et al. 32, que apontaram
que 25,5% dos motoristas abordados por um le
vantamento estatístico nacional relataram uso
no padrão BPE pelo menos mensalmente. Discussão Os motoristas abordados eram, em sua maio
ria, jovens, de baixa escolaridade, que viviam
em situação marital. Em termos ocupacionais,
os participantes tinham larga experiência como
motoristas profissionais, com excessiva carga di
ária de trabalho, percorrendo longas distâncias. Esses dados são consistentes com os de estudos
prévios, particularmente no que diz respeito a
idade 23,24,25, estado civil 23,25, anos de experiên
cia 26,27, carga diária de trabalho 26,28,29,30 e turno
de trabalho 26. Esses dados são consistentes com os de estudos
prévios, particularmente no que diz respeito a
idade 23,24,25, estado civil 23,25, anos de experiên
cia 26,27, carga diária de trabalho 26,28,29,30 e turno
de trabalho 26. Ainda, de acordo com outro levantamen
to estatístico, 65% dos homens brasileiros de
18 anos ou mais relataram ter usado álcool Cad. Saúde Pública, Rio de Janeiro, 31(9):1916-1928, set, 2015 Leopoldo K et al. 1924 Leopoldo K et al. nos 12 meses prévios à entrevista 5, assim co
mo 67% de uma amostra de homens residen
tes do Estado de São Paulo 18, sugerindo que
a prevalência de uso de álcool no ano entre os
motoristas de caminhão abordados (77,6%) se
ja superior à identificada em uma amostra da
população nacional e em outra específica do
Estado de São Paulo. O mesmo resultado foi
observado para a medida de uso de álcool no
mês, ou seja, enquanto 61,3% dos motoristas
de caminhão desta pesquisa relataram beber
com frequência semanal no mínimo, nos úl
timos trinta dias, 39% dos homens brasileiros
relataram fazê-lo 5. Em relação a amostras de
motoristas de outros estudos, 71,1% dos moto
ristas profissionais e privados do país, aborda
dos em um levantamento estatístico nacional 32,
relataram ter usado álcool no ano, próximo à
prevalência aqui identificada de 77,6%. pelo menos outra substância psicoativa (CPU)
no mês prévio à entrevista, dos quais 76,2% o
fizeram na forma de SPU. Não há estudos que
tenham abordado esse tema na população geral
brasileira, a não ser um levantamento estatístico
realizado com estudantes universitários, o qual
identificou que 17% de uma amostra nacional de
estudantes relatou fazer uso múltiplo de drogas,
do tipo CPU, no mês prévio à entrevista; destes,
35% usaram mais de duas substâncias juntas ou
em proximidade temporal (SPU) 10. Cad. Saúde Pública, Rio de Janeiro, 31(9):1916-1928, set, 2015 Discussão Diante
do exposto, é importante observar que o uso em
BPE pelos participantes desta pesquisa pode ter
sido superior ao previamente identificado para a
população geral brasileira, uma vez que 40% dos
brasileiros com mais de 18 anos se enquadram
no padrão BPE no ano 5, assim como 15,4% dos
homens do Estado de São Paulo 33. O uso múltiplo de drogas, por si só, já tem
sido identificado como agravante para o acon
tecimento de comportamentos de risco ou aci
dentes no contexto do trânsito, inclusive com o
acometimento de vítimas de morte 38,39,40. Estu
do retrospectivo conduzido na Suécia 40 avaliou
as concentrações de álcool e de outras drogas em
895 amostras de sangue de motoristas que mor
reram em acidentes de trânsito, tendo sido iden
tificado que 1,8% deles haviam consumido álcool
e alguma droga ilícita; 3,5%, álcool e algum me
dicamento prescrito; e, finalmente, 0,9% havia
consumido álcool + droga ilícita + medicamento. Em adição, tem sido apontado que o uso múlti
plo de drogas é indicativo de maiores chances de
desenvolvimento de dependência 11. A média da pontuação do ASSIST-WHO entre
os participantes foi de 4,1 (± 3,89), dentre os quais
9,2% estariam sob o risco ao menos moderado
de desenvolverem dependência de álcool. Esses
critérios são indicativos de uso nocivo de álcool,
ou seja, prejudicial a algum domínio da vida do
usuário 34. Nesse sentido, quando comparados
aos 5% dos brasileiros que fazem uso nocivo de
álcool 5, observa-se que os participantes da pre
sente pesquisa têm maior prevalência de risco,
se comparados com a população geral brasileira,
para desenvolver dependência de álcool. Sobre o uso múltiplo de drogas, 53,6% dos
participantes relataram ter consumido álcool e USO DE ÁLCOOL E OUTRAS DROGAS ENTRE MOTORISTAS DE CAMINHÃO
1925 Quanto ao tipo de uso múltiplo de drogas, a
combinação entre bebidas alcoólicas e energéti
cas foi a mais prevalente entre os participantes
da presente pesquisa. Como essa mistura atenua
a percepção dos efeitos sedativos e dos prejuízos
psicomotores causados pelo álcool 41, aumen
ta a chance de os condutores envolverem-se em
comportamentos de risco no trânsito, como di
rigir em velocidades maiores que as permitidas
nas vias públicas, o que os torna vulneráveis ao
acontecimento de acidentes de trânsito e outros
desfechos negativos 12. Cad. Saúde Pública, Rio de Janeiro, 31(9):1916-1928, set, 2015 Colaboradores Los accidentes de tráfico han causado más de un mi
llón de muertes en todo mundo. Brasil tiene una de
las tasas más altas de ese indicador. En este trabajo se
intentó estimar cómo el consumo de alcohol es un fac
tor etiológico para los accidentes de tráfico. Se analizó
el patrón de consumo de alcohol y su asociación con
otras drogas en una muestra de conveniencia de 684
conductores de camiones en el Estado de São Paulo,
Brasil. Treinta días previos a la entrevista, un 67,3%
de los participantes consumieron alcohol, un 34,6%
de forma abusiva, un 26% como binge drinking y un
9,3% estaban bajo riesgo de generar una adicción. De
ellos, un 54,6% presentaron policonsumo de drogas,
frecuentemente alcohol y tabaco o bebidas energéticas. Los participantes que presentaron un policonsumo de
alcohol y otras drogas mostraron un consumo de al
cohol más abusivo que los que informaron sobre un
consumo exclusivo de alcohol. En general, el consumo
de alcohol es un problema, teniendo en cuenta el con
texto del tráfico y puede empeorar aún más con el po
liconsumo. Por lo tanto, los autores sugieren el control
de esta cuestión, ya que tal consumo genera problemas
potencialmente graves para la salud del consumidor,
así como de la sociedad que le circunda. K. Leopoldo e L. G. Oliveira participaram da concepção
do trabalho, da aquisição e da análise dos dados, assim
como do esboço, da elaboração e da aprovação final do
artigo. V. Leyton colaborou na concepção do trabalho
e na aquisição dos dados, assim como da aprovação
final do artigo. Todos os autores são responsáveis por
todos os aspectos do trabalho nos quesitos de acurácia
e integridade. Discussão ratura que motoristas em uso pesado de álcool
são reincidentes quanto ao comportamento de
beber e dirigir 7, causando algum tipo de ônus a
si mesmos ou à sociedade como um todo. Embora o presente estudo seja inédito, visto
que identificou o padrão de uso de álcool e de
uso múltiplo de álcool e outras substâncias en
tre motoristas de caminhão, possibilitando me
lhor compreensão sobre o tema, é importante
comentar algumas das suas limitações: (a) dada
a característica de estudo transversal, esta inves
tigação é apenas um recorte da situação; (b) o
uso de amostra não probabilística impede que
os dados sejam generalizados para toda a popu
lação brasileira de motoristas de caminhão; (c)
não se pode afirmar que os participantes que re
lataram o uso de álcool e outras drogas tenham
consumido tais substâncias enquanto dirigiam;
(d) finalmente, a comparação da prevalência de
álcool e outras drogas com a encontrada em ou
tros estudos é limitada, já que as referidas pes
quisas utilizaram metodologias específicas. Portanto, destacamos a necessidade de mais
dados empíricos para a compreensão da relação
entre o uso de drogas no padrão uso múltiplo e a
ocorrência de acidentes de trânsito, assim como
encorajamos a fiscalização da obediência às leis
que regulamentam e coíbem o uso de álcool e
outras drogas no trânsito. Também acreditamos
ser necessário estabelecer medidas que identi
fiquem, com fins de prevenção, motoristas que
estejam abusando ou já estejam dependentes de
álcool ou outras drogas, pois está claro na lite Leopoldo K et al. 1926 Leopoldo K et al. Cad. Saúde Pública, Rio de Janeiro, 31(9):1916-1928, set, 2015 Agradecimentos Os autores agradecem o apoio financeiro da FA
PESP (processos no 2011/11682-0; 2012/00973-6;
2012/22569-2); às entidades civis Serviço Social do
Transporte (SEST) e Serviço Nacional de Aprendiza
gem do Transporte (SENAT), pela autorização de uso
de três de seus postos de atendimento para o acesso à
população-alvo; e, finalmente, ao LIM-40 da Faculdade
de Medicina, Universidade de São Paulo. Accidentes de Tránsito; Alcoholismo; Bebidas
Alcohólicas; Estudos Transversales Referências Accidentes de Tránsito; Alcoholismo; Bebidas
Alcohólicas; Estudos Transversales 4.
World Health Organization. Global status report
on alcohol and health. Geneva: World Health Or
ganization; 2014.
5.
Laranjeira R, Pinsky I, Zaleski M, Caetano R. I le
vantamento nacional sobre os padrões de con
sumo de álcool na população brasileira. Brasília:
Secretaria Nacional de Políticas sobre Drogas, Mi
nistério da Justiça; 2007.
6.
Girotto E, Mesas AE, Andrade SM, Birolim MM.
Psychoactive substance use by truck drivers: a ys
tematic review. Occup Environ Med 2014; 71:71-6.
7.
Holmgren A, Holmgren P, Kugelberg FC, Jones
AW, Ahlner J. High re-arrest rates among drug-im
paired drivers despite zero-tolerance legislation.
Accid Anal Prev 2008; 40:534-40. 4.
World Health Organization. Global status report
on alcohol and health. Geneva: World Health Or
ganization; 2014. Referências J Bras Pneumol
2009; 35:500-6. 11. Associação Brasileira de Psiquiatria. Abuso e de
pendência de múltiplas drogas, 2012. http://www. projetodiretrizes.org.br/projeto_diretrizes2013/
drogas.pdf (acessado em 17/Nov/2014). 25. Silva-Junior FP, Pinho RSN, Mello MT, Bruin VMS,
Bruin PFC. Risk factors for depression in truck
drivers. Soc Psychiatry Psychiatr Epidemiol 2009;
44:125-9. 12. Eckschmidt F, Andrade AG, Santos B, Oliveira LG. The effects of alcohol mixed with energy drinks
(AmED) on traffic behaviors among Brazilian col
lege students: a national survey. Traffic Inj Prev
2013; 14:671-9. 26. Ulhoa MA, Marqueze EC, Lemos LC, Silva LG, Silva
AA, Nehme P, et al. Minor psychiatric disorders
and working conditions in truck drivers. Rev Saúde
Pública 2010; 44:1130-6. 13. Oliveira LG, Endo LG, Sinagawa DM, Yonamine
M, Munoz DR, Leyton V. A continuidade do uso de
anfetaminas por motoristas de caminhão no Esta
do de São Paulo, Brasil, a despeito da proibição de
sua produção, prescrição e uso. Cad Saúde Pública
2013; 29:1903-9. 27. Pinho RS, Silva-Júnior FP, Bastos JP, Maia WS,
Mello MT, Bruin VM, et al. Hypersomnolence and
accidents in truck drivers: a cross-sectional study. Chronobiol Int 2006; 23:963-71. 14. United Nations. 74th plenary meeting. New York:
United Nations; 2010. 28. Oliveira LG, Santos B, Goncalves PD, Carvalho HB,
Massad E, Leyton V. Attention performance among
Brazilian truck drivers and its association with
amphetamine use: pilot study. Rev Saúde Pública
2013; 47:1001-5. 15. Presidência da República. Lei no 11.705, de 19 de
junho de 2008. Altera a Lei no 9.503, de 23 de se
tembro de 1997, que “institui o Código de Trânsito
Brasileiro”, e a Lei no 9.294, de 15 de julho de 1996,
que dispõe sobre as restrições ao uso e à propa
ganda de produtos fumígeros, bebidas alcoólicas,
medicamentos, terapias e defensivos agrícolas,
nos termos do § 4o do art. 220 da Constituição Fe
deral, para inibir o consumo de bebida alcoólica
por condutor de veículo automotor, e dá outras
providências. Diário Oficial da União 2008; 20 jun. 29. Oliveira LG, Yonamine M, Andreucceti G, Ponce
JC, Leyton V. Alcohol and other drug use by Bra
zilian truck drivers: a cause for concern? Rev Bras
Psiquiatr 2012; 34:116-7. 30. Penteado RZ, Gonçalves CGO, Costa DD, Marques
JM. Trabalho e saúde em motoristas de caminhão
no interior de São Paulo. Saúde Soc 2008; 17:35-45. 31. Carlini EA, Galduróz JCF, Noto AR, Fonseca AM,
Carlini CM, Oliveira LG, et al. Referências 1. World Health Organization. Global status report
on road safety 2013: supporting a decade of action. Geneva: World Health Organization; 2013. 4. World Health Organization. Global status report
on alcohol and health. Geneva: World Health Or
ganization; 2014. 5. Laranjeira R, Pinsky I, Zaleski M, Caetano R. I le
vantamento nacional sobre os padrões de con
sumo de álcool na população brasileira. Brasília:
Secretaria Nacional de Políticas sobre Drogas, Mi
nistério da Justiça; 2007. 2. Departamento de Estradas de Rodagem do Para
ná. Década de ação para a segurança no trânsito
2011-2020. http://www.der.pr.gov.br/modules/
conteudo/conteudo.php?conteudo=220 (acessado
em 17/Nov/2014). 6. Girotto E, Mesas AE, Andrade SM, Birolim MM. Psychoactive substance use by truck drivers: a ys
tematic review. Occup Environ Med 2014; 71:71-6. 6. Girotto E, Mesas AE, Andrade SM, Birolim MM. Psychoactive substance use by truck drivers: a ys
tematic review. Occup Environ Med 2014; 71:71-6. 3. Instituto de Pesquisa Econômica Aplicada; De
partamento Nacional de Trânsito. Impactos so
ciais e econômicos dos acidentes de trânsito nas
rodovias brasileiras. Brasília: Instituto de Pesquisa
Econômica Aplicada/Departamento Nacional de
Trânsito; 2006. 7. Holmgren A, Holmgren P, Kugelberg FC, Jones
AW, Ahlner J. High re-arrest rates among drug-im
paired drivers despite zero-tolerance legislation. Accid Anal Prev 2008; 40:534-40. 7. Holmgren A, Holmgren P, Kugelberg FC, Jones
AW, Ahlner J. High re-arrest rates among drug-im
paired drivers despite zero-tolerance legislation. Accid Anal Prev 2008; 40:534-40. Cad. Saúde Pública, Rio de Janeiro, 31(9):1916-1928, set, 2015 USO DE ÁLCOOL E OUTRAS DROGAS ENTRE MOTORISTAS DE CAMINHÃO
1927 8. Duarte PCAV, Stempliuk V, Barroso LP. Relatório
brasileiro sobre drogas. Brasília: Secretaria Na
cional de Políticas sobre Drogas, Ministério da
Justiça; 2009. 22. European Monitoring Centre for Drugs and Drug
Addiction. Polydrug use: patterns and responses. Luxembourg: Office for Official Publications of the
European Communities; 2009. 9. Martin CS. Timing of alcohol and other drug use. Alcohol Health Res World 2008; 31:96. 23. Yonamine M, Sanches LR, Paranhos BA, Almeida
RM, Andreuccetti G, Leyton V. Detecting alcohol
and illicit drugs in oral fluid samples collected
from truck drivers in the state of São Paulo, Brazil. Traffic Inj Prev 2013; 14:127-31. 10. Oliveira LG, Alberghini DG, Santos BD, Andrade
AG. Polydrug use among college students in Bra
zil: a nationwide survey. Rev Bras Psiquiatr 2013;
35:221-30. 24. Lemos LC, Marqueze EC, Sachi F, Lorenzi-Filho G,
Moreno CRC. Síndrome da apnéia obstrutiva do
sono em motoristas de caminhão. Cad. Saúde Pública, Rio de Janeiro, 31(9):1916-1928, set, 2015 Referências II levantamento do
miciliar sobre o uso de drogas psicotrópicas no
Brasil: estudo envolvendo as 108 maiores cidades
do País. Brasília: Secretaria Nacional de Políticas
sobre Drogas, Ministério da Justiça; 2005. 16. Presidência da República. Lei no 12.760, de 20 de
dezembro de 2012. Altera a Lei no 9.503, de 23 de
setembro de 1997, que institui o Código de Trânsi
to Brasileiro. Diário Oficial da União 2012; 21 dez. 17. Leyton V, Sinagawa DM, Oliveira K, Schmitz W, An
dreuccetti G, De Martinis BS, et al. Amphetamine,
cocaine and cannabinoids use among truck driv
ers on the roads in the State of São Paulo, Brazil. Forensic Sci Int 2012; 215:25-7. 32. Pechansky F, Duarte P, Boni R. Uso de bebidas al
coólicas e outras drogas nas rodovias brasileiras
e outros estudos. Brasília: Secretaria Nacional de
Políticas sobre Drogas, Ministério da Justiça; 2010. 18. United Nations on Drugs and Crime. World drug
report 2014. New York: United Nations; 2014. 33. Silveira CM, Wang YP, Andrade AG, Andrade LH. Heavy episodic drinking in the São Paulo epide
miologic catchment area study in Brazil: gender
and sociodemographic correlates. J Stud Alcohol
Drugs 2007; 68:18-27. 19. Kerr-Corrêa F, Hegedus AM, Trinca LA, Tucci AM,
Kerr-Pontes LR, Sanches AF, et al. Differences in
drinking patterns between men and women in
Brazil. In: Obot IS, Room R, editors. Alcohol, gen
der and drinking problems: perspectives from
low and middle income countries. Geneva: World
Health Organization, 2005. p. 49-68. 34. Observatório Brasileiro de Informações sobre Dro
gas. Informações sobre drogas: padrões de uso. http://www.obid.senad.gov.br/portais/OBID/
conteudo/index.php?id_conteudo=11251&rastr
o=INFORMA%C3%87%C3%95ES+SOBRE+DRO
GAS/Padr%C3%B5es+de+uso (acessado em 17/
Nov/2014). 20. National Institute on Alcohol and Alcoholism. Moderate & binge drinking. http://www.niaaa.nih. gov/alcohol-health/overview-alcohol-consump
tion/moderate-binge-drinking (acessado em 17/
Nov/2014). 35. Takitane J, Oliveira LG, Endo LG, Oliveira KCBG,
Muñoz DR, Yonamine M, et al. Uso de anfetami
nas por motoristas de caminhão em rodovias do
Estado de São Paulo: um risco à ocorrência de
acidentes de trânsito? Ciênc Saúde Coletiva 2013;
18:1247-54. 21. World Health Organization. The Alcohol, Smok
ing and Substance Involvement Screening Test
(ASSIST): manual for use in primary care. Geneva:
World Health Organization; 2010. Cad. Saúde Pública, Rio de Janeiro, 31(9):1916-1928, set, 2015 Leopoldo K et al. 1928 Leopoldo K et al. 8 36. Agência Nacional de Vigilância Sanitária. Resolu
ção RDC no 52, de 6 de outubro de 2011. Cad. Saúde Pública, Rio de Janeiro, 31(9):1916-1928, set, 2015 Referências Dispõe
sobre a proibição do uso das substâncias anfe
pramona, femproporex e mazindol, seus sais e
isômeros, bem como intermediários e medidas
de controle da prescrição e dispensação de me
dicamentos que contenham a substância sibutra
mina, seus sais e isômeros, bem como interme
diários e dá outras providências. Diário Oficial da
União 2011; 7 out. 39. Legrand SA, Silverans P, Paepe P, Buylaert W, Ver
straete AG. Presence of psychoactive substances
in injured Belgian drivers. Traffic Inj Prev 2013;
14:461-8. 40. Ahlner J, Holmgren A, Jones AW. Prevalence of
alcohol and other drugs and the concentrations
in blood of drivers killed in road traffic crashes in
Sweden. Scand J Public Health 2014; 42:177-83. 41. Ferreira SE, Mello MT, Pompéia S, de Souza-For
migoni ML. Effects of energy drink ingestion on
alcohol intoxication. Alcohol Clin Exp Res 2006;
30:598-605. 41. Ferreira SE, Mello MT, Pompéia S, de Souza-For
migoni ML. Effects of energy drink ingestion on
alcohol intoxication. Alcohol Clin Exp Res 2006;
30:598-605. 37. Gonçalves PD, Cunha PJ, Malbergier A, Amaral RA,
Oliveira LG, Yang JJ, et al. The association between
low alcohol use and traffic risk behaviors among
Brazilian college students. Alcohol 2012; 46:673-9. Recebido em 25/Mar/2014
Versão final reapresentada em 17/Nov/2014
Aprovado em 02/Mar/2015 38. Karjalainen K, Lintonen T, Impinen A, Lillsunde
P, Ostamo A. Poly-drug findings in drugged driv
ing cases during 1977-2007. J Subst Use 2010;
15:143-56.
|
https://openalex.org/W4375845930
|
https://link.springer.com/content/pdf/10.1007/s00401-023-02583-z.pdf
|
English
| null |
Brain DNA methylomic analysis of frontotemporal lobar degeneration reveals OTUD4 in shared dysregulated signatures across pathological subtypes
|
Acta neuropathologica
| 2,023
|
cc-by
| 13,953
|
* Conceição Bettencourt
c.bettencourt@ucl.ac.uk Acta Neuropathologica (2023) 146:77–95
https://doi.org/10.1007/s00401-023-02583-z Acta Neuropathologica (2023) 146:77–95
https://doi.org/10.1007/s00401-023-02583-z ORIGINAL PAPER Brain DNA methylomic analysis of frontotemporal lobar degeneration
reveals OTUD4 in shared dysregulated signatures across pathological
subtypes Katherine Fodder1,2 · Megha Murthy1,3 · Patrizia Rizzu4 · Christina E. Toomey1,3,5 · Rahat Hasan6 · Jack Humphrey6 ·
Towfique Raj6 · Katie Lunnon7 · Jonathan Mill7 · Peter Heutink4,8 · Tammaryn Lashley1,2 · Conceição Bettencourt1,2 Katherine Fodder1,2 · Megha Murthy1,3 · Patrizia Rizzu4 · Christina E. Toomey1,3,5 · Rahat Hasan6 · Jack Humphrey6 ·
Towfique Raj6 · Katie Lunnon7 · Jonathan Mill7 · Peter Heutink4,8 · Tammaryn Lashley1,2 · Conceição Bettencourt1,2 Received: 6 December 2022 / Revised: 28 April 2023 / Accepted: 28 April 2023 / Published online: 7 May 2023
© The Author(s) 2023 Received: 6 December 2022 / Revised: 28 April 2023 / Accepted: 28 April 2023 / Published online: 7 May 2023
© The Author(s) 2023 5
The Francis Crick Institute, London, UK
6
Nash Family Department of Neuroscience and Friedman
Brain Institute, Icahn School of Medicine at Mount Sinai,
New York, NY, USA
7
Department of Clinical and Biomedical Sciences, Faculty
of Health and Life Sciences, University of Exeter, Exeter, UK
8
Alector, Inc., South San Francisco, CA, USA 1
Queen Square Brain Bank for Neurological Disorders, UCL
Queen Square Institute of Neurology, London, UK 5
The Francis Crick Institute, London, UK Abstract Frontotemporal lobar degeneration (FTLD) is an umbrella term describing the neuropathology of a clinically, genetically
and pathologically heterogeneous group of diseases, including frontotemporal dementia (FTD) and progressive supranu-
clear palsy (PSP). Among the major FTLD pathological subgroups, FTLD with TDP-43 positive inclusions (FTLD-TDP)
and FTLD with tau-positive inclusions (FTLD-tau) are the most common, representing about 90% of the cases. Although
alterations in DNA methylation have been consistently associated with neurodegenerative diseases, including Alzheimer’s
disease and Parkinson’s disease, little is known for FTLD and its heterogeneous subgroups and subtypes. The main goal
of this study was to investigate DNA methylation variation in FTLD-TDP and FTLD-tau. We used frontal cortex genome-
wide DNA methylation profiles from three FTLD cohorts (142 FTLD cases and 92 controls), generated using the Illumina
450K or EPIC microarrays. We performed epigenome-wide association studies (EWAS) for each cohort followed by meta-
analysis to identify shared differentially methylated loci across FTLD subgroups/subtypes. In addition, we used weighted
gene correlation network analysis to identify co-methylation signatures associated with FTLD and other disease-related
traits. Wherever possible, we also incorporated relevant gene/protein expression data. After accounting for a conservative
Bonferroni multiple testing correction, the EWAS meta-analysis revealed two differentially methylated loci in FTLD, one
annotated to OTUD4 (5’UTR-shore) and the other to NFATC1 (gene body-island). Of these loci, OTUD4 showed consist-
ent upregulation of mRNA and protein expression in FTLD. In addition, in the three independent co-methylation networks,
OTUD4-containing modules were enriched for EWAS meta-analysis top loci and were strongly associated with the FTLD
status. These co-methylation modules were enriched for genes implicated in the ubiquitin system, RNA/stress granule forma-
tion and glutamatergic synaptic signalling. Altogether, our findings identified novel FTLD-associated loci, and support a role
for DNA methylation as a mechanism involved in the dysregulation of biological processes relevant to FTLD, highlighting
novel potential avenues for therapeutic development. Abstract Keywords DNA methylation · Frontotemporal dementia · Progressive supranuclear palsy · Human brain tissue · EWAS ·
Co methylation Keywords DNA methylation · Frontotemporal dementia · Progressive supranuclear palsy · Human brain tissue · EWAS ·
Co-methylation thylation · Frontotemporal dementia · Progressive supranuclear palsy · Human brain tissue · EWAS 5
The Francis Crick Institute, London, UK
6
Nash Family Department of Neuroscience and Friedman
Brain Institute, Icahn School of Medicine at Mount Sinai,
New York, NY, USA
7
Department of Clinical and Biomedical Sciences, Faculty
of Health and Life Sciences, University of Exeter, Exeter, UK
8
Alector, Inc., South San Francisco, CA, USA 1
Queen Square Brain Bank for Neurological Disorders, UCL
Queen Square Institute of Neurology, London, UK 7
Department of Clinical and Biomedical Sciences, Faculty
of Health and Life Sciences, University of Exeter, Exeter, UK 8
Alector, Inc., South San Francisco, CA, USA 4
German Center for Neurodegenerative Diseases (DZNE),
Tübingen, Germany :(0123
1 23456789)
3 Acta Neuropathologica (2023) 146:77–95 78 epigenome-wide DNA methylation variation in frontal
lobe tissue from three cohorts, spanning different subtypes
of FTLD-TDP and FTLD-tau subgroups, followed by an
EWAS meta-analysis, co-methylation network analysis in
each cohort, and subsequent module preservation analysis
in the other datasets. Through the EWAS meta-analysis we
identified two differentially methylated loci shared across
the FTLD subgroups and subtypes after a conservative
Bonferroni correction for multiple testing. These methyla-
tion sites were annotated to OTUD4 (5’UTR-shore) and
NFATC1 (gene body-island). We also identified co-meth-
ylation modules associated with the FTLD status, FTLD
subtypes, and pathological features (e.g. brain atrophy and
severity of neuronal loss). Functional and cellular enrich-
ment analyses have shown an overrepresentation of gene
ontology terms related to regulation of gene expression
and the ubiquitin system as well as specific cell types,
including pyramidal neurons and endothelial cells, across
FTLD subgroups and subtypes. In all three independent
co-methylation networks, OTUD4-containing modules
were enriched for top EWAS meta-analysis loci, and were
strongly associated with the disease status, further sup-
porting their role in FTLD. Our findings implicate DNA
methylation in the dysregulation of important processes in
FTLD, including the ubiquitin system, RNA/stress granule
formation and glutamatergic synaptic signalling. Introduction Frontotemporal lobar degeneration (FTLD) is an umbrella
term describing the neuropathology of a group of neu-
rodegenerative disorders, which are characterised by the
selective degeneration of the frontal and temporal lobes
of the brain. These disorders are clinically, pathologically
and genetically heterogeneous. Clinically, patients with
FTLD frequently present with frontotemporal dementia
(FTD), which is the second most common form of early
onset dementia and is often associated with behavioural
and language changes. A fraction of patients may present
with or develop Parkinsonism as part of their disease,
including those with progressive supranuclear palsy (PSP),
and frontotemporal dementia and parkinsonism linked to
chromosome 17 (FTDP-17). An overlap with amyotrophic
lateral sclerosis/motor neuron disease (ALS/MND) is also
observed in a proportion of patients with FTLD, highlight-
ing a spectrum of clinical phenotypes that relate to shared
neuropathologic features [17, 42]. A considerable number of FTLD cases report a posi-
tive family history (30–50%), and the majority of famil-
ial cases can be attributed to mutations in three genes,
namely chromosome 9 open reading frame 72 (C9orf72),
progranulin (GRN), and microtubule-associated protein
tau (MAPT). Apart from those cases in which a genetic
mutation has been identified, neuropathological assess-
ment is essential to confirm the disease entity underlying
FTLD. The neuropathological classification of FTLDs,
based on the presence/absence of specific proteinaceous
inclusions, recognises five major subgroups. FTLD with
43 kDa transactive response DNA-binding protein (TDP-
43) positive inclusions (FTLD-TDP), and with tau-positive
inclusions (FTLD-tau), account for the vast majority of
cases, representing around 50% and 40% of FTLD cases,
respectively [28, 60]. Demographic and clinical characteristics
of post‑mortem brain donors For FTLD cohort 1 (FTLD1, N = 23), all post-mortem tis-
sues originated from brains donated to the Queen Square
Brain Bank archives, where tissues are stored under a
licence from the Human Tissue authority (No. 12198). Both the brain donation programme and protocols have
received ethical approval for donation and research by the
NRES Committee London—Central. All cases were char-
acterised by age, gender, disease history (including disease
onset and duration) as well as neuropathological findings. For FTLD cohort 2 (FTLD2, N = 48), all post-mortem
tissues were obtained under a Material Transfer Agree-
ment from the Netherlands Brain Bank, and MRC Kings
College London, as described by Menden et al. [54]. For
FTLD cohort 3 (FTLD3, N = 163, after quality control),
data made available by Weber et al. [84] was retrieved
from GEO (accession code GSE75704). Figure 1 shows an
outline of the study design and analysis framework. More
details on each cohort are presented in Table 1. Even though progress has been made in identifying
genetic risk factors for diseases under the FTLD umbrella
[19, 24, 35, 67, 88], the molecular mechanisms driving
FTLD pathology are not completely understood. Mounting
evidence reveals changes in the FTLD brain transcriptional
landscapes [3, 15, 29, 31, 82]. However, studies investi-
gating non-sequence-based regulatory mechanisms such
as epigenetic modifications in FTLD brain tissue are lim-
ited [9, 52, 84, 87]. Variable DNA methylation, the most
well-studied epigenetic modification, has consistently been
associated with Alzheimer’s disease pathology in epige-
nome-wide studies (EWAS) and subsequent meta-analyses
[73, 75, 90]. In FTLD, brain tissue EWAS are scarce and
limited to a single PSP study [84]. To investigate further the relevance of DNA methyla-
tion variation in FTLD, we set out a study investigating 3 79 79 Acta Neuropathologica (2023) 146:77–95 Outline of the study design and analysis framework. FTLD, Frontotemporal lobar degeneration; PSP, Progressive supranuclear p
ated with BioRender Fig. 1 Outline of the study design and analysis framework. FTLD, Frontotemporal lobar degeneration; PSP, Progress
ure created with BioRender Fig. 1 Outline of the study design and analysis framework. FTLD, Frontotemporal lobar degeneration; PSP, Progressive supranuclear palsy. DNA methylation profiling and data quality control For FTLD1 and a proportion of FTLD2, formalin-fixed par-
affin-embedded (FFPE) sections were also available for more
detailed neuropathological evaluations, including sections
stained for standard haematoxylin and eosin (H&E). These
FFPE sections were from the opposite brain hemisphere with
respect to the frozen tissue used for the DNA methylation
profiling. For FTLD1, genomic DNA was extracted from carefully
dissected flash frozen frontal cortex grey matter tissue using
standard protocols. Bisulfite conversion was performed with
the EZ DNA Methylation Kit (Zymo Research) using 500 ng
of genomic DNA. For FTLD2 and FTLD3, frontal lobe
DNA extractions and bisulfite conversions were performed
previously as described by Menden et al. [54] and Weber
et al. [84]. Genome-wide methylation profiles were gener-
ated using the Infinium HumanMethylationEPIC BeadChip
(Illumina) for FTLD1 and FTLD2, or the Infinium Human-
Methylation450 BeadChip (Illumina) for FTLD3, as per the
manufacturer’s instructions. i
For FTLD1 and FTLD2, microscopic atrophy was
assessed on H&E stained slides, by examining the cortical
thickness and neuronal loss in the frontal and temporal corti-
ces. A four point grading system was used in comparison to a
neurological normal control with no underlying neurodegen-
erative changes: 0—the cortical thickness was within normal
limits and no neuronal loss was observed; 1—reduction in
cortical thickness but the number of neurons was compara-
ble to normal levels; 2—reduction in cortical thickness and
reduction in the numbers of neurons; 3—severe reduction in
cortical thickness and no neurons observed. For each region,
the microscopic atrophy was scored semi-quantitatively by
an experienced observer blinded to clinical, histopathologi-
cal and genetic status, at an objective magnification of × 20. Macroscopic atrophy was also determined for FTLD1 based
on observations of gyri and sulci from the coronal slices
observed during brain cutting procedures. Levels of atrophy
were graded, as previously described [70], into four stages:
none, mild, moderate, and severe. These neuropathologi-
cal scores of the frontal and temporal regions were used in Beta-values ranging from 0 to 1 (approximately 0% to
100% methylation, respectively), were used to estimate
the methylation levels of each CpG site using the ratio of
intensities between methylated and unmethylated alleles. Data analysis was conducted using several R Bioconduc-
tor packages as previously described [11]. All three cohorts
were subjected to harmonised quality control checks and
pre-processing. Demographic and clinical characteristics
of post‑mortem brain donors Fig-
ure created with BioRender 1 3 1 3 3 Acta Neuropathologica (2023) 146:77–95 80 Table 1 Pathological and demographic characteristics of the three FTLD cohorts and selected models for cohort-specific EWAS
FTLD, Frontotemporal lobar degeneration; FTLD-TDP, FTLD with 43 kDa transactive response DNA-binding protein (TDP-43) positive inclu-
sions; FTLD-Tau, FTLD with tau-positive inclusions; PSP, progressive supranuclear palsy; SD, Standard deviation; F, Females; M, Males;
Double− proportions, NeuN−/SOX10− proportions
Cohort
Pathological FTLD subtypes and controls
included after quality control
Mean age ± SD (years)
Sex
Regression models used for cohort-specific
EWAS
FTLD1
FTLD (N = 15)
70.07 ± 5.59
7M/8F
~ 0 + disease + age + sex + SOX10+ propor-
tions + Double− proportions + array (0
surrogate variables detected)
FTLD-TDP type A (C9orf72 mutation car-
riers, N = 7)
66.86 ± 4.85
3M/4F
FTLD-TDP type C (sporadic, N = 8)
72.88 ± 4.79
4M/4F
Controls (N = 8)
75.75 ± 5.63
3M/5F
FTLD2 [54]
FTLD (N = 34)
63.18 ± 7.92
14M/20F
~ 0 + disease + age + sex + SOX10+ propor-
tions + Double− proportions + array + slide
(0 surrogate variables detected)
FTLD-TDP type A (GRN mutation carriers,
N = 7)
65.57 ± 7.63
2M/5F
FTLD-TDP type B (C9orf72 mutation car-
riers, N = 14)
64.57 ± 8.41
5M/9F
FTLD-tau (MAPT mutation carriers, N = 13)
60.92 ± 7.60
7M/6F
Controls (N = 14)
78.43 ± 11.76
5M/9F
FTLD3 [84]
FTLD (N = 93)
71.16 ± 5.32
54M/39F
~ 0 + disease + age + sex + SOX10+
proportions + Double− propor-
tions + array + slide + surrogate variable
(1/1 surrogate variables detected)
FTLD-Tau (sporadic PSP)
Controls (N = 70)
76.17 ± 7.93
45M/25F hic characteristics of the three FTLD cohorts and selected models for cohort-specific EWAS FTLD, Frontotemporal lobar degeneration; FTLD-TDP, FTLD with 43 kDa transactive response DNA-binding protein (TDP-43) positive inclu-
sions; FTLD-Tau, FTLD with tau-positive inclusions; PSP, progressive supranuclear palsy; SD, Standard deviation; F, Females; M, Males;
Double− proportions, NeuN−/SOX10− proportions the module-trait correlations with the DNA co-methylation
network modules. DNA methylation profiling and data quality control Briefly, raw data (idat files) were imported
and subjected to rigorous pre-processing and thorough qual-
ity control checks using minfi [4], wateRmelon [68], and
ChAMP packages [77]. The following criteria were used
to exclude probes that did not pass quality control checks
from further analysis: (1) poor quality, (2) cross reactive, 1 3 3 Acta Neuropathologica (2023) 146:77–95 81 (3) included common genetic variants, and (4) mapped to X
or Y chromosome. In addition, samples were dropped dur-
ing quality control if: (1) they presented with a high failure
rate (≥ 2% of probes), (2) the predicted sex did not match
the phenotypic sex, and (3) they clustered inappropriately
on multidimensional scaling analysis. Beta-values were
normalised with ChAMP using the Beta-Mixture Quantile
(BMIQ) normalisation method. M-values, computed as the
logit transformation of beta-values, were used for all statis-
tical analysis, as recommended by Du et al. [23], owing to
their reduced heteroscedasticity (as opposed to beta-values)
and improved statistical validity for differential methylation
analysis.if possible confounding factors, such as age and sex as well as
factors detected in principal components 1 and 2 as seen in
Singular Value Decomposition (SVD) plots (ChAMP pack-
age), which included cell proportions (SOX10 + and Dou-
ble−) and sample position in the array. Using this regression
model, no surrogate variables were detected with the num. sv function of the SVA package [43], meaning there were
no remaining unknown, unmodelled, or latent sources of
noise [65]. The same process was applied to FTLD2 and
FTLD3. The model for FTLD2 was further adjusted for
slide, whereas for FTLD3, the model was further adjusted
for slide and one surrogate variable (Table 1). False dis-
covery rate (FDR) adjusted p-values < 0.05 were considered
genome-wide significant.fi As significant batch effects were detected during quality
control checks, and different FTLD subgroups/subtypes were
studied in FTLD1-3, the three cohorts were analysed sepa-
rately first and then meta-analysed. Similarly, co-methylation
network analyses were conducted on each cohort separately,
and module preservations were then cross-checked with data
from the other cohorts (as described in more detail below). i
We used the estimated coefficients and SEs obtained from
the regression models, described above for the three FTLD
cohorts, to undertake an inverse variance meta-analysis
using the metagen function from the meta R package [8]. Only methylation probes present in all datasets (N = 363,781)
were considered for this analysis. Co‑methylation network analysis To identify clusters of highly correlated CpGs (co-methyl-
ation modules) in an unsupervised manner, i.e. agnostic of
gene ontology, we used a systems biology approach based on
weighted gene correlation network analysis (WGCNA) [39]. For this analysis, we focussed on CpGs present in all three
FTLD datasets, non-intergenic CpGs (i.e. CpGs annotated
to genes), and selected the top 20% with the highest variance
across individuals in each cohort regardless of their disease
status (i.e. most variable 56,001 CpG sites per cohort). After
outlier exclusion, a total of 23, 42 and 157 samples remained
in the FTLD1, FTLD2 and FTLD3 cohorts, respectively. For each network, we used as input the M-values adjusted
for the covariates included in the models described above
(Table 1) and constructed signed networks. Modules were
calculated using the WGCNA blockwiseModules function,
with a minimum module size of 200 and a soft-thresholding
power of 16, 10 and 12 for the FTLD1, FTLD2 and FTLD3
networks, respectively. Module membership (MM) was then
reassigned for each network using the applyKMeans func-
tion of the CoExpNets package [13]. Highly connected CpGs
within a module (hub CpGs) present with high M-values to DNA methylation profiling and data quality control When reporting differen-
tially methylated sites, a conservative Bonferroni signifi-
cance was defined as p < 1.374 × 10−7 (p < 0.05/363,781) to
account for multiple testing. We report random-effects meta-
analysis results as the three cohorts included different FTLD
subgroups/subtypes according to the neuropathological
classification possibly leading to high heterogeneity in the
meta-analysis. We also used a less stringent FDR adjusted
p < 0.10 to report top meta-analysis loci, all of which were
then investigated in the co-methylation networks. Cell‑type deconvolution based on DNA methylation
data As DNA methylation patterns are often cell-type specific,
changes in different brain cell-type proportions constitute
an important confounding factor for DNA methylation
studies performed on ‘bulk’ brain tissue. We used a novel
cell-type deconvolution reference panel recently described
by Shireby et al. [73] which brings more granularity and
expands previous methods that account only for neuronal
(NeuN+) versus all other cell types (NeuN−). This new
method uses novel DNA methylation data obtained from
fluorescence activated sorted nuclei from cortical brain tis-
sue to estimate the relative proportions of neurons (NeuN+),
oligodendrocytes (SOX10+) and other glial brain cell types
(Double−[NeuN−/SOX10−]). Cell-type proportions in bulk
brain tissue were thus estimated using the CETYGO (CEll
TYpe deconvolution GOodness) package (https://github.
com/ds420/CETYGO), and the sorted cell-type reference
datasets as described by Shireby et al. [73]. Pairwise com-
parisons between FTLD cases and controls were conducted
using Wilcoxon rank sum test with Benjamini–Hochberg
correction for multiple testing, and adjusted p < 0.05 was
considered significant. Differential methylation analysis and EWAS
meta‑analysis We applied linear regression models (Table 1) using the
M-values as the input to identify associations between DNA
methylation variation at specific CpG sites and FTLD using
the limma package [65]. For FTLD1, we have accounted for 1 3 3 Acta Neuropathologica (2023) 146:77–95 82 the respective module. In “Results”, we refer to hub CpGs as
those with the highest MM within a given module. and controls (N = 48)]. To further infer the expression pat-
terns of selected DNA methylation top genes in specific
brain cell types, we also correlated gene expression levels
(adjusted for age, sex, and RNA integrity number) with
cellular proportions using data from Hasan et al. [31], with
the cellular proportions having been estimated using the
method described by Mathys et al. [51]. Using a principal component analysis on the CpG meth-
ylation values within each module, the CpGs inside each
module were represented by a weighted average, the mod-
ule eigengene (ME). The MEs were then correlated with
the FTLD status, FTLD subtypes, and other sample traits,
including disease onset and duration, measures of macro-
scopic atrophy and neuronal loss scores, and other pathol-
ogy-related traits, as available for each cohort. Comparisons of DNA methylation hits
with additional datasets We further investigated the normal expression patterns of the
meta-analysis gene hits both in the human and mouse brains
using single-nuclei RNAseq data from the Allen Brain Map
(https://celltypes.brain-map.org/) [7], and data from the
Allen Mouse Brain Atlas (http://mouse.brain-map.org) [44]. Given the OTUD4-related findings, we investigated the list
of cortical tissue OTUD4 protein interactors made available
by Das et al. [20]. The RNA granule database (http://rnagr
anuledb.lunenfeld.ca/) collates curated literature evidence
that support gene or protein association with the stress gran-
ules (SGs) and P-bodies (PBs). We used a list of tier 1 genes
from the RNA granule database version 2.0 for comparisons
with the lists of genes composing the three OTUD4 FTLD-
associated co-methylation modules. Comparisons of DNA methylation hits
with FTLD‑TDP frontal cortex proteomics data To gain insights into the biology underlying the FTLD-
related modules, we carried out functional enrichment for
CpGs mapping to genes using the default parameters of clus-
terProfiler [86]. We also carried out cell-type enrichment
analysis on the FTLD-related modules using the package
EWCE [74] and associated single-cell transcriptomic data
[89]. To examine the gene expression patterns of the EWAS meta-
analysis gene hits at the protein level, we used proteomics
data from FTLD-TDP and controls. Briefly, frontal cortex
homogenate of frozen post-mortem human brain tissue was
prepared from control (N = 6), FTLD-TDP type A with
C9orf72 repeat expansion (N = 6), and FTLD-TDP type C
(N = 6) cases, as previously described [58]. Proteins in both
the soluble supernatant and the insoluble pellet fraction were
analysed, and samples were pooled per disease group (three
cases per pooled sample) to enable deeper coverage of the
proteome with higher fractionation. Proteins were quanti-
tated using 2D-LCMS and UDMSe label-free proteomics
and SYNAPT G2-Si High Definition mass spectrometer
operating in ion mobility mode. Data were processed using
Progenesis software, as previously described [79]. A total of
6114 proteins were detected in the supernatant, and 5108 in
the pellet, with an overlap in some proteins that were found
both in the supernatant and pellet. Fold-changes between
FTLD-TDP subtypes compared to controls were calculated. Of the Bonferroni significant EWAS meta-analysis hits, only
the OTUD4 protein was detected (both in the supernatant
and in the pellet). DNA methylation cross‑network module
preservation analysis As a method for differential network analysis, i.e. to identify
which co-methylation modules in each of the three generated
FTLD networks were preserved (i.e. shared) or perturbed
(i.e. unique) in the other two datasets, we employed mod-
ule preservation analysis, as described by Langfelder et al. [40]. For each network (taken as the “reference dataset”),
module preservation in the other two datasets (the “test
data”) was calculated using the modulePreservation function
implemented in WGCNA. In all instances, the “test data”
contained methylation values (adjusted M-values) for the
56,001 CpG sites used to construct the “reference dataset”
network. A total of 200 permutations for each preservation
analysis was used. As a measurement of module preserva-
tion, we used the Z-summary statistic (a composite measure
to summarise multiple preservation statistics). A Z-summary
greater than 10 indicates a strong preservation of this mod-
ule in the “test data”, a Z-summary of between 2 and 10
indicates moderate preservation, and a Z-summary less than
2 indicates no preservation. Comparisons of DNA methylation hits with FTLD
frontal/temporal cortex gene expression data To examine the gene expression patterns of the EWAS
meta-analysis gene hits, we used previously published
transcriptomics data from bulk frontal cortex tissue of
FTLD-TDP cases and controls [31] as well as bulk tem-
poral cortex tissue of FTLD-tau cases (PSP) and controls
[83]. It is of note that a subset of individuals from the
FTLD1 DNA methylation cohort [FTLD-TDP (N = 14)
and controls (N = 5)] overlaps with those with transcrip-
tomics data from Hasan et al. [31] [FTLD-TDP (N = 80) 1 3 3 Acta Neuropathologica (2023) 146:77–95 83 OTUD4 immunohistochemical staining previous models, which account only for neuronal (NeuN+)
versus all glial cells (NeuN−). Within each sample group,
we observed extensive variability in cell-type proportions
across cell types (Fig. 2). When comparing disease cases
with controls, no overall differences were detected in the
proportions of oligodendrocytes (SOX10+) and other glial
cells (NeuN−/SOX10−) after accounting for multiple testing
corrections. However, with the exception of the PSP cases
(FTLD3), all FTLD subgroups/subtypes showed a signifi-
cant decrease in neuronal proportions compared to controls
(Wilcoxon rank sum test, adjusted p < 0.05), as expected in
neurodegenerative diseases. These findings highlight the
importance of adjusting for cell-type proportions in bulk
tissue EWAS studies. Accounting for this allowed us to
identify DNA methylation changes that are relevant to the
disease rather than merely reflecting changes in cell-type
composition, which could be related partly to the disease
pathogenesis itself and partly due to technical issues (e.g. a
result of capturing different proportions of grey and white
matter during tissue dissection). To investigate tissue expression patterns of OTUD4 protein
across the human cortex, FFPE frontal cortex tissue from 7
FTLD cases (4 FTLD-TDP type A and 3 FTLD-TDP type
C) and 3 controls (overlapping with FTLD1) were utilised. Briefly, 8-mm-thick sections cut from the FFPE blocks were
immunostained using a standard avidin–biotin-peroxidase
complex method with di-aminobenzidine as the chromo-
gen [41]. The rabbit anti-OTUD4 antibody (Atlas Antibod-
ies HPA036623, 1:200) was used, along with heat antigen
retrieval pre-treatment prior to application of the primary
antibody. The samples were mounted and examined using a
light microscope. Frontal cortex case–control EWAS meta‑analysis
identifies shared differentially methylated CpG sites
across FTLD pathological subgroups and subtypes The direction of the effect was consistent across the three
FTLD cohorts for these two hits, as well as for nine addi-
tional top meta-analysis loci obtained when considering
a less stringent FDR p < 0.10 multiple testing correction
(Fig. 3; Supplementary Table S2, Online Resource). Of
note, none of these meta-analysis top differentially methyl-
ated sites showed epigenome-wide significant changes in
FTLD3 alone (Supplementary Table S1, Online Resource)
or in previous Alzheimer’s disease EWAS meta-analyses
(Supplementary Table S2, Online Resource). comprise heterogeneous cases with sporadic and genetic
forms of FTLD-TDP and FTLD-tau pathology, no genome-
wide significant CpGs were identified. For FTLD3, which
only includes cases with FTLD-tau pathology (sporadic
PSP), 234 differentially methylated positions were identi-
fied (Supplementary Table S1, Online Resource). The top
differentially methylated CpG in the FTLD3 cohort was
cg09202319, which was hypomethylated in FTLD-tau (PSP)
compared to controls (adjusted p = 6.54 × 10–8). This CpG
mapped to a CpG island in the promoter region of PFDN6
(Prefoldin Subunit 6), which is involved in promoting the
assembly of cytoskeletal proteins [45]. Supplementary Fig. S1 (Online Resource) shows the quantile–quantile (Q–Q)
plots for each of the single cohort-specific EWAS. Frontal cortex FTLD EWAS meta‑analysis hits are
consistent with downstream changes in mRNA
and protein expression patterns p
g
pi
Second, we meta-analysed the single cohort EWAS
results, enabling an analysis of FTLD-associated differential
cortical DNA methylation using tissue from 234 individu-
als (142 FTLD cases and 92 controls). After a conservative
Bonferroni adjustment for multiple testing (p < 1.37 × 10− 7),
the meta-analysis identified two differentially methylated
CpGs in FTLD compared to controls, regardless of the
pathological subgroup (FTLD-TDP or FTLD-tau), and
corresponding subtypes (Fig. 3; Supplementary Fig. S2,
Supplementary Table S2, Online Resource). The top CpG
was annotated to a shore in the 5’UTR of OTUD4 and was
hypomethylated in FTLD compared to controls, whereas the To explore possible downstream consequences of DNA
methylation variation on gene expression in FTLD, we
investigated available FTLD-TDP and FTLD-tau tran-
scriptomic data [31, 83], as well as FTLD-TDP proteomics
data. From the EWAS meta-analysis hits passing Bonfer-
roni correction, consistent results were observed in both
FTLD-TDP (frontal cortex) and FTLD-tau (temporal cor-
tex) for OTUD4, which showed higher mRNA expression
levels in FTLD cases compared to controls (Fig. 4). When Fig. 3 Differentially methylated positions identified in a case–control
FTLD cross-cohort EWAS meta-analysis. a Manhattan plot show-
ing associations between single DNA methylation sites (CpGs) and
FTLD from the EWAS meta-analysis random-effect results (total
N = 234). CpGs are plotted on the x-axis according to their positions
on each chromosome against association with FTLD on the y-axis
(− log 10 p-value). The top red line indicates the conservative Bonfer-
roni significance threshold (α) of p = 1.37 × 10−7. Green points indi-
cate CpGs passing the Bonferroni threshold. The blue line indicates
a less stringent threshold of p = 2.70 × 10−6 (FDR p = 0.10). b Forest
plot depicting the CpG in OTUD4, which is significantly hypomethyl-
ated in FTLD compared to controls in the cross-cohort meta-analysis
(FTLD1 N = 23, FTLD2 N = 48, and FTLD3 N = 163). c) Forest plot
depicting the CpG in NFATC1, which is significantly hypermethyl-
ated in FTLD compared to controls in the cross-cohort meta-analysis
(FTLD1 N = 23, FTLD2 N = 48, and FTLD3 N = 163) cate CpGs passing the Bonferroni threshold. The blue line indicates
a less stringent threshold of p = 2.70 × 10−6 (FDR p = 0.10). Frontal cortex case–control EWAS meta‑analysis
identifies shared differentially methylated CpG sites
across FTLD pathological subgroups and subtypes To estimate brain cell-type proportions in our bulk frontal
cortex DNA methylation datasets, we used a refined cell-type
deconvolution algorithm based on reference DNA methyla-
tion profiles from purified nuclei from neurons (NeuN+),
oligodendrocytes (SOX10+) and other brain cell types
(NeuN−/SOX10−) [73]. This new model controls better
for cellular heterogeneity in bulk cortex tissue compared to First, we investigated DNA methylation variation in spe-
cific loci across the genome as covered by the 450K/EPIC
arrays, using linear regressions models to perform cohort-
specific case–control EWAS. For FTLD1 and FTLD2, which 1 3
Fig. 2 Brain cell-type proportion estimates derived from bulk DNA
methylation data in frontal lobe of frontotemporal lobar degeneration
(FTLD) and controls. *Indicates significant differences for each cell-
type between FTLD subtypes and the corresponding controls; pair-
wise comparisons were performed using the Wilcoxon rank sum test,
and adjusted p-values < 0.05 were considered significant. CTRL, con-
trols; TDPA_GRN, FTLD with TDP-43 positive inclusions (FTLD-
TDP) subtype A, carriers of GRN mutations; TDPA_C9, FTLD-TDP
subtype A, carriers of C9orf72 repeat expansion; TDPB_C9, FTLD-
TDP subtype B, carriers of C9orf72 repeat expansion; TDPC, FTLD-
TDP subtype C, sporadic; MAPT, FTLD with tau-positive inclusions
(FTLD-Tau), carriers of MAPT mutations; PSP, FTLD-Tau, sporadic
progressive supranuclear palsy; Neurons, NeuN + ; Oligodendrocytes,
SOX10 + ; other glial cells, NeuN−/SOX10− TDP) subtype A, carriers of GRN mutations; TDPA_C9, FTLD-TDP
subtype A, carriers of C9orf72 repeat expansion; TDPB_C9, FTLD-
TDP subtype B, carriers of C9orf72 repeat expansion; TDPC, FTLD-
TDP subtype C, sporadic; MAPT, FTLD with tau-positive inclusions
(FTLD-Tau), carriers of MAPT mutations; PSP, FTLD-Tau, sporadic
progressive supranuclear palsy; Neurons, NeuN + ; Oligodendrocytes,
SOX10 + ; other glial cells, NeuN−/SOX10− Fig. 2 Brain cell-type proportion estimates derived from bulk DNA
methylation data in frontal lobe of frontotemporal lobar degeneration
(FTLD) and controls. *Indicates significant differences for each cell-
type between FTLD subtypes and the corresponding controls; pair-
wise comparisons were performed using the Wilcoxon rank sum test,
and adjusted p-values < 0.05 were considered significant. CTRL, con-
trols; TDPA_GRN, FTLD with TDP-43 positive inclusions (FTLD- 1 Acta Neuropathologica (2023) 146:77–95 84 other was annotated to a CpG island in the body of NFATC1
and hypermethylated in FTLD compared to controls (Fig. 3). Frontal cortex FTLD EWAS meta‑analysis hits are
consistent with downstream changes in mRNA
and protein expression patterns b Forest
plot depicting the CpG in OTUD4, which is significantly hypomethyl-
ated in FTLD compared to controls in the cross-cohort meta-analysis
(FTLD1 N = 23, FTLD2 N = 48, and FTLD3 N = 163). c) Forest plot
depicting the CpG in NFATC1, which is significantly hypermethyl-
ated in FTLD compared to controls in the cross-cohort meta-analysis
(FTLD1 N = 23, FTLD2 N = 48, and FTLD3 N = 163) Fig. 3 Differentially methylated positions identified in a case–control
FTLD cross-cohort EWAS meta-analysis. a Manhattan plot show-
ing associations between single DNA methylation sites (CpGs) and
FTLD from the EWAS meta-analysis random-effect results (total
N = 234). CpGs are plotted on the x-axis according to their positions
on each chromosome against association with FTLD on the y-axis
(− log 10 p-value). The top red line indicates the conservative Bonfer-
roni significance threshold (α) of p = 1.37 × 10−7. Green points indi- 1 3 Therefore, lower methylation levels in CpGs
annotated to 5’UTR in OTUD4 and to TSS200 in IMPA2,
and higher expression of these genes in FTLD compared to
controls, meets such expectations. On the other hand, DNA
methylation levels in gene bodies are usually positively asso-
ciated with gene expression. Again, results align with this
in the case of NFATC1 (which showed higher methylation
and higher expression in FTLD-TDP compared to controls)
and ZNF804A (which showed lower methylation and lower
expression in FTLD). 3 3 Acta Neuropathologica (2023) 146:77–95 85 considering FTLD-TDP gene expression data from Hasan
et al. [31] only for a subset of cases and controls with over-
lapping FTLD1 DNA methylation data (N = 19), the OTUD4
gene expression patterns were very similar to the whole
dataset (N = 128). For NFATC1, increased expression was
observed in FTLD-TDP when compared to controls (Fig. 4). However, this increase in expression was not observed in
the FTLD-Tau, as seen in data from Wang et al. [83]. Of
the nine additional top meta-analysis loci, ZNF804A and
KLF12 showed lower mRNA expression levels and IMPA2
showed higher mRNA expression levels in FTLD cases com-
pared to controls (p < 0.05, Supplementary Fig. S3, Online
Resource). DNA methylation levels in upstream regulatory
regions are often inversely associated with gene expression
levels [61, 80]. Therefore, lower methylation levels in CpGs
of OTUD4 protein expression in the frontal cortex and per-
formed anti-OTUD4 immunohistochemical analysis (Fig. 6)
using FTLD-TDP types A and C cases as well as controls
that overlap with those used in the DNA methylation analy-
sis (subset of the FTLD1 cohort). Minimal neuronal cyto-
plasmic staining was observed in the normal controls. How-
ever, in the FTLD-TDP cases, an increase in cytoplasmic
staining intensity was observed in both the grey and white
matter. In the grey matter, neuronal cytoplasmic staining
was seen together with glial nuclear staining. In the white
matter, there was an increase in glial staining. These results
concur with the results from our proteomics and transcrip-
tomics data. DNA co‑methylation modules are associated
Fig. 4 Boxplots showing gene
expression levels in the frontal
cortex for the two EWAS meta-
analysis hits in FTLD-TDP and
controls. RNA sequencing data
from Hasan et al. [31] adjusted
for age, sex, and RNA integrity
number was used. Log2-
transformed gene expression
data is shown in the y-axis, and
non-paired t-test p-value for the
comparison between FTLD-
TDP (N = 80) and controls
(N = 48) is denoted at the top Fig. 4 Boxplots showing gene
expression levels in the frontal
cortex for the two EWAS meta-
analysis hits in FTLD-TDP and
controls. RNA sequencing data
from Hasan et al. [31] adjusted
for age, sex, and RNA integrity
number was used. 3 Log2-
transformed gene expression
data is shown in the y-axis, and
non-paired t-test p-value for the
comparison between FTLD-
TDP (N = 80) and controls
(N = 48) is denoted at the top of OTUD4 protein expression in the frontal cortex and per-
formed anti-OTUD4 immunohistochemical analysis (Fig. 6)
using FTLD-TDP types A and C cases as well as controls
that overlap with those used in the DNA methylation analy-
sis (subset of the FTLD1 cohort). Minimal neuronal cyto-
plasmic staining was observed in the normal controls. How-
ever, in the FTLD-TDP cases, an increase in cytoplasmic
staining intensity was observed in both the grey and white
matter. In the grey matter, neuronal cytoplasmic staining
was seen together with glial nuclear staining. In the white
matter, there was an increase in glial staining. These results
concur with the results from our proteomics and transcrip-
tomics data. of OTUD4 protein expression in the frontal cortex and per-
formed anti-OTUD4 immunohistochemical analysis (Fig. 6)
using FTLD-TDP types A and C cases as well as controls
that overlap with those used in the DNA methylation analy-
sis (subset of the FTLD1 cohort). Minimal neuronal cyto-
plasmic staining was observed in the normal controls. How-
ever, in the FTLD-TDP cases, an increase in cytoplasmic
staining intensity was observed in both the grey and white
matter. In the grey matter, neuronal cytoplasmic staining
was seen together with glial nuclear staining. In the white
matter, there was an increase in glial staining. These results
concur with the results from our proteomics and transcrip-
tomics data. considering FTLD-TDP gene expression data from Hasan
et al. [31] only for a subset of cases and controls with over-
lapping FTLD1 DNA methylation data (N = 19), the OTUD4
gene expression patterns were very similar to the whole
dataset (N = 128). For NFATC1, increased expression was
observed in FTLD-TDP when compared to controls (Fig. 4). However, this increase in expression was not observed in
the FTLD-Tau, as seen in data from Wang et al. [83]. Of
the nine additional top meta-analysis loci, ZNF804A and
KLF12 showed lower mRNA expression levels and IMPA2
showed higher mRNA expression levels in FTLD cases com-
pared to controls (p < 0.05, Supplementary Fig. S3, Online
Resource). DNA methylation levels in upstream regulatory
regions are often inversely associated with gene expression
levels [61, 80]. DNA co‑methylation modules are associated
with the FTLD status, FTLD pathological subtypes,
and disease‑related traits The average values were
obtained for each group, and
fold-changes were calculated
comparing FTLD-TDP subtypes
with controls. Bar plots show
mean fold-change and corre-
sponding standard error in FTLD1 and FTLD2 networks (Supplementary Fig. S4,
Online Resource). In a few cases, opposite effect directions
were shown in one subgroup/subtype compared to another
(e.g. midnightblue and salmon modules in FTLD1 TDPA
versus TDPC, Supplementary Fig. S4a; and turquoise mod-
ule in FTLD2 TDP versus Tau, Supplementary Fig. S4b;
Online Resource). More detailed identification of subtype-
specific DNA methylation signatures warrants further inves-
tigation in the future studies. in FTLD1 and FTLD2 networks (Supplementary Fig. S4,
Online Resource). In a few cases, opposite effect directions
were shown in one subgroup/subtype compared to another
(e.g. midnightblue and salmon modules in FTLD1 TDPA
versus TDPC, Supplementary Fig. S4a; and turquoise mod-
ule in FTLD2 TDP versus Tau, Supplementary Fig. S4b;
Online Resource). More detailed identification of subtype-
specific DNA methylation signatures warrants further inves-
tigation in the future studies. at least one of the other two datasets (Supplementary Fig. S5, Online Resource), further supporting their relevance
to FTLD regardless of the pathological subgroup/subtype. Exceptions to this were observed only for the FTLD1 brown,
darkturquoise and grey60, and the FTLD2 darkorange2 mod-
ules, which seem to be perturbed in the other two datasets. DNA co‑methylation modules are associated
with the FTLD status, FTLD pathological subtypes,
and disease‑related traits To provide insight into higher order relationships across
DNA methylation sites (CpGs), we used an agnostic sys-
tems biology approach based on WGCNA and constructed
co-methylation networks. Considering the top 20% most
variable CpGs in each of the 3 cohorts (N = 56,001 CpGs),
we identified clusters of highly correlated CpGs, hence-
forth called co-methylation modules, each assigned a col-
our name. Only one of the two Bonferroni adjusted meta-analysis
gene hits were detected in the frontal cortex proteomics data. OTUD4 protein was upregulated in FTLD-TDP in types A
and C compared to controls (Fig. 5), with the highest fold-
change being observed in type C for the supernatant soluble
fraction (fold-change = 14.72). These findings are in line
with our observations from the RNAseq data and support
consistent dysregulation of the OTUD4 EWAS meta-analysis
hit in FTLD. Therefore, we further investigated the patterns For the FTLD1, FTLD2 and FTLD3 networks, 9/33
(p < 0.002, 0.05/33 modules), 16/49 (p < 0.001, 0.05/49
modules) and 10/14 (p < 0.004, 0.05/14 modules) co-meth-
ylation modules were found to be associated with the dis-
ease status (i.e. FTLD or control), respectively (Fig. 7a–c). Our co-methylation network analysis also revealed modules
associated with specific pathological subgroup/subtypes 1 Acta Neuropathologica (2023) 146:77–95 86 Fig. 5 Bar plots of protein
quantifications in the frontal
cortex for the EWAS meta-anal-
ysis hit OTUD4 in FTLD-TDP
subtypes and controls. Out of
the two EWAS meta-analysis
hits, only the OTUD4 protein
was detected in the proteom-
ics data and is presented here. OTUD4 was detected in both
fractions (pellet and superna-
tant). Two pooled samples (2 × 3
samples) per group were ana-
lysed. Protein levels were quan-
titated using mass spectrom-
etry. The average values were
obtained for each group, and
fold-changes were calculated
comparing FTLD-TDP subtypes
with controls. Bar plots show
mean fold-change and corre-
sponding standard error Fig. 5 Bar plots of protein
quantifications in the frontal
cortex for the EWAS meta-anal-
ysis hit OTUD4 in FTLD-TDP
subtypes and controls. Out of
the two EWAS meta-analysis
hits, only the OTUD4 protein
was detected in the proteom-
ics data and is presented here. OTUD4 was detected in both
fractions (pellet and superna-
tant). Two pooled samples (2 × 3
samples) per group were ana-
lysed. Protein levels were quan-
titated using mass spectrom-
etry. 1 3 OTUD4 and other top meta‑analysis loci are
co‑methylated in all three networks previously linked to FTLD [69], and our findings now sup-
port a role for DNA methylation as a mechanism involved
in such dysregulation. We then examined whether the 11 EWAS meta-analysis
top loci (FDR p < 0.10) were present (Supplementary
Table S2, Online Resource) in the co-methylation networks
and whether any co-methylation modules were enriched
for such loci (Supplementary Table S3, Online Resource). Notably, the top meta-analysis hit in OTUD4 was present
in all three networks (FTLD1—brown, FTLD2—blue,
and FTLD3—blue modules), and was always co-methyl-
ated with the CpG annotated to CEBPZ (Supplementary
Table S3, Online Resource). These modules showed a sig-
nificant enrichment for the top EWAS meta-analysis loci
[Fisher’s exact test, FTLD1—brown odds ratio (OR) = 14.9,
p = 0.003; FTLD2—blue OR = 10.6, p = 0.007; FTLD3—
blue OR = 8.0, p = 0.017). We, therefore, decided to fur-
ther investigate similarities across these three modules
(FTLD1—brown, FTLD2—blue, and FTLD3—blue), which
will henceforth be referred to as “OTUD4-modules”. Genes that compose FTLD‑associated
co‑methylation modules are involved
in transcription regulation, phosphorylation,
the ubiquitin system and actin cytoskeleton
dynamics We also tested for correlations with additional disease-
related traits as available for FTLD1, FTLD2, and FTLD3. We found associations between FTLD-associated co-meth-
ylation modules and disease duration as well as with mac-
roscopic and/or microscopic measures of atrophy/neurode-
generation in the frontal and temporal lobes (Supplementary
Fig. S4a, b, Online Resource). Two out of the ten modules
associated with the disease status in FTLD3 were also asso-
ciated with tau pathological burden (Braak stage, Supple-
mentary Fig. S4c, Online Resource). We then performed functional enrichment analysis to
investigate which gene ontologies were shared across the
three FTLD co-methylation networks. We found significant
enrichment of terms related with transcription regulation
(e.g. “DNA-binding transcription factor binding”), phospho-
rylation (“protein serine/threonine/tyrosine kinase activity”),
the ubiquitin system (e.g. “ubiquitin protein ligase activ-
ity”), and actin cytoskeleton dynamics (e.g. “actin filament
binding”). This was observed across the three co-methyl-
ation networks and across different modules of each net-
work (Fig. 8). Dysregulation of all these processes had been To assess replication of FTLD-associated co-methylation
modules across datasets, we then ran preservation analysis
for each dataset against each of the networks. We found that
most of the FTLD-associated co-methylation modules were
indeed moderately to highly preserved (Z-summary > 2) in 1 3 1 3 Acta Neuropathologica (2023) 146:77–95 87 Fig. 6 Immunoreactivity of OTUD4 in the frontal cortex of FTLD-
TDP (N = 4 type A and N = 3 type C) and controls (N = 3). Immuno-
histochemical analysis was carried out in FFPE frontal cortex tissue
from FTLD-TDP cases and controls overlapping with FTLD1, using
a rabbit anti-OTUD4 antibody (Atlas Antibodies HPA036623, 1:200). Scale-bars represent 100 µm from FTLD-TDP cases and controls overlapping with FTLD1, using
a rabbit anti-OTUD4 antibody (Atlas Antibodies HPA036623, 1:200). Scale-bars represent 100 µm Fig. 6 Immunoreactivity of OTUD4 in the frontal cortex of FTLD-
TDP (N = 4 type A and N = 3 type C) and controls (N = 3). Immuno-
histochemical analysis was carried out in FFPE frontal cortex tissue
from FTLD-TDP cases and controls overlapping with FTLD1, using
a rabbit anti-OTUD4 antibody (Atlas Antibodies HPA036623, 1:200). Scale-bars represent 100 µm Fig. 6 Immunoreactivity of OTUD4 in the frontal cortex of FTLD-
TDP (N = 4 type A and N = 3 type C) and controls (N = 3). Genes that compose FTLD‑associated
co‑methylation modules are involved
in transcription regulation, phosphorylation,
the ubiquitin system and actin cytoskeleton
dynamics Immuno-
histochemical analysis was carried out in FFPE frontal cortex tissue from FTLD-TDP cases and controls overlapping with FTLD1, using
a rabbit anti-OTUD4 antibody (Atlas Antibodies HPA036623, 1:200). Scale-bars represent 100 µm FTLD‑associated modules are enriched for genes
relevant for pyramidal neurons and endothelial cells
across all three co‑methylation networks We also aimed to elucidate whether the genes that compose
FTLD-associated co-methylation modules are relevant for
specific brain cell types. Across the three networks (FTLD1,
FTLD2 and FTLD3), we found significant enrichments for
pyramidal neurons and endothelial/mural cells (Fig. 9), sug-
gesting these cell types are consistently affected by the DNA
methylation changes in FTLD regardless of the pathologi-
cal subgroup/subtype. Previous studies with pathological
assessment, as well as transcriptomic analysis in FTLD
brain tissue, support changes in these cell types in FTLD
[25–27, 31, 64]. In addition, in the FTLD1 and the FTLD3
networks, we found signatures with an overrepresentation
of oligodendrocyte markers. Of note, FTLD3 is composed
of PSP cases, which, unlike the other FTLD groups studied
here, is known to present with pathological accumulation of
tau in the oligodendrocytes [85]. The FTLD3 network was
also enriched for microglia and interneurons. It is of note that only eight CpGs were shared across the
three “OTUD4-modules”, two of which—cg21028777 in
OTUD4 and cg07695590 in CEBPZ—correspond to top
EWAS meta-analysis loci (Supplementary Fig. S6, Online
Resource), highlighting their importance across the FTLD 1 Acta Neuropathologica (2023) 146:77–95 88 e FTLD co-methylation net-
. The rows represent the co-
nd their colours, and the col-
methylation levels of CpGs in
each module with the disease status. p-values are presented within
each cell and the colour scale at the right indicates the strength of the
correlation (darker cells depict stronger correlations, with blue repre-
senting negative and red representing positive correlations) Fig. 7 Module-trait correlations for the FTLD co-methylation net-
works. a FTLD1; b FTLD2; c FTLD3. The rows represent the co-
methylation module eigengenes (ME) and their colours, and the col-
umn represents the correlation of the methylation levels of CpGs in
each module with the disease status. p-values are presented with
each cell and the colour scale at the right indicates the strength of
correlation (darker cells depict stronger correlations, with blue rep
senting negative and red representing positive correlations) each module with the disease status. p-values are presented within
each cell and the colour scale at the right indicates the strength of the
correlation (darker cells depict stronger correlations, with blue repre-
senting negative and red representing positive correlations) Fig. 7 Module-trait correlations for the FTLD co-methylation net-
works. a FTLD1; b FTLD2; c FTLD3. each module with the disease status. p-values are presented within
each cell and the colour scale at the right indicates the strength of the
correlation (darker cells depict stronger correlations, with blue repre-
senting negative and red representing positive correlations) FTLD‑associated modules are enriched for genes
relevant for pyramidal neurons and endothelial cells
across all three co‑methylation networks The rows represent the co-
methylation module eigengenes (ME) and their colours, and the col-
umn represents the correlation of the methylation levels of CpGs in 1 3 3 1 Acta Neuropathologica (2023) 146:77–95 89 Fig. 8 Functional enrichment for the FTLD-associated co-methyl-
ation modules across the three networks. y-axis shows top enriched
gene ontology terms, while x-axis depicts FTLD-associated modules
in FTLD1 (green), FTLD2 (yellow) and FTLD3 (blue) co-methyla-
tion networks. Modules not showing enrichment for shared terms
across the networks are not shown Fig. 8 Functional enrichment for the FTLD-associated co-methyl-
in FTLD1 (green), FTLD2 (yellow) and FTLD3 (blue) co-methyla- Fig. 8 Functional enrichment for the FTLD-associated co-methyl-
ation modules across the three networks. y-axis shows top enriched
gene ontology terms, while x-axis depicts FTLD-associated modules in FTLD1 (green), FTLD2 (yellow) and FTLD3 (blue) co-methyla-
tion networks. Modules not showing enrichment for shared terms
across the networks are not shown Fig. 9 Cell-type enrichment for all FTLD-associated co-methylation
modules across the three co-methylation networks. Green denotes
FTLD-associated modules in the FTLD1 network; Yellow denotes
FTLD-associated modules in the FTLD2 network; Blue denotes
FTLD-associated modules in the FTLD3 network. Dark filled cir-
cles highlight the cell types found to be significantly enriched with
adjusted p < 0.05 after Bonferroni correction over all cell types within
each module; the size of the circles represents the number of standard
deviations (SD) from the mean. Cell-type enrichment analysis on the
FTLD-related modules was performed using the package EWCE [74]
and associated single-cell transcriptomic data [89] Fig. 9 Cell-type enrichment for all FTLD-associated co-methylation
modules across the three co-methylation networks. Green denotes
FTLD-associated modules in the FTLD1 network; Yellow denotes
FTLD-associated modules in the FTLD2 network; Blue denotes
FTLD-associated modules in the FTLD3 network. Dark filled cir-
cles highlight the cell types found to be significantly enriched with Fig. 9 Cell-type enrichment for all FTLD-associated co-methylation
modules across the three co-methylation networks. Green denotes
FTLD-associated modules in the FTLD1 network; Yellow denotes
FTLD-associated modules in the FTLD2 network; Blue denotes
FTLD-associated modules in the FTLD3 network. Dark filled cir-
cles highlight the cell types found to be significantly enriched with adjusted p < 0.05 after Bonferroni correction over all cell types within
each module; the size of the circles represents the number of standard
deviations (SD) from the mean. FTLD‑associated modules are enriched for genes
relevant for pyramidal neurons and endothelial cells
across all three co‑methylation networks Cell-type enrichment analysis on the
FTLD-related modules was performed using the package EWCE [74]
and associated single-cell transcriptomic data [89] subgroups/subtypes. All three “OTUD4-modules” were
inversely related with the disease status, i.e. lower lev-
els of methylation in CpGs composing these modules are
associated with increased risk of FTLD (Fig. 7; FTLD1—
brown r = − 0.89, p = 2 × 10–8; FTLD2—blue r = − 0.75,
p = 8 × 10–9; and FTLD3—blue r = − 0.89, p = 3 × 10–54). FTLD2-blue was also inversely associated with the severity
of neuronal loss in the frontal cortex (r = − 0.48, p = 0.001,
Supplementary Fig. S4b, Online Resource). Although not
reaching statistical significance after accounting for mul-
tiple testing corrections, a similar trend was observed with
the severity of neuronal loss in the temporal cortex for 1 3 Acta Neuropathologica (2023) 146:77–95 90 FTLD2-blue (r = − 0.46, Supplementary Fig. S4b, Online
Resource) as well as for FTLD1-brown in both frontal and
temporal cortices (r = − 0.29 n.s., and r = − 0.63 p = 0.001,
respectively, Supplementary Fig. S4a, Online Resource). These findings further support the relevance of these sig-
natures enriched for top EWAS meta-analysis loci, includ-
ing CpGs in OTUD4 and CEBPZ, in disease progression/
severity. cortical and hippocampal pyramidal and granule cell layers
(Supplementary Figs. S8–S9, Online Resource). Using gene expression data and derived cellular propor-
tions from Hasan et al. [31], we observed a positive rela-
tionship between both OTUD4 and CEBPZ expression and
proportions of excitatory neurons in controls and FTLD-
TDP type A (Supplementary Fig. S10, Online Resource). This finding further supports the relevance of OTUD4 and
CEBPZ in excitatory glutamatergic neurons. However, that
relationship is perturbed in FTLD-TDP type C (Supplemen-
tary Fig. S10, Online Resource), which could suggest higher
expression of these genes by fewer surviving excitatory neu-
rons and/or higher expression by other cell type(s). Previous studies have shown that OTUD4 [20], tau
[5], TDP-43, and a growing number of additional FTLD-
related RNA-binding proteins [10] play an important role
in the biology of stress granules. We, therefore, investi-
gated whether stress granules proteins and OTUD4 protein
interactors were present in the “OTUD4-modules”. Discussion We have conducted, to our knowledge, the first FTLD EWAS
meta-analysis utilising three independent cohorts and incor-
porating results from 234 brain donors (142 FTLD cases
and 92 controls). We identified two differentially methylated
CpGs shared across a range of FTLD subgroups (FTLD-TDP
and FTLD-tau) and corresponding subtypes, which map to
OTUD4 and NFATC1. Systems biology approaches such as
co-methylation network analysis are powerful methodolo-
gies for identifying pathways and networks which may be
more relevant to disease pathophysiology than individual
genes. We, therefore, performed a co-methylation network
analysis in each of the independent cohorts and identi-
fied modules associated with the FTLD disease status and
FTLD-related traits. Interestingly, CEBPZ always clustered
with OTUD4, and the “OTUD4-modules” were enriched
for meta-analysis top loci in each of the three independent
cohorts. Using functional and cell-type enrichment analy-
sis of modules of interest, we identified several biological
processes with relevance to FTLD pathology, including the
ubiquitin system, RNA granule formation and glutamatergic
synaptic signalling, which we discuss below. It is of note
that none of the loci identified in our meta-analysis match
with neuropathology-associated loci identified in large AD
studies [73, 75, 90], therefore, supporting the hypothesis that
molecular changes in these loci reflect shared disease biol-
ogy aspects of FTLD subgroups/subtypes rather than a mere
downstream consequence of neurodegeneration. We also identified the hub genes in the three “OTUD4-
modules” (i.e. the most interconnected genes within the
module). These were ADCY1, TLE6 and GDAP1 for FTLD1-
brown, FTLD2-blue and FTLD3-blue, respectively (Supple-
mentary Table S4, Online Resource). Of note and highly
relevant for FTLD, ADCY1 has been found to be implicated
in learning, memory, and behaviour [72]. The importance of
TLE6 to brain-related disease is supported through its asso-
ciation with bipolar disorder [22], and mutations in GDAP1
cause inherited peripheral neuropathies [62]. FTLD‑associated modules are enriched for genes
relevant for pyramidal neurons and endothelial cells
across all three co‑methylation networks Indeed,
many genes encoding for such proteins were represented
in these modules, including several genes associated with
genetic FTLD risk such as MAPT (encoding for tau), pre-
sent across the three “OTUD4-modules”, and FUS, present
in FTLD3-blue (Supplementary Tables S4 and S5, Online
Resource). The same was true for many hnRNPs, such as
HNRNPA1, HNRNPC, and HNRNPUL1, which are present
in the “OTUD4-modules” and are OTUD4 protein interac-
tors (Supplementary Tables S4 and S5, Online Resource). These hnRNPs are also known targets of the transcription
factor CEBPZ (as described by Ma’ayan et al. [66]), which
is also a top EWAS meta-analysis loci and is co-methylated
with OTUD4 across the networks.i “OTUD4‑modules” implicate glutamatergic synapse
and pyramidal neurons These findings were further substanti-
ated with expression patterns of OTUD4 and CEBPZ in sin-
gle-nuclei and mouse expression data. Glutamate, which is
the most abundant excitatory neurotransmitter in the human
brain [93], is typically associated with memory, learning
and other higher cognitive functions [12], and has also been
implicated in neurodegeneration [59]. The contribution of
neurotransmitter deficits, and specifically, changes in glu-
tamate and glutamate signalling have been described in
FTD [2, 14, 30, 34, 57]. DNA methylation has previously
been suggested to be an important regulator of glutamater-
gic synaptic scaling (also known as homeostatic synaptic
plasticity), with demethylation found to be associated with
increased glutamatergic synapse strength in cultured neurons
[53], we here find evidence supporting disruption of such
processes in FTLD. Homeostatic synaptic plasticity has been
linked to neurodegeneration, possibly with loss of function
due to pathogenesis, or through an increase as a mechanism
f
i
d
i
d
i
d fi i
21 Also supporting the importance of the role of ubiquitina-
tion and granule formation are the results from the func-
tional enrichment analysis of the three network modules
containing OTUD4, which revealed an overrepresentation
of terms relating to the ubiquitin system. All three “OTUD4-
modules” contained terms such as “ubiquitin protein ligase
activity”, the FTLD2-blue module also showed enrichment
of the GO term “ribonucleoprotein granule”, indicating that
other genes in this module might also have processes rel-
evant to granule formation, as with the meta-analysis hit
OTUD4. Ubiquitin signalling is well described as a process
implicated in neurodegenerative disease pathology, and
several genes involved in ubiquitin and ubiquitin binding
processes are known to be mutated/contain risk alleles in
multiple neurodegenerative diseases, including FTD [69]. p
g
g
Ontology terms enriched in our functional analysis of
FTLD-associated modules also include many relating to
regulation of transcription such as “DNA-binding transcrip-
tion factor binding” and “transcription coregulator activity”. Another meta-analysis top loci was annotated to the CEBPZ
gene, which encodes the CCAAT Enhancer Binding Protein
Zeta, a transcription factor implicated in cellular response to
environmental stimuli through transcriptional processes that
regulate heat-shock factors, including HSP70 [48]. HSP70 is
a heat-shock protein involved in several protein folding pro-
cesses, including the refolding of aggregated proteins [33,
47, 63]. Furthermore, HSP70 has been shown to have a role
in the prevention of build-up of misfolded proteins in stress
granules [50]. “OTUD4‑modules” implicate glutamatergic synapse
and pyramidal neurons More detailed gene ontology enrichment of “OTUD4-
modules” once again highlighted transcriptional regulation
and the ubiquitin system, as well as nuclear speck, synapse
(particularly glutamatergic synapse), and axon develop-
ment (Supplementary Fig. S7, Online Resource). All three
“OTUD4-modules” showed an enrichment for pyramidal
neurons and the FTLD3-blue module additionally showed an
enrichment for oligodendrocytes (Fig. 9). Further support-
ing the importance of OTUD4 and CEBPZ in glutamatergic
cells, in the normal brain (human and mouse) these genes
show the highest expression in glutamatergic neurons and/or The OTUD4 gene encodes the protein OTUD domain-
containing protein 4, a de-ubiquitinating enzyme [55]. Mutations in this gene are associated with Gordon Holmes
syndrome, which is characterised by ataxia and hypogon-
adotropism [49]. Interestingly, a combination of mutations
in OTUD4 along with mutations in RNF216, which codes
for a ubiquitin ligase, was also found to result in demen-
tia [49]. The protein is known to have roles in modulating
inflammatory signalling [92] and in the alkylation damage 1 3 3 Acta Neuropathologica (2023) 146:77–95 91 response [91], and has more recently been demonstrated to
interact with RNA-binding proteins (RBPs), including TDP-
43 (which aggregates in FTLD-TDP), which are important
in the functioning of neuronal RNA granules and stress
granules [18]. RNA granules are structures which facili-
tate the translocation and storage of mRNAs [38], whilst
stress granules are formed when cellular stressors such as
oxidative stress are present, possibly as a mechanism to
reversibly block translation initiation until the stress has
been removed [16, 36]. Notably, similarly to TDP-43 [6],
OTUD4 was shown to be important in the correct formation
of stress granules [20]. Indeed, there is much evidence as
to the importance of the ubiquitin system in the function-
ing of stress granules [37, 56, 78]. The hypomethylation
of the 5’UTR region of OTUD4 (cg21028777), which was
observed as the top hit from the FTLD EWAS meta-analy-
sis, and the inclusion of this CpG in three modules where
decreased methylation was associated with increased risk
of FTLD indicates that decreased methylation of this gene
might be involved in the pathogenesis of FTLD. Further sup-
porting these findings, the OTUD4 gene and protein expres-
sion levels are dysregulated in FTLD [31, 83]. which is a co-chaperone of HSP70, regulates the correct
folding of proteins and is involved in the proper assembly
of cytoskeletal proteins [45]. “OTUD4‑modules” implicate glutamatergic synapse
and pyramidal neurons Prefoldin proteins themselves
have also been associated with neurodegenerative disease
pathology [45, 76]. p
gy [
,
]
Our functional enrichment analysis of the “OTUD4-
modules”, FTLD1-brown, FTLD2-blue and FTLD3-blue,
showed that these modules were enriched for gene ontol-
ogy terms (for cellular component) relating to synapses,
including “synaptic membrane”, “asymmetric synapse”,
“postsynaptic density”, and “glutamatergic synapse”. Cell-
type enrichment analysis revealed that these three modules
were also significantly enriched for markers of pyramidal/
glutamatergic cells. These findings were further substanti-
ated with expression patterns of OTUD4 and CEBPZ in sin-
gle-nuclei and mouse expression data. Glutamate, which is
the most abundant excitatory neurotransmitter in the human
brain [93], is typically associated with memory, learning
and other higher cognitive functions [12], and has also been
implicated in neurodegeneration [59]. The contribution of
neurotransmitter deficits, and specifically, changes in glu-
tamate and glutamate signalling have been described in
FTD [2, 14, 30, 34, 57]. DNA methylation has previously
been suggested to be an important regulator of glutamater-
gic synaptic scaling (also known as homeostatic synaptic
plasticity), with demethylation found to be associated with
increased glutamatergic synapse strength in cultured neurons
[53], we here find evidence supporting disruption of such
processes in FTLD. Homeostatic synaptic plasticity has been
linked to neurodegeneration, possibly with loss of function
due to pathogenesis, or through an increase as a mechanism
to preserve function despite neurodegenerative deficits [21]. There is a known link between RNA granule formation and
synapse plasticity; with RNA-binding protein function
known to be particularly important. This has been proposed
to be dysregulated in FTLD, whereby mutations in the genes
encoding for TDP-43 and FUS lead to dysregulated granule
formation dynamics and consequent disturbances in mRNA
translation and synaptic function [46, 71]. Moreover, the lev-
els of known OTUD4 protein interactor FMRP are regulated
by ubiquitination in response to stimulation by the metabo-
tropic glutamate receptor [32, 59], and this is involved in the
regulation of synaptic plasticity, providing another possible
link between separate findings in our study. Our functional enrichment analysis of the “OTUD4-
modules”, FTLD1-brown, FTLD2-blue and FTLD3-blue,
showed that these modules were enriched for gene ontol-
ogy terms (for cellular component) relating to synapses,
including “synaptic membrane”, “asymmetric synapse”,
“postsynaptic density”, and “glutamatergic synapse”. Cell-
type enrichment analysis revealed that these three modules
were also significantly enriched for markers of pyramidal/
glutamatergic cells. Supplementary Information The online version contains supplemen-
tary material available at https://doi.org/10.1007/s00401-023-02583-z. 6. Aulas A, Stabile S, Vande Velde C (2012) Endogenous TDP-43,
but not FUS, contributes to stress granule assembly via G3BP. Mol Neurodegener. https://doi.org/10.1186/1750-1326-7-54 Acknowledgements The authors would like to thank UCL Genomics
centre for advice and processing of the EPIC arrays for the FTLD1
cohort. The authors would also like to acknowledge the Queen Square
Brain Bank (London, UK), and the Dutch Brain Bank, Netherlands
Institute for Neuroscience (Amsterdam, Netherlands) for providing
brain tissues from FTLD cases and controls. The Queen Square Brain
Bank is supported by the Reta Lila Weston Institute of Neurological
Studies, UCL Queen Square Institute of Neurology. KF is supported
by the Medical Research Council (MR/N013867/1). MM is supported
by a grant from the Multiple System Atrophy Trust awarded to CB. CB is supported by Alzheimer’s Research UK (ARUK-RF2019B-005)
and the Multiple System Atrophy Trust. JH, RH, and TR are supported
by NIH NIA R56-AG055824 and U01-AG068880, and NIH NINDS
U54NS123743. 7. Bakken TE, Jorstad NL, Hu Q, Lake BB, Tian W, Kalmbach BE
et al (2021) Comparative cellular analysis of motor cortex in
human, marmoset and mouse. Nature 598(7879):111–119. https://
doi.org/10.1038/s41586-021-03465-8 8. Balduzzi S, Rücker G, Schwarzer G (2019) Statistics in practice
How to perform a meta-analysis with R: a practical tutorial. Evid
Based Ment Health 22:153–160. https://doi.org/10.1136/ebmen
tal-2019-300117 9. Banzhaf-Strathmann J, Claus R, Mücke O, Rentzsch K, van der
Zee J, Engelborghs S et al (2013) Promoter DNA methylation
regulates progranulin expression and is altered in FTLD. Acta
Neuropathol Commun 1:1–15. https://doi.org/10.1186/2051-
5960-1-16/FIGURES/6 10. Baradaran-Heravi Y, van Broeckhoven C, van der Zee J (2020)
Stress granule mediated protein aggregation and underlying gene
defects in the FTD-ALS spectrum. Neurobiol Dis. https://doi.org/
10.1016/J.NBD.2019.104639 Data availability Raw DNA methylation data from cohorts FTLD2
and FTLD3 can be accessed via the EMBL-EBI ArrayExpress plat-
form (accession number E-MTAB-12674) and NCBI GEO database
(accession number GSE75704), respectively. Raw FTLD-TDP RNA-
seq data can be accessed via the NCBI GEO database (accession num-
ber GSE153960). Additional data is available in the supplementary
materials and from the corresponding author upon reasonable request. 11. Bettencourt C, Foti SC, Miki Y, Botia J, Chatterjee A, Warner
TT et al (2020) White matter DNA methylation profiling reveals
deregulation of HIP1, LMAN2, MOBP, and other loci in multi-
ple system atrophy. Acta Neuropathol 139:135. “OTUD4‑modules” implicate glutamatergic synapse
and pyramidal neurons Interestingly, a CpG in PFDN6 was the top-
most differentially methylated CpG in the FTLD3 (FTLD-
tau) EWAS. This gene encodes for the subunit 6 of prefoldin, i
The NFATC1 gene, which was also identified as an
FTLD-associated loci in the EWAS meta-analysis, encodes
the nuclear factor of activated T cells 1, and belongs to the
NFAT family of activity-dependent transcription factors. In
the nervous system, the NFAT family has been shown to play
a regulatory role in neuronal excitability, axonal growth,
synaptic plasticity, and neuronal survival [81]. Aberrant
NFAT-related signalling has been reported in AD, and
NFAT1 seems to be selectively activated early in cognitive 1 92 Acta Neuropathologica (2023) 146:77–95 decline [1], supporting its possible involvement in the patho-
genesis of neurodegenerative diseases/dementias. 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/. As is the case with any other genome-wide DNA meth-
ylation study, there are key limitations. First, by study-
ing post-mortem tissue, i.e. the end stage of the disease,
causality cannot be elucidated. Second, because FTLD is
heterogeneous, comprising several pathological subgroups
and subtypes, and given the relatively small sample size
per subtype, this might have hampered the identification of
additional DNA methylation alterations, especially subtype-
specific variation. Notwithstanding, we focussed on the
shared DNA methylation variation across FTLD subgroups/
subtypes, and we used independent and complementary ana-
lytical approaches (EWAS followed by meta-analysis, and
co-methylation network analysis followed by preservation
analysis) and datasets, which identified concordant results
and consistently identified the involvement of OTUD4 and
related genes in FTLD. Given our findings, OTUD4 and
other top hits from our meta-analysis warrant more detailed
investigation in the future studies.i Supplementary Information The online version contains supplemen-
tary material available at https://doi.org/10.1007/s00401-023-02583-z. https://doi.org/10.
1007/S00401-019-02074-0 Open Access This article is licensed under a Creative Commons Attri-
bution 4.0 International License, which permits use, sharing, adapta-
tion, distribution and reproduction in any medium or format, as long 12. Bliss TVP, Collingridge GL (1993) A synaptic model of
memory: long-term potentiation in the hippocampus. Nature
361(1993):31–39 1 3 References 1. Abdul HM, Furman JL, Sama MA, Mathis DM, Norris CM (2010)
NFATs and Alzheimer’s disease. Mol Cell Pharmacol 2:7. https://
doi.org/10.4255/mcpharmacol.10.02 2. Aldana BI, Zhang Y, Jensen P, Chandrasekaran A, Christensen
SK, Nielsen TT et al (2020) Glutamate-glutamine homeostasis
is perturbed in neurons and astrocytes derived from patient iPSC
models of frontotemporal dementia. Mol Brain 13:1–17. https://
doi.org/10.1186/S13041-020-00658-6/FIGURES/4 3. Allen M, Wang X, Serie DJ, Strickland SL, Burgess JD, Koga S
et al (2018) Divergent brain gene expression patterns associate
with distinct cell-specific tau neuropathology traits in progressive
supranuclear palsy. Acta Neuropathol 136:709. https://doi.org/10.
1007/S00401-018-1900-5f In summary, this study identified genome-wide DNA
methylation changes in post-mortem frontal cortex tissue
of FTLD subjects, highlighting new FTLD-associated loci,
and implicated DNA methylation as a mechanism involved
in the dysregulation of important processes such as ubiquitin
and glutamatergic signalling in FTLD. Our findings increase
the understanding of the biology of FTLD and role of DNA
methylation its pathophysiology, pointing towards new ave-
nues that could be explored for therapeutic development. 4. Aryee MJ, Jaffe AE, Corrada-Bravo H, Ladd-Acosta C, Feinberg
AP, Hansen KD et al (2014) Minfi: a flexible and comprehensive
bioconductor package for the analysis of Infinium DNA meth-
ylation microarrays. Bioinformatics. https://doi.org/10.1093/bioin
formatics/btu049 5. Ash PEA, Lei S, Shattuck J, Boudeau S, Carlomagno Y, Medalla
M et al (2021) TIA1 potentiates tau phase separation and pro-
motes generation of toxic oligomeric tau. Proc Natl Acad Sci USA
118:e2014188118. https://doi.org/10.1073/PNAS.2014188118/
SUPPL_FILE/PNAS.2014188118.SAPP.PDF Supplementary Information The online version contains supplemen-
tary material available at https://doi.org/10.1007/s00401-023-02583-z. 3 Acta Neuropathologica (2023) 146:77–95 93 subtypes and related tauopathies. Neurology 65:1817–1819. https://doi.org/10.1212/01.WNL.0000187068.92184.63 13. Botía JA, Vandrovcova J, Forabosco P, Guelfi S, D’Sa K, Hardy
J et al (2017) An additional k-means clustering step improves
the biological features of WGCNA gene co-expression networks. BMC Syst Biol. https://doi.org/10.1186/s12918-017-0420-6 29. Grundman J, Spencer B, Sarsoza F, Rissman RA (2021) Tran-
scriptome analyses reveal tau isoform-driven changes in trans-
posable element and gene expression. PLoS ONE 16:e0251611. https://doi.org/10.1371/journal.pone.0251611 14. Bowles KR, Silva MC, Whitney K, Bertucci T, Garza JC, Boles
NC et al (2021) Glutamatergic dysfunction precedes neuron loss
in cerebral organoids with MAPT mutation. bioRxiv. https://doi.
org/10.1101/2021.02.03.429623 30. Haapasalo A, Vermeiren Y, Linden R, Borroni B, Benussi A,
Alberici A et al (2019) Toward a glutamate hypothesis of fronto-
temporal dementia. Front Neurosci. https://doi.org/10.3389/fnins.
2019.00304 15. Brown AL, Wilkins OG, Keuss MJ, Hill SE, Zanovello M, Lee
WC et al (2022) TDP-43 loss and ALS-risk SNPs drive mis-
splicing and depletion of UNC13A. Nature 603(7899):131–137. https://doi.org/10.1038/s41586-022-04436-3 31. Hasan R, Humphrey J, Bettencourt C, Newcombe J, Lashley T,
Fratta P et al (2022) Transcriptomic analysis of frontotemporal
lobar degeneration with TDP-43 pathology reveals cellular altera-
tions across multiple brain regions. Acta Neuropathol 143:383–
401. https://doi.org/10.1007/S00401-021-02399-9/FIGURES/4 16. Buchan JR, Parker R (2009) Eukaryotic stress granules: the ins
and outs of translation. Mol Cell 36:932–941. https://doi.org/10.
1016/J.MOLCEL.2009.11.020 17. Cairns NJ, Bigio EH, Mackenzie IRA, Neumann M, Lee VMY,
Hatanpaa KJ et al (2007) Neuropathologic diagnostic and
nosologic criteria for frontotemporal lobar degeneration: consen-
sus of the Consortium for Frontotemporal Lobar Degeneration. Acta Neuropathol 114:5–22. https://doi.org/10.1007/S00401-007-
0237-2/FIGURES/14 32. Hou L, Antion MD, Hu D, Spencer CM, Paylor R, Klann E (2006)
Dynamic translational and proteasomal regulation of fragile X
mental retardation protein controls mGluR-dependent long-term
depression. Neuron 51:441–454. https://doi.org/10.1016/J.NEU-
RON.2006.07.005 33. Huang C, Cheng H, Hao S, Zhou H, Zhang X, Gao J et al (2006)
Heat shock protein 70 inhibits alpha-synuclein fibril formation via
interactions with diverse intermediates. J Mol Biol 364:323–336. https://doi.org/10.1016/J.JMB.2006.08.062f 18. Campos-Melo D, Hawley ZCE, Droppelmann CA, Strong MJ
(2021) The integral role of RNA in stress granule formation and
function. Front Cell Dev Biol 9:808. https://doi.org/10.3389/
FCELL.2021.621779/BIBTEX 34. Huber N, Korhonen S, Hoffmann D, Leskelä S, Rostalski H,
Remes AM et al (2021) Deficient neurotransmitter systems and
synaptic function in frontotemporal lobar degeneration—insights
into disease mechanisms and current therapeutic approaches. Mol Psychiatry 27(3):1300–1309. https://doi.org/10.1038/
s41380-021-01384-8 19. 3 Chen JA, Chen Z, Won H, Huang AY, Lowe JK, Wojta K
et al (2018) Joint genome-wide association study of progres-
sive supranuclear palsy identifies novel susceptibility loci and
genetic correlation to neurodegenerative diseases. Mol Neuro-
degener 13:1–11. https://doi.org/10.1186/S13024-018-0270-8/
FIGURES/3 35. Kouri N, Ross OA, Dombroski B, Younkin CS, Serie DJ, Soto-
Ortolaza A et al (2015) Genome-wide association study of corti-
cobasal degeneration identifies risk variants shared with progres-
sive supranuclear palsy. Nat Commun. https://doi.org/10.1038/
NCOMMS8247 20. Das R, Schwintzer L, Vinopal S, Roca EA, Sylvester M, Oprisore-
anu AM et al (2019) New roles for the de-ubiquitylating enzyme
OTUD4 in an RNA-protein network and RNA granules. J Cell Sci. https://doi.org/10.1242/JCS.229252/VIDEO-2 36. Krause LJ, Herrera MG, Winklhofer KF (2022) The role of ubiq-
uitin in regulating stress granule dynamics. Front Physiol. https://
doi.org/10.3389/FPHYS.2022.910759 21. de Pasquale R, Pignatelli M, Parsons MP, Jeans AF, Taylor HBC
(2021) Friend or Foe? The varied faces of homeostatic synap-
tic plasticity in neurodegenerative disease. Front Cell Neurosci. https://doi.org/10.3389/fncel.2021.782768 g
37. Krause LJ, Herrera MG, Winklhofer KF (2022) The role of ubiq-
uitin in regulating stress granule dynamics. Front Physiol 13:1043. https://doi.org/10.3389/FPHYS.2022.910759/BIBTEX 22. Dempster EL, Pidsley R, Schalkwyk LC, Owens S, Georgiades
A, Kane F et al (2011) Disease-associated epigenetic changes in
monozygotic twins discordant for schizophrenia and bipolar dis-
order. Hum Mol Genet 20:4786–4796. https://doi.org/10.1093/
HMG/DDR416 38. Krichevsky AM, Kosik KS (2001) Neuronal RNA granules: a
link between RNA localization and stimulation-dependent transla-
tion. Neuron 32:683–696. https://doi.org/10.1016/S0896-6273(01)
00508-6 23. Du P, Zhang X, Huang CC, Jafari N, Kibbe WA, Hou L et al
(2010) Comparison of Beta-value and M-value methods for quan-
tifying methylation levels by microarray analysis. BMC Bioin-
form. https://doi.org/10.1186/1471-2105-11-587 39. Langfelder P, Horvath S (2008) WGCNA: an R package for
weighted correlation network analysis. BMC Bioinform. https://
doi.org/10.1186/1471-2105-9-559 40. Langfelder P, Luo R, Oldham MC, Horvath S (2011) Is my net-
work module preserved and reproducible? PLoS Comput Biol
7:1001057. https://doi.org/10.1371/journal.pcbi.1001057 24. Ferrari R, Hernandez DG, Nalls MA, Rohrer JD, Ramasamy A,
Kwok JBJ et al (2014) Frontotemporal dementia and its subtypes:
a genome-wide association study. Lancet Neurol 13:686–699. https://doi.org/10.1016/S1474-4422(14)70065-1 41. Lashley T, Rohrer JD, Bandopadhyay R, Fry C, Ahmed Z, Isaacs
AM et al (2011) A comparative clinical, pathological, biochemi-
cal and genetic study of fused in sarcoma proteinopathies. Brain
134:2548–2564. https://doi.org/10.1093/BRAIN/AWR160 25. Ferrer I (1999) Neurons and their dendrites in frontotemporal
dementia. Dement Geriatr Cogn Disord 10(Suppl 1):55–60. 3 Pottier C, Mateiu L, Baker MC, Dejesus-Hernandez M, Teixeira
Vicente C, Finch NA et al (2022) Shared brain transcriptomic
signature in TDP-43 type A FTLD patients with or without GRN
mutations. Brain 145:2472–2485. https://doi.org/10.1093/BRAIN/
AWAB437 49. Margolin DH, Kousi M, Chan Y-M, Lim ET, Schmahmann JD,
Hall JE et al (2013) Ataxia, dementia, and hypogonadotropism
caused by disordered ubiquitination. N Engl J Med 368:1992–
2003. https://doi.org/10.1056/NEJMoa1215993 65. Ritchie ME, Phipson B, Wu D, Hu Y, Law CW, Shi W et al
(2015) limma powers differential expression analyses for RNA-
sequencing and microarray studies. Nucleic Acids Res 43:e47–
e47. https://doi.org/10.1093/NAR/GKV007 50. Mateju D, Franzmann TM, Patel A, Kopach A, Boczek EE,
Maharana S et al (2017) An aberrant phase transition of stress
granules triggered by misfolded protein and prevented by chap-
erone function. EMBO J 36:1669–1687. https://doi.org/10.
15252/EMBJ.201695957 66. Rouillard AD, Gundersen GW, Fernandez NF, Wang Z, Mon-
teiro CD, McDermott MG et al (2016) The harmonizome: a
collection of processed datasets gathered to serve and mine
knowledge about genes and proteins. Database. https://doi.org/
10.1093/DATABASE/BAW100 51. Mathys H, Davila-Velderrain J, Peng Z, Gao F, Mohammadi
S, Young JZ et al (2019) Single-cell transcriptomic analy-
sis of Alzheimer’s disease. Nature. https://doi.org/10.1038/
s41586-019-1195-2 52. McMillan CT, Russ J, Wood EM, Irwin DJ, Grossman M,
McCluskey L et al (2015) C9orf72 promoter hypermethylation
is neuroprotective. Neurology 84:1622–1630. https://doi.org/
10.1212/WNL.0000000000001495 67. Sanchez-Contreras MY, Kouri N, Cook CN, Serie DJ, Heck-
man MG, Finch NA et al (2018) Replication of progressive
supranuclear palsy genome-wide association study identifies
SLCO1A2 and DUSP10 as new susceptibility loci. Mol Neuro-
degener 13:1–10. https://doi.org/10.1186/S13024-018-0267-3/
TABLES/4 53. Meadows JP, Guzman-Karlsson MC, Phillips S, Holleman C,
Posey JL, Day JJ et al (2015) DNA methylation regulates neu-
ronal glutamatergic synaptic scaling. Sci Signal 8:ra61. https://
doi.org/10.1126/SCISIGNAL.AAB0715 68. Schalkwyk LC, Pidsley R, Wong CCY (2013) wateRmelon:
illumina 450 methylation array normalization and metrics. R
Package Version 1(2):2 54. Menden K, Francescatto M, Nyima T, Blauwendraat C, Dhingra
A, Castillo-Lizardo M et al (2022) A multi-omics dataset for the
analysis of frontotemporal dementia genetic subtypes. bioRxiv. https://doi.org/10.1101/2020.12.01.405894 69. Schmidt MF, Gan ZY, Komander D, Dewson G (2021) Ubiquitin
signalling in neurodegeneration: mechanisms and therapeutic
opportunities. Cell Death Differ 28(2):570–590. https://doi.org/
10.1038/s41418-020-00706-7i 55. Mevissen TET, Hospenthal MK, Geurink PP, Elliott PR, Akutsu
M, Arnaudo N et al (2013) OTU deubiquitinases reveal mecha-
nisms of linkage specificity and enable ubiquitin chain restric-
tion analysis. Cell 154:169. 3 https://doi.org/10.1159/000051214 p
g
26. Fyfe I (2022) Surprise neurovascular dysfunction in frontotempo-
ral dementia. Nat Rev Neurol 18(9):509–509. https://doi.org/10.
1038/s41582-022-00705-x 42. Lashley T, Rohrer JD, Mead S, Revesz T (2015) Review: An
update on clinical, genetic and pathological aspects of frontotem-
poral lobar degenerations. Neuropathol Appl Neurobiol 41:858–
881. https://doi.org/10.1111/NAN.12250f 27. Gerrits E, Giannini LAA, Brouwer N, Melhem S, Seilhean D,
le Ber I et al (2022) Neurovascular dysfunction in GRN-associ-
ated frontotemporal dementia identified by single-nucleus RNA
sequencing of human cerebral cortex. Nat Neurosci 25(8):1034–
1048. https://doi.org/10.1038/s41593-022-01124-3 43. Leek JT, Johnson WE, Parker HS, Jaffe AE, Storey JD (2012)
The SVA package for removing batch effects and other unwanted
variation in high-throughput experiments. Bioinformatics. https://
doi.org/10.1093/bioinformatics/bts034 p
g
28. Goldman JS, Farmer JM, Wood EM, Johnson JK, Boxer A,
Neuhaus J et al (2005) Comparison of family histories in FTLD 44. Lein ES, Hawrylycz MJ, Ao N, Ayres M, Bensinger A, Bernard
A et al (2006) Genome-wide atlas of gene expression in the adult 1 3 Acta Neuropathologica (2023) 146:77–95 94 Science 314:130–133. https://doi.org/10.1126/SCIENCE.11341
08 Science 314:130–133. https://doi.org/10.1126/SCIENCE.11341
08 mouse brain. Nature 445(7124):168–176. https://doi.org/10.1038/
nature05453 61. Pai AA, Bell JT, Marioni JC, Pritchard JK, Gilad Y (2011) A
genome-wide study of DNA methylation patterns and gene
expression levels in multiple human and chimpanzee tissues. PLoS Genet 7:1001316. https://doi.org/10.1371/JOURNAL.
PGEN.1001316 45. Liang J, Xia L, Oyang L, Lin J, Tan S, Yi P et al (2020) The
functions and mechanisms of prefoldin complex and prefoldin-
subunits. Cell Biosci 10:1–15. https://doi.org/10.1186/S13578-
020-00446-8/FIGURES/6 46. Ling S-C (2018) Synaptic paths to neurodegeneration: the emerg-
ing role of TDP-43 and FUS in synaptic functions. Neural Plast. https://doi.org/10.1155/2018/8413496 62. Pedrola L, Espert A, Wu X, Claramunt R, Shy ME, Palau F (2005)
GDAP1, the protein causing Charcot-Marie-Tooth disease type
4A, is expressed in neurons and is associated with mitochondria. Hum Mol Genet 14:1087–1094. https://doi.org/10.1093/hmg/
ddi121 p
g
47. Luk KC, Mills IP, Trojanowski JQ, Lee VMY (2008) Interac-
tions between Hsp70 and the hydrophobic core of alpha-synuclein
inhibit fibril assembly. Biochemistry 47:12614–12625. https://doi.
org/10.1021/BI801475R 63. Pemberton S, Madiona K, Pieri L, Kabani M, Bousset L, Melki R
(2011) Hsc70 protein interaction with soluble and fibrillar alpha-
synuclein. J Biol Chem 286:34690–34699. https://doi.org/10.
1074/JBC.M111.261321 g
48. Lum LS, Sultzman LA, Kaufman RJ, Linzer DI, Wu BJ (1990) A
cloned human CCAAT-box-binding factor stimulates transcription
from the human hsp70 promoter. Mol Cell Biol 10:6709–6717. https://doi.org/10.1128/MCB.10.12.6709-6717.1990 64. 3 https://doi.org/10.1016/J.CELL.
2013.05.046 70. Schofield E, Kersaitis C, Shepherd CE, Kril JJ, Halliday GM
(2003) Severity of gliosis in Pick’s disease and frontotemporal
lobar degeneration: tau-positive glia differentiate these dis-
orders. Brain 126:827–840. https://doi.org/10.1093/BRAIN/
AWG085 56. Müller S (2021) Managing stress granule disassembly with
ubiquitin and its cousin. Signal Transduct Targeted Ther 6(1):1–
2. https://doi.org/10.1038/s41392-021-00782-2i 71. Sephton CF, Yu G (2015) The function of RNA-binding proteins
at the synapse: implications for neurodegeneration. Cell Mol Life
Sci 72:3621. https://doi.org/10.1007/S00018-015-1943-X 57. Murley AG, Rowe JB (2018) Neurotransmitter deficits from
frontotemporal lobar degeneration. Brain 141:1263–1285. https://doi.org/10.1093/BRAIN/AWX327 72. Sethna F, Feng W, Ding Q, Robison AJ, Feng Y, Wang H (2017)
Enhanced expression of ADCY1 underlies aberrant neuronal sig-
nalling and behaviour in a syndromic autism model. Nat Commun. https://doi.org/10.1038/NCOMMS14359 58. Murray CE, Gami-Patel P, Gkanatsiou E, Brinkmalm G, Por-
telius E, Wirths O et al (2018) The presubiculum is preserved
from neurodegenerative changes in Alzheimer’s disease. Acta
Neuropathol Commun 6:1–17. https://doi.org/10.1186/S40478-
018-0563-8/FIGURES/7 p
g
73. Shireby G, Dempster EL, Policicchio S, Smith RG, Pishva E,
Chioza B et al (2022) DNA methylation signatures of Alzhei-
mer’s disease neuropathology in the cortex are primarily driven
by variation in non-neuronal cell-types. Nat Commun 13(1):1–14. https://doi.org/10.1038/s41467-022-33394-7i 59. Nalavadi VC, Muddashetty RS, Gross C, Bassell GJ (2012)
Dephosphorylation-induced ubiquitination and degradation of
FMRP in dendrites: a role in immediate early mGluR-stimulated
translation. J Neurosci 32:2582–2587. https://doi.org/10.1523/
JNEUROSCI.5057-11.2012 74. Skene NG, Grant SGN (2016) Identification of vulnerable cell
types in major brain disorders using single cell transcriptomes and
expression weighted cell type enrichment. Front Neurosci 10:16. https://doi.org/10.3389/FNINS.2016.00016/BIBTEX 60. Neumann M, Sampathu DM, Kwong LK, Truax AC, Micsenyi
MC, Chou TT et al (2006) Ubiquitinated TDP-43 in fronto-
temporal lobar degeneration and amyotrophic lateral sclerosis. 75. Smith RG, Pishva E, Shireby G, Smith AR, Roubroeks JAY, Han-
non E et al (2021) A meta-analysis of epigenome-wide association 1 3 Acta Neuropathologica (2023) 146:77–95 95 studies in Alzheimer’s disease highlights novel differentially
methylated loci across cortex. Nat Commun 12(1):1–13. https://
doi.org/10.1038/s41467-021-23243-4 syndrome. Brain 130:1566–1576. https://doi.org/10.1093/BRAIN/
AWM104 syndrome. Brain 130:1566–1576. https://doi.org/10.1093/BRAIN/
AWM104 86. Wu T, Hu E, Xu S, Chen M, Guo P, Dai Z et al (2021) Cluster-
Profiler 4.0: a universal enrichment tool for interpreting omics
data. Innovation 2:100141. https://doi.org/10.1016/J.XINN.2021.
100141 g
76. 3 Sörgjerd KM, Zako T, Sakono M, Stirling PC, Leroux MR, Saito
T et al (2013) Human prefoldin inhibits amyloid-β (Aβ) fibril-
lation and contributes to formation of nontoxic Aβ aggregates. Biochemistry 52:3532–3542. https://doi.org/10.1021/BI301705C 87. Xi Z, Zhang M, Bruni AC, Maletta RG, Colao R, Fratta P et al
(2015) The C9orf72 repeat expansion itself is methylated in ALS
and FTLD patients. Acta Neuropathol 129:715–727. https://doi.
org/10.1007/S00401-015-1401-8/METRICS 77. Tian Y, Morris TJ, Webster AP, Yang Z, Beck S, Feber A et al
(2017) ChAMP: Updated methylation analysis pipeline for Illu-
mina BeadChips. Bioinformatics. https://doi.org/10.1093/bioin
formatics/btx513 88. Yokoyama JS, Karch CM, Fan CC, Bonham LW, Kouri N, Ross
OA et al (2017) Shared genetic risk between corticobasal degen-
eration, progressive supranuclear palsy, and frontotemporal
dementia. Acta Neuropathol 133:825. https://doi.org/10.1007/
S00401-017-1693-Y 78. Tolay N, Buchberger A (2022) Role of the ubiquitin system in
stress granule metabolism. Int J Mol Sci 23:3624. https://doi.org/
10.3390/IJMS23073624 79. Toomey CE, Heywood W, Benson BC, Packham G, Mills K, Lash-
ley T (2020) Investigation of pathology, expression and proteomic
profiles in human TREM2 variant postmortem brains with and
without Alzheimer’s disease. Brain Pathol 30:794–810. https://
doi.org/10.1111/BPA.12842 89. Zeisel A, Muñoz-Manchado AB, Codeluppi S, Lönnerberg P, La
MG, Juréus A et al (2015) Cell types in the mouse cortex and
hippocampus revealed by single-cell RNA-seq. Science (1979)
347:1138–1142. https://doi.org/10.1126/SCIENCE.AAA1934 90. Zhang L, Silva TC, Young JI, Gomez L, Schmidt MA, Hamil-
ton-Nelson KL et al (2020) Epigenome-wide meta-analysis of
DNA methylation differences in prefrontal cortex implicates the
immune processes in Alzheimer’s disease. Nat Commun 11(1):1–
13. https://doi.org/10.1038/s41467-020-19791-w 80. Vanderkraats ND, Hiken JF, Decker KF, Edwards JR (2013) Dis-
covering high-resolution patterns of differential DNA methyla-
tion that correlate with gene expression changes. Nucl Acids Res
41:6816–6827. https://doi.org/10.1093/NAR/GKT482 p
g
81. Vihma H, Luhakooder M, Pruunsild P, Timmusk T (2016) Regu-
lation of different human NFAT isoforms by neuronal activity. J
Neurochem 137:394–408. https://doi.org/10.1111/JNC.13568 91. Zhao Y, Majid MC, Soll JM, Brickner JR, Dango S, Mosamma-
parast N (2015) Noncanonical regulation of alkylation damage
resistance by the OTUD4 deubiquitinase. EMBO J 34:1687–1703. https://doi.org/10.15252/EMBJ.201490497 p
g
82. Wang X, Allen M, İş Ö, Reddy JS, Tutor-New FQ, Casey MC et al
(2022) Alzheimer’s disease and progressive supranuclear palsy
share similar transcriptomic changes in distinct brain regions. J
Clin Invest. https://doi.org/10.1172/JCI149904 92. 3 Zhao Y, Mudge MC, Soll JM, Rodrigues RB, Byrum AK, Schwar-
zkopf EA et al (2018) OTUD4 is a phospho-activated K63 deu-
biquitinase that regulates MyD88-dependent signaling. Mol Cell
69:505-516.e5. https://doi.org/10.1016/j.molcel.2018.01.009 p
g
83. Wang X, Allen M, Reddy JS, Carrasquillo MM, Asmann YW,
Funk C et al (2021) Conserved architecture of brain transcrip-
tome changes between Alzheimer’s disease and progressive supra-
nuclear palsy in pathologically affected and unaffected regions. bioRxiv. https://doi.org/10.1101/2021.01.18.426999 93. Zhou Y, Danbolt NC (2014) Glutamate as a neurotransmitter in
the healthy brain. J Neural Transm 121:799. https://doi.org/10.
1007/S00702-014-1180-8 84. Weber A, Schwarz SC, Tost J, Trümbach D, Winter P, Busato F
et al (2018) Epigenome-wide DNA methylation profiling in Pro-
gressive Supranuclear Palsy reveals major changes at DLX1. Nat
Commun. https://doi.org/10.1038/s41467-018-05325-y Publisher's Note Springer Nature remains neutral with regard to
jurisdictional claims in published maps and institutional affiliations. 85. Williams DR, Holton JL, Strand C, Pittman A, de Silva R, Lees AJ
et al (2007) Pathological tau burden and distribution distinguishes
progressive supranuclear palsy-parkinsonism from Richardson’s 1 3 1 3
|
https://openalex.org/W4242642282
|
https://jsci.utq.edu.iq/index.php/main/article/download/249/242/
|
English
| null |
The Study of Histopathological Changes in Some of Intermediate Hosts Infected With Cystic Echinococcosis
|
University of Thi-Qar Journal of Science
| 2,019
|
cc-by
| 6,187
|
Key words: Cystic Echinococcosis, histopathological changes, intermediate hosts. Key words: Cystic Echinococcosis, histopathological changes, intermediate hosts. to complete its life cycle. This involves the definitive
hosts (for example, domestic dogs and wild canids) and
the intermediate hosts (for example domestic and wild
ungulates, humans) (OIE, 2004). The definitive host is
infected by ingestion of offal containing fertile hydatid
cysts. (McManus et al., 2003). The infective eggs in
grass feed or in water are ingested by the intermediate
hosts and hatch into oncosphere inside the stomach and
intestines (Horton, 2003). The released oncosphere
penetrate the wall of small intestine and reach their
final localization passing through vascular and
lymphatic systems to the liver and lungs (Soulsby,
1982), but they rarely spread to other unusual sites
including kidney, spleen (Al- Jawhar and Yaseen,
2007). University of Thi-Qar Journal Of Science (UTsci) Email: jsci@utq.edu.iq Email: jsci@utq.edu.iq Volume 7, Number 1, June 2019 The Study of Histopathological Changes in Some of Intermediate Hosts Infected With
Cystic Echinococcosis Wesam Jasim Hansh General Directorate of Education in Thi-Qar / Iraq Abstract:-
Th The present study aimed to investigate the histopathological changes in liver and lung of sheep, cattle and
buffaloes, spleen of cattle and lung of human infected with cystic echinococcosis (Hydatidosis). The infected organs
with hydatid cysts were collected from abattoir of Nassiriyah municipality in Thi-Qar province, southern of Iraq and
preserved immediately in 10% formalin solution. The gross examination noticed that liver and lung more affected
organs with infection of cystic echinococcosis, also harden area was observed around the hydatid cyst and all these cysts
were unilocular. The present study showed that the defensive response of hosts represented by formation of massive
fibrous layer which surrounded the hydatid cysts in liver, lung and spleen of sheep, cattle and buffaloes. The fibrosis
surrounded the hydatid cyst in lung of human was noticed in this study, also the blood vessels in lung were affected by
complications of hydatid cyst. The infiltration of inflammatory cells against expanding cysts was observed in liver of
sheep and cattle infected with hydatid cysts. The calcification associated with fibrosis in liver of cattle and buffaloes
infected with hydatid cysts was noticed while did not demonstrate in liver of sheep. The degeneration of hepatocytes
and enlargement of bile duct was recorded in infected cattle. The histopathological changes in lungs of infected hosts represented by the dilatation of pulmonary alveoli in
lung of sheep and cattle, also the cystic echinococcosis is affected on the bronchiole by proliferation of bronchial
epithelium in cattle. The massive fibrosis enclosed the bronchiole was observed in buffaloes, in addition to fibrosis in
the bronchiole. The histopathological alterations in spleen of cattle infected with hydatid cyst represented by fibrosis and
calcification surrounded the white pulp and distortion of lymphoid tissue. Email: jsci@utq.edu.iq Volume 7, Number 1, June 2019 Gross examination of cystic Echinococcosis:- The gross examination of cystic echinococcosis
in internal organs showed the most of hydatid cysts was
recognized in liver and lung of infected hosts (sheep,
cattle and buffaloes) with cystic echinococcosis while
did not record infection in other organs except one case
found in spleen of cattle. All of the hydatid cysts was
unilocular cysts filled with fluid and formed from
laminated and germinal layer Pic (1). Both of right and
left lobe, dorsal and ventral surface in liver found
infected with hydatid cysts (2). The number and size of
hydatid cysts was variable, the most of these cyst was
apparent on the surface of liver and lung and their some
embedded in the tissues. During the gross examination,
there is increase in size of liver and lung, change in
their color in all the mentioned animal. The harden and
pale area was surrounded the hydatid cyst in infected
liver and lung. The size of hydatid cyst in spleen of
cattle was similar to size of ball and completely
different from usual shape. Volume 7, Number 1, June 2019 The histological slides were
examined using light microscope with camera to take
photography. Histopathological changes is diagnosed
by pathologist. Echinococcosis:- The samples of organs infected with hydatid
cysts (cystic Echinococcosis) were collected from
abattoir of Nassiriyah municipality in Thi-Qar province
from beginning of January 2018 until the end of April
2018 and these samples used in histopathological study
include liver and lung of intermediate hosts (sheep,
cattle and buffaloes) after their slaughtered and one
sample of spleen infected with hydatid cyst in cattle. This study include one sample from human's lung were
infected with hydatid cyst obtained from patient after
surgical operation in Al-Hussein Imam Teaching
hospital in Thi-Qar province. Volume 7, Number 1, June 2019 3- Dehydration : by using of ascending series of ethanol
alcohol dilutions (70%, 80%, 90%, 100%), two hours
for each concentration. 3- Dehydration : by using of ascending series of ethanol
alcohol dilutions (70%, 80%, 90%, 100%), two hours
for each concentration. The pathogenicity of the hydatid cyst in the
intermediate hosts depends on the severity of the
infection and the organs involved. The clinical signs are
not obvious (Eckert and Deplazes, 2004), and the
disease is rarely diagnosed before slaughter of the
animals. Sometimes animals show clinical symptoms,
such as bronchopneumonia, hepatic disorders leading to
ascitis; jaundice; heart failure; slow growth; weakness
and lameness, but symptoms depend on the location of
the cysts (OIE, 2005). A few reports have been
published on study of histopathological changes in
intermediate hosts infected with cystic echinococcosis
in Thi-Qar province. The aim of this study is to
investigation of the histopathological changes in
internal organs of some intermediate hosts, which is
including liver and lung of sheep, cattle and buffaloes,
spleen of cattle as unusual organ, lung of human
infected with cystic echinococcosis. 4- Clearing : the samples treated with solution from
mixture consists of absolute ethanol and xylene for one
hour for each mixture then the samples put in pure
xylene for three hours. 4- Clearing : the samples treated with solution from
mixture consists of absolute ethanol and xylene for one
hour for each mixture then the samples put in pure
xylene for three hours. 5- Infilteration and Embedding : the samples
infilterated by putting in heated paraffin wax with 60ﹾ C
for three hours, then the samples embedded in solving
paraffin wax in special blocks and leave in room
temperature and become ready for sectioning. 6- Sectioning : the embedded samples were cutting by
using rotary microtome and the samples were sectioned
at 3 – 5 micron. This sections put in water bath with 45
– 50ﹾ C, then mounted on clean glass slides coated with
Mayers albumin and put on hot plate with 50ﹾﹾ C. 6- Sectioning : the embedded samples were cutting by
using rotary microtome and the samples were sectioned
at 3 – 5 micron. This sections put in water bath with 45
– 50ﹾ C, then mounted on clean glass slides coated with
Mayers albumin and put on hot plate with 50ﹾﹾ C. 7-Staining:
the
sections
were
stained
using
haematoxylin / Eosin. Introduction:- Cystic echinococcosis (Hydatidosis), a problem
of worldwide importance, is caused by adult or larval
(hydatid cysts) stages of cestodes belonging to the
genus Echinococcus of the family Taeniidae. At
present, taxonomically it has four valid species,
namely: E. granulosus, E. multilocularis, E. oligarthrus
and E. vogeli. (Thompson and McManus, 2001). Adult
parasites are usually attached to the mucosal layer of
the anterior part of the small intestine of definitive
hosts. The larval stages are found in the internal organs
(mainly liver and lungs) of a wide variety of domestic
and wild intermediate hosts (Thompson, 1995). E. granulosus is an obligatory heterogeneous parasite with
a complex life cycle. It requires two mammalian hosts 74 University of Thi-Qar Journal Of Science (UTsci) Email: jsci@utq.edu.iq Histopathological study:- Pic (5) Infiltration of inflammatory cells ( )
and perifibrosis ( ) in sheep liver infected
with hydatid cyst ( ) (100X) (H&E). Pic (3) Section of the sheep liver showing
fibrous Layer ( ), wall of hydatid cyst
( ) (100X) (H&E). Pic (3) Section of the sheep liver showing
fibrous Layer ( ), wall of hydatid cyst
( ) (100X) (H&E). Pic (1) germinal layer of open hydatid cyst
isolated from lung of cattle Pic (1) germinal layer of open hydatid cyst
isolated from lung of cattle Pic (4) Fibrous layer surrounded the sheep
lung ( ) affected with hydatid cyst ( )
(100X) (H&E). Pic (2) infected liver of cattle with hydatid cyst Pic (4) Fibrous layer surrounded the sheep
lung ( ) affected with hydatid cyst (
(100X) (H&E). Pic (4) Fibrous layer surrounded the sheep
lung ( ) affected with hydatid cyst (
(100X) (H&E). Pic (2) infected liver of cattle with hydatid cyst Histopathological study:- The cysts and surrounding tissues were
removed carefully and part of the cyst wall together
with adjusting liver, lung and spleen tissues at the
distance 1 – 2 cm away from cyst wall were taken and
fixed in 10% formalin solution immediately as first step
in
procedure
of
histopathological
slides. The
histopathological slides were prepared according to
Bancroft and Gamble (2008) as follows : 1- Fixation :all the samples fixed by 10 % formalin
solution. 2- Washing : the samples washed by current water for
many time. 74 University of Thi-Qar Journal Of Science (UTsci)
Website: jsci.utq.edu.iq Email: jsci@utq.edu.iq
Volume 7, Number 1, June 2019
Histopathological changes in liver and lung of
sheep:-
The study of histopathological changes in liver
and lung of sheep affected by cystic echinococcosis
(hydatid cysts) showed peripherial fibrous tissue layer
surrounding the hydatid cyst in both infected liver and
lung, (3) and (4), Also, infiltration of inflammatory
cells was observed in liver tissue infected with hydatid
cyst and around the fibrous layer (5). The peripheral
fibrosis with dilated alveoli was obvious in lung
attached to hydatid cyst (6). The present study showed
that there was dilatation in central vein surrounded with
inflammatory cells in liver of infected sheep (7). Pic (1) germinal layer of open hydatid cyst
isolated from lung of cattle
Pic (2) infected liver of cattle with hydatid cyst
Pic (3) Section of the sheep liver showing
fibrous Layer ( ), wall of hydatid cyst
( ) (100X) (H&E). Pic (4) Fibrous layer surrounded the sheep
lung ( ) affected with hydatid cyst ( )
(100X) (H&E). Pic (5) Infiltration of inflammatory cells ( )
and perifibrosis (
) in sheep liver infected University of Thi-Qar Journal Of Science (UTsci)
ci.utq.edu.iq Email:
Volume 7 Number 1 June 2019 University of Thi-Qar Journal Of Science (UTsci)
ci utq edu iq
Email: j Website: jsci.utq.edu.iq Email: jsci@utq.edu.iq Email: jsci@utq.edu.iq Volume 7, Number 1, June 2019 Pic (3) Section of the sheep liver showing
fibrous Layer ( ), wall of hydatid cyst
( ) (100X) (H&E). Pic (1) germinal layer of open hydatid cyst
isolated from lung of cattle Pic (3) Section of the sheep liver showing
fibrous Layer ( ), wall of hydatid cyst
( ) (100X) (H&E). Pic (4) Fibrous layer surrounded the sheep
lung ( ) affected with hydatid cyst ( )
(100X) (H&E). Histopathological changes in liver and lung of
sheep:- Pic (9)The fibrosis ( ) and calcification
( ) surrounded the white pulp in cattle
spleen (100X) (H&E). Pic (10) Histological section of cattle spleen showing
thickness in wall of blood vessel ( ) and distortion
of lymphoid tissue ( ) and fibrosis ( ) (100X)
(H&E). Pic (7) Dilatation in central vein ( ) with
inflammatory cells ( ) in sheep liver infected
with hydatid cysts (100X) (H&E). Pic (7) Dilatation in central vein ( ) with
inflammatory cells ( ) in sheep liver infected
with hydatid cysts (100X) (H&E). Pic (9)The fibrosis ( ) and calcification
( ) surrounded the white pulp in cattle
spleen (100X) (H&E). Pic (9)The fibrosis ( ) and calcification
( ) surrounded the white pulp in cattle
spleen (100X) (H&E). Pic (7) Dilatation in central vein ( ) with
inflammatory cells ( ) in sheep liver infected
with hydatid cysts (100X) (H&E). Pic (10) Histological section of cattle spleen showing
thickness in wall of blood vessel ( ) and distortion
of lymphoid tissue ( ) and fibrosis ( ) (100X)
(H&E). Pic (10) Histological section of cattle spleen showing
thickness in wall of blood vessel ( ) and distortion
of lymphoid tissue ( ) and fibrosis ( ) (100X)
(H&E). Histopathological changes in liver and lung of
sheep:- Pic (5) Infiltration of inflammatory cells ( )
and perifibrosis ( ) in sheep liver infected
with hydatid cyst ( ) (100X) (H&E). The study of histopathological changes in liver
and lung of sheep affected by cystic echinococcosis
(hydatid cysts) showed peripherial fibrous tissue layer
surrounding the hydatid cyst in both infected liver and
lung, (3) and (4), Also, infiltration of inflammatory
cells was observed in liver tissue infected with hydatid
cyst and around the fibrous layer (5). The peripheral
fibrosis with dilated alveoli was obvious in lung
attached to hydatid cyst (6). The present study showed
that there was dilatation in central vein surrounded with
inflammatory cells in liver of infected sheep (7). Pic (5) Infiltration of inflammatory cells ( )
and perifibrosis ( ) in sheep liver infected
with hydatid cyst ( ) (100X) (H&E). 74 University of Thi-Qar Journal Of Science (UTsci)
Website: jsci.utq.edu.iq Email: jsci@utq.edu.iq
Volume 7, Number 1, June 2019
Histopathological changes in spleen, liver and
lung of cattle:-
Rarely
the present study showed that the
Pic (6) Peripherial fibrous layer ( ) with
dilated alveoli ( ) in sheep lung infected
with hydatid cyst ( ) (100X) (H&E). Pic (7) Dilatation in central vein ( ) with
inflammatory cells ( ) in sheep liver infected
with hydatid cysts (100X) (H&E). Pic (8) Section in cattle spleen revealing fibrous
capsule enclosed the hydatid cyst ( ) (100X)
(H&E). Pic (9)The fibrosis ( ) and calcification
( ) surrounded the white pulp in cattle
spleen (100X) (H&E). University of Thi-Qar Journal Of Science (UTsci)
Website: jsci.utq.edu.iq Email: jsci
Volume 7, Number 1, June 2019 Website: jsci.utq.edu.iq Email: jsci@utq.edu.iq Volume 7, Number 1, June 2019 Pic (8) Section in cattle spleen revealing fibrous
capsule enclosed the hydatid cyst ( ) (100X)
(H&E). Pic (6) Peripherial fibrous layer ( ) with
dilated alveoli ( ) in sheep lung infected
with hydatid cyst ( ) (100X) (H&E). Pic (6) Peripherial fibrous layer ( ) with
dilated alveoli ( ) in sheep lung infected
with hydatid cyst ( ) (100X) (H&E). Pic (6) Peripherial fibrous layer ( ) with
dilated alveoli ( ) in sheep lung infected
with hydatid cyst ( ) (100X) (H&E). Pic (8) Section in cattle spleen revealing fibrous
capsule enclosed the hydatid cyst ( ) (100X)
(H&E). Pic (8) Section in cattle spleen revealing fibrous
capsule enclosed the hydatid cyst ( ) (100X)
(H&E). Email: jsci@utq.edu.iq Volume 7, Number 1, June 2019 Pic (11) Calcified necrosis ( ) and fibrosis
( ) in cattle spleen infected with hydatid cyst
(100X) (H&E). Pic (13) fibrosis ( ) and calcification ( ) in
hepatic parenchyma in cattle liver (100X) ( H&E). Pic (11) Calcified necrosis ( ) and fibrosis
( ) in cattle spleen infected with hydatid cyst
(100X) (H&E). Pic (13) fibrosis ( ) and calcification ( ) in
hepatic parenchyma in cattle liver (100X) ( H&E). Pic (13) fibrosis ( ) and calcification ( ) in
hepatic parenchyma in cattle liver (100X) ( H&E). Pic (14) Dilatation in bile duct ( ) and
disarrangement of hepatocytes ( ) in cattle liver
infected with hydatid cyst (100X) (H&E). Pic (15) Diffusion of kupffer cells ( ) and
sinusoidal dilatation ( ) in cattle liver infected
with hydatid cyst (100X) (H&E). Pic (13) fibrosis ( ) and calcification ( ) in
hepatic parenchyma in cattle liver (100X) ( H&E). Pic (11) Calcified necrosis ( ) and fibrosis
( ) in cattle spleen infected with hydatid cyst
(100X) (H&E). Pic (14) Dilatation in bile duct ( ) and
disarrangement of hepatocytes ( ) in cattle liver
infected with hydatid cyst (100X) (H&E). In liver of cattle, the histopathological changes
demonstrated
that
there
were
aggregation
of
inflammatory cells and degenerated hepatocytes where
being around the central vein (12), also massive fibrosis
and calcification was showed in hepatic parenchyma
(13). The enlargement of lumen in bile duct was noticed
in this study, moreover, disorganization of radiated
arrangement of hepatocytes (14). The invasion of
kupffer cells and sinusoidal dilatation was observed in
hepatic parenchyma of cattle liver infected with hydatid
cysts (15). The pathological effect of hydatid cyst in lung
of cattle represented by massive fibrous layer
surrounded the wall of hydatid cyst (16) and dilatation
of pulmonary alveoli (17).The proliferation of bronchial
epithelial lining was observed in this study (18). Pic (14) Dilatation in bile duct ( ) and
disarrangement of hepatocytes ( ) in cattle liver
infected with hydatid cyst (100X) (H&E). Pic (14) Dilatation in bile duct ( ) and
disarrangement of hepatocytes ( ) in cattle liver
infected with hydatid cyst (100X) (H&E). p
g
y (
)
Pic (12) infiltration of inflammatory cells and
Degenerated hepatocytes surrounded the central vein
( ) (40X) (H&E). lung of cattle:- Pic (13) fibrosis ( ) and calcification ( ) in
hepatic parenchyma in cattle liver (100X) ( H&E). Website: jsci.utq.edu.iq Email: jsci@utq.edu.iq lung of cattle:- Rarely, the present study showed that the
spleen is subjected to the infection of hydatid cysts in
cattle. The enlarge fibrous capsule is markedly apparent
envelope the hydatid cyst (8). The fibrosis and
calcification are surrounding the white pulp in the
splenic lymphoid tissue affected by hydatid cysts (9). Histological sections of spleen indicated there was
thickness in wall of blood vessel (central arteriole) and
distorted lymphoid tissue and the peripherial fibrosis
(10), also the area of calcified necrosis was observed in
spleen infected with hydatid cyst (11). Pic (10) Histological section of cattle spleen showing
thickness in wall of blood vessel ( ) and distortion
of lymphoid tissue ( ) and fibrosis ( ) (100X)
(H&E). 05 rnal Of Science (UTsci)
Email: jsci@utq.edu.iq
1, June 2019
Pic (13) fibrosis ( ) and calcification ( ) in
hepatic parenchyma in cattle liver (100X) ( H&E). Pic (14) Dilatation in bile duct ( ) and
disarrangement of hepatocytes ( ) in cattle liver
infected with hydatid cyst (100X) (H&E). University of Thi-Qar Journal Of Science (UTsci)
Website: jsci.utq.edu.iq Email: jsci@utq.edu.iq
Volume 7, Number 1, June 2019
In liver of cattle, the histopathological changes
demonstrated
that
there
were
aggregation
of
inflammatory cells and degenerated hepatocytes where
being around the central vein (12), also massive fibrosis
and calcification was showed in hepatic parenchyma
(13). The enlargement of lumen in bile duct was noticed
in this study, moreover, disorganization of radiated
arrangement of hepatocytes (14). The invasion of
kupffer cells and sinusoidal dilatation was observed in
hepatic parenchyma of cattle liver infected with hydatid
cysts (15). The pathological effect of hydatid cyst in lung
of cattle represented by massive fibrous layer
surrounded the wall of hydatid cyst (16) and dilatation
of pulmonary alveoli (17).The proliferation of bronchial
epithelial lining was observed in this study (18). Pic (11) Calcified necrosis ( ) and fibrosis
( ) in cattle spleen infected with hydatid cyst
(100X) (H&E). Pic (13) fibrosis ( ) and calcification ( ) in
hepatic parenchyma in cattle liver (100X) ( H&E). Pic (14) Dilatation in bile duct ( ) and
disarrangement of hepatocytes ( ) in cattle liver
infected with hydatid cyst (100X) (H&E). University of Thi-Qar Journal Of Science (UTsci)
Website: jsci.utq.edu.iq Email: jsci@utq.edu.iq
Volume 7, Number 1, June 2019
Pic (11) Calcified necrosis ( ) and fibrosis
( ) in cattle spleen infected with hydatid cyst
(100X) (H&E). University of Thi-Qar Journal Of Science (UTsci)
Website: jsci.utq.edu.iq Email:
Volume 7, Number 1, June 2019 University of Thi-Qar Journal Of Science (UTsci) Website: jsci.utq.edu.iq Email: jsci@utq.edu.iq Email: jsci@utq.edu.iq Pic(16) fibrous layer enclose hydatid cyst
( ) in cattle lung infected with hydatid cyst
(100X) (H&E). Pic(16) fibrous layer enclose hydatid cyst
( ) in cattle lung infected with hydatid cyst
(100X) (H&E). Histopathological changes in liver and lung of
buffaloes:- p
g
g
g
buffaloes:-
The large area of calcification associated with
peripheral fibrosis was noticed in liver of buffaloes
infected with hydatid cyst (19) in addition to, septal
fibrosis between liver lobules was reported in this study
(20). Histopathological examination showed fibrosis
enclose bronchioles in lung of buffaloes infected by
hydatid cyst (21). Also, massive fibrosis were
surrounding bronchiole with congested blood vessels
(22). Pic(16) fibrous layer enclose hydatid cyst
( ) in cattle lung infected with hydatid cyst
(100X) (H&E). Pic(17) dilated alveoli ( ) in lung tissue of cattle
infected with hydatid cyst (100X) (H&E). Pic(18) proliferation of bronchial epithelium ( )
in cattle lung infected with hydatid cyst(400X)
(H&E). Pic (19) Section in buffaloes liver showing
calcification ( ) and peripherial fibrosis
( ) (40X) (H&E). Pic (20) Septal fibrosis between liver lobules ( )
in buffaloes liver infected with hydatid cyst (100X)
(H&E). The large area of calcification associated with
peripheral fibrosis was noticed in liver of buffaloes
infected with hydatid cyst (19) in addition to, septal
fibrosis between liver lobules was reported in this study
(20). Histopathological examination showed fibrosis
enclose bronchioles in lung of buffaloes infected by
hydatid cyst (21). Also, massive fibrosis were
surrounding bronchiole with congested blood vessels
(22). (
)
Pic (19) Section in buffaloes liver showing
calcification ( ) and peripherial fibrosis
( ) (40X) (H&E). Pic(16) fibrous layer enclose hydatid cyst
( ) in cattle lung infected with hydatid cyst
(100X) (H&E). Pic(17) dilated alveoli ( ) in lung tissue of cattle
infected with hydatid cyst (100X) (H&E). Pic (19) Section in buffaloes liver showing
calcification ( ) and peripherial fibrosis
( ) (40X) (H&E). Pic (19) Section in buffaloes liver showing
calcification ( ) and peripherial fibrosis
( ) (40X) (H&E). Pic (20) Septal fibrosis between liver lobules ( )
in buffaloes liver infected with hydatid cyst (100X)
(H&E). Pic(17) dilated alveoli ( ) in lung tissue of cattle
infected with hydatid cyst (100X) (H&E). Pic(17) dilated alveoli ( ) in lung tissue of cattle
infected with hydatid cyst (100X) (H&E). Pic(18) proliferation of bronchial epithelium ( )
in cattle lung infected with hydatid cyst(400X)
(H&E). Pic (20) Septal fibrosis between liver lobules ( )
in buffaloes liver infected with hydatid cyst (100X)
(H&E). Pic (20) Septal fibrosis between liver lobules ( )
in buffaloes liver infected with hydatid cyst (100X)
(H&E). Email: jsci@utq.edu.iq Pic (15) Diffusion of kupffer cells ( ) and
sinusoidal dilatation ( ) in cattle liver infected
with hydatid cyst (100X) (H&E). Pic (15) Diffusion of kupffer cells ( ) and
sinusoidal dilatation ( ) in cattle liver infected
with hydatid cyst (100X) (H&E). Pic (12) infiltration of inflammatory cells and
Degenerated hepatocytes surrounded the central vein
( ) (40X) (H&E). Pic (15) Diffusion of kupffer cells ( ) and
sinusoidal dilatation ( ) in cattle liver infected
with hydatid cyst (100X) (H&E). Pic (15) Diffusion of kupffer cells ( ) and
sinusoidal dilatation ( ) in cattle liver infected
with hydatid cyst (100X) (H&E). 05 University of Thi-Qar Journal Of Science
Website: jsci.utq.edu.iq
Volume 7, Number 1, June 2019
Histopathological c
buffaloes:-
The large area
peripheral fibrosis wa
infected with hydatid
fibrosis between liver
(20). Histopathologica
enclose bronchioles in
hydatid cyst (21). surrounding bronchiol
(22). Pic(16) fibrous layer enclose hydatid cyst
( ) in cattle lung infected with hydatid cyst
(100X) (H&E). Pic(17) dilated alveoli ( ) in lung tissue of cattle
infected with hydatid cyst (100X) (H&E). Pic (19) Section i
calcification (
( University of Thi-Qar Journal Of Science (UTsci)
Website: jsci.utq.edu.iq Email
Volume 7, Number 1, June 2019 Histopathological changes in liver and lung of
buffaloes:- Pic(18) proliferation of bronchial epithelium ( )
in cattle lung infected with hydatid cyst(400X)
(H&E). Pic(18) proliferation of bronchial epithelium ( )
in cattle lung infected with hydatid cyst(400X)
(H&E). 05 University of Thi-Qar Journal Of Science (UTsci)
Website: jsci.utq.edu.iq Email: jsci@utq.edu.iq
Volume 7, Number 1, June 2019
Histopathological changes in lung of human:-
In human, the histopathological changes
represented by massive fibrosis around the wall of
hydatid cyst (23). The area of proliferative blood vessel
was observed in lung tissue, Also, increase in thickness
of blood vessel in lung consists of thickened fibrotic
wall about the artery (24). Discussion:-
Cystic echinococcosis was an affect in
productivity of sheep, cattle, goat and camel, their
infected organs became non consumption for human
moreover, decrease in weight and healthy status for
infected animals (Morar and Felman,2003). The presen
results of gross examination agreed with study of Beigh
et al. (2017) who showed grossly that lung infected
with hydatid cysts of different size and some of these
cysts fully or partially embedded. Ahmedulla et al
(2007) refer to that the parenchyma around the cyst was
Pic (21) Section in lung of buffaloes infected with
hydatid cyst showing fibrosis ( ) in bronchiole
(100X) (H&E). Pic (22) Massive fibrosis surrounded bronchiole
( ) with congestion in blood vessels ( ) in
buffaloes lung infected with hydatid cyst (100X)
(H&E). Pic (23) Section in lung of human showing fibrosis
( ) enclose the hydatid cyst ( ) (40X)
(H&E). Pic (24) Proliferation of blood vessels ( ) and
increase in thickness of blood vessel ( ) in
human lung infected with hydatid cyst (100X) (H&E). Email: jsci@utq.edu.iq Email: jsci@utq.edu.iq Volume 7, Number 1, June 2019 Volume 7, Number 1, June 2019 Pic (21) Section in lung of buffaloes infected with
hydatid cyst showing fibrosis ( ) in bronchiole
(100X) (H&E). Pic (23) Section in lung of human showing fibrosis
( ) enclose the hydatid cyst ( ) (40X)
(H&E) Pic (23) Section in lung of human showing fibrosis
( ) enclose the hydatid cyst ( ) (40X)
(H&E) Pic (21) Section in lung of buffaloes infected with
hydatid cyst showing fibrosis ( ) in bronchiole
(100X) (H&E). Pic (21) Section in lung of buffaloes infected with
hydatid cyst showing fibrosis ( ) in bronchiole
(100X) (H&E). Histopathological changes in liver and lung of
buffaloes:- Pic (24) Proliferation of blood vessels ( ) and Pic (22) Massive fibrosis surrounded bronchiole
( ) with congestion in blood vessels ( ) in
buffaloes lung infected with hydatid cyst (100X)
(H&E). Pic (22) Massive fibrosis surrounded bronchiole
( ) with congestion in blood vessels ( ) in
buffaloes lung infected with hydatid cyst (100X)
(H&E). Pic (24) Proliferation of blood vessels ( ) and
increase in thickness of blood vessel ( ) in
human lung infected with hydatid cyst (100X) (H&E). Pic (22) Massive fibrosis surrounded bronchiole
( ) with congestion in blood vessels ( ) in
buffaloes lung infected with hydatid cyst (100X)
(H&E). Pic (24) Proliferation of blood vessels ( ) and
increase in thickness of blood vessel ( ) in
human lung infected with hydatid cyst (100X) (H&E). Volume 7, Number 1, June 2019 these results agreed with Zahed (2009) who showed
enlargement in central vein with infiltration of
eosinophiles in sheep. AL-Biaty (2010) noticed
increase in number of kupffer cells in liver of infected
cattle. Osman (2007) refered to sinusoidal enlargement
in livers affected with cystic echinococcosis. formation of harden area may be due to fibrous layer
around the hydatid cyst and the infection with
unilocular cysts may be occurred because species and
strain of Echinococcus granulosus. During the present study, histopathological
sections of livers, lungs and spleen in sheep, cattle,
buffaloes and human infected with hydatid cysts
showed massive fibrous layer surrounded the hydatid
cysts. The current study is agreed with Morar and
Feldman (2003) who showed preventive layer in lung
of human versus the hydatid cyst, formed of
compressed
lung
tissue
with
its
associated
inflammatory reaction and fibrosis. These results were
confirmed by Alseﹸ adawy and Alkaled (2012) who
showed thickened fibrous layer in liver and lung of
sheep infected with hydatid cysts. Osman (2007)
demonstrated
that
the
fibrous
tissue
capsule
neighboring the hydatid cyst wall in liver and lung of
infected cattle. Ahmedulla et al. (2007) refered to
fibrous capsule around the hydatid cyst in liver of
buffaloes. Anitha Devi et al. (2011) showed fibrous
connective tissue surrounded the hydatid cyst in lung of
buffaloes. Sreedevi et al. (2016) showed fibrous
connective tissue around the hydatid cyst in spleen of
buffaloes. The hydatid cysts causes severe and chronic
inflammation in lung tissue of human, therefore, the
proliferation of blood vessels may be contribute in
healing and in the formation of granulation tissue
against hydatid cyst. The formation of fibrous layer
may be because immunological response of host against
development of hydatid cyst. Kumar et al. (2013)
showed that the fibrosis is consist by continuous
injurious stimuli such as infection, immunologic
reaction and other types of tissue injury. In this study, the infection of spleen in cattle
with cystic echinococcosis was less frequently
observed. The fibrosis, calcification surrounded the
white pulp of spleen, destruction of lymphoid tissue and
calcified necrosis was observed in this study. The
present findings were agreed with finding of Vural et
al. (2005) who recognized fibrous capsule surrounded
hydatid cyst in spleen of sheep and necrotic material
was existing at the periphery of hydatid cyst. Sreedevi
et al. (2016) refered to mild depletion of the lymphoid
cells in the surrounded white pulp in spleen of
buffaloes. University of Thi-Qar Journal Of Science (UTsci) Email: jsci@utq.edu.iq Discussion:- Histopathological changes in lung of human:-
In human, the histopathological changes
represented by massive fibrosis around the wall of
hydatid cyst (23). The area of proliferative blood vessel
was observed in lung tissue, Also, increase in thickness
of blood vessel in lung consists of thickened fibrotic
wall about the artery (24). Cystic echinococcosis was an affect in
productivity of sheep, cattle, goat and camel, their
infected organs became non consumption for human,
moreover, decrease in weight and healthy status for
infected animals (Morar and Felman,2003). The present
results of gross examination agreed with study of Beigh
et al. (2017) who showed grossly that lung infected
with hydatid cysts of different size and some of these
cysts fully or partially embedded. Ahmedulla et al. (2007) refer to that the parenchyma around the cyst was
hard. Valiyeva et al. (2013) noticed that all infected
organs with hydatid cysts in sheep was unilocular cysts
filled with fluid and surrounded with two layer. The 05 Reference:-
Ah
d ll h F Ahmedullah, F.; Akbor, M.; Haider, M. G.; Hossain,
M. M.; Khan, M. A. H. N. A.; Hossain, M. I. and
Shanta,
I. S. (2007). Pathological
investigation of liver of the slaughtered
buffaloes in Barisal District. Bangl. J. Vet. Med., 5 (1 & 2): 81–85. Kumar, V.; Abbas, A. K. and Aster, J. C.(2013). Robbins basic pathology. 9th ed. Elsevier,
Philadelphia, PP: 910. McManus, D. P.; Zhang, W.; Li, J. and Bartley, P.B. (2003). Echinococosis. Lancet. 362: 1295-
1304. Al- Biaty, H. S. (2010). Pathological changes in livers
of cattle infected with Helminthes in Babylon
province . AL-Qadisiya, J. Vet. Med. Sci., 9
(2): 47 – 54. Morar, R and Felman, C. (2003). Pulmonary
echinococcosis . Eur Respir J. 21 : 1069-1077. OIE (2004). Echinococcosis/Hydatidosis. Manual of
Standards for Diagnostic Tests and Vaccines. Part 2, Section 2.2, Chapter 2.2.3, 5th ed. Paris,France. Al-Jawhar, M. and Yaseen, M. (2007). Hydatid cysts in
Unusual
sites. Proceedings
of
the
22nd
International
Congress
of
Hydatidology,
Athens, Greece. OIE (2005). Echinococcosis. Center for Food Security
and Public Health. Ames, Iowa: Iowa State
University, Collage of Veterinary Medicine, pp
1- 8. Alseﹸ adawy, M.A.H. and Alkaled, M. J.A. (2012). Gross and histological comparison of hydatid
cyst infection in livers of sheep and cows. AL-
Qadisiya, J. Vet. Med. Sci., 11 (2): 94 – 101. Osman,
A. M. A. (2007). Pathological
and
Biomolecular Study on Hydatid Disease in
Camels, Cattle and Sheep. M.Sc. Thesis, Univ. Khartoum, PP: 143. Anitha Devi, M. (2011). Pathomorphological studies on
lung lesions in Buffaloes. M.Sc. Thesis, PP: 99. Bancroft, J. D. and Gamble, M. (2008). Theory and
practices of histological teqnique. 2nded. Churchill Elsevier . London ., P: 56. Soulsby, E. J. L. (1982). Helminths, Arthropods and
Protozoa of Domesticated Animals. 7th ed. Philadelphia: Lea and Febiger, pp 119-127. Beigh, A. B.; Darzi, M. M.; Bashir, S.; kashani, B,
Shah, A and Shah, S. A. (2017). Gross and
histopathological alterations associated with
cystic echinococcosis in small ruminants. J. Parasit. Dis., 41(4):1028–1033. Sreedevi, C.; Anitha Devi, M.; Annapurna, P and
Rama Devi, V. (2016). A rare case of spleenic
hydatidosis in a buffalo: patho-morphological
study. J. Parasit. Dis., 40(1):214–216. Eckert, J. and Deplazes, P. (2004). Biological,
epidemiological,
and
clinical
aspects
of
echinococcosis, a zoonosis of increasing
concern. Am. Soc.Mic. 17:107- 135. Thompson, R. C. A. (1995). Biology and Systematics
of Echinococcus granulosus. In: Thompson,
R.C.A. and
Lymbery,
A. J. (eds.):
Echinococcus and Hydatid disease. Volume 7, Number 1, June 2019 Horton, J. (2003). Albendazole for the treatment of
echinococcosis. Fundam. Clin. Pharmacol. 17(2): 205- 212. and splenic tissue. The defensive response in all of
hosts represented by formation of fibrous layer may be
prevent development of hydatid cysts in liver, lung and
spleen. The pathogenicity of cystic echinococcosis is
related to the size and age of cyst. The current study is
recommended
by
working
histochemical
and
immunohistochemical studies in infected organs of
intermediate hosts. Ibrahim, S. E. A and Gameel, A. A. (2014). Pathological,
Histochemical
and
Immunohistochemical Studies of Lungs and
Livers of Cattle and Sheep Infected with
Hydatid Disease. U. of K. Graduate College
and Scientific Research. The 5 Annual
Conference - Agricultural and Veterinary
Research - February 2014, Khartoum, Sudan. Acknowledgement:-
h
h
k The author acknowledge the staff members of
abattoir of Nassiriyah municipality, Thi-Qar province
for their assistance during this study. Islam, S.; Das, S.; Islam, A.; Talukdar, M. I.; Hashem,
A.; Chowdhury, S and Masuduzzaman. (2015). Pathological Affections of Lungs inSlaughtered
Cattle
and
Buffaloes
at
Chittagong
Metropolitan Area, Bangladesh. Advan, Anim,
Vet, Sci., 3 (1) 27 – 33. Volume 7, Number 1, June 2019 The calcification is pathological lesion was
observed in liver of cattle and buffaloes only while did
not show in liver of infected sheep with hydatid cyst. The similar results were also reported by Alseﹸ adawy
and Alkaled (2012) who remembered that the
calcification along hepatic tissue in cattle, while
Ibrahim and Gameel (2014) demonstrated that there
was no calcification in liver of infected sheep with
hydatid cysts. The hydatid cysts causes extensive
necrosis in tissue, the inflammatory response lead to
deposition of the calcium salts in damaged area,
therefore, the calcification may be occurred. Kumar et
al. (2013) demonstrated that the calcification is
abnormal deposition of the calcium salts in area of
necrosis of any type. The
hydatid
cysts
causes
dilatation
in
pulmonary alveoli in sheep and cattle, also proliferation
of bronchiole epithelium was observed in lung of cattle
infected with hydatid cysts, these results were
confirmed by Osman (2007) who showed compressed
bronchiole, proliferation of the bronchiole epithelium
and collapsed alveoli in lung of camel, also the areas of
emphysema were observed in infected cattle. Beigh et
al. (2017) refered to bronchiolar epithelial hyperplasia
in sheep infected with hydatid cysts. Islam et al (2015)
showed severe enlargement of alveolar space with
variable degree of pulmonary congestion. The dilatation
in pulmonary alveoli may be belong to the pressure of
hydatid cysts on pulmonary tissues. Infiltration of inflammatory cells was observed
in liver of sheep and cattle infected with hydatid cysts. Valiyeva et al. (2013) demonstrated that inflammatory
reaction around the hydatid cyst in liver of sheep. AL-
Biaty (2010) showed inflammatory cells represented by
microphage and lymphocytes in liver of cattle infected
with hydatid cyst. Infiltration of inflammatory cells was
protective response involving host cells and the purpose
of inflammatory reaction was to bring the cells and
molecules of host defense including leukocytes and
plasma proteins normal circulate in the blood to site of
infection (Kumar et al., 2013). During this study,
enlargement
of
central
vein
surrounded
with
inflammatory cells were determined in infected sheep,
also invasion of kupffer cells and dilatation of hepatic
sinusoids was noticed in hydatid cysts infected cattle, In conclusion, under the effect of cystic
echinococcosis, different histopathological alterations
are developed in hepatic and pulmonary parenchyma 07 University of Thi-Qar Journal Of Science (UTsci) Email: jsci@utq.edu.iq Website: jsci.utq.edu.iq )
Email: jsci@utq.edu.iq Reference:-
Ah
d ll h F London:
CAB International. pp 1- 50. 00 Volume 7, Number 1, June 2019 Volume 7, Number 1, June 2019 Thompson, R. C. A. and McManus, D. P. (2001). Aetiology: Parasites and Life- Cycles. In:
Eckert, J.; Gemmell, M. A.; Meslin, F.-X. and
Pawlowski, Z. S. (eds.): WHO/OIE manual on
echinococcosis in humans and animals: a public
health problem of global concern. Paris: World
Organization for Animal Health, pp. 1-19. Valiyeva, Zh. M.; Sarsembaeva, N. B.; A.Z. Maulanov, A. Z.; M.Sh. Shalmenov, M. Sh and
Nurgaliyev, B. E. (2013). Pathomorphology of
Echinococcosis of Sheep in Kazakhstan. Global, Veterinaria, 10 (6): 692-696. Vural, S. Keles, H and Haligur, M. (2005). Unilocular
spleenic hydatidosis in a sheep. Internet, J. Vet. Med., 2(1):11. Zahed, N. Z. (2009). Histological Effects of Cystic
Echinococcosis on the Liver of Sheep. Egypt. J. Hosp. Medi., (37): 656 – 663. 05
|
https://openalex.org/W2767221707
|
https://arpi.unipi.it/bitstream/11568/881112/2/Front%20Pediatr%202017.pdf
|
English
| null |
A Novel Missense Mutation of the NSD1 Gene Associated with Overgrowth in Three Generations of an Italian Family: Case Report, Differential Diagnosis, and Review of Mutations of NSD1 Gene in Familial Sotos Syndrome
|
Frontiers in pediatrics
| 2,017
|
cc-by
| 4,583
|
Case Report
published: 07 November 2017
doi: 10.3389/fped.2017.00236 Case Report A Gianluigi Laccetta1*, Francesca Moscuzza1, Angela Michelucci 2, Andrea Guzzetta 3,
Sara Lunardi 1, Francesca Lorenzoni1 and Paolo Ghirri1 Keywords: Sotos, NSD1, overgrowth, dolichocephaly, learning disability, cryptorchidism, hypertelorism Reviewed by:
Corrado Romano,
IRCCS Associazione Oasi
Maria Santissima, Italy
Angie Jelin,
Johns Hopkins University,
United States Reviewed by:
Corrado Romano,
IRCCS Associazione Oasi
Maria Santissima, Italy
Angie Jelin,
Johns Hopkins University,
United States *Correspondence:
Gianluigi Laccetta
gianluigilaccetta@rocketmail.com Specialty section:
This article was submitted to Child
Health and Human Development,
a section of the journal
Frontiers in Pediatrics Received: 11 September 2017
Accepted: 19 October 2017
Published: 07 November 2017 1 Department of Maternal and Child Health, Division of Neonatology and Neonatal Intensive Care Unit, Santa Chiara Hospital,
University of Pisa, Pisa, Italy, 2 Division of Cytogenetic and Molecular Biology, Azienda Ospedaliera Universitaria Pisana
(AOUP), Pisa, Italy, 3 Department of Developmental Neuroscience, IRCCS Stella Maris, University of Pisa, Pisa, Italy Edited by:
Richard Eugene Frye,
University of Arkansas for Medical
Sciences, United States Sotos syndrome (SoS) is characterized by overgrowth of prenatal onset, learning disabi
lity, and characteristic facial appearance; it is usually due to haploinsufficiency of NSD1
gene at chromosome 5q35. An Italian child was born at 37 weeks of gestation (weight
2,910 g, 25th–50th centiles; length 50 cm, 75th centile; head circumference 36 cm, 97th
centile) showing cryptorchidism on the right side, hypertelorism, dolichocephaly, broad
and prominent forehead, and narrow jaw; the pregnancy was worsened by maternal
preeclampsia and gestational diabetes, and his mother had a previous history of four
early miscarriages. The patient showed neonatal jaundice, hypotonia, feeding difficulties,
frequent vomiting, and gastroesophageal reflux. After the age of 6 months, his weight,
length, and head circumference were above the 97th centile; psychomotor development
was delayed. At the age of 9 years, the patient showed also joint laxity and scoliosis. DNA
sequence analysis of NSD1 gene detected a novel heterozygous mutation (c.521T>A,
p.Val174Asp) in exon 2. The same mutant allele was also found in the mother and in the
maternal grandfather of the proband; both the mother and the maternal grandfather of
the proband showed isolated overgrowth with height above the 97th centile in absence
of other features of SoS. At present 23 familial cases of SoS have been described
(two cases with mutation in exon 2 of NSD1 gene); no familial cases of SoS with mutation
of NSD1 gene and isolated overgrowth have been reported. Probably, point mutations
of NSD1 gene, and particularly mutations between exon 20 and exon 23, are not likely
to affect reproductive fitness. Epigenetic mechanisms and intrauterine environment may
influence phenotypes, therefore genetic tests are not useful to predict the phenotype
but they are indispensable for the diagnosis of SoS. This is the first Italian familial case
of SoS with genetic confirmation and the third report in which a missense mutation of
NSD1 gene is found in three generations of the same family. CASE PRESENTATION Less frequently, patients with SoS present with behavioral
problems such as autistic spectrum disorders, phobias, and aggres-
sion (2). Cardiac anomalies are identified in 20% of patients (2). Most of individuals with SoS have cranial abnormalities found
on MRI or CT (ventricular dilatation, hypoplasia or agenesis
of the corpus callosum, mega cisterna magna, cavum septum
pellucidum, cerebral atrophy, and small cerebellar vermis) (2). Joint laxity has been described in at least 20% of patients with
SoS; affected individuals often present renal anomalies, scoliosis,
and seizures (2). 15% of pregnancies of children with SoS are
worsened by maternal preeclampsia, and neonatal complications
(jaundice, hypotonia, and poor feeding) are very common (2). The patient was the second child of non-consanguineous healthy
parents of Italian origin with a history of four early miscarriages. He was born at 37 weeks of gestation by spontaneous delivery; the
pregnancy was affected by maternal preeclampsia and gestational
diabetes. His birth weight was 2,910 g (between the 25th and 50th
centiles), his length was 50 cm (75th centile), and his head cir-
cumference was 36 cm (97th centile). Apgar score was 8 at 5 min. Physical examination performed at birth revealed cryptorchid-
ism on the right side, hypertelorism, dolichocephalic head with
broad and prominent forehead, and narrow jaw. Blood glucose
monitoring in the 24 h following the birth was normal; 48 h after
birth the newborn showed neonatal jaundice that required pho-
totherapy. Cardiac and abdominal ultrasound examinations were
normal; cerebral ultrasound study showed a mild periventricular
hyperechogenicity.hfi Less than 15% of individuals with SoS present with cataract,
conductive hearing loss, craniosynostosis, vertebral anomalies,
talipes equinovarus, hemihypertrophy, gastroesophageal reflux,
hypothyroidism, and cryptorchidism (2). Tumors (sacrococcygeal
teratoma, neuroblastoma, presacral ganglioma, acute lympho-
blastic leukemia, small cell lung cancer, and soft-tissue sarcoma)
have been described in about 3% of patients with SoS (2, 3). The patient showed hypotonia and severe feeding difficulties
since he was 3 weeks old; at the age of 1 month, gastroesophageal
reflux was diagnosed, and frequent vomiting was present since he
was 6 weeks old. At the age of 7 weeks, the child had an episode of
Brief Resolved Unexplained Event with cyanosis, absent breath-
ing, marked hypotonia, and unresponsiveness. Later, he showed
some episodes of apnea with perioral cyanosis. BACKGROUND 5q35 microdeletions are present in 10–15% of European and
American cases and in more than 50% of Japanese cases (1). No abnormalities of the NSD1 gene have been identified in
10% of patients (1). Many benign and pathogenic variants of
NSD1 have been identified, but it is not currently known how
functional abrogation of NSD1 results in SoS; probably there is a
link between SoS and MAPK/ERK-signaling pathway, which is
downregulated in SoS (2, 4). On the other side, the ras interact-
ing protein 1, a downstream Ras effector interfering with the
MAPK/ERK pathway, is identified upregulated in SoS (4). The
deregulation of the MAPK/ERK-signaling cascade causes a
hypertrophic differentiation of NSD1-expressing chondrocytes
with subsequent statural overgrowth and accelerated skeletal
maturation in patients with SoS (4). Sotos syndrome (SoS) was first described by Juan Sotos in 1964;
it is a rare genetic disorder whose prevalence is estimated to be
1:14,000 live births (1, 2). Sotos syndrome is characterized by overgrowth of prenatal
onset, learning disability, and characteristic facial appearance:
it has been estimated that at least 90% of patients with SoS
present these features (2). The head of these patients is typically
dolichocephalic, and the forehead is broad and prominent;
palpebral fissures are downslanting, the jaw is narrow with a
long chin and hair in the frontotemporal region is sparse (2). Children with SoS usually present delay of motor development,
hypotonia, and poor language; they also have difficulties with
speech and language, and intellectual impairment that remains
stable throughout life (2). The average birth length approximates
to the 98th centile, the average birth weight is between the 50th
and 91st centiles, and the average birth head circumference is
between the 91st and 98th centiles (2). Even though growth is
influenced by parental heights, children with SoS usually have a
height and head circumference at least two SD above the mean
(2). Height can be normal in adulthood, but macrocephaly is
usually present at all ages (2). The increased height is usually due
to an increase in limb length; 75–80% of children also present
with advanced bone age (2). Furthermore, heterozygous inactivation of the NSD1 gene
results in loss of repression of growth promoting genes, modestly
increased plasma levels of IGFBP-2 and IGFBP-6, and reduced
levels of IGF-I, IGF-II, IGFBP-3, and IGFBP-4 (4). Citation: Laccetta G, Moscuzza F,
Michelucci A, Guzzetta A, Lunardi S,
Lorenzoni F and Ghirri P (2017)
A Novel Missense Mutation of the
NSD1 Gene Associated with
Overgrowth in Three Generations
of an Italian Family: Case Report,
Differential Diagnosis, and Review
of Mutations of NSD1 Gene in
Familial Sotos Syndrome. Front. Pediatr. 5:236. doi: 10.3389/fped.2017.00236 November 2017 | Volume 5 | Article 236 Frontiers in Pediatrics | www.frontiersin.org 1 NSD1 Gene in Familial SoS Laccetta et al. BACKGROUND Reduced levels
of IGF-I and IGF-II are present in short rather than tall stature
such as observed in SoS, therefore the relationship between NSD1
and the GH/IGF1 axis is still unclear (4).i In this report, we describe a novel molecular genetic finding in
the NSD1 gene with related clinical features in an Italian familial
case of overgrowth syndrome. Frontiers in Pediatrics | www.frontiersin.org CASE PRESENTATION For these reasons,
the patient underwent cardiorespiratory monitoring and artificial
feeding with nasogastric tube for 10 days.h p
In 2002, cloning of the breakpoints of a “de novo” t(5;8)
(q35;q24.1) translocation in a child with SoS led to the discovery
that SoS is usually due to haploinsufficiency of the NSD1 gene
that encodes a histone methyltransferase (the nuclear receptor
SET domain-containing protein 1); the NSD1 gene is located
at chromosome 5q35, and its haploinsufficiency is caused by
various mechanisms (truncating mutations, missense mutations,
splice-site mutations, partial gene deletions, and 5q35 microde-
letions) (1, 2). The histone–lysine N-methyltransferase encoded
by the NSD1 gene acts as a transcriptional factor capable of both
negatively and positively influencing transcription, depending
on the cellular context (2). Intragenic mutations cause 80–85%
of SoS cases among European and American populations; The weight gain of the patient was poor until the age of
6 months because of hypotonia, feeding difficulties, gastroe-
sophageal reflux, and frequent vomiting. Later, he showed exces-
sive growth, and his weight, height, and head circumference were
above the 97th centile for age and sex. Psychomotor development
was delayed: the child held up his head at 5 months, rolled over November 2017 | Volume 5 | Article 236 2 NSD1 Gene in Familial SoS Laccetta et al. at 7 months, walked alone at 24 months, spoke a first word at
30 months and simple phrases at 4 years. At 4 years 6 months, he
showed advanced bone age corresponding to 6 years. sequences and PCR conditions are available on request). PCR
products were purified with QIAquick PCR purification kit
(Qiagen, Valencia, CA, USA) and directly sequenced with Big Dye
Terminator Sequencing Kit version 3.1 (Applied Biosystems, Foster
City, CA, USA), with the same primers used for the amplification. Finally, samples were run on 3130xl Genetic Analyzer (Applied
Biosystems, Foster City, CA, USA) and analyzed with Sequencing
Analysis Software (Applied Biosystems, Foster City, CA, USA). At the age of 9 years, the patient weighed 51.4 kg (>97th cen-
tile); he was 148.1 cm tall (>97th centile), and his head circumfer-
ence was 60 cm (>97th centile). Physical examination revealed
dolichocephaly, broad and prominent forehead, downslanting
palpebral fissures, narrow jaw, hypertelorism, increased limb
length, joint laxity, and scoliosis; his right testicle was smaller than
his left one. Intellectual impairment and difficulties with speech
and language were noted. CASE PRESENTATION Sideropenic anemia was demonstrated
at blood examination.itf t
DNA sequence analysis of the NSD1 gene detected a novel
heterozygous mutation: c.521T>A (p.Val174Asp) in exon 2. The
same mutant allele was also found in the mother and in the mater-
nal grandfather of the proband. In silico analysis by PolyPhen-2
predicted it as probably damaging; analysis with Mutation Taster
predicted the mutation as disease causing. The residue is con-
served among different species.h Clinical findings, after a differential diagnosis with other over-
growth syndromes (Table 1), supported the suspicion of SoS, thus
molecular genetic analysis was recommended. The mother was the only child of unrelated parents. She was
45 years old at diagnosis with height of 181.6 cm (>97th centile);
her weight and head circumference were normal. She had neither
facial appearance suggestive of SoS nor intellectual impairment;
she graduated at University and worked as employee. She was
born as appropriate-for-date, no neonatal complications were
observed, and her psychomotor development was normal. She
suffered from Hashimoto thyroiditis and had a previous history
of four early miscarriages. LABORATORY INVESTIGATIONS AND
DIAGNOSTIC TESTS Genomic DNA was extracted from peripheral blood lymphocytes
using EZ1 DNA kit and BioRobot EZ1 (Qiagen, Milan, Italy). All
coding exons (exons 2–23) and exon–intron boundaries of the NSD1
gene (Ensembl Gene ID: ENSG00000165671, ENST00000439151)
were amplified by polymerase chain reaction (PCR) (primers The maternal grandfather of the patient was 79 years old at
diagnosis with height of 195.4 cm (>97th centile); his weight, head
circumference, and facial appearance were normal. He was born
as appropriate-for-date, no neonatal complications were observed,
and his psychomotor development was normal. He graduated at
senior high school with good results and had worked as employee. At present, the child undergoes periodic clinical examination
and investigations because of the increased risk of tumors and
other complications; orthopedic follow-up for scoliosis is also
performed. The child participates in a regular class with support,
and his parents undergo periodic psychological counseling. The maternal grandfather of the patient was 79 years old at
diagnosis with height of 195.4 cm (>97th centile); his weight, head
circumference, and facial appearance were normal. He was born
as appropriate-for-date, no neonatal complications were observed,
and his psychomotor development was normal. He graduated at
senior high school with good results and had worked as employee. Table 1 | Suggestive findings of Sotos syndrome (SoS) in the proband and
differential diagnosis with other overgrowth syndromes (1 = Malan syndrome;
2 = Marshall-Smith syndrome; 3 = Weaver syndrome; 4 = Simpson–Golabi–
Behmel syndrome; 5 = Perlman syndrome; 6 = Bannayan–Riley–Ruvalcaba
syndrome; 7 = Beckwith–Wiedemann syndrome; 8 = PI3K-related syndromes;
+ = present; − = absent; NA = not available). Table 1 | Suggestive findings of Sotos syndrome (SoS) in the proband and
differential diagnosis with other overgrowth syndromes (1 = Malan syndrome;
2 = Marshall-Smith syndrome; 3 = Weaver syndrome; 4 = Simpson–Golabi–
Behmel syndrome; 5 = Perlman syndrome; 6 = Bannayan–Riley–Ruvalcaba
syndrome; 7 = Beckwith–Wiedemann syndrome; 8 = PI3K-related syndromes;
+ = present; − = absent; NA = not available). At present, the child undergoes periodic clinical examination
and investigations because of the increased risk of tumors and
other complications; orthopedic follow-up for scoliosis is also
performed. The child participates in a regular class with support,
and his parents undergo periodic psychological counseling. LABORATORY INVESTIGATIONS AND
DIAGNOSTIC TESTS Suggestive findings for SoS
Proband
Other overgrowth
syndromes
1
2
3
4
5
6
7
8
Broad, prominent forehead
+
+
+
+
+
+
−
−
+
Dolichocephalic head shape
+
−
−
−
−
−
−
−
−
Sparse frontotemporal hair
−
−
−
−
−
−
−
−
−
Downslanting palpebral fissures
+
+
−
−
+
−
−
−
−
Malar flushing
−
−
−
−
−
−
−
−
−
Long narrow face
+
+
−
−
−
−
−
−
−
Long chin
−
+
−
−
−
−
−
−
−
Early developmental delay
+
+
+
+
+
+
+
+
+
Mild/severe intellectual impairment
+
+
+
+
−
−
+
−
+
Height ≥2 SD above the mean
+
+
−
+
+
+
+
+
−
Head circumference ≥2 SD above
the mean
+
+
−
+
+
−
+
+
+
Normal height in adulthood
NA
+
−
−
−
+
+
+
+
Macrocephaly at all ages
NA
+
−
+
+
−
+
−
+
Behavioral problems
−
+
−
−
+
−
+
−
+
Advanced bone age
+
+
+
+
−
+
−
−
−
Cardiac anomalies
−
−
−
+
+
+
−
−
−
Cranial MRI/CT abnormalities
−
−
−
+
+
+
−
−
+
Joint hyperlaxity/pes planus
+
−
−
−
−
−
−
−
−
Maternal preeclampsia
+
−
−
−
−
−
−
−
−
Neonatal complications
+
+
+
+
+
+
+
+
−
Renal anomalies
−
−
−
−
+
+
−
+
−
Scoliosis
+
+
−
−
+
−
−
−
+
Seizures
−
+
−
−
+
−
+
−
+
See Ref. (2, 5–7). Written informed consent for the publication of the present
case report was obtained from both parents of the proband and
his maternal grandfather. November 2017 | Volume 5 | Article 236 DISCUSSION We hypothesized our patient should suffer from SoS because
of his history of overgrowth, his facial appearance, and the
presence of many other suggestive findings (Table 1) (2, 5–7). However, a differential diagnosis with other overgrowth syn-
dromes was mandatory: a lot of the suggestive findings showed
by our patient were also characteristic of many other overgrowth
syndromes but, finally, the history of maternal preeclampsia and
the presence of dolichocephaly and joint laxity let us suspect SoS
(Table 1) (2, 5–7). However, the definitive diagnosis required
necessarily the sequence analysis of NSD1 gene. In our family, the same mutation in exon 2 of the NSD1 gene
was present in the proband, in his mother and in his maternal
grandfather; all the three patients showed overgrowth. In addi-
tion to overgrowth, the proband showed most of the features
of SoS. At present 23 families with at least two family members
affected by SoS have been identified as carrier of mutations of November 2017 | Volume 5 | Article 236 Frontiers in Pediatrics | www.frontiersin.org 3 NSD1 Gene in Familial SoS Laccetta et al. and early recurrent miscarriages, as described in the mother of
our proband. NSD1 gene associated with overgrowth and other clinical find-
ings of SoS (Table 2) (8–18). Ho¨glund et al. reported a Finnish
family with two members showing the classical phenotype of SoS:
both of them had a novel 896delC mutation at exon 2 resulting
in a frameshift and premature stop codon at nucleotides 955–957
with truncation of 88% of the predicted polypeptide (9). de Boer
et al. reported a family with the eldest son showing advanced
bone age, developmental delay, and some facial characteristics
of SoS, and his mother showing overgrowth and some facial
characteristics of SoS; both the mother and the son were carriers
of the missense mutation 607G>A at exon 2 of NSD1 gene (11). Two Italian siblings with SoS phenotype (psychomotor delay,
macrocrania, coarse face, and accelerated growth), possibly inher-
ited from their father, had already been described previously but
genetic tests for SoS were not available at that time, therefore our
family represents the first Italian familial case of SoS with genetic
confirmation (19). In addition to this, ours is the third report in
which a missense mutation of NSD1 gene is found in three genera-
tions of the same family: van Haelst et al. DISCUSSION described earlier seven
members of a three-generation Dutch family with the mutation
6605G>A/C2202Y in exon 23 of NSD1 gene (13). Furthermore,
Donnelly et al. described eight members of a three-generation
Northern Irish family with SoS caused by the mutation 6115C>T/
R2039C in exon 20 of NSD1 gene (17). Our report confirms that
variation in phenotype is possible even for patients with the same
abnormality of NSD1 gene, as previously reported (1, 12, 14, 17, 18). Thus, it is possible that stochastic factors, epigenetic mechanisms,
intrauterine environment, functional polymorphisms in genes
interacting with NSD1, and intrinsic variability in the regulation
of downstream targets of NSD1 may be responsible of a different
expression profile of NSD1 gene; the resulting tissue-specific gene
expression profile may possibly influence phenotypes of SoS (12). According to the previous hypothesis, genetic tests are not useful
to predict the phenotype. Two out of our three patients (the mother and the maternal
grandfather of the proband) showed the mutation of NSD1 gene
associated with isolated overgrowth; this finding has never been
reported previously among familial cases of SoS. Tatton-Brown
et al. screened more than 300 parents of NSD1-positive patients
identifying mutations in 11, all of whom showed clinical findings
of SoS; in other words, they have not seen a case of incomplete
penetrance for a confirmed pathogenic NSD1 gene mutation
(12). On the basis of our data, we consider worthwhile to perform
molecular analyses for SoS in both parents of NSD1-positive
individuals even when showing isolated overgrowth (2). According to Table 2, most of familial cases of SoS are caused
by a point mutation of NSD1 gene; we also suggest a link between
the location of the mutation in NSD1 gene and the reproductive
fitness. Nearly half of familial cases of SoS presented with a micro-
deletion or a point mutation between exon 20 and exon 23: on
the basis of this finding, we hypothesize that mutations between
exon 20 and exon 23 are not likely to affect reproductive fitness. On the other side, more rare mutations in other coding exons,
such as exon 2, are possibly associated with a defect of fertility In conclusion, we identified an Italian family with a novel mis-
sense mutation in exon 2 of NSD1 gene; each member carried
the same molecular abnormality with variable phenotypes and
severity, from isolated overgrowth to classical SoS. DISCUSSION The present
family case report will contribute to the understanding of the
correlation between genotype and phenotype in familial SoS. Table 2 | Mutations of the NSD1 gene in familial cases of Sotos syndrome. Case #
Nationality
Patients
Location
Mutation
Amino acids change
Reference
1
Israelite
Mother, son
Exon 5
2386–2389delGAAA
Frameshift
(8)
2
Finnish
Father, son
Exon 2
896delC
Frameshift
(9)
3
Turkish
Mother, daughter, son
Exon 23
6532delTGCCCCAGC
2178–2180delCPS
(10)
4
German
Father, two daughters
Exon 18
5737A>G
N1913D
(11)
5
German
Mother, son
Exon 2
607G>A
V203I
(11)
6
German
Mother, daughter, son
Exon 21
6241T>G
L2081V
(11)
Exon 23
7576C>T
P2526S
7
Finnish
Mother, two daughters
Exon 5
2333T>G
L778X
(12)
8
Israelite
Mother, daughter
Exon 6
3882delT
Frameshift
(12)
9
Israelite
Mother, son
Exon 10
4417C>T
R1473X
(12)
10
Israelite
Mother, son
Exon 13
4779–4781delTTTinsATTC
Frameshift
(12)
11
Israelite
Mother, daughter
Exon 13
4855T>C
C1619R
(12)
12
Israelite
Father, three sons
Exon 14
4987C>T
R1663C
(12)
13
Israelite
Mother, daughter
Exon 16
5375G>T
G1792V
(12)
14
German
Mother, son
Exon 22
6291delG
Frameshift
(12)
15
German
Father, son
Exon 22
6370T>C
C2124R
(12)
16
Turkish
Mother, son
Exon 23
6614A>G
H2205R
(12)
17
Dutch
Seven members of a three-generation family
Exon 23
6605G>A
C2202Y
(13)
18
Japanese
Mother, daughter, two sons
Intron 13
IVS13 + 1G>A
Skip exon 13
(14)
19
Spanish
Father, son
Exon 22
A6442delAGCGACCA
K2151fsX
(15)
20
German
Mother, son, daughter
Exon 23
6523T>A
C2175S
(16)
21
Irish
Eight members of a three-generation family
Exon 20
6115C>T
R2039C
(17)
22
Korean
Mother, daughter
Exon 22
6356delA
D2119V
(18)
23
Italian
Three members of a three-generation family
Exon 2
521T>A
V174A
Our case
See Ref. (8–18). Our case November 2017 | Volume 5 | Article 236 Frontiers in Pediatrics | www.frontiersin.org NSD1 Gene in Familial SoS Laccetta et al. AUTHOR CONTRIBUTIONS GL, FM, AG, FL, SL, and PG met the patient to each visit and
wrote the present case report; AM performed the molecular
analysis of NSD1 gene. GL, FM, AG, FL, SL, and PG met the patient to each visit and
wrote the present case report; AM performed the molecular
analysis of NSD1 gene. Written informed consent for the publication of the present case
report was obtained from both parents of the proband and his
maternal grandfather. REFERENCES 12. Tatton-Brown K, Douglas J, Coleman K, Baujat G, Cole TRP, Das S, et al. Genotype-phenotype associations in Sotos syndrome: an analysis of 266
individuals with NSD1 aberrations. Am J Hum Genet (2005) 77:193–204. doi:10.1086/432082 1. Tatton-Brown K, Rahman N. Sotos syndrome. Eur J Hum Genet (2007)
15:264–71. doi:10.1038/sj.ejhg.5201686 1. Tatton-Brown K, Rahman N. Sotos syndrome. Eur J Hum Genet (2007)
15:264–71. doi:10.1038/sj.ejhg.5201686 13. van Haelst MM, Hoogeboom JJ, Baujat G, Brüggenwirth HT, van de Laar I,
Coleman K, et al. Familial gigantism caused by an NSD1 mutation. Am J Med
Genet A (2005) 139(1):40–4. doi:10.1002/ajmg.a.30973 hi 2. Tatton-Brown K, Cole TRP, Rahman N. Sotos syndrome. In: Pagon RA,
Adam MP, Ardinger HH, Wallace SE, Bean LJH, Mefford HC, et al.,
editors. GeneReviews® [Internet]. Seattle, WA: University of Washington,
Seattle (2014). p. 1993–2017.t 14. Tei S, Tsuneishi S, Matsuo M. The first Japanese familial Sotos syndrome with
a novel mutation of the NSD1 gene. Kobe J Med Sci (2006) 52(1):1–8. 3. Hill DE, Roberts CC, Inwards CY, Sim FH. Childhood soft-tissue sarcoma
associated with Sotos syndrome. Radiol Case Rep (2010) 5:384. doi:10.2484/
rcr.v5i1.384 15. Gilaberte Y, Ferrer-Lozano M, Jesús Oliván M, Coscojuela C, Abascal M,
Lapunzina P. Multiple giant pilomatricoma in familial Sotos syndrome. Pediatr Dermatol (2008) 25(1):122–5. doi:10.1111/j.1525-1470.2007.00602.x 4. Visser R, Landman EBM, Goeman J, Wit JM, Karperien M. Sotos syndrome
is associated with deregulation of the MAPK/ERK-signaling pathway. PLoS
One (2012) 7(11):e49229. doi:10.1371/journal.pone.0049229 16. Zechner U, Kohlschmidt N, Kempf O, Gebauer K, Haug K, Engels H, et al. Familial Sotos syndrome caused by a novel missense mutation, C2175S, in
NSD1 and associated with normal intelligence, insulin dependent diabetes,
bronchial asthma, and lipedema. Eur J Med Genet (2009) 52:306–10. doi:10.1016/j.ejmg.2009.06.001 One (2012) 7(11):e49229. doi:10.1371/journal.pone.0049229 5. Edmondson AC, Kalish JM. Overgrowth syndromes. J Pediatr Genet (2015)
4:136–43. doi:10.1055/s-0035-1564440 6. Klaassens M, Morrogh D, Rosser EM, Jaffer F, Vreeburg M, Bok LA, et al. Malan syndrome: Sotos-like overgrowth with de novo NFIX sequence variants
and deletions in six new patients and a review of the literature. Eur J Hum
Genet (2015) 23(5):610–5. doi:10.1038/ejhg.2014.162 17. Donnelly DE, Turnpenny P, McConnell VPM. Phenotypic variability in a
three-generation Northern Irish family with Sotos syndrome. Clin Dysmorphol
(2011) 20:175–81. doi:10.1097/MCD.0b013e328349182d 17. Donnelly DE, Turnpenny P, McConnell VPM. Phenotypic variability in a
three-generation Northern Irish family with Sotos syndrome. Clin Dysmorphol
(2011) 20:175–81. doi:10.1097/MCD.0b013e328349182d i 18. Frontiers in Pediatrics | www.frontiersin.org November 2017 | Volume 5 | Article 236 REFERENCES Hyun Park S, Eun Lee J, Bae Sohn Y, Min Ko J. First identified Korean family
with Sotos syndrome caused by a novel intragenic mutation in NSD1. Ann Clin
Lab Sci (2014) 44(2):228–31. 7. Tenorio J, Arias P, Martínez-Glez V, Santos F, García-Miñaur S, Nevado J, et al. Simpson-Golabi-Behmel syndrome types I and II. Orphanet J Rare Dis (2014) 9:
138. doi:10.1186/s13023-014-0138-0 19. Scarpa P, Faggioli R, Voghenzi A. Familial Sotos syndrome: longitudinal study
of two additional cases. Genet Couns (1994) 5(2):155–9. 8. Kutotaki N, Harada N, Shimokawa O, Miyake N, Kawame H, Uetake K, et al. Fifty microdeletions among 112 cases of Sotos syndrome: low copy repeats
possibly mediate the common deletion. Hum Mutat (2003) 22:378–87. doi:10.1002/humu.10270 Conflict of Interest Statement: The authors declare that the research was con-
ducted in the absence of any commercial or financial relationships that could be
construed as a potential conflict of interest. 9. Ho¨glund P, Kurotaki N, Kyto¨lä S, Miyake N, Somer M, Matsumoto N. Familial
Sotos syndrome is caused by a novel 1 bp deletion of the NSD1 gene. J Med
Genet (2003) 40:51–4. doi:10.1136/jmg.40.1.51 10. Türkmen S, Gillesen-Kaesbach G, Meinecke P, Albrecht B, Neumann LM,
Hesse V, et al. Mutations in NSD1 are responsible for Sotos syndrome, but
are not a frequent finding in other overgrowth phenotypes. Eur J Hum Genet
(2003) 11:858–65. doi:10.1038/sj.ejhg.5201050 Copyright © 2017 Laccetta, Moscuzza, Michelucci, Guzzetta, Lunardi, Lorenzoni
and Ghirri. This is an open-access article distributed under the terms of the Creative
Commons Attribution License (CC BY). The use, distribution or reproduction in
other forums is permitted, provided the original author(s) or licensor are credited
and that the original publication in this journal is cited, in accordance with accepted
academic practice. No use, distribution or reproduction is permitted which does not
comply with these terms. 11. de Boer L, Kant SG, Karperien M, van Beers L, Tjon J, Vink GR, et al. Genotype-
phenotype correlation in patients suspected of having Sotos syndrome. Horm
Res (2004) 62:197–207. doi:10.1159/000081063 November 2017 | Volume 5 | Article 236 Frontiers in Pediatrics | www.frontiersin.org 5
|
https://openalex.org/W1990407690
|
https://europepmc.org/articles/pmc3009082?pdf=render
|
Latin
| null |
5-Chloromethyl-1,3-dimethyl-1<i>H</i>-pyrazole
|
Acta crystallographica. Section E
| 2,010
|
cc-by
| 1,813
|
organic compounds Experimental
Crystal data
C6H9ClN2
Mr = 144.60
Triclinic, P1
a = 6.5210 (7) A˚
b = 7.3111 (7) A˚
c = 7.9854 (8) A˚
= 88.383 (1)
= 77.563 (2)
= 85.725 (2)
V = 370.71 (6) A˚ 3
Z = 2
Mo K radiation
= 0.43 mm1
T = 296 K
0.28 0.22 0.20 mm
Data collection
Bruker SMART CCD
diffractometer
Absorption correction: multi-scan
(SADABS; Bruker, 2001)
Tmin = 0.890, Tmax = 0.919
1906 measured reflections
1304 independent reflections
1135 reflections with I > 2(I)
Rint = 0.011
Refinement
R[F 2 > 2(F 2)] = 0.038
wR(F 2) = 0.105
S = 1.05
1304 reflections
85 parameters
H-atom parameters constrained
max = 0.22 e A˚ 3
min = 0.31 e A˚ 3 Acta Crystallographica Section E
Structure Reports
Online
ISSN 1600-5368 Acta Crystallographica Section E
Structure Reports
Online
ISSN 1600-5368 Related literature For a related structure, see: Baldy et al. (1985). Data collection: SMART (Bruker, 2001); cell refinement: SAINT
(Bruker, 2001); data reduction: SAINT; program(s) used to solve
structure: SHELXS97 (Sheldrick, 2008); program(s) used to refine
structure:
SHELXL97
(Sheldrick,
2008);
molecular
graphics:
SHELXTL (Sheldrick, 2008); software used to prepare material for
publication: SHELXTL. Supplementary data and figures for this paper are available from the
IUCr electronic archives (Reference: HB5664). Table 1 The pyazole ring in the title compound, C6H9ClN2, is almost
planar (r.m.s. deviation = 0.003 A˚ ). In the crystal, molecules
are linked by C—H N interactions, forming [100] chains. D—H A
D—H
H A
D A
D—H A
C1—H1B N2i
0.97
2.50
3.446 (3)
164
Symmetry code: (i) x þ 1; y; z. Guiqiu Yang,a* Hongcai Xu,b Huibin Yangc and Haibo Yuc aShenyang University of Chemical Technology, Shenyang 110142, People’s Republic
of China, bPharmaceutical Division, Shenyang University of Chemical Technology,
Shenyang 110142, People’s Republic of China, and cAgrochemicals Division,
Shenyang Research Institute of Chemical Industry, Shenyang 110021, People’s
Republic of China Correspondence e-mail: yangguiqiu@gmail.com 85 parameters
H-atom parameters constrained
max = 0.22 e A˚ 3
min = 0.31 e A˚ 3 Received 29 September 2010; accepted 21 October 2010 Key indicators: single-crystal X-ray study; T = 296 K; mean (C–C) = 0.003 A˚;
R factor = 0.038; wR factor = 0.105; data-to-parameter ratio = 15.3. Table 1
Hydrogen-bond geometry (A˚ , ). D—H A
D—H
H A
D A
D—H A
C1—H1B N2i
0.97
2.50
3.446 (3)
164
Symmetry code: (i) x þ 1; y; z. Table 1
Hydrogen-bond geometry (A˚ , ). D—H A
D—H
H A
D A
D—H A
C1—H1B N2i
0.97
2.50
3.446 (3)
164
Symmetry code: (i) x þ 1; y; z. Data collection: SMART (Bruker, 2001); cell refinement: SAINT
(Bruker, 2001); data reduction: SAINT; program(s) used to solve Baldy, A., Elguero, J., Fawe, R., Pierrot, M. & Vincent, E. J. (1985). J. Am.
Chem. Soc. 107, 5290-5291.
Bruker (2001). SMART, SAINT and SADABS. Bruker AXS Inc., Madison,
Wisconsin, USA.
Sheldrick, G. M. (2008). Acta Cryst. A64, 112–122. References Baldy, A., Elguero, J., Fawe, R., Pierrot, M. & Vincent, E. J. (1985). J. Am. Chem. Soc. 107, 5290-5291. Bruker (2001). SMART, SAINT and SADABS. Bruker AXS Inc., Madison,
Wisconsin, USA. Sheldrick, G. M. (2008). Acta Cryst. A64, 112–122. Baldy, A., Elguero, J., Fawe, R., Pierrot, M. & Vincent, E. J. (1985). J. Am. Chem. Soc. 107, 5290-5291. Bruker (2001). SMART, SAINT and SADABS. Bruker AXS Inc., Madison,
Wisconsin, USA. Sheldrick, G. M. (2008). Acta Cryst. A64, 112–122. o3006
Yang et al. Acta Cryst. (2010). E66, o3006 doi:10.1107/S1600536810042844 5-Chloromethyl-1,3-dimethyl-1H-pyrazole G. Yang, H. Xu, H. Yang and H. Yu Experimental N,N-Dimethylformamide(0.96 g, 11 mmol) was add to a 100 ml three necked-bottle, and phosphoryl trichloride(6.13 g, 40
mmol) was added slowly under ice-bath, then added (1,3-dimethyl-1H-pyrazole-5-yl)methanol(1.26 g, 10 mmol) at room
temperature in portions. The reaction mixture was heated to reflux and reacted for 6 h. After separation through silica gel
column chromatography (fluent: ethyl acetate/petroleum ether=1/5). The title product compound was obtained as a white
solid (0.36 g, 22%) and recrystallised from methylene chloride to yield colourless blocks of (I). Anal. Calcd for C6H9N2: C, 49.84; H, 6.27; N, 19.37. Found: C, 49.81; H, 6.30; N, 19.40. 1H NMR(CDCl3): 2.22(s,3H,
CH3), 3.84 (s,3H, N—CH3), 4.53(s, 2H, CH2), 6.04 (s, 1H, Pyrazole-H). supplementary materials supplementary materials supplementary materials Acta Cryst. (2010). E66, o3006 [ doi:10.1107/S1600536810042844 ] Refinement Secondary atom site location: difference Fourier map
Hydrogen site location: inferred from neighbouring
sites H-atom parameters constrained H-atom parameters constrained w = 1/[σ2(Fo
2) + (0.0513P)2 + 0.1537P]
where P = (Fo
2 + 2Fc
2)/3
(Δ/σ)max < 0.001
Δρmax = 0.22 e Å−3
Δρmin = −0.30 e Å−3 w = 1/[σ2(Fo
2) + (0.0513P)2 + 0.1537P]
where P = (Fo
2 + 2Fc
2)/3
(Δ/σ)max < 0.001
Δρmax = 0.22 e Å−3
Δρmin = −0.30 e Å−3 Extinction correction: SHELXL97 (Sheldrick, 2008), Extinction correction: SHELXL97 (Sheldrick, 2008), Extinction correction: SHELXL97 (Sheldrick, 2008),
Fc*=kFc[1+0.001xFc2λ3/sin(2θ)]-1/4 Fc*=kFc[1+0.001xFc2λ3/sin(2θ)]-1/4 [
(
)]
Primary atom site location: structure-invariant direct
methods
Extinction coefficient: 0.43 (3) Extinction coefficient: 0.43 (3) Extinction coefficient: 0.43 (3) Refinement Although all H atoms were visible in difference maps, they werefinally placed in geometrically calculated positions, with
C-Hdistances in the range 0.93–0.96Å and N—H distances of 0.86 Å, andincluded in the final refinement in the riding model
approximation,with Uiso(H) = 1.2Ueq(C, N) and Uiso(H) = 1.5Ueq(C). Figures
Fig. 1. The molecular structure of (I), with 30% probability displacement ellipsoids. 5-Chloromethyl-1,3-dimethyl-1H-pyrazole Fig. 1. The molecular structure of (I), with 30% probability displacement ellipsoids. 5-Chloromethyl-1,3-dimethyl-1H-pyrazole Crystal data
C6H9ClN2
Z = 2
Mr = 144.60
F(000) = 152
Triclinic, P1
Dx = 1.295 Mg m−3
Hall symbol: -P 1
Melting point = 361–364 K
a = 6.5210 (7) Å
Mo Kα radiation, λ = 0.71073 Å
b = 7.3111 (7) Å
Cell parameters from 1109 reflections
c = 7.9854 (8) Å
θ = 2.6–26.7° sup-1 supplementary materials supplementary materials α = 88.383 (1)°
µ = 0.43 mm−1
β = 77.563 (2)°
T = 296 K
γ = 85.725 (2)°
BLOCK, colorless
V = 370.71 (6) Å3
0.28 × 0.22 × 0.20 mm µ = 0.43 mm−1
T = 296 K
BLOCK, colorless
0.28 × 0.22 × 0.20 mm Data collection
Bruker SMART CCD
diffractometer
Radiation source: fine-focus sealed tube
graphite
φ and ω scans
Absorption correction: multi-scan
(SADABS; Bruker, 2001)
Tmin = 0.890, Tmax = 0.919
1906 measured reflections ata collection
Bruker SMART CCD
diffractometer
1304 independent reflections
Radiation source: fine-focus sealed tube
1135 reflections with I > 2σ(I)
graphite
Rint = 0.011
φ and ω scans
θmax = 25.0°, θmin = 2.6°
Absorption correction: multi-scan
(SADABS; Bruker, 2001)
h = −7→4
Tmin = 0.890, Tmax = 0.919
k = −7→8
1906 measured reflections
l = −9→8 1304 independent reflections
1135 reflections with I > 2σ(I)
Rint = 0.011
θmax = 25.0°, θmin = 2.6°
h = −7→4
k = −7→8
l = −9→8 Special details Geometry. All e.s.d.'s (except the e.s.d. in the dihedral angle between two l.s. planes) are estimated using the full covariance mat-
rix. The cell e.s.d.'s are taken into account individually in the estimation of e.s.d.'s in distances, angles and torsion angles; correlations
between e.s.d.'s in cell parameters are only used when they are defined by crystal symmetry. An approximate (isotropic) treatment of
cell e.s.d.'s is used for estimating e.s.d.'s involving l.s. planes. Refinement. Refinement of F2 against ALL reflections. The weighted R-factor wR and goodness of fit S are based on F2, convention-
al R-factors R are based on F, with F set to zero for negative F2. The threshold expression of F2 > σ(F2) is used only for calculating R-
factors(gt) etc. and is not relevant to the choice of reflections for refinement. R-factors based on F2 are statistically about twice as large
as those based on F, and R- factors based on ALL data will be even larger. Special details Fractional atomic coordinates and isotropic or equivalent isotropic displacement parameters (Å2) Fractional atomic coordinates and isotropic or equivalent isotropic displacement parameters (Å2)
x
y
z
Uiso*/Ueq x
y
z
Uiso*/Ueq sup-2 supplementary materials pp
y
Cl1
1.05348 (10)
0.89562 (8)
0.28229 (8)
0.0675 (3)
N1
0.7203 (2)
0.6178 (2)
0.1574 (2)
0.0414 (4)
N2
0.5716 (3)
0.4983 (2)
0.2188 (2)
0.0450 (4)
C1
1.0872 (3)
0.6828 (3)
0.1664 (3)
0.0509 (5)
H1A
1.1141
0.7093
0.0443
0.061*
H1B
1.2085
0.6102
0.1904
0.061*
C2
0.8994 (3)
0.5757 (3)
0.2144 (2)
0.0408 (5)
C3
0.8653 (3)
0.4224 (3)
0.3159 (3)
0.0453 (5)
H3
0.9593
0.3600
0.3737
0.054*
C4
0.6600 (3)
0.3784 (3)
0.3150 (2)
0.0435 (5)
C5
0.5411 (4)
0.2246 (3)
0.4043 (3)
0.0586 (6)
H5A
0.3958
0.2440
0.3976
0.088*
H5B
0.5518
0.2198
0.5224
0.088*
H5C
0.5991
0.1110
0.3504
0.088*
C6
0.6713 (4)
0.7699 (3)
0.0489 (3)
0.0579 (6)
H6A
0.5882
0.8648
0.1187
0.087*
H6B
0.5937
0.7284
−0.0304
0.087*
H6C
0.7997
0.8172
−0.0134
0.087*
Atomic displacement parameters (Å2)
U11
U22
U33
U12
U13
U23
Cl1
0.0728 (5)
0.0529 (4)
0.0782 (5)
−0.0180 (3)
−0.0135 (3)
−0.0100 (3)
N1
0.0373 (9)
0.0436 (9)
0.0435 (9)
−0.0058 (7)
−0.0085 (7)
0.0046 (7)
N2
0.0381 (9)
0.0480 (10)
0.0493 (9)
−0.0092 (7)
−0.0085 (7)
0.0007 (7)
C1
0.0387 (11)
0.0513 (12)
0.0616 (13)
−0.0059 (9)
−0.0065 (9)
−0.0068 (10)
C2
0.0346 (10)
0.0425 (10)
0.0449 (10)
−0.0009 (8)
−0.0073 (8)
−0.0066 (8)
C3
0.0455 (11)
0.0434 (11)
0.0487 (11)
0.0015 (9)
−0.0157 (9)
−0.0001 (8)
C4
0.0467 (11)
0.0402 (10)
0.0417 (10)
−0.0053 (8)
−0.0044 (8)
−0.0028 (8)
C5
0.0652 (15)
0.0492 (12)
0.0589 (13)
−0.0133 (11)
−0.0054 (11)
0.0036 (10)
C6
0.0584 (14)
0.0556 (13)
0.0635 (14)
−0.0074 (11)
−0.0219 (11)
0.0140 (11)
Geometric parameters (Å, °)
Cl1—C1
1.808 (2)
C3—C4
1.401 (3)
N1—C2
1.354 (2)
C3—H3
0.9300
N1—N2
1.357 (2)
C4—C5
1.490 (3)
N1—C6
1.449 (3)
C5—H5A
0.9600
N2—C4
1.330 (3)
C5—H5B
0.9600
C1—C2
1.478 (3)
C5—H5C
0.9600
C1—H1A
0.9700
C6—H6A
0.9600
C1—H1B
0.9700
C6—H6B
0.9600
C2—C3
1.368 (3)
C6—H6C
0.9600
C2—N1—N2
111.77 (16)
N2—C4—C3
110.45 (17)
C2—N1—C6
128.92 (17)
N2—C4—C5
120.51 (19)
N2—N1—C6
119.29 (16)
C3—C4—C5
129.03 (19)
C4—N2—N1
105.36 (15)
C4—C5—H5A
109.5
C2—C1—Cl1
111.73 (14)
C4—C5—H5B
109.5 Atomic displacement parameters (Å2) sup-3 supplementary materials supplementary materials C2—C1—H1A
109.3
H5A—C5—H5B
109.5
Cl1—C1—H1A
109.3
C4—C5—H5C
109.5
C2—C1—H1B
109.3
H5A—C5—H5C
109.5
Cl1—C1—H1B
109.3
H5B—C5—H5C
109.5
H1A—C1—H1B
107.9
N1—C6—H6A
109.5
N1—C2—C3
106.40 (17)
N1—C6—H6B
109.5
N1—C2—C1
123.08 (18)
H6A—C6—H6B
109.5
C3—C2—C1
130.52 (19)
N1—C6—H6C
109.5
C2—C3—C4
106.02 (17)
H6A—C6—H6C
109.5
C2—C3—H3
127.0
H6B—C6—H6C
109.5
C4—C3—H3
127.0
C2—N1—N2—C4
−0.5 (2)
Cl1—C1—C2—C3
−104.4 (2)
C6—N1—N2—C4
−178.81 (18)
N1—C2—C3—C4
−0.1 (2)
N2—N1—C2—C3
0.3 (2)
C1—C2—C3—C4
−179.3 (2)
C6—N1—C2—C3
178.48 (19)
N1—N2—C4—C3
0.4 (2)
N2—N1—C2—C1
179.62 (17)
N1—N2—C4—C5
−179.94 (17)
C6—N1—C2—C1
−2.2 (3)
C2—C3—C4—N2
−0.2 (2)
Cl1—C1—C2—N1
76.5 (2)
C2—C3—C4—C5
−179.8 (2)
Hydrogen-bond geometry (Å, °)
D—H···A
D—H
H···A
D···A
D—H···A
C1—H1B···N2i
0.97
2.50
3.446 (3)
164
Symmetry codes: (i) x+1, y, z. sup-4 supplementary materials Fig. 1 Fig. 1 Fig. 1 sup-5
|
https://openalex.org/W3011280950
|
https://www.biorxiv.org/content/biorxiv/early/2020/03/18/2020.03.13.989178.full.pdf
|
English
| null |
A pancreas specific <i>Ptf1a</i>-driven Cre mouse line causes paternally transmitted germline recombination
|
bioRxiv (Cold Spring Harbor Laboratory)
| 2,020
|
cc-by
| 7,174
|
Abstract: Cre-loxP recombination system is a commonly used tool to achieve site-specific genetic
manipulation in genome. For multiple Cre driver mouse lines, parental transmissions of
recombined flox alleles are reported. Ptf1a-driven Cre lines are widely used to achieve genetic
manipulation in a pancreas specific manner. Herein, we report germline recombination in
breedings when Cre allele is retained paternally in Ptf1atm1(cre)Hnak. The germline recombination
frequency changed depending on the target allele. Therefore, unless the reporter allele is on the
target gene, the reporter activity is to be validated. Overall, we highlight that all Ptf1a-driven
Cre mouse lines should be genotyped for possible germline recombination and we advise the
maternal transmission of the Cre to progeny. Title: A pancreas specific Ptf1a-driven Cre mouse line causes paternally transmitted germline
recombination Title: A pancreas specific Ptf1a-driven Cre mouse line causes paternally transmitted germline
recombination Authors: Derya Kabacaoglu1, Marina Lesina1, Hana Algül1* 1Comprehensive Cancer Center Munich CCCMTUM, Technische Universität München, 81675
Munich, Germany 1Comprehensive Cancer Center Munich CCCMTUM, Technische Universität München, 81675
Munich, Germany hone: (0 89) 41 40 - 78 61; Fax: (0 89) 41 40 - 67 96; E-mail: hana.alguel@mri.tum.de. Keywords: Ptf1a, Cre, pancreas, germline, recombination Keywords: Ptf1a, Cre, pancreas, germline, recombination Additional Information: This project is funded by grants AL1174/5-2, DI2299/1-1 and
AL1174/6-1 from Deutsche Forschungsgemeinschaft. .
CC-BY 4.0 International license
made available under a
(which was not certified by peer review) is the author/funder, who has granted bioRxiv a license to display the preprint in perpetuity. It is
The copyright holder for this preprint
this version posted March 18, 2020.
;
https://doi.org/10.1101/2020.03.13.989178
doi:
bioRxiv preprint . CC-BY 4.0 International license
made available under a
(which was not certified by peer review) is the author/funder, who has granted bioRxiv a license to display the preprint in perpetuity. It is
The copyright holder for this preprint
this version posted March 18, 2020. ;
https://doi.org/10.1101/2020.03.13.989178
doi:
bioRxiv preprint . CC-BY 4.0 International license
made available under a
(which was not certified by peer review) is the author/funder, who has granted bioRxiv a license to display the preprint in perpetuity. It is
The copyright holder for this preprint
this version posted March 18, 2020. ;
https://doi.org/10.1101/2020.03.13.989178
doi:
bioRxiv preprint . CC-BY 4.0 International license
made available under a
(which was not certified by peer review) is the author/funder, who has granted bioRxiv a license to display the preprint in perpetuity. It is
The copyright holder for this preprint
this version posted March 18, 2020. ;
https://doi.org/10.1101/2020.03.13.989178
doi:
bioRxiv preprint Introduction: Identified firstly in 1981, “Causing recombination” (Cre) is isolated from P1 bacteriophage,
which is shown to recombine “locus of crossing over (x1), P1” (loxp) sites [1]. Since its
discovery, use of Cre-loxP system is highly utilized in mouse models. Depending on the
approach, it can be used to provide precision in both cell type and temporal control of the
genetic manipulation. . CC-BY 4.0 International license
made available under a
(which was not certified by peer review) is the author/funder, who has granted bioRxiv a license to display the preprint in perpetuity. It is
The copyright holder for this preprint
this version posted March 18, 2020. ;
https://doi.org/10.1101/2020.03.13.989178
doi:
bioRxiv preprint . CC-BY 4.0 International license
made available under a
(which was not certified by peer review) is the author/funder, who has granted bioRxiv a license to display the preprint in perpetuity. It is
The copyright holder for this preprint
this version posted March 18, 2020. ;
https://doi.org/10.1101/2020.03.13.989178
doi:
bioRxiv preprint Although the method is powerful, recent evidence suggests certain limitations. Cre-mediated
cytotoxicity is reported for various cell types both in vitro and in vivo [2–11]. In these studies,
postulated reasons are DNA damage induced by Cre-mediated genome-wide non-specific
recombination events and altered cell signaling pathways (e.g. PKA) [12]. Additionally, organ-
specific Cre expression is highly problematic due to limitations in identification of individual
proteins getting expressed in specific cell types. Multiple Cre lines have been developed in order to achieve pancreas-specific recombination in
mouse models. Among many, one of the most used models is the line in which Cre is knocked
in Pancreas associated transcription factor 1a (Ptf1a, a.k.a. p48) locus [13]. Ptf1a has an
essential role during pancreatic epithelium generation. Further differentiation of sub-pancreatic
compartments like acini, endocrine, and ducts are also regulated by Ptf1a [14–19]. In order to study Ptf1a function in the developing mouse, Nakhai et al. generated a model in
which Cre-coding sequence was knocked in the Exon-1 of Ptf1a via homologous recombination
(Ptf1atm1(cre)Hnak). Several studies showed PTF1A expression in developing pancreas [16],
neural tube [20], and cerebellum [21,22]. With the use of Ptf1atm1(cre)Hnak mouse model, PTF1A
was shown to be expressed also in the mouse retina in addition to the previously identified
locations [13]. Interestingly, a recent study proposed a regulatory function of Ptf1a in
hypothalamus for sexual development during embryonic stage [23]. Introduction: Although there are many
studies for the function of Ptf1a in the developing mouse, the ones focusing specifically on the
reproductive system of adult mice are in scarce. Here, we provide evidence for paternally-driven germline recombination mediated by Cre
expression in Ptf1atm1(cre)Hnak mouse line. The recombination event was observed in multiple
floxed alleles, while the frequency varied depending on the target gene. Additionally, Cre allele
transmission into progeny was not necessary for the germline recombination. Recent other
reports also support parental transmission of germline recombination in many different Cre
driver lines [24–34]. Therefore, precaution needs to be considered for the experimental design
of the mouse studies. We propose that the Cre transmission should be performed only through
females in which we observed no germline recombination in the progeny. Results: In order to study the function of RelB in pancreatic cancer, we aimed to generate a mouse model,
which expresses KRASG12D and knocks out RelB in the pancreas. Therefore, using mouse
models Relbtm1Fwei, Ptf1atm1(cre)Hnak, and Krastm4Tyj we followed a breeding scheme as provided
in Figure 1A. Our genotyping primers for RelB were already designed to recognize all wt, flox,
and recombined alleles (kindly provided by Marc Riemann), which made it possible for us to . CC-BY 4.0 International license
made available under a
(which was not certified by peer review) is the author/funder, who has granted bioRxiv a license to display the preprint in perpetuity. It is
The copyright holder for this preprint
this version posted March 18, 2020. ;
https://doi.org/10.1101/2020.03.13.989178
doi:
bioRxiv preprint . CC-BY 4.0 International license
made available under a
(which was not certified by peer review) is the author/funder, who has granted bioRxiv a license to display the preprint in perpetuity. It is
The copyright holder for this preprint
this version posted March 18, 2020. ;
https://doi.org/10.1101/2020.03.13.989178
doi:
bioRxiv preprint track-down the recombination in every pup. Initially, in F0 generation a Relbfl/fl male was put
into breeding with 2 separate females either with a Ptf1a-Cre/+ or Krasfl/+. In the F1 generation,
females with either Relbfl/+; Ptf1a-Cre/+ or Relbfl/+t;Krasfl/+ were put into breeding with Relbfl/fl
males in order to obtain homozygous Relbfl/fl allele with either Ptf1a-Cre or Kras. None of the
progeny from these breedings had a recombined Relbfl allele (data not shown). And finally, in
the F2 generation, we put a Relbfl/fl; Ptf1a-Cre/+ male into breeding with a Relbfl/fl; Krasfl/+
female. Interestingly, 28 of 28 pups had one recombined and one unrecombined flox alleles
observed upon ear-genotyping (Figure 1B). The absence of germline recombination in F2
generation was validated with post-genotyping (Figure 1C). The germline recombination
occurrence was irrespective of their Cre status (Figure 1B). This implies Cre transmission is
not required for germline recombination in the descendants. To validate the whole-body
recombination, mice with heterozygous germline recombination were sacrificed and their
various organs were harvested for DNA extraction and PCR genotyping. The results show that
all of the organs contained one recombined and one unrecombined Relb allele, while no Kras
germline recombination was observed in the respective pups (Figure 1D). The genotyping results of the pancreatic DNA implies a difference in the recombination
efficiency in different floxed genes. Results: While the recombination efficiency of the single-
unrecombined floxed RelB allele is quite strong, Kras recombination is not that efficient. Immunoblot analysis of the various organs also showed a reduction in RelB expression (Figure
1E). However, since none of the alleles had a reporter activity, we couldn’t test additional
measurements. To see if the same recombination event occurred in different alleles we used two different
mouse lines: Reltm1Ukl and GFP-Rel. Reltm1Ukl is a knock-in mouse model in which endogenous
Rel Exon-1 locus is flanked by 2 loxp sequences. Upon recombination, exon 1 is recombined
and a promoterless GFP gene meets with a PGK promoter. This way, Rel recombination can
be efficiently traced down by GFP expression. GFP-Rel is a transgenic mouse model (kindly
provided by Marc Schmidt-Supprian) in which a BAC construct with a PGK promoter
controlled, N’ GFP tagged Rel is integrated into genome. Simplified maps along with the
locations of the primers recognizing the recombined and unrecombined floxed alleles are shown
in Supplementary Figure 1. Breedings with Relfl (Reltm1Ukl) and Ptf1a-Cre carrying males indicated similar results as in RelB
mice. In a retrospective PCR analysis of 3 different breeding pairs with Relfl; Ptf1a-Cre/+
fathers, 36/45 pups (80%) had recombined Rel allele, while 9 of them (20%) retained their
unrecombined floxed Rel (for pups where 1 Relfl but not wt allele is paternally transferred) . CC-BY 4.0 International license
made available under a
(which was not certified by peer review) is the author/funder, who has granted bioRxiv a license to display the preprint in perpetuity. It is
The copyright holder for this preprint
this version posted March 18, 2020. ;
https://doi.org/10.1101/2020.03.13.989178
doi:
bioRxiv preprint . CC-BY 4.0 International license
made available under a
(which was not certified by peer review) is the author/funder, who has granted bioRxiv a license to display the preprint in perpetuity. It is
The copyright holder for this preprint
this version posted March 18, 2020. ;
https://doi.org/10.1101/2020.03.13.989178
doi:
bioRxiv preprint (Table 1). PCR from the different organs collected from various recombined mice also
supported the presence of germline recombination (Figure 2A). Immunoblot analysis from the
heterozygous recombined mice indicated eGFP expression only in the germline recombined
mice and Ptf1a-Cre/+ pancreas along with a reduced c-Rel expression (Figure 2B). Of note,
breeding pairs with 6 different females with Reltm1Ukl; Ptf1a-Cre/+ showed no recombination
in their progeny (0/93 pups, 0%) (data not shown). Results: In order to analyze if there was recombination in reproductive system of the males which were
not germ-line recombined, we isolated DNA from testes and pancreas. PCR analysis showed
recombination of Rel in both of the testes along with pancreas, although none of the mice had
germline recombination. Interestingly, despite Rel was recombined, Kras was not (Figure 2C). Tp53 is a very commonly used gene in mouse models to study pancreatic cancer. In order to
test possible Tp53 germline recombination in Trp53tm1Brn model, we genotyped 5 different
breeding pairs in which Cre was paternally transmitted. We observed no Tp53 germline
recombination in these mice (data not shown). Interestingly, the male reproductive system still
showed recombined Tp53 allele (Figure 2D). To eliminate the possibility of mosaic Cre recombination in the tail and ear biopsies, we took
advantage of the GFP-Rel mouse model. Because it is a transgenic allele, it has been kept
always in a heterozygous state, and always bred with a wildtype mate. To test possible mosaic
recombination, a male with GFP-Reltg/+; Ptf1a-Cre/+ was bred with Krasfl/+ females. A new
set of primers were designed to recognize both unrecombined and recombined alleles
(Supplementary Figure 1). Among 40 pups, 22 of them have GFP-Rel allele. 14 of 22 were re-
genotyped for GFP-Rel germ line recombination. 6/14 mice had GFP-Rel recombination in tail
PCRs irrespective of Cre transmission, and there was no unrecombined GFP-Rel allele in these
mice (Table 2) (Figure 3). This eliminates the possibility of a mosaic recombination. Discussion: Especially in preclinical
studies focusing on pancreatic pathology such as cancer and pancreatitis, a gross crosstalk is
present between pancreatic and other cells (immune cells, neurons, blood vessels, stellate cells). Therefore, even if the heterozygous recombination of a protein is not observed phenotypically
under normal circumstances, it may still impact the phenotype under pathological conditions. Another highly used Ptf1a-driven mouse line is Ptf1atm1.1(Cre)Cvw in which the entire Ptf1a-
coding sequence was replaced with Cre [16], whereas in Ptf1atm1(cre)Hnak Exon 1 was replaced
[13]. In both of the mouse lines transcriptional regulatory elements before the coding sequence
were retained. While we tested paternal recombination transmission only in Ptf1atm1(cre)Hnak, we
anticipate such an event to occur also in Ptf1atm1.1(Cre)Cvw. In support of this, in JAX, paternal
germline recombination transmission was already reported for an inducible Ptf1atm2(cre/ESR1)Cvw
model in which Exon-1 and 2 were replaced by Cre-ERTM [41]. Depending on the gene, homozygous germline recombination might lead to embryonic
lethality. However, many essential genes might still persist recombined heterozygously in the
whole body which may or may not show any impact phenotypically. Especially in preclinical
studies focusing on pancreatic pathology such as cancer and pancreatitis, a gross crosstalk is
present between pancreatic and other cells (immune cells, neurons, blood vessels, stellate cells). Therefore, even if the heterozygous recombination of a protein is not observed phenotypically
under normal circumstances, it may still impact the phenotype under pathological conditions. Another highly used Ptf1a-driven mouse line is Ptf1atm1.1(Cre)Cvw in which the entire Ptf1a-
coding sequence was replaced with Cre [16], whereas in Ptf1atm1(cre)Hnak Exon 1 was replaced
[13]. In both of the mouse lines transcriptional regulatory elements before the coding sequence
were retained. While we tested paternal recombination transmission only in Ptf1atm1(cre)Hnak, we
anticipate such an event to occur also in Ptf1atm1.1(Cre)Cvw. In support of this, in JAX, paternal
germline recombination transmission was already reported for an inducible Ptf1atm2(cre/ESR1)Cvw
model in which Exon-1 and 2 were replaced by Cre-ERTM [41]. Overall, we propose a necessity of genotyping for wt, floxed, and recombined alleles in all mice
during regular mouse maintenance in all Ptf1a-Cre driven mouse lines. Accordingly, additional
information regarding the genotyping protocols of the mouse models should be asked and
provided by journals for good scientific practice. Unfortunately, for many of the mouse models
there are no available primer sequences for the detection of recombined allele. Discussion: In this work, we provided evidence that paternal transmission of Cre in Ptf1atm1(cre)Hnak mouse
model can cause germline recombination in the progeny. For the germline recombination, Cre
transmission to progeny was not necessary. The germline recombination frequency changed
depending on the target floxed allele. Neither Kras nor Trp53 showed germline recombination
while RelB, Rel and GFP-Rel showed in their respective mouse models with varying
frequencies. No Kras recombination in the germline was observed. We postulate two possible
reasons for this: recombination happens in the father germ cells before the fertilization occurs
and the recombination efficiency of Kras is very low. Unlike other alleles, we didn’t observe . CC-BY 4.0 International license
made available under a
(which was not certified by peer review) is the author/funder, who has granted bioRxiv a license to display the preprint in perpetuity. It is
The copyright holder for this preprint
this version posted March 18, 2020. ;
https://doi.org/10.1101/2020.03.13.989178
doi:
bioRxiv preprint . CC-BY 4.0 International license
made available under a
(which was not certified by peer review) is the author/funder, who has granted bioRxiv a license to display the preprint in perpetuity. It is
The copyright holder for this preprint
this version posted March 18, 2020. ;
https://doi.org/10.1101/2020.03.13.989178
doi:
bioRxiv preprint any Kras recombination in the testes of the Krasfl/+; Ptf1a-Cre/+ mice. Additionally, a
difference in the RelB and Kras recombination efficiency can be observed in the pancreas PCRs
(Figure 1D). While almost all of the floxed RelB allele was recombined in the Ptf1a-Cre/+
pancreata, a big portion of Kras is still unrecombined. Additionally, we observed recombination of the Tp53 allele in the testes but not in the germline
in Trp53tm1Brn model. A possible explanation is the acquired disadvantage for fertilization in the
Tp53 knock out sperms. Although Tp53-/- males are fertile, germ cell quality was reported to be
regulated by Tp53 [35–39]. Trp53tm2Tyj mouse model (LSL-Trp53R172H) has been highly used in
pancreatic cancer research, especially in therapeutics [40]. Therefore, it is important to analyze
whether or not it is recombined, as it can influence the drug response. Depending on the gene, homozygous germline recombination might lead to embryonic
lethality. However, many essential genes might still persist recombined heterozygously in the
whole body which may or may not show any impact phenotypically. Discussion: Likewise, the
maps and sequences of the targeted constructs are also in most of the cases not available for the
individual design of primers. With this observation, we alert scientists, journals and reviewers
to take immediate precautions for future studies. . CC-BY 4.0 International license
made available under a
(which was not certified by peer review) is the author/funder, who has granted bioRxiv a license to display the preprint in perpetuity. It is
The copyright holder for this preprint
this version posted March 18, 2020. ;
https://doi.org/10.1101/2020.03.13.989178
doi:
bioRxiv preprint . CC-BY 4.0 International license
made available under a
(which was not certified by peer review) is the author/funder, who has granted bioRxiv a license to display the preprint in perpetuity. It is
The copyright holder for this preprint
this version posted March 18, 2020. ;
https://doi.org/10.1101/2020.03.13.989178
doi:
bioRxiv preprint Mouse models The mouse models used are Ptf1atm1(cre)Hnak [13]; Krastm4Tyj [42]; Relbtm1Fwei [43]; Reltm1Ukl [44];
GFP-Rel (manuscript in revision, Marc Schmidt Supprian); Trp53tm1Brn[45]. Mice were kept in
an animal room at room temperature (20-22°C) with light:dark cycle of 12:12 hours (light
period: 06:00 am–06:00 pm) in groups of 2–4 animals in type III cages with bedding and nesting
material. All animals were provided ad libitum with the standard food (No. 1324 – 10 mm
pellets, Altromin, Lage, Germany) and water. All animals housed under specific pathogen-free
conditions in accordance with the European Directive 2010/63/EU. All animal experiments
were approved and conducted in accordance with the federal German guidelines for ethical
animal treatment (Regierung von Oberbayern). Sample lysis and PCR: Collected samples are lysed in 200ul DirectPCR Lysis Reagent (Viagen) supplemented with
10ul PCR grade Proteinase K (Sigma) at 55°C. Once the samples are lysed, proteinase K is
inactivated at 85°C for 1 hour. For PCR 2ul from the samples are directly used as template. For
all of the PCRs, GoTaq® Green Master Mix (Promega) is used. For each reaction, 7.5ul 2X
GoTaq master mix, 0.6ul primer mix (each 10uM) and 4.9ul nuclease free water are mixed. The
cycling protocol is 95°C 1 min, (95°C 30 sec, 58°C 30 sec, 72°C 1.5 min) x 40 cycles, 72°C 10
min. Sample lysis and western blot: Tissues are homogenized and sonicated in NP-40 RIPA buffer (150mM NaCl, 1% NP-40, 0.5%
Sodium deoxycholate, 0.1% SDS, 25mM Tris pH 7.4) with fresh protease and phosphatase
inhibitors (Serva). 20-30µg per sample is run in 10% SDS-PAGE gel and transferred to 0.45µM
PVDF membrane, blocked in 5% milk 1 hour RT and incubated overnight with primary
antibodies diluted in milk. Next day they are incubated with HRP conjugated anti-rabbit
secondary antibody for 1 hour at room temperature. Primary antibodies and their concentrations
are as given: RelB sc-226 (C-19) Santa Cruz Biotechnology 1:500, GFP (ab183734) 1:1000
Abcam, c-Rel 12707 (D4Y6M) Cell Signaling Biotechnology 1:1000. . CC-BY 4.0 International license
made available under a
(which was not certified by peer review) is the author/funder, who has granted bioRxiv a license to display the preprint in perpetuity. It is
The copyright holder for this preprint
this version posted March 18, 2020. ;
https://doi.org/10.1101/2020.03.13.989178
doi:
bioRxiv preprint . CC-BY 4.0 International license
made available under a
(which was not certified by peer review) is the author/funder, who has granted bioRxiv a license to display the preprint in perpetuity. It is
The copyright holder for this preprint
this version posted March 18, 2020. References: 1. Sternberg, N.; Hamilton, D. Bacteriophage P1 site-specific recombination. I. Recombination between loxP sites. J. Mol. Biol. 1981, 150, 467–486. 1. Sternberg, N.; Hamilton, D. Bacteriophage P1 site-specific recombination. I. Recombination bet een lo P sites J M l Bi l 1981 150 467 486 2. Bohin, N.; Carlson, E.A.; Samuelson, L.C. Genome Toxicity and Impaired Stem Cell
Function after Conditional Activation of CreERT2 in the Intestine. Stem Cell Reports
2018, 11, 1337–1346. 3. Janbandhu, V.C.; Moik, D.; Fässler, R. Cre recombinase induces DNA damage and
tetraploidy in the absence of loxP sites. Cell Cycle 2014, 13, 462–470. 4. Gangoda, L.; Doerflinger, M.; Lee, Y.Y.; Rahimi, A.; Etemadi, N.; Chau, D.; Milla, L.;
O’Connor, L.; Puthalakath, H. Cre transgene results in global attenuation of the
cAMP/PKA pathway. Cell Death Dis 2012, 3, e365. 5. Pfeifer, A.; Brandon, E.P.; Kootstra, N.; Gage, F.H.; Verma, I.M. Delivery of the Cre
recombinase by a self-deleting lentiviral vector: efficient gene targeting in vivo. Proc. Natl. Acad. Sci. U.S.A. 2001, 98, 11450–11455. 6. Loonstra, A.; Vooijs, M.; Beverloo, H.B.; Allak, B.A.; van Drunen, E.; Kanaar, R.;
Berns, A.; Jonkers, J. Growth inhibition and DNA damage induced by Cre recombinase
in mammalian cells. Proc. Natl. Acad. Sci. U.S.A. 2001, 98, 9209–9214. 7. Bersell, K.; Choudhury, S.; Mollova, M.; Polizzotti, B.D.; Ganapathy, B.; Walsh, S.;
Wadugu, B.; Arab, S.; Kühn, B. Moderate and high amounts of tamoxifen in αMHC-
MerCreMer mice induce a DNA damage response, leading to heart failure and death. Dis Model Mech 2013, 6, 1459–1469. 8. Forni, P.E.; Scuoppo, C.; Imayoshi, I.; Taulli, R.; Dastrù, W.; Sala, V.; Betz, U.A.K.;
Muzzi, P.; Martinuzzi, D.; Vercelli, A.E.; et al. High levels of Cre expression in
neuronal progenitors cause defects in brain development leading to microencephaly and
hydrocephaly. J. Neurosci. 2006, 26, 9593–9602. 9. Li, Y.; Choi, P.S.; Casey, S.C.; Felsher, D.W. Activation of Cre Recombinase Alone
Can Induce Complete Tumor Regression. PLoS One 2014, 9. 10. Schmidt, E.E.; Taylor, D.S.; Prigge, J.R.; Barnett, S.; Capecchi, M.R. Illegitimate Cre-
dependent chromosome rearrangements in transgenic mouse spermatids. PNAS 2000, 97,
13702–13707. 11. Buerger, A.; Rozhitskaya, O.; Sherwood, M.C.; Dorfman, A.L.; Bisping, E.; Abel, E.D.;
Pu, W.T.; Izumo, S.; Jay, P.Y. Dilated cardiomyopathy resulting from high-level
myocardial expression of Cre-recombinase. J. Card. Fail. 2006, 12, 392–398. 12. McLellan, M.A.; Rosenthal, N.A.; Pinto, A.R. Cre-loxP-Mediated Recombination:
General Principles and Experimental Considerations. Curr Protoc Mouse Biol 2017, 7,
1–12. 13. Sample lysis and western blot: ;
https://doi.org/10.1101/2020.03.13.989178
doi:
bioRxiv preprint Primer sequences:
Name
Sequence
Expected sizes
Generic Cre
01
ACC AGC CAG CTA TCA ACT CG
wt: 350bp
Cre/+: 200bp
02
TTA CAT TGG TCC AGC CAC C
03
CTA GGC CAC AGA ATT GAA AGA TCT
04
GTA GGT GGA AAT TCT AGC ATC ATC C
Kras
01
GTC TTT CCC CAG CAC AGT G
wt: 622bp
flox: 500bp
recombined: 650bp
02
CTC TTG CCT ACG CCA CCA GCT C
03
AGC TAG CCA CCA TGG CTT GAG TAA GTC TGC
A
RelB
01
AGG TTG ATG GTA ACT TTG GAT G
wt: 230bp
flox: 270bp
recombined: 186bp
02
TCC AAA AAA ACC AAA CCA ACA AC
03
GTT TTC CCT GCT TGG TTC TGC
Rel
01
CCA GCC AGG GTA AGT CTT CA
wt: 400bp
flox: 266bp
02
GCT AGG GGA AGG TGT CAC TGT
03
TCC AAA CTC ATC GAA GTT CCT
A
CAGGATGTTGCCGTCCTCCTTG
A+B recombined: 470bp
A+C unrecombined: 470bp
B
CCTGCAGCCAATAAGCTTATAAC
C
TATCATGTCTGGATCAATTCATAAC
GFP-Rel
01
CTG CTG CAA GAT TGT GGT AAG A
wt: 290bp
flox: 358bp
02
AAT AGT GAG AGT GTG CGG GA
A
TGG GCA ACG TGC TGG TTA TT
flox: 385bp
recombined: 584bp
B
TTC TTC TGC TTG TCG GCC AT
C
TGC CTG CTT GCC GAA TAT CA
p53
01
CAC AAA AAC AGG TTA AAC CCA G
wt: 288bp
flox: 370bp
02
AGC ACA TAG GAG GCA GAG AC
A
CAC AAA AAC AGG TTA AAC CCA G
recombined: 612bp
B
GAA GAC AGA AAA GGG GAG GG . CC-BY 4.0 International license
made available under a
(which was not certified by peer review) is the author/funder, who has granted bioRxiv a license to display the preprint in perpetuity. It is
The copyright holder for this preprint
this version posted March 18, 2020. ;
https://doi.org/10.1101/2020.03.13.989178
doi:
bioRxiv preprint . CC-BY 4.0 International license
made available under a
(which was not certified by peer review) is the author/funder, who has granted bioRxiv a license to display the preprint in perpetuity. It is
The copyright holder for this preprint
this version posted March 18, 2020. ;
https://doi.org/10.1101/2020.03.13.989178
doi:
bioRxiv preprint References: Nakhai, H.; Sel, S.; Favor, J.; Mendoza-Torres, L.; Paulsen, F.; Duncker, G.I.W.;
Schmid, R.M. Ptf1a is essential for the differentiation of GABAergic and glycinergic
amacrine cells and horizontal cells in the mouse retina. Development 2007, 134, 1151–
1160. 14. Krapp, A.; Knöfler, M.; Ledermann, B.; Bürki, K.; Berney, C.; Zoerkler, N.;
Hagenbüchle, O.; Wellauer, P.K. The bHLH protein PTF1-p48 is essential for the
formation of the exocrine and the correct spatial organization of the endocrine pancreas. Genes Dev. 1998, 12, 3752–3763. 15. Rose, S.D.; Swift, G.H.; Peyton, M.J.; Hammer, R.E.; MacDonald, R.J. The role of
PTF1-P48 in pancreatic acinar gene expression. J. Biol. Chem. 2001, 276, 44018–44026. 16. Kawaguchi, Y.; Cooper, B.; Gannon, M.; Ray, M.; MacDonald, R.J.; Wright, C.V.E. The role of the transcriptional regulator Ptf1a in converting intestinal to pancreatic
progenitors. Nat. Genet. 2002, 32, 128–134. . CC-BY 4.0 International license
made available under a
(which was not certified by peer review) is the author/funder, who has granted bioRxiv a license to display the preprint in perpetuity. It is
The copyright holder for this preprint
this version posted March 18, 2020. ;
https://doi.org/10.1101/2020.03.13.989178
doi:
bioRxiv preprint . CC-BY 4.0 International license
made available under a
(which was not certified by peer review) is the author/funder, who has granted bioRxiv a license to display the preprint in perpetuity. It is
The copyright holder for this preprint
this version posted March 18, 2020. ;
https://doi.org/10.1101/2020.03.13.989178
doi:
bioRxiv preprint 17. Masui, T.; Long, Q.; Beres, T.M.; Magnuson, M.A.; MacDonald, R.J. Early pancreatic
development requires the vertebrate Suppressor of Hairless (RBPJ) in the PTF1 bHLH
complex. Genes Dev. 2007, 21, 2629–2643. 18. Masui, T.; Swift, G.H.; Deering, T.; Shen, C.; Coats, W.S.; Long, Q.; Elsässer, H.-P.;
Magnuson, M.A.; MacDonald, R.J. Replacement of Rbpj with Rbpjl in the PTF1
complex controls the final maturation of pancreatic acinar cells. Gastroenterology 2010,
139, 270–280. 19. Holmstrom, S.R.; Deering, T.; Swift, G.H.; Poelwijk, F.J.; Mangelsdorf, D.J.; Kliewer,
S.A.; MacDonald, R.J. LRH-1 and PTF1-L coregulate an exocrine pancreas-specific
transcriptional network for digestive function. Genes Dev. 2011, 25, 1674–1679. 20. Obata, J.; Yano, M.; Mimura, H.; Goto, T.; Nakayama, R.; Mibu, Y.; Oka, C.; Kawaichi,
M. p48 subunit of mouse PTF1 binds to RBP-Jkappa/CBF-1, the intracellular mediator
of Notch signalling, and is expressed in the neural tube of early stage embryos. Genes
Cells 2001, 6, 345–360. 21. References: Hoshino, M.; Nakamura, S.; Mori, K.; Kawauchi, T.; Terao, M.; Nishimura, Y.V.;
Fukuda, A.; Fuse, T.; Matsuo, N.; Sone, M.; et al. Ptf1a, a bHLH transcriptional gene,
defines GABAergic neuronal fates in cerebellum. Neuron 2005, 47, 201–213. 22. Sellick, G.S.; Barker, K.T.; Stolte-Dijkstra, I.; Fleischmann, C.; Coleman, R.J.; Garrett,
C.; Gloyn, A.L.; Edghill, E.L.; Hattersley, A.T.; Wellauer, P.K.; et al. Mutations in
PTF1A cause pancreatic and cerebellar agenesis. Nat. Genet. 2004, 36, 1301–1305. 23. Fujiyama, T.; Miyashita, S.; Tsuneoka, Y.; Kanemaru, K.; Kakizaki, M.; Kanno, S.;
Ishikawa, Y.; Yamashita, M.; Owa, T.; Nagaoka, M.; et al. Forebrain Ptf1a Is Required
for Sexual Differentiation of the Brain. Cell Rep 2018, 24, 79–94. p
24. Kobayashi, Y.; Hensch, T.K. Germline recombination by conditional gene targeting with
Parvalbumin-Cre lines. Front. Neural Circuits 2013, 7. 25. Liput, D.J. Cre-Recombinase Dependent Germline Deletion of a Conditional Allele in
the Rgs9cre Mouse Line. Front. Neural Circuits 2018, 12, 68. 26. Zhang, J.; Dublin, P.; Griemsmann, S.; Klein, A.; Brehm, R.; Bedner, P.; Fleischmann,
B.K.; Steinhäuser, C.; Theis, M. Germ-Line Recombination Activity of the Widely Used
hGFAP-Cre and Nestin-Cre Transgenes. PLoS ONE 2013, 8, e82818. 27. Choi, C.-I.; Yoon, S.-P.; Choi, J.-M.; Kim, S.-S.; Lee, Y.-D.; Birnbaumer, L.; Suh-Kim,
H. Simultaneous deletion of floxed genes mediated by CaMKIIα-Cre in the brain and in
male germ cells: application to conditional and conventional disruption of Goα. Exp Mol
Med 2014, 46, e93–e93. 28. Xie, C.; Zhu, F.; Wang, J.; Zhang, W.; Bellanti, J.A.; Li, B.; Brand, D.; Olsen, N.;
Zheng, S.G. Off-Target Deletion of Conditional Dbc1 Allele in the Foxp3YFP-Cre
Mouse Line under Specific Setting. Cells 2019, 8, 1309. 29. Luo, L.; Ambrozkiewicz, M.C.; Benseler, F.; Chen, C.; Dumontier, E.; Falkner, S.;
Furlanis, E.; Gomez, A.M.; Hoshina, N.; Huang, W.-H.; et al. Optimizing Nervous
System-Specific Gene Targeting with Cre Driver Lines: Prevalence of Germline
Recombination and Influencing Factors. Neuron 2020, S0896627320300088. 30. Wu, D.; Huang, Q.; Orban, P.C.; Levings, M.K. Ectopic germline recombination activity
of the widely used Foxp3-YFP-Cre mouse: a case report. Immunology 2020, 159, 231–
241. 31. Spinelli, V.; Martin, C.; Dorchies, E.; Vallez, E.; Dehondt, H.; Trabelsi, M.-S.; Tailleux,
A.; Caron, S.; Staels, B. Screening strategy to generate cell specific recombination: a
case report with the RIP-Cre mice. Transgenic Res. 2015, 24, 803–812. 32. Rempe, D.; Vangeison, G.; Hamilton, J.; Li, Y.; Jepson, M.; Federoff, H.J. References: Synapsin I
Cre transgene expression in male mice produces germline recombination in progeny. Genesis 2006, 44, 44–49. . CC-BY 4.0 International license
made available under a
(which was not certified by peer review) is the author/funder, who has granted bioRxiv a license to display the preprint in perpetuity. It is
The copyright holder for this preprint
this version posted March 18, 2020. ;
https://doi.org/10.1101/2020.03.13.989178
doi:
bioRxiv preprint . CC-BY 4.0 International license
made available under a
(which was not certified by peer review) is the author/funder, who has granted bioRxiv a license to display the preprint in perpetuity. It is
The copyright holder for this preprint
this version posted March 18, 2020. ;
https://doi.org/10.1101/2020.03.13.989178
doi:
bioRxiv preprint 33. Tsai, P.T.; Hull, C.; Chu, Y.; Greene-Colozzi, E.; Sadowski, A.R.; Leech, J.M.;
Steinberg, J.; Crawley, J.N.; Regehr, W.G.; Sahin, M. Autistic-like behaviour and
cerebellar dysfunction in Purkinje cell Tsc1 mutant mice. Nature 2012, 488, 647–651. 34. He, Y.; Sun, X.; Wang, L.; Mishina, Y.; Guan, J.-L.; Liu, F. Male germline
recombination of a conditional allele by the widely used Dermo1-cre (Twist2-cre) 33. Tsai, P.T.; Hull, C.; Chu, Y.; Greene-Colozzi, E.; Sadowski, A.R.; Leech, J.M.;
Steinberg, J.; Crawley, J.N.; Regehr, W.G.; Sahin, M. Autistic-like behaviour and
cerebellar dysfunction in Purkinje cell Tsc1 mutant mice. Nature 2012, 488, 647–651. Steinberg, J.; Crawley, J.N.; Regehr, W.G.; Sahin, M. Autistic like behaviour and
cerebellar dysfunction in Purkinje cell Tsc1 mutant mice. Nature 2012, 488, 647–651. 34. He, Y.; Sun, X.; Wang, L.; Mishina, Y.; Guan, J.-L.; Liu, F. Male germline
recombination of a conditional allele by the widely used Dermo1-cre (Twist2-cre)
transgene. Genesis 2017, 55. 34. He, Y.; Sun, X.; Wang, L.; Mishina, Y.; Guan, J.-L.; Liu, F. Male germline
recombination of a conditional allele by the widely used Dermo1-cre (Twist2-cre)
transgene. Genesis 2017, 55. 35. Beumer, T.L.; Roepers-Gajadien, H.L.; Gademan, I.S.; van Buul, P.P.; Gil-Gomez, G.;
Rutgers, D.H.; de Rooij, D.G. The role of the tumor suppressor p53 in spermatogenesis. Cell Death Differ. 1998, 5, 669–677. 36. Marty, M.S.; Singh, N.P.; Holsapple, M.P.; Gollapudi, B.B. Influence of p53 zygosity on
select sperm parameters of the mouse. Mutat. Res. 1999, 427, 39–45. 37. Hasegawa, M.; Zhang, Y.; Niibe, H.; Terry, N.H.; Meistrich, M.L. Resistance of
differentiating spermatogonia to radiation-induced apoptosis and loss in p53-deficient
mice. Radiat. Res. 1998, 149, 263–270. 38. Hendry, J.H.; Adeeko, A.; Potten, C.S.; Morris, I.D. References: P53 deficiency produces fewer
regenerating spermatogenic tubules after irradiation. Int. J. Radiat. Biol. 1996, 70, 677–
682. 39. Yin, Y.; Stahl, B.C.; DeWolf, W.C.; Morgentaler, A. p53-mediated germ cell quality
control in spermatogenesis. Dev. Biol. 1998, 204, 165–171. 40. Hingorani, S.R.; Wang, L.; Multani, A.S.; Combs, C.; Deramaudt, T.B.; Hruban, R.H.;
Rustgi, A.K.; Chang, S.; Tuveson, D.A. Trp53R172H and KrasG12D cooperate to
promote chromosomal instability and widely metastatic pancreatic ductal
adenocarcinoma in mice. Cancer Cell 2005, 7, 469–483. 41. Kopinke, D.; Brailsford, M.; Pan, F.C.; Magnuson, M.A.; Wright, C.V.E.; Murtaugh,
L.C. Ongoing Notch signaling maintains phenotypic fidelity in the adult exocrine
pancreas. Dev. Biol. 2012, 362, 57–64. 42. Jackson, E.L.; Willis, N.; Mercer, K.; Bronson, R.T.; Crowley, D.; Montoya, R.; Jacks,
T.; Tuveson, D.A. Analysis of lung tumor initiation and progression using conditional
expression of oncogenic K-ras. Genes Dev. 2001, 15, 3243–3248. 43. Hamidi, T.; Algül, H.; Cano, C.E.; Sandi, M.J.; Molejon, M.I.; Riemann, M.; Calvo,
E.L.; Lomberk, G.; Dagorn, J.-C.; Weih, F.; et al. Nuclear protein 1 promotes pancreatic
cancer development and protects cells from stress by inhibiting apoptosis. J Clin Invest
2012, 122, 2092–2103. 44. Heise, N.; De Silva, N.S.; Silva, K.; Carette, A.; Simonetti, G.; Pasparakis, M.; Klein, U. Germinal center B cell maintenance and differentiation are controlled by distinct NF-κB
transcription factor subunits. J. Exp. Med. 2014, 211, 2103–2118. 45. Marino, S.; Vooijs, M.; van Der Gulden, H.; Jonkers, J.; Berns, A. Induction of
medulloblastomas in p53-null mutant mice by somatic inactivation of Rb in the external
granular layer cells of the cerebellum. Genes Dev. 2000, 14, 994–1004. . CC-BY 4.0 International license
made available under a
(which was not certified by peer review) is the author/funder, who has granted bioRxiv a license to display the preprint in perpetuity. It is
The copyright holder for this preprint
this version posted March 18, 2020. ;
https://doi.org/10.1101/2020.03.13.989178
doi:
bioRxiv preprint . CC-BY 4.0 International license
made available under a
(which was not certified by peer review) is the author/funder, who has granted bioRxiv a license to display the preprint in perpetuity. It is
The copyright holder for this preprint
this version posted March 18, 2020. ;
https://doi.org/10.1101/2020.03.13.989178
doi:
bioRxiv preprint Figures and Figure Legends: Figures and Figure Legends: A A A B
C
D
E B
C B
C C B B D E E D . CC-BY 4.0 International license
made available under a
(which was not certified by peer review) is the author/funder, who has granted bioRxiv a license to display the preprint in perpetuity. It is
The copyright holder for this preprint
this version posted March 18, 2020. ;
https://doi.org/10.1101/2020.03.13.989178
doi:
bioRxiv preprint . CC-BY 4.0 International license
made available under a
(which was not certified by peer review) is the author/funder, who has granted bioRxiv a license to display the preprint in perpetuity. It is
The copyright holder for this preprint
this version posted March 18, 2020. ;
https://doi.org/10.1101/2020.03.13.989178
doi:
bioRxiv preprint Figure 1: Germline recombination observed in RelBfl mice. Names of the primer pairs are
indicated on the left. Lengths of the respective alleles are indicated on the right. A) Breeding
scheme to obtain Relbfl/f; Ptf1a-Cre/+; Krasfl/+ mice. B) Representative Genotyping PCR results
of the pups obtained from F2 generation. C) Genotypes of the mice which were in F2 breeding. D) PCR results from tail, spleen and pancreas recognizing both the recombined and
unrecombined alleles. D) RelB western blot results of thymus, spleen and pancreas in RelB
germline recombined and wt tissues. Figure 1: Germline recombination observed in RelBfl mice. Names of the primer pairs are
indicated on the left. Lengths of the respective alleles are indicated on the right. A) Breeding
scheme to obtain Relbfl/f; Ptf1a-Cre/+; Krasfl/+ mice. B) Representative Genotyping PCR results
of the pups obtained from F2 generation. C) Genotypes of the mice which were in F2 breeding. D) PCR results from tail, spleen and pancreas recognizing both the recombined and
unrecombined alleles. D) RelB western blot results of thymus, spleen and pancreas in RelB
germline recombined and wt tissues. Rec: recombined floxed allele. Int Cnt: internal control . CC-BY 4.0 International license
made available under a
(which was not certified by peer review) is the author/funder, who has granted bioRxiv a license to display the preprint in perpetuity. It is
The copyright holder for this preprint
this version posted March 18, 2020. ;
https://doi.org/10.1101/2020.03.13.989178
doi:
bioRxiv preprint . CC-BY 4.0 International license
made available under a
(which was not certified by peer review) is the author/funder, who has granted bioRxiv a license to display the preprint in perpetuity. Figures and Figure Legends: It is
The copyright holder for this preprint
this version posted March 18, 2020. ;
https://doi.org/10.1101/2020.03.13.989178
doi:
bioRxiv preprint A
B
C
D A A B
C
D B B C C D D . CC-BY 4.0 International license
made available under a
(which was not certified by peer review) is the author/funder, who has granted bioRxiv a license to display the preprint in perpetuity. It is
The copyright holder for this preprint
this version posted March 18, 2020. ;
https://doi.org/10.1101/2020.03.13.989178
doi:
bioRxiv preprint . CC-BY 4.0 International license
made available under a
(which was not certified by peer review) is the author/funder, who has granted bioRxiv a license to display the preprint in perpetuity. It is
The copyright holder for this preprint
this version posted March 18, 2020. ;
https://doi.org/10.1101/2020.03.13.989178
doi:
bioRxiv preprint Figure 2: Germline recombination observed in Relfl mice. A) Primer pairs A+B recognize the
recombined allele, while the A+C recognizes the unrecombined floxed allele. Rel is the
genotyping primer mix recognizing either floxed or wt alleles which can’t differentiate
recombination. B) eGFP and c-Rel western blot results of pancreas, liver and spleen in Rel
germline recombined and unrecombined tissues. C) PCR results for Kras and Rel recombination
in testes and pancreas. D) PCR results for Tp53 recombination in testes pancreas and tail. Rec: recombined floxed allele. Unrec: unrecombined floxed allele. . CC-BY 4.0 International license
made available under a
(which was not certified by peer review) is the author/funder, who has granted bioRxiv a license to display the preprint in perpetuity. It is
The copyright holder for this preprint
this version posted March 18, 2020. ;
https://doi.org/10.1101/2020.03.13.989178
doi:
bioRxiv preprint . CC-BY 4.0 International license
made available under a
(which was not certified by peer review) is the author/funder, who has granted bioRxiv a license to display the preprint in perpetuity. It is
The copyright holder for this preprint
this version posted March 18, 2020. ;
https://doi.org/10.1101/2020.03.13.989178
doi:
bioRxiv preprint Figure 3: Representative PCR results obtained from GFP-Reltg mice breedings. A) Primer mix
Gfp-Rel recognize the floxed allele along with an internal control. Gfp-Rel Rec primer mix gives
band only if there is a GFP-Rel allele which can be recombined and unrecombined. Rec: recombined floxed allele. Unrec: unrecombined floxed allele. rec-tg: Recombined transgenic allele Figure 3: Representative PCR results obtained from GFP-Reltg mice breedings. Figures and Figure Legends: A) Primer mix
Gfp-Rel recognize the floxed allele along with an internal control. Gfp-Rel Rec primer mix gives
band only if there is a GFP-Rel allele which can be recombined and unrecombined. Rec: recombined floxed allele. Unrec: unrecombined floxed allele. rec-tg: Recombined transgenic allele Figure 3: Representative PCR results obtained from GFP-Reltg mice breedings. A) Primer mix
Gfp-Rel recognize the floxed allele along with an internal control. Gfp-Rel Rec primer mix gives
band only if there is a GFP-Rel allele which can be recombined and unrecombined. Rec: recombined floxed allele. Unrec: unrecombined floxed allele. rec-tg: Recombined transgenic allele . CC-BY 4.0 International license
made available under a
(which was not certified by peer review) is the author/funder, who has granted bioRxiv a license to display the preprint in perpetuity. It is
The copyright holder for this preprint
this version posted March 18, 2020. ;
https://doi.org/10.1101/2020.03.13.989178
doi:
bioRxiv preprint . CC-BY 4.0 International license
made available under a
(which was not certified by peer review) is the author/funder, who has granted bioRxiv a license to display the preprint in perpetuity. It is
The copyright holder for this preprint
this version posted March 18, 2020. ;
https://doi.org/10.1101/2020.03.13.989178
doi:
bioRxiv preprint Tables and table legends: Table 1: Number of mice obtained from Rel breeding Table 1: Number of mice obtained from Rel breeding Table 2: Number of mice obtained from GFP-Rel breeding Table 2: Number of mice obtained from GFP-Rel breeding Table 2: Number of mice obtained from GFP-Rel breeding . CC-BY 4.0 International license
made available under a
(which was not certified by peer review) is the author/funder, who has granted bioRxiv a license to display the preprint in perpetuity. It is
The copyright holder for this preprint
this version posted March 18, 2020. ;
https://doi.org/10.1101/2020.03.13.989178
doi:
bioRxiv preprint . CC-BY 4.0 International license
made available under a
(which was not certified by peer review) is the author/funder, who has granted bioRxiv a license to display the preprint in perpetuity. It is
The copyright holder for this preprint
this version posted March 18, 2020. ;
https://doi.org/10.1101/2020.03.13.989178
doi:
bioRxiv preprint Supplementary Figures: Supplementary Figures:
A
B A A
B
Supplementary Figure 1: Schematics of the mouse lines with or without Cre recombination. A)
A simplified map for Reltm1Ukl model. Exon1 of Rel is removed upon Cre mediated
recombination, which brings together eGFP and PGK. Primer pair A+C recognizes the
unrecombined allele with a size of 470bp. The distance between A-B pairs is too long to be
amplified in unrecombined status. If there is recombination, A+B pair gives a band also at 470
bp. Primers sequences are kindly provided by Ulf Klein upon personal communication. B) A
simplified map for GFP-Rel model. Upon Cre mediated recombination, constitutively active
CAG promoter meets with N’ GFP-tagged Rel. As in Reltm1Ukl model, pair A+C recognizes
unrecombined, and A+B recognizes recombined alleles with the given sizes. Primer sequences
are designed based on the sequence map which is kindly provided by Marc Schmidt-Supprian. A B B B Supplementary Figure 1: Schematics of the mouse lines with or without Cre recombination. A)
A simplified map for Reltm1Ukl model. Exon1 of Rel is removed upon Cre mediated
recombination, which brings together eGFP and PGK. Primer pair A+C recognizes the
unrecombined allele with a size of 470bp. The distance between A-B pairs is too long to be
amplified in unrecombined status. If there is recombination, A+B pair gives a band also at 470
bp. Primers sequences are kindly provided by Ulf Klein upon personal communication. B) A
simplified map for GFP-Rel model. Tables and table legends: Upon Cre mediated recombination, constitutively active
CAG promoter meets with N’ GFP-tagged Rel. As in Reltm1Ukl model, pair A+C recognizes
unrecombined, and A+B recognizes recombined alleles with the given sizes. Primer sequences
are designed based on the sequence map which is kindly provided by Marc Schmidt-Supprian. Supplementary Figure 1: Schematics of the mouse lines with or without Cre recombination. A)
A simplified map for Reltm1Ukl model. Exon1 of Rel is removed upon Cre mediated
recombination, which brings together eGFP and PGK. Primer pair A+C recognizes the
unrecombined allele with a size of 470bp. The distance between A-B pairs is too long to be
amplified in unrecombined status. If there is recombination, A+B pair gives a band also at 470
bp. Primers sequences are kindly provided by Ulf Klein upon personal communication. B) A
simplified map for GFP-Rel model. Upon Cre mediated recombination, constitutively active
CAG promoter meets with N’ GFP-tagged Rel. As in Reltm1Ukl model, pair A+C recognizes
unrecombined, and A+B recognizes recombined alleles with the given sizes. Primer sequences
are designed based on the sequence map which is kindly provided by Marc Schmidt-Supprian.
|
https://openalex.org/W1974828483
|
https://europepmc.org/articles/pmc4322297?pdf=render
|
English
| null |
Low Oxygen Tension Enhances Osteogenic Potential of Bone Marrow-Derived Mesenchymal Stem Cells with Osteonecrosis-Related Functional Impairment
|
Stem cells international
| 2,015
|
cc-by
| 6,213
|
Hindawi Publishing Corporation
Stem Cells International
Volume 2015, Article ID 950312, 8 pages
http://dx.doi.org/10.1155/2015/950312 Hindawi Publishing Corporation
Stem Cells International
Volume 2015, Article ID 950312, 8 pages
http://dx.doi.org/10.1155/2015/950312 Hindawi Publishing Corporation
Stem Cells International
Volume 2015, Article ID 950312, 8 pages
http://dx.doi.org/10.1155/2015/950312 Hindawi Publishing Corporation
Stem Cells International
Volume 2015, Article ID 950312, 8 pages
http://dx.doi.org/10.1155/2015/950312 Correspondence should be addressed to Kunzheng Wang; drwangkunzheng@163.com Received 23 September 2014; Revised 1 January 2015; Accepted 8 January 2015 Academic Editor: Claudia Montero-Menei Copyright © 2015 Lihong Fan 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. Glucocorticoids can affect the function of bone marrow-derived mesenchymal stem cells (BMMSCs) adversely and
merit the requirement for a strategy to correct this anomaly; we assessed the effect of low oxygen (2%) on BMMSCs from rabbits
with osteonecrosis. Methods. Bone marrow-derived mesenchymal stem cells from normal rabbits and rabbits with osteonecrosis
were divided into four groups: (1) normal-normoxia group, with normal BMMSCs cultured under 20% oxygen; (2) osteonecrosis-
normoxia group, with BMMSCs from rabbits with osteonecrosis cultured under 20% oxygen; (3) osteonecrosis-low oxygen treated
group, with BMMSCs from rabbits with osteonecrosis cultured under 2% oxygen; (4) normal-low oxygen treated group, with
normal BMMSCs cultured under 2% oxygen. The proliferation, osteogenic, and adipogenic differentiation of MSCs and expression
of stemness genes, osteogenic, and adipogenic differentiation markers were investigated. Results. Compared with BMMSCs from
normal rabbits, those from osteonecrosis rabbits showed significantly reduced proliferation ability, repressed expression of stemness
genes, decreased osteoblasts formation, and increased adipocytes formation, indicating an osteonecrosis-related impairment. Low
oxygen (2%) treated BMMSCs from osteonecrosis rabbits showed not only increased proliferation and osteogenic potential but also
decreased adipogenic potential. Conclusion. Low oxygen (2%) culture represents a novel strategy to augment BMMSC function
affected by glucocorticoids and holds significance for future strategies to treat femoral head osteonecrosis. Department of Orthopedics, The Second Affiliated Hospital of Xi’an Jiaotong University, Xiwu Road, Xi’an, Shaanxi 710004, China Correspondence should be addressed to Kunzheng Wang; drwangkunzheng@163.com 2. Methods For quantitative analysis of
adipogenesis, Oil Red O dye was eluted by 100% isopropanol
and the absorbance of the resulting solution was measured at
540 nm by spectrophotometery. 2.2. Bone Marrow Mesenchymal Stem Cell Cultures. Bone
marrow-derived mesenchymal stem cells were harvested
from normal rabbits and rabbits with ONFH. Briefly, rabbit
marrow (1 mL) was collected and mononuclear cells were
obtained by Ficoll-Paque density-gradient centrifugation
(10.77 g/cm3). Cells of passages 3–5 were utilized for studies. To confirm the cellular identity of cultured cells, MSCs were
subjected to fluorescence-activated cell sorting using CD90,
CD34, and CD45 markers, and cultured cells were identified
as CD90 positive and CD34/CD45 negative cells. 2.3. Low Oxygen Protocol and Normoxia Control. To establish
a low oxygen model of culturing MSCs in vitro, MSCs
were incubated in a special chamber, which could monitor
the humidity, temperature, and the oxygen tension (pO2)
automatically. According to different O2 concentration and
different MSCs sources, cells were divided into four groups:
(1) normal-normoxia group (N Group), with normal MSCs
cultured under 20% oxygen; (2) osteonecrosis-normoxia
group (O Group), with MSCs from rabbits with ONFH
cultured under 20% oxygen; (3) osteonecrosis-low oxygen
treated group (O-L Group), with MSCs from rabbits with
ONFH cultured under 2% oxygen; (4) normal-low oxygen
treated group (N-L Group), with normal MSCs cultured
under 2% oxygen. Cells of each group were subjected to
the same procedures except the different O2 concentration
during the whole duration of study. 2.7. Osteogenesis In Vitro ALP Staining and Alizarin Red S
Staining. For osteogenic differentiation, MSCs were plated in
6-wells at a density of 2 × 104 cells/cm2. In the case of differ-
entiation in the osteogenic linage, DMEM was supplemented
with 10 mM 𝛽-glycerophosphate, 10 nM dexamethasone, and
0.1 mM L-ascorbic acid-2-phosphate. The cells in normal-
normoxia group and osteonecrosis-normoxia group were
exposed to 20% oxygen under osteogenic differentiation
conditions, and the cells in osteonecrosis-low oxygen treated
group and normal-low oxygen treated group were exposed
to 2% oxygen. Differentiation was terminated after 14 days
and ALP staining was performed by using an alkaline
phosphatase kit according to the manufacturer’s instructions
(Promega, Southampton, UK). The resulting blue, insoluble,
granular dye deposit indicated sites of alkaline phosphatase
activity. For Alizarin Red S staining, cells were fixed in 10%
formalin for 30 minutes and stained with 2% Alizarin Red S 2.4. WST-1 Cell Proliferation Assay. 1. Introduction Then, the plate was shaked
thoroughly for 1 min. The absorbance was determined as
the proliferation rate using a 96-well plate reader at 450 nm
(Sunrise Remote/Touch screen, Tecan, Austria). The optical
density (OD) value of normal group was used as 100% cell
proliferation. The experiment was independently performed
three times. 2. Methods 2.1. Establishment of the Osteonecrosis Model. The male New
Zealand white rabbits (age: 28 weeks; body weight: 2.5–
3 kg) we used in the experiment were from the Experi-
mental Animal Center of Xi’an Jiaotong University, China. The animals were housed under standard conditions at the
Experimental Animal Center of Xi’an Jiaotong University
and received a standard laboratory diet. The experimental
protocols adhered to the NIH Guide for the Care and Use
of Laboratory Animals and were approved by the Animal
Ethical Committee of the Xi’an Jiaotong University. The rabbit
model of early osteonecrosis of the femoral head (ONFH) was
induced by methods according to the previously published
protocols described by Qin et al. [13]. Briefly, one injection of
10 𝜇g/kg body weight of lipopolysaccharide (Sigma, St. Louis,
MO, USA) was given intravenously. 24 hours later, three
injections of 20 mg/kg body weight of methylprednisolone
(Pfizer, USA) were given intramuscularly, at a time interval
of 24 h. Osteonecrosis gradually developed 6 weeks after
injection of MPS. 2.5. Colony-Forming Unit (CFU) Assay. The MSCs were
seeded on 10 cm tissue culture-treated polystyrene dishes at
a density of 50 × 103 cells/cm2. The culture medium was
changed every 3 days. At day 7, cells were washed with
PBS, fixed in 10% formalin, incubated with Giemsa dye for
10 min, and washed three times with PBS. The results are
expressed as the mean number of CFU per 106 of seeded
MSCs, as well as the mean diameter of the CFU. In another
10 cm tissue culture-treated polystyrene dish, cultures were
digested using 0.25% trypsin and the cells were counted using
a hemocytometer. 2.6. Adipogenesis In Vitro Oil Red O Staining. MSCs were
plated in 6-wells at a density of 105 cells/cm2. For differen-
tiation of MSCs to adipocytes, 10 mg/mL insulin, 0.2 mM
indomethacin, 1 mM dexamethasone, and 0.5 mM 3-iso-
butyl-1-methyl-xanthine were used to supplement DMEM. The cells in normal-normoxia group and osteonecrosis-
normoxia group were exposed to 20% oxygen under adi-
pogenic differentiation conditions, and the cells in osteone-
crosis-low oxygen treated group and normal-low oxygen
treated group were exposed to 2% oxygen. After 21 days of
adipogenic induction, Oil Red O staining was accomplished
according to the procedures provided by the manufacturers
of the Oil Red O staining kit. 1. Introduction explanation for the not good effect of MSCs transplantation
is that the number as well as function of MSCs to repair dam-
aged tissues declines with steroid administration and alcohol
abuse. MSCs from osteonecrosis patients exhibit impaired
survival, proliferation, and differentiation and therefore
require a strategy to improve their repair function [7, 8]. Corticosteroid-induced osteonecrosis of the femoral head
(ONFH) is one of the most serious complications induced
by high dosages and/or long-term administration of steroid
hormones. For early treatment, many surgical procedures are
designed to preserve the femoral head; however, the results
are unpredictable and the clinical outcomes are not favorable
[1, 2]. A number of strategies have been used to enhance
depleted stem cell function by treatment with growth factors,
hypoxic shock, and antiaging compounds [9, 10]. Beneficial
effects of low oxygen culture on proliferation and in vitro
and in vivo differentiation potentials of MSCs have been
suggested by several groups [11, 12]. However, the influences
of low oxygen on differentiation of MSCs from osteonecrosis
animals still remain not yet clear.f Mesenchymal stem cells (MSCs) possess multilineage
differentiation potential and have been widely used in the
regeneration of damaged tissues including cardiovascular
disorders, nerve injury, bone defect [3, 4], and osteonecrosis
of the femoral head [5]. Even though MSCs represent a
feasible choice for osteonecrosis repair, the effect of MSCs
transplantation is still not fully satisfactory [6]. The possible In the present study, effect of corticosteroid on bone
marrow-derived mesenchymal stem cells (BMMSCs) was 2 Stem Cells International 2 Shanghai Province, China). Briefly, 2 × 104 cells were cul-
tured in 96-well plates for 16 h, 10 𝜇L WST-1 was added
to each well, and cells were cultured for additional 4 h
in a humidified atmosphere. Then, the plate was shaked
thoroughly for 1 min. The absorbance was determined as
the proliferation rate using a 96-well plate reader at 450 nm
(Sunrise Remote/Touch screen, Tecan, Austria). The optical
density (OD) value of normal group was used as 100% cell
proliferation. The experiment was independently performed
three times. investigated and the effects of low oxygen (2%) on the pro-
liferation ability and differentiation potentials of BMMSCs
from osteonecrosis rabbits were examined. Shanghai Province, China). Briefly, 2 × 104 cells were cul-
tured in 96-well plates for 16 h, 10 𝜇L WST-1 was added
to each well, and cells were cultured for additional 4 h
in a humidified atmosphere. 2. Methods In order to assess MSCs
proliferation, cell proliferation was measured by a com-
mercial WST-1 Kit (Beyotime Institute of Biotechnology, 3 Stem Cells International solution for 30 minutes. Subsequently, cells were rinsed once
with PBS at room temperature. among the four groups. Proliferation of MSCs was assessed
by WST-1 cell proliferation assay. The proliferation rate in
the O-L Group was significantly higher than that in the O
Group. Compared with N Group, the O Group proliferated
significantly slower and the N-L Group proliferated signifi-
cantly faster. Obtained results suggested that glucocorticoids
suppressed proliferation of MSCs; however, low oxygen (2%)
enhances the proliferation of MSCs from ONFH rabbits
contributing to the increased growth rate of the total BMSC
population. 2.8. Immunofluorescence Staining. Two weeks after oste-
ogenic induction, MSCs were fixed and treated with 4,
6-diamidino-2-phenyl-indol dihydrochloride (DAPI) 50 𝜇g/
mL for nuclear staining. Then, these cells were stained for
osteocalcin (OCN), type I collagen (COL I) antibody (Santa
Cruz, CA) visualized with a TRITC-conjugated secondary
antibody. The primary antibody was diluted 1 : 100; controls
included stainings without primary antibody. Fluorescence
images were obtained using a fluorescence microscope (Flu-
oview 400, Olympus). 3.2. Low Oxygen Culture Promoted Expression of Stemness
Genes in MSCs. To explore the stemness of the osteonecrosis
MSCs and the effect of low oxygen tension (2%) on stemness,
we analyzed the expression of stemness gene, including Oct4
and Nanog, in MSCs of every group. RT-PCR analysis showed
that the osteonecrosis MSCs have repressed stemness genes. Furthermore, low oxygen (2%) enhanced the stemness genes
of both normal MSCs and osteonecrosis MSCs (Figure 2). 2.9. Real-Time PCR. Total RNA of cells was prepared by
using the Trizol reagent (Invitrogen, CA, USA) according
to the manufacturer’s specifications. After reverse transcrip-
tion reaction, template DNA was then used in gene-spe-
cific PCR for Oct4, Nanog, PPAR𝛾-2, OCN, and COL I. The
following primers were used: GAPDH, sense: 5-CCACTT-
TGTGAAGCTCATTTCCT-3, antisense: 5-TCGTCCTCC-
TCTGGTGCTCT-3; Oct4, sense: 5-CGAGTGAGAGGC-
AACTTGG-3, antisense: 5-CGGTTACAGAACCACACA-
CG-3; Nanog, sense: 5-CCCAGCTGTGTGTGCTCAA-3,
antisense: 5-CCAGGCTTGGGAGTACCAGG-3; PPAR-𝛾,
sense: 5-AGTCGCCATCCGCATCTT-3,antisense: 5-ATC-
TCATGGACGCCGTACTTG-3; OCN, sense: 5-TCACTC-
TTGTCGCCCTGCT-3, antisense: 5-CCTCCCTCTTGG-
ACACGAA-3; COL I, sense: 5-TTGACAGAGGCGAAC-
TGAGG-3,
antisense:
5-AGAAAACCACACAACACA-
GAGGAG-3. Gene-specific primers were synthesized com-
mercially (Shengong Co. Ltd., Shanghai, China). Glycer-
aldehyde 3-phosphate dehydrogenase (GAPDH) served as a
housekeeping gene. The conditions of real-time PCR were as
follows: 40 cycles at 94∘C for 5 s, 60∘C for 34 s. 2. Methods These data indicated
that treatment with low oxygen (2%) inhibited adipogenic
differentiation of MSCs from rabbits with ONFH. 2.10. Statistical Analysis. All data are presented as mean ±
standard deviation (SD). Statistical analysis was performed
using Student’s 𝑡-test. A 𝑃value less than or equal to 0.05 was
considered significant for all statistical analyses. 2. Methods Dissociation
stage was added to the end of amplification procedure. There
was no nonspecific amplification determined by the dissolve
curve. 3.3. Inhibition of Adipogenesis of MSCs from Rabbits with
ONFH after Low Oxygen (2%) Culture. To understand the
effects of glucocorticoids and low oxygen (2%) on adi-
pogenic differentiation, we induced bone marrow MSCs
into adipocytes under induction medium conditions. We
found, compared with normal MSCs, adipogenic differen-
tiation of MSCs from osteonecrosis rabbits to be clearly
promoted under normoxia (Figure 3(a)) indicated by Oil Red
O staining. Furthermore, the expression of PPAR𝛾2 increased
at mRNA level (Figure 3(c)). However, after adipogenesis
induction in response to low oxygen (2%), the results from
Oil Red O staining showed that the adipogenesis of MSCs
from both ONFH rabbits and normal rabbits was downreg-
ulated at day 21 (Figure 3(a)). Consistently, there were less
lipid droplets with the treatment of low oxygen (2%), and the
number of fat droplets in the O-L Group was about 60 percent
of the O Group (Figure 3(b)). RT-PCR further demonstrated
that MSCs treated in AIM (adipogenic induction medium)
under low oxygen (2%) showed a decreased pattern of
expression of PPAR𝛾2 (Figure 3(c)). These data indicated
that treatment with low oxygen (2%) inhibited adipogenic
differentiation of MSCs from rabbits with ONFH. 3.3. Inhibition of Adipogenesis of MSCs from Rabbits with
ONFH after Low Oxygen (2%) Culture. To understand the
effects of glucocorticoids and low oxygen (2%) on adi-
pogenic differentiation, we induced bone marrow MSCs
into adipocytes under induction medium conditions. We
found, compared with normal MSCs, adipogenic differen-
tiation of MSCs from osteonecrosis rabbits to be clearly
promoted under normoxia (Figure 3(a)) indicated by Oil Red
O staining. Furthermore, the expression of PPAR𝛾2 increased
at mRNA level (Figure 3(c)). However, after adipogenesis
induction in response to low oxygen (2%), the results from
Oil Red O staining showed that the adipogenesis of MSCs
from both ONFH rabbits and normal rabbits was downreg-
ulated at day 21 (Figure 3(a)). Consistently, there were less
lipid droplets with the treatment of low oxygen (2%), and the
number of fat droplets in the O-L Group was about 60 percent
of the O Group (Figure 3(b)). RT-PCR further demonstrated
that MSCs treated in AIM (adipogenic induction medium)
under low oxygen (2%) showed a decreased pattern of
expression of PPAR𝛾2 (Figure 3(c)). 3. Results 3.4. Regulation of Osteogenic Differentiation by Low Oxygen
(2%) Culture. To determine the role of glucocorticoids and
low oxygen (2%) on osteoblast differentiation of bone marrow
derived mesenchymal stem cells, we examined the expression
of osteoblast differentiation markers including ALP, OCN,
and COL I 14 days after cultured in osteogenic induction
medium under low oxygen (2%) and Alizarin Red S staining
was performed. Alizarin Red S staining showed that the area
of positive staining in N Group and O-L Group was greater
compared with that in the O Group (Figure 4(a)). Compared
with the N Group, the N-L Group showed increased area
of Alizarin Red S-positive. Similar results were observed
in ALP staining and ALP activities (Figures 4(b) and 4(d)). 3.1. Low Oxygen Culture Promoted Colony Formation and
Increased Proliferation of MSCs from ONFH Rabbits. The
number of CFU, mean diameter of the CFU, and number
of cells per colony in cultures of each group are calculated
(Figure 1). The number of CFU and number of cells per
colony in cultures of O Group was significantly lower than
those in the other three groups. Furthermore, there was no
significant difference in the number of CFU and number
of cells per colony between the N Group and the O-L
Group. Compared with the N Group, the N-L Group showed
increased number of CFU and number of cells per colony. There was no significant difference in the diameter of the CFU Stem Cells Internation
N
O
O-L
N-L
(a)
Number of CFU
90
80
70
60
50
40
30
20
10
0
∗
#
∗
N
O
O-L
N-L
(b)
N
O
O-L
N-L
Diameter of CFU (mm)
4.5
4.0
3.5
3.0
2.5
2.0
1.5
1.0
0.5
0.0
(c)
#
∗
N
O
O-L
N-L
Number of cells per colony
7000
6000
5000
4000
3000
2000
1000
0
(d)
#
∗
∗
N
O
O-L
N-L
Cell proliferation (%)
160
140
120
100
80
60
40
20
0
(e)
gure 1: The colony-forming unit and proliferation of MSCs. (a) Representative photograph of colonies in CFU-A at day 7. (b) Number
FU detected per 106 of seeded cells in CFU-A. (c) Average diameter of CFU. (d) Average number of cells per colony in CFU-A. (e) Ce
oliferation was measured by WST-1 assay. The optical density (OD) value of normal MSCs was used as 100% cell proliferation. 3. Results These data indi-
cated that glucocorticoids suppress osteogenic differentiation
and treatment with low oxygen (2%) enhances osteogenic 3. Results The da
ere drawn from three independent experiments and the results were expressed as mean ± SD. ∗𝑃< 0.05 versus N Group. #𝑃< 0.05 versu
Group. 4 4 Stem Cells International N
O
O-L
N-L
(a) O
O-L
(a) N-L O-L N O (a) (a)
N
O
O-L
N-L
Diameter of CFU (mm)
4.5
4.0
3.5
3.0
2.5
2.0
1.5
1.0
0.5
0.0
(c) Number of CFU
90
80
70
60
50
40
30
20
10
0
∗
#
∗
N
O
O-L
N-L
(b) (a)
Number of CFU
90
80
70
60
50
40
30
20
10
0
∗
#
∗
N
O
O-L
N-L
(b)
N
O
O-L
N-L
Diameter of CFU (mm)
4.5
4.0
3.5
3.0
2.5
2.0
1.5
1.0
0.5
0.0
(c) (b)
#
∗
N
O
O-L
N-L
Number of cells per colony
7000
6000
5000
4000
3000
2000
1000
0
(d) ( )
#
∗
∗
N
O
O-L
N-L
Cell proliferation (%)
160
140
120
100
80
60
40
20
0
(e) Number of cells per colony (d) (e) Figure 1: The colony-forming unit and proliferation of MSCs. (a) Representative photograph of colonies in CFU-A at day 7. (b) Number of
CFU detected per 106 of seeded cells in CFU-A. (c) Average diameter of CFU. (d) Average number of cells per colony in CFU-A. (e) Cell
proliferation was measured by WST-1 assay. The optical density (OD) value of normal MSCs was used as 100% cell proliferation. The data
were drawn from three independent experiments and the results were expressed as mean ± SD. ∗𝑃< 0.05 versus N Group. #𝑃< 0.05 versus
O Group. potential of bone marrow-derived mesenchymal stem cells
from rabbits with glucocorticoids-induced osteonecrosis. Moreover, we found that OCN and COL I were strongly
expressed in MSCs in the O-L Group (Figures 4(c), 4(e), and
4(f)) compared with O Group. Compared with the N Group,
the N-L Group exhibited enhanced expression of OCN and
COL I at mRNA level (Figures 4(e) and 4(f)). These data indi-
cated that glucocorticoids suppress osteogenic differentiation
and treatment with low oxygen (2%) enhances osteogenic Moreover, we found that OCN and COL I were strongly
expressed in MSCs in the O-L Group (Figures 4(c), 4(e), and
4(f)) compared with O Group. Compared with the N Group,
the N-L Group exhibited enhanced expression of OCN and
COL I at mRNA level (Figures 4(e) and 4(f)). 4. Discussion In our study, it was found that the proliferation, stemness,
and osteogenic differentiation potential of MSCs from 5 Stem Cells International Stem Cells International Stem Cells International
5
Relative Oct4 mRNA level
2.0
1.5
1.0
0.5
0.0
∗
∗
#
N
O
O-L
N-L
(a)
∗
∗
#
N
O
O-L
N-L
Relative Nanog mRNA level
3.0
2.5
2.0
1.5
1.0
0.5
0.0
(b)
Figure 2: Effect of low oxygen on expression of stemness genes in MSCs. (a) Expression of Oct4 in MSCs 5 days after normoxia or low
oxygen culture. (b) Expression of Nanog in MSCs of each group. The data were drawn from three independent experiments and the results
were expressed as mean ± SD. ∗𝑃< 0.05 versus N Group. #𝑃< 0.05 versus O Group. ∗
∗
#
N
O
O-L
N-L
Relative Nanog mRNA level
3.0
2.5
2.0
1.5
1.0
0.5
0.0
(b) Relative Oct4 mRNA level
2.0
1.5
1.0
0.5
0.0
∗
∗
#
N
O
O-L
N-L
(a) (b) (a) Figure 2: Effect of low oxygen on expression of stemness genes in MSCs. (a) Expression of Oct4 in MSCs 5 days after normoxia or low
oxygen culture. (b) Expression of Nanog in MSCs of each group. The data were drawn from three independent experiments and the results
were expressed as mean ± SD. ∗𝑃< 0.05 versus N Group. #𝑃< 0.05 versus O Group. N
O
O-L
N-L
(a)
Fat droplets per visual field
100
80
60
40
20
0
∗
∗
#
N
O
O-L
N-L
(b)
Relative PPAR𝛾-2 mRNA level
2.0
1.5
1.0
0.5
0.0
∗
∗
#
N
O
O-L
N-L
(c)
Figure 3: Effect of low oxygen on MSC adipogenic differentiation. (a) Oil Red O staining was performed to measure adipocyte formation 21
days after cells were induced in an adipogenic induction medium. (b) Fat droplets per visual field were determined. (c) Expression of PPAR𝛾-2
mRNA was determined by qRT-PCR at day 10. The data were drawn from three independent experiments and the results were expressed as
mean ± SD. ∗𝑃< 0.05 versus N Group. #𝑃< 0.05 versus O Group. 4. Discussion N
O
O-L
N-L
(a) N-L O
O-L
N
(a) O (a) Fat droplets per visual field
100
80
60
40
20
0
∗
∗
#
N
O
O-L
N-L
(b)
Relative PPAR𝛾-2 mRNA level
2.0
1.5
1.0
0.5
0.0
∗
∗
#
N
O
O-L
N-L
(c)ff (b) (c) Figure 3: Effect of low oxygen on MSC adipogenic differentiation. (a) Oil Red O staining was performed to measure adipocyte formation 21
days after cells were induced in an adipogenic induction medium. (b) Fat droplets per visual field were determined. (c) Expression of PPAR𝛾-2
mRNA was determined by qRT-PCR at day 10. The data were drawn from three independent experiments and the results were expressed as
mean ± SD. ∗𝑃< 0.05 versus N Group. #𝑃< 0.05 versus O Group. cells due to ischemia and hypoxia. Current treatment options
for early stage ONFH include electrical stimulation, core
decompression, rotational osteotomy, and nonvascularized
and vascularized bone grafting. The best approach for precol-
lapse ONFH remains unanswered. Core decompression used
to be the most widespread procedure to treat the ONFH; its
efficacy still remains controversial. The vascularized fibular osteonecrosis animals were impaired. Low oxygen (2%) could
enhance the proliferation and maintenance of stemness and
osteogenic differentiation potential of MSCs with osteone-
crosis-related functional impairment. Osteonecrosis of the femoral head (ONFH) is a debilitat-
ing orthopedic disease primarily affecting young and middle-
aged patients. It is thought to be caused by death of bone 6 6 Stem Cells International O
(a) O-L
) N N-L O-L O N (a)
N
O
O-L
N-L
(b)
OCN
DAPI
Merge
COL I
DAPI
Merge
a1
a1
a2
a2
a3
a3
b1
b1
b2
b2
b3
b3
c1
c1
c2
c2
c3
c3
d1
d1
d2
d2
d3
d3
e1
e1
e2
e2
e3
e3
f1f1
f2f2
f3f3
g1
g1
g2
g2
g3
g3
h1
h1
h2
h2
h3
h3
N
O
O-L
N-L
N
O
O-L
N-L
(c)
∗
∗
#
N
O
O-L
N-L
Relative ALP activity
3
2
1
0
(d)
∗
∗
#
N
O
O-L
N-L
Relative OCN mRNA level
1.5
1.0
0.5
0.0
(e)
∗
∗
#
N
O
O-L
N-L
Relative COL I mRNA level
1.5
1.0
0.5
0.0
(f)
Figure 4: Effect of low oxygen (2%) on MSC osteogenic differentiation. 4. Discussion found that low oxygen
tension (2%) promotes the expression of Oct3/4 and Nanog
(stem-cell marker) of adipose tissue-derived stromal cells
[24]. In another study by Hung et al., it was demonstrated that
human bone marrow-derived MSCs (hBM-MSCs) cultured
under low oxygen (1%) had enhanced expression of stemness
genes including OCT4, NANOG, SALL4, and KLF4 [12]. In our study, similar results were presented. We found that
low oxygen (2%) promoted expression of stemness genes
including OCT4 and Nanog in both osteonecrosis BMSCs
and normal BMSCs, indicating that low oxygen tension (2%)
promotes maintenance of stemness in MSCs. grafts have demonstrated the highest rates of success in
treating early-stage ONFH, but there is still a great concern
with its complications. This has prompted the investigation
into a novel method for treatment of ONFH. Mesenchymal stromal cells (MSCs) are pluripotent cells,
capable of differentiating into a variety of cell types includ-
ing osteoblasts, chondrocytes, adipocytes, and myoblasts. Therefore, cell therapy using MSCs represents a promising
approach to promote wound healing and tissue regeneration,
such as in repair of bone fractures. Recently, some groups of
researchers transplanted MSCs into the necrotic area of the
femoral head to aid the core compression in order to treat
ONFH. Gangji et al. followed up 19 patients (24 hips) for
five years and found BMCs transplantation could obviously
release pain and improve the function of hips in patients with
early stages of ONFH [14]. However, the successful repair of a
large bone defect with cell transplantation therapy needs large
numbers of functional MSCs cells. It has been suggested recently that osteonecrosis of the
femoral head might be a disease of MSCs, due to abnormal
proliferation or differentiation of MSCs. In patients with
osteonecrosis secondary to corticosteroid therapy, abnor-
malities have been demonstrated in the bone marrow of
the iliac crest, with a decrease in the stem-cell pool [15]. Steroids have been shown to produce adipogenesis and to
stimulate fat specific genes in cloned bone-marrow cells [16]. These findings suggest that impairments of BMSCs were
responsible for osteonecrosis which might represent a cellular
mechanism. As shown in the present study, proliferation
rate, those osteogenic markers, stemness genes, and alkaline
phosphatase activity and mineralization were significantly
reduced in osteonecrosis BMSCs compared with normal
BMSCs. On the contrary, those adipogenic markers and lipid
droplets significantly increased in osteonecrosis BMSCs. 4. Discussion Our
data clearly revealed impaired proliferation, stemness, and
osteogenic potential of osteonecrosis BMSCs, which helps to
explain the well-documented correlation between the inci-
dence of osteonecrosis and glucocorticoid administration. It
also suggested that BMSCs augmentation could be a potential
strategy in the treatment of osteonecrosis. Differentiation of MSCs under low oxygen favoured
osteogenesis, while adipogenesis was inhibited [12, 25]. How-
ever, the investigations on the effect of low oxygen on MSC
differentiation published by other authors show conflicting
results [26, 27]. Taken together, the effects of low oxygen
on MSCs differentiation varied and depended on oxygen
tensions, cell source, and species. Given this background, we
investigated the effect of low oxygen (2%) on differentiation
potential of MSCs from both ONFH rabbits and healthy
rabbits towards adipogenic and osteogenic lineages. With
regard to our defined experimental conditions we found that
adipogenesis was suppressed by low oxygen (2%), whereas
osteogenesis was enhanced. These data were supported by
Lennon et al. and Boyette et al. [21, 28]. In conclusion, we have shown that the proliferation, stem-
ness, and osteogenic differentiation potential of MSCs from
osteonecrosis rabbits were depressed, and the adipogenic
differentiation potential was promoted. Moreover, low oxy-
gen (2%) culture could enhance the proliferation, expression
of stemness genes, and osteogenic differentiation potential
of MSCs from both ONFH rabbits and healthy rabbits
and inhibit the adipogenic differentiation. Low oxygen (2%)
culture may therefore serve as a useful strategy to aug-
ment BMMSC function affected by glucocorticoids and
holds significance for future strategies to treat femoral head
osteonecrosis. As mentioned before, BMSCs from patients with steroid-
induced osteonecrosis showed impaired proliferation ability
and osteogenic potential; it is necessary to find new ways to
revise the impairments. Preconditioning of stem cells with
growth factors [17, 18], heat shock [19], and antiaging com-
pounds represents an effective strategy to enhance survival,
proliferation, and differentiation of MSCs. Several studies
have been carried out in order to analyze the effects of
low oxygen on MSCs and beneficial effects of low oxygen
culture on proliferation and in vitro and in vivo differentiation
potentials of human MSCs have been suggested by several
groups. Hung et al. demonstrated that human bone marrow-
derived MSCs (hBM-MSCs) cultured under low oxygen (1%)
had increased proliferation [12]. 4. Discussion (a) The mineralization nodes were monitored by Alizarin Red S
staining 14 days after cells were induced in an osteogenic induction medium. (b) Alkaline phosphatase staining of MSCs after osteogenic
differentiation. (c) Immunostaining for OCN and COL I (Texas-Red, a1-h1) with nuclear counterstained (DAPI-blue, a2-h2) 2 weeks after
osteogenic differentiation (×400). (a3-h3) Merge. (d) ALP activities in BMSCs. (e) OCN mRNA expression was examined by RT-PCR at day
14. (f) COL I mRNA expression was examined by RT-PCR at day 14. The data were drawn from three independent experiments and the results
were expressed as mean ± SD. ∗𝑃< 0.05 versus N Group. #𝑃< 0.05 versus O Group. (a) N O-L
) N-L N N-L O O-L O
(b) (b) e3
e3 a2
a2 f2f2 b2
b2 b3
b3 f1f1 O g3
g3 g2
g2 c3
c3 g1
g1 (c)
∗
∗
#
N
O
O-L
N-L
Relative ALP activity
3
2
1
0
(d)
∗
∗
#
N
O
O-L
N-L
Relative OCN mRNA level
1.5
1.0
0.5
0.0
(e)
∗
∗
#
N
O
O-L
N-L
Relative COL I mRNA level
1.5
1.0
0.5
0.0
(f) (d) (e) (f) Figure 4: Effect of low oxygen (2%) on MSC osteogenic differentiation. (a) The mineralization nodes were monitored by Alizarin Red S
staining 14 days after cells were induced in an osteogenic induction medium. (b) Alkaline phosphatase staining of MSCs after osteogenic
differentiation. (c) Immunostaining for OCN and COL I (Texas-Red, a1-h1) with nuclear counterstained (DAPI-blue, a2-h2) 2 weeks after
osteogenic differentiation (×400). (a3-h3) Merge. (d) ALP activities in BMSCs. (e) OCN mRNA expression was examined by RT-PCR at day
14. (f) COL I mRNA expression was examined by RT-PCR at day 14. The data were drawn from three independent experiments and the results
were expressed as mean ± SD. ∗𝑃< 0.05 versus N Group. #𝑃< 0.05 versus O Group. Stem Cells International 7 low oxygen (2%) increased obviously compared with those
under normoxia which was in accordance with the findings
of Ren et al. and Lennon et al. [20, 21]. Recent studies
have indicated that low oxygen plays an important role in
altering characteristics of various types of stem cells including
embryonic stem cells [22], induced pluripotent stem cells
[23], adipose tissue-derived stromal cells, and mesenchymal
stem cells [24]. Yamamoto et al. Conflict of Interests None of the authors has any conflict of interests to declare. 4. Discussion In our study, the WST-1
assay and colony formation unit assay were performed to
investigate the effect of low oxygen (2%) on proliferation
of MSCs from both ONFH rabbits and healthy rabbits. It was indicated that MSCs proliferation in groups under References of Bone and Joint Surgery—American Volume, vol. 79, no. 7, pp. 1047–1053, 1997. [1] J. R. Lieberman, “Core decompression for osteonecrosis of the
hip,” Clinical Orthopaedics and Related Research, no. 418, pp. 29–
33, 2004. [16] [16] Q. Cui, G.-J. Wang, and G. Balian, “Pluripotential marrow cells
produce adipocytes when transplanted into steroid-treated
mice,” Connective Tissue Research, vol. 41, no. 1, pp. 45–56, 2000. [2] S. P. Scully, R. K. Aaron, and J. R. Urbaniak, “Survival analysis
of hips treated with core decompression or vascularized fibular
grafting because of avascular necrosis,” The Journal of Bone and
Joint Surgery—American Volume, vol. 80, no. 9, pp. 1270–1275,
1998. [17] J. Chen, X. Du, and K. Zhang, “Effects of stromal-derived factor
1 preconditioning on apoptosis of rat bone mesenchymal stem
cells,” Journal of Huazhong University of Science and Technology
(Medical Sciences), vol. 29, no. 4, pp. 423–426, 2009. [18] Z. Pasha, Y. Wang, R. Sheikh, D. Zhang, T. Zhao, and M. Ashraf,
“Preconditioning enhances cell survival and differentiation of
stem cells during transplantation in infarcted myocardium,”
Cardiovascular Research, vol. 77, no. 1, pp. 134–142, 2008. [3] E. Farrell, O. P. van der Jagt, W. Koevoet et al., “Chondrogenic
priming of human bone marrow stromal cells: a better route to
bone repair?” Tissue Engineering - Part C: Methods, vol. 15, no. 2, pp. 285–295, 2009. [19] F. Tavassol, A. Kampmann, D. Lindhorst et al., “Prolongated
survival of osteoblast-like cells on biodegradable scaffolds by
heat shock preconditioning,” Tissue Engineering Part A, vol. 17,
no. 15-16, pp. 1935–1943, 2011. [4] R. Thakker and P. Yang, “Mesenchymal stem cell therapy for
cardiac repair,” Current Treatment Options in Cardiovascular
Medicine, vol. 16, no. 7, p. 323, 2014. [5] B. Icli, A. K. M. Wara, J. Moslehi et al., “MicroRNA-26a regulates
pathological and physiological angiogenesis by targeting BMP/
SMAD1 signaling,” Circulation Research, vol. 113, no. 11, pp. 1231–
1241, 2013. [20] H. Ren, Y. Cao, Q. Zhao et al., “Proliferation and differentiation
of bone marrow stromal cells under hypoxic conditions,”
Biochemical and Biophysical Research Communications, vol. 347,
no. 1, pp. 12–21, 2006. [6] A. Chotivichit, E. Korwutthikulrangsri, C. Auewarakul, and S. Sarirasririd, “Core decompression and concentrated autologous
bone marrow injection for treatment of osteonecrosis of the
femoral head,” Journal of the Medical Association of Thailand,
vol. 95, supplement 9, pp. S14–S20, 2012. [21] D. P. Lennon, J. M. Edmison, and A. I. References Caplan, “Cultivation of
rat marrow-derived mesenchymal stem cells in reduced oxygen
tension: effects on in vitro and in vivo osteochondrogenesis,”
Journal of Cellular Physiology, vol. 187, no. 3, pp. 345–355, 2001. [22] T. Ezashi, P. Das, and R. M. Roberts, “Low O2 tensions and
the prevention of differentiation of hES cells,” Proceedings of the
National Academy of Sciences of the United States of America,
vol. 102, no. 13, pp. 4783–4788, 2005. [7] P. Hernigou, F. Beaujean, and J. C. Lambotte, “Decrease in the
mesenchymal stem-cell pool in the proximal femur in corti-
costeroid-induced osteonecrosis,” The Journal of Bone and Joint
Surgery—British Volume, vol. 81, no. 2, pp. 349–355, 1999. [23] Y. Yoshida, K. Takahashi, K. Okita, T. Ichisaka, and S. Yamanaka,
“Hypoxia enhances the generation of induced pluripotent stem
cells,” Cell Stem Cell, vol. 5, no. 3, pp. 237–241, 2009. [8] C.-H. Yeh, J.-K. Chang, M.-L. Ho, C.-H. Chen, and G.-J. Wang,
“Different differentiation of stroma cells from patients with
osteonecrosis: a pilot study,” Clinical Orthopaedics and Related
Research, vol. 467, no. 8, pp. 2159–2167, 2009. [24] Y. Yamamoto, M. Fujita, Y. Tanaka et al., “Low oxygen tension
enhances proliferation and maintains stemness of adipose
tissue-derived stromal cells,” BioResearch Open Access, vol. 2, no. 3, pp. 199–205, 2013. [9] M. Khan, S. Akhtar, S. Mohsin, S. N. Khan, and S. Riazuddin,
“Growth factor preconditioning increases the function of dia-
betes-impaired mesenchymal stem cells,” Stem Cells and Devel-
opment, vol. 20, no. 1, pp. 67–75, 2011. [25] J. Huang, F. Deng, L. Wang et al., “Hypoxia induces osteogen-
esis-related activities and expression of core binding factor 𝛼1
in mesenchymal stem cells,” Tohoku Journal of Experimental
Medicine, vol. 224, no. 1, pp. 7–12, 2011. [10] S. D. Barros, S. Dehez, E. Arnaud et al., “Aging-related decrease
of human ASC angiogenic potential is reversed by hypoxia
preconditioning through ROS production,” Molecular Therapy,
vol. 21, no. 2, pp. 399–408, 2013. [26] G. D’Ippolito, S. Diabira, G. A. Howard, B. A. Roos, and P. C. Schiller, “Low oxygen tension inhibits osteogenic differentia-
tion and enhances stemness of human MIAMI cells,” Bone, vol. 39, no. 3, pp. 513–522, 2006. [11] W. L. Grayson, F. Zhao, B. Bunnell, and T. Ma, “Hypoxia enhan-
ces proliferation and tissue formation of human mesenchymal
stem cells,” Biochemical and Biophysical Research Communica-
tions, vol. 358, no. 3, pp. 948–953, 2007. [27] D.-C. Yang, M.-H. Yang, C.-C. Tsai, T.-F. Huang, Y.-H. Acknowledgments The authors appreciate the grants provided by the National
Nature Science Foundation of China (nos. 81101363, 81371944,
and 81101337) and the Fundamental Research Funds for the
Central Universities. Stem Cells International 8 References Chen,
and S.-C. Hung, “Hypoxia inhibits osteogenesis in human
mesenchymal stem cells through direct regulation of RUNX2
by TWIST,” PLoS ONE, vol. 6, no. 9, Article ID e23965, 2011. [12] S.-P. Hung, J. H. Ho, Y.-R. V. Shih, T. Lo, and O. K. Lee, “Hypoxia
promotes proliferation and osteogenic differentiation potentials
of human mesenchymal stem cells,” Journal of Orthopaedic
Research, vol. 30, no. 2, pp. 260–266, 2012. [28] L. B. Boyette, O. A. Creasey, L. Guzik, T. Lozito, and R. S. Tuan,
“Human bone marrow-derived mesenchymal stem cells dis-
play enhanced clonogenicity but impaired differentiation with
hypoxic preconditioning,” Stem Cells Translational Medicine,
vol. 3, no. 2, pp. 241–254, 2014. [13] L. Qin, G. Zhang, H. Sheng et al., “Multiple bioimaging modal-
ities in evaluation of an experimental osteonecrosis induced by
a combination of lipopolysaccharide and methylprednisolone,”
Bone, vol. 39, no. 4, pp. 863–871, 2006. [14] V. Gangji, V. De Maertelaer, and J.-P. Hauzeur, “Autologous bone
marrow cell implantation in the treatment of non-traumatic
osteonecrosis of the femoral head: five year follow-up of a
prospective controlled study,” Bone, vol. 49, no. 5, pp. 1005–1009,
2011. [15] P. Hernigou and F. Beaujean, “Abnormalities in the bone mar-
row of the iliac crest in patients who have osteonecrosis sec-
ondary to corticosteroid therapy or alcohol abuse,” The Journal
|
W2885990249.txt
|
https://bmcfampract.biomedcentral.com/track/pdf/10.1186/s12875-018-0819-1
|
en
|
Job satisfaction and career intentions of registered nurses in primary health care: an integrative review
|
BMC family practice
| 2,018
|
cc-by
| 9,083
|
Halcomb et al. BMC Family Practice (2018) 19:136
https://doi.org/10.1186/s12875-018-0819-1
RESEARCH ARTICLE
Open Access
Job satisfaction and career intentions of
registered nurses in primary health care: an
integrative review
Elizabeth Halcomb* , Elizabeth Smyth and Susan McInnes
Abstract
Background: There has been a significant growth of the international primary health care (PHC) nursing workforce
in recent decades in response to health system reform. However, there has been limited attention paid to strategic
workforce growth and evaluation of workforce issues in this setting. Understanding issues like job satisfaction and
career intentions are essential to building capacity and skill mix within the workforce. This review sought to explore
the literature around job satisfaction and career intentions of registered nurses working in PHC.
Methods: An integrative review was conducted. Electronic databases including: CINAHL, MEDLINE, Scopus and
Web of Science, and reference lists of journal publications were searched for peer-reviewed literature published
between 2000 and 2016 related to registered nurse job satisfaction and career intentions. Study quality was
appraised, before thematic analysis was undertaken to synthesise the findings.
Results: Twenty papers were included in this review. Levels of job satisfaction reported were variable between
studies. A range of factors impacted on job satisfaction. Whilst there was agreement on the impact of some factors,
there was a lack of consistency between studies on other factors. Four of the six studies which reported career
intentions identified that nearly half of their participants intended to leave their current position.
Conclusion: This review identifies gaps in our understanding of job satisfaction and career intentions in PHC
nurses. With the growth of the PHC nursing workforce internationally, there is a need for robust, longitudinal
workforce research to ensure that employment in this setting is satisfying and that skilled nurses are retained.
Keywords: Primary health care, Nursing, Workforce, Job satisfaction, Retention, Career intention
Background
The recruitment and retention of nurses is problematic
worldwide. There is a maldistribution of human resources for health, a shortage in the overall number of
qualified nurses and an aging nursing workforce [1]. Job
satisfaction has been cited as an important factor contributing to the turnover of nurses and as an antecedent
to nursing retention [2–4]. Therefore, understanding
factors that impact on job satisfaction is important to inform recruitment and retention strategies.
The concept of job satisfaction is multifaceted and
complex. Job satisfaction has been the focus of much
research around organisational behaviour. Lu, et al. [5]
* Correspondence: ehalcomb@uow.edu.au
School of Nursing, University of Wollongong, Northfields Ave, Wollongong,
NSW 2522, Australia
define job satisfaction as not only how an individual feels
about their job but also the nature of the job and the individuals’ expectation of what their job should provide.
To this end, job satisfaction is comprised of various
components, including; job conditions, communication,
the nature of the work, organisational policies and procedures, remuneration and conditions, promotion / advancement opportunities, recognition / appreciation,
security and supervision / relationships [5]. Whilst levels
of job satisfaction vary, several common factors emerge
across studies [6, 7]. These include working conditions
and the organisational environment, levels of stress, role
conflict and ambiguity, role perceptions and content and
organisational and professional commitment [5–8].
Given these factors it becomes clear that research about
job satisfaction cannot be undertaken across the nursing
© The Author(s). 2018 Open Access This article is distributed under the terms of the Creative Commons Attribution 4.0
International License (http://creativecommons.org/licenses/by/4.0/), which permits unrestricted use, distribution, and
reproduction in any medium, provided you give appropriate credit to the original author(s) and the source, provide a link to
the Creative Commons license, and indicate if changes were made. The Creative Commons Public Domain Dedication waiver
(http://creativecommons.org/publicdomain/zero/1.0/) applies to the data made available in this article, unless otherwise stated.
Halcomb et al. BMC Family Practice (2018) 19:136
profession as a whole, but rather needs to consider various settings and organisational environments to understand the issues facing different nursing groups.
Career intentions can be described as the intention to
leave ones’ job voluntarily [9]. This process may start
with a psychological response to negative situations in
the workplace or undesirable aspects of the job. Subsequently, a cognitive decision is made to leave the position and withdrawal behaviours occur as the person
moves out of the workplace [10]. Like job satisfaction, a
number of common determinants for career intention
have been identified. These include organisational factors, management style, workload and stress, role perceptions, empowerment, remuneration and employment
conditions and opportunities for advancement [10]. In
several studies, job satisfaction has been shown to impact on career intentions [11, 12].
Despite the common themes in this workforce literature, much of the research around job satisfaction and
career intentions reported to date has focussed on acute
care nurses [2, 5, 6, 10, 11, 13, 14]. Given the impact of
organisational factors, roles and employment conditions
it is important to consider different groups of nurses,
such as those employed in PHC, who are employed in
settings unlike those of their acute care colleagues. PHC
nurses practice in a range of settings, including general
practices, schools, refugee health services, correctional
settings, non-government organisations and community
health centres [15]. As such, their employment conditions and work environments are unlike those of acute
care nurses who are employed by large health providers
or government funded health services (17). The small
business nature of primary care in many countries and
the predominance of charities and non-government
health providers makes employment in the PHC setting
unique [16–18]. Lorenz and De Brito Guirardello [19]
describe the PHC work environment as “not always
favourable to the professional practice of nurses”(p. 927),
citing lack of equipment, inappropriate physical environment and occupational risks as key contributors to dissatisfaction. Additionally, there are significant difference
between the roles, responsibilities and work environments of acute and PHC nurses [20]. These differences
and the impact of such factors on job satisfaction and
career intentions mean that acute care nursing workforce research cannot be simply generalised to the PHC
setting. With the growth in the PHC nursing workforce
and the need for a strong nursing workforce in this setting it is timely to explore the job satisfaction and career
intentions of PHC nurses. Therefore, this review sought
to critically synthesise the literature around the job satisfaction and career intentions of registered nurses working in PHC.
The underlying research questions are:
Page 2 of 14
What was known about the main outcomes of
studies regarding PHC registered nurses job
satisfaction?
What was known about the career intentions of
PHC registered nurses?
Registered nurses are the focus of the review as they
are the largest nursing workforce in PHC [21].
Methods
Design
This integrative literature review is informed by Whittemore and Knafls [22] framework. It provides a thorough
examination of the existing literature following the five
stages of review: problem identification, literature search,
data evaluation, data analysis and presentation [22].
Search strategy
A systematic search strategy was designed to guide the
search of electronic databases: CINAHL, MEDLINE, Scopus and Web of Science. Key search terms included; nurs*,
primary health care, community care and job satisfaction or
career intention. The search was confined to English language peer reviewed papers of original research. Given the
significant changes in PHC systems internationally, only papers published between January 2000 and 2016 were considered. The reference lists of publications were also
reviewed to identify further literature.
Inclusion criteria
Table 1 details the inclusion and exclusion criteria.
Papers were excluded if they focussed on a particular
nursing specialty (e.g. community mental health
nurses) or were based in residential care settings
(e.g. nursing homes), as the issues with this workforce are somewhat different to other PHC settings.
Studies that focussed on nurse practitioners and/or
advanced practice nurses (e.g. [23]), or specifically
on nurse managers were excluded as these nurses
may have different perceptions and experiences to
registered nurses. Remoteness itself was not considered to constitute PHC nursing, therefore, papers focussed on rural or remote nurses without being
specifically PHC focussed were excluded. Research
articles were also excluded if the findings did not
isolate PHC nurses from acute care nurses or other
health professionals.
Study selection
After removal of duplicates, 477 citations were yielded
from the search. These citations were exported to Endnote X8™ for review of their titles, followed by closer
evaluation of the abstract. This process identified that
346 papers did not meet the inclusion criteria, leaving
Halcomb et al. BMC Family Practice (2018) 19:136
Table 1 Inclusion / Exclusion Criteria
Inclusion Criteria
Exclusion Criteria
• Published between 2000
and 2016.
• Written in English language.
• Peer-reviewed original
research.
• Explores issues related to
job satisfaction and the
retention of registered nurses
employed in PHC settings.
• Literature reviews, discussion
papers, dissertations and theses.
• Papers focussed on advanced
practice nurses / Nurse
Practitioners.
• Papers focussed on nursing
speciality areas.
• Data about nurses aggregated with
other nursing specialties and health
professionals.
• Nurses employed in residential
settings.
131 papers where the full-text was retrieved. Of these
papers, 111 did not meet the inclusion criteria, and so
were excluded. This left 20 papers for inclusion in the
review. (Fig. 1).
Appraisal of methodological quality
Determining the methodological quality of the included
studies was difficult due to the broad sampling frame
and various research designs [22]. As identified by Whittemore and Knafl [22], there is no gold standard for
evaluating quality in research reviews. In this review we
conducted quality appraisal using the tool provided by
the Center for Evidence Based Management [25]. The
major areas of concern were around the quality of
reporting of the instrument development and validity /
reliability measures in some papers [26–31]. Given the
relatively small number of included papers and the
minor nature of the limitations identified none of the
Page 3 of 14
studies were excluded based on their methodological
quality.
Data abstraction and synthesis
Once the included papers were identified all data was
abstracted into a summary table. The main characteristics that were extracted included;
Citation
Country
Study design
Sample
Study aim
Methods
Main outcomes related to job satisfaction or career
intention
The nature of the included papers, in terms of the heterogeneity of the measures used, meant that thematic
analysis was the most appropriate technique for aggregating the findings. Therefore, data is presented in a narrative form around the key themes that emerged from
the literature.
Results
Of the 20 included papers (Table 2), 15 (75%) described
quantitative studies, 4 (20%) papers described qualitative
projects, and the remaining paper (5%) employed a
mixed-method approach. Most of the included papers
reported research undertaken in Canada (n = 8, 40%),
with other studies coming out of the United Kingdom
(n = 4, 20%), the United States of America (n = 5, 25%),
Potential papers after
removal of duplicate copies
(n = 477)
Title / abstract screened for
inclusion (n = 477)
Full-text papers reviewed
(n = 131)
Final papers for review
(n= 20)
Fig. 1 Process of paper selection – Prisma Flow diagram [24]
Papers excluded on review
of title / abstract (n = 346)
Papers excluded on review of
full paper (n = 111)
Aim
Examine the
relationship between
quality of work life
(QWL) and turnover
intention
Compare workrelated concerns, job
satisfaction, and factors influencing
retention
Test standardised job
satisfaction tool
Examine job and
community
satisfaction; how
these relate to
retention
Reference
Almalki et al.
[42]
ArmstrongStassen [26]
Best and
Thurston [33]
Betkus and
MacLeod [43]
Table 2 Summary table
Country
Canada
Canada
Canada
Saudi Arabia
Sample
124 PHC nurses in
rural and small urban
communities (76%
response)
PHC Nurses
Pre: n = 44 (60%
response).
Post: n = 43 (49%
response)
1044 PHC nurses
(52% response)
508 PHC nurses
(87% response)
Survey
Piedmonte’s Work
Satisfaction Index
(WSI)
Survey
Index of Worklife
Satisfaction (IWS)
Survey
Survey
Brooks Quality of
Nursing Work Life
Anticipated Turnover
Scale
Methods
Findings
• 99% female. Mean age 43 years, 67% aged over 40 years.
• 60% were first licensed ≥20 years ago, 50% had worked 5 years or longer in PHC
nursing, and 49% were in PPT positions
• Overall, most were satisfied. Most satisfied with professional status, professional
interactions, and autonomy. Least satisfied with salary.
• PHC nurses had varied perceptions of the organisational environment.
• Nil correlation between age and job satisfaction (p > 0.05).
• 52% indicated intent to stay in position for 5 years or more;
• No correlation between job satisfaction and retention.
• 52% intended to stay in their job for ≥5 years. 28% planned to leave within
2 years – this was 43% of those aged ≤35 yrs.
• Most important components of job satisfaction were autonomy then pay.
• Participants most satisfied with professional status.
• Satisfaction with professional status and interaction significantly increased over
the study (p < 0.01).
• Aspects of work life giving the most satisfaction were quality client care / making
a difference. Other factors identified included; autonomy/independence, colleague
relationships, and opportunities for health teaching, respect/recognition, and
client appreciation.
• An open-ended question asking about what respondents would change identified
administrative concerns, the need for more educational opportunities, more time
for client care, more respect/recognition, and more opportunity for independence/autonomy.
• 98% female. Mean age 44 years
• Employed in the position and agency for a mean of 8 years.
• 4/5 highest ranked concerns were the same across the 3 settings, namely;
inadequate staffing, increasingly complex needs of clients, working with
vulnerable families with many problems, and dealing with difficult clients.
• There were significant differences for 15 of the 17 work-related concerns between
nurses from the 3 settings (p < 0.001).
• Community Care Access Centre nurses expressed greatest concern about the
emotional effects of the job. HCNs reported significantly greater concern over
working conditions and safety issues. PHNs reported significantly greater concern
about poor facilities.
• There was a significant difference between the three groups for 6 of the 7 job
satisfaction items (p < 0.001).
• 3 /5 highest ranked retention items were identical across the three settings,
although the ranking order varied.
• 67.3% female. 44% aged between 20 and 29 years.
• Mean time in current PHC organisation 6.6 years and mean 6.1 years in current
position.
• Brooks’ scale can range from 42 to 252. Participants scored from 45 to 218 (mean
139.45), indicating they were dissatisfied with work life.
• 40% respondents indicated a desire to leave their current PHC workplace.
• Turnover was significantly related to quality of work life, explaining 26% of
variance (p < 0.001).
• Quality of work life and demographics explained 32.1% of variance (p < 0.001).
• In the final model, work context (p < 0.001), duration in positional (p < 0.05),
payment per month (p < 0.05), and gender (p < 0.05) were statistically significant.
Halcomb et al. BMC Family Practice (2018) 19:136
Page 4 of 14
Aim
Impact of
organisational
structure on job
satisfaction
Nurse satisfaction
and retention in
hospital and
community settings
Level of and factors
affecting job
satisfaction
Reference
Campbell, et
al. [34]
Cameron, et
al. [35]
Curtis &
Glacken [37]
Table 2 Summary table (Continued)
644 Community
nurses
(54% response)
351 PHC nurses
(35.1% response)
Ireland
192 PHC nurses (55%
response)
USA
Canada
Sample
Country
Survey
(IWS)
Survey
Survey
Alexander Structure
Instrument (ASI)
McCloskey / Mueller
Satisfaction Survey
(MMSS)
Methods
Findings
• 35% aged 36–45 years. 34.5% practiced as PHN 1-to-5 years
• 53.3% hadn’t worked as part of a primary care team previously.
• IWS score of 12.62 (range 0.5–39.7) suggests a low level of job satisfaction.
• Variables considered most important to their job satisfaction were: autonomy,
interaction and pay. Task requirements were rated as least important to their job
satisfaction.
• Statistically significant differences in IWS scores noted for 3 age groups (p < 0.05):
< 35 years, 35–45 years, and 45 years (p = 0.000).
• The > 45 years age group were significantly more satisfied than younger
colleagues.
• There was no significant difference in job satisfaction between the < 35 years
• Most participants female (97.5%), Mean age of 45.07 years and 60% work full-time
• Community nurses were significantly more likely than hospital nurses to report
greater cohesiveness in the work place and a higher degree of support from
supervisors related to feedback and recognition.
• Community nurses were significantly more likely than hospital nurses to report
higher autonomy and greater satisfaction with work demands.
• Hospital nurses were significantly more likely than community nurses to be
satisfied with remuneration.
• 96.9% female. 40.5% aged between 41 and 50 years.
• 85.9% worked full-time, 48% had worked in nursing ≥20 years, and 40% had been
employed in their department < 5 years.
• The more that supervisors and subordinates work together concerning tasks and
decisions and the more that individuals are involved in decision making and task
definition, the higher job satisfaction.
• Increased vertical participation and horizontal decision-making opportunities
equate to higher job satisfaction.
• Full-time staff reported higher levels of vertical participation compared to parttime staff (p < 0.002).
• ‘Formalization’ (i.e. standardised policy, practices and position responsibilities) was
not significantly related to job satisfaction.
• Significant differences found between position classifications for total ASI score (p
= 0.000), and vertical and horizontal participation subscales (p = 0.000).
• Global job satisfaction scores ranged from 75 to 144 (Mean 113.04; SD = 6.32). As
94 is the lowest score that indicates satisfaction, most participants were satisfied.
• No significant differences for job satisfaction were associated with current position
or primary work assignment.
• Educational preparation made a difference to job satisfaction with MSN prepared
nurses (8.5%) scoring highest on MMSS.
• To make the job more satisfying 27% indicated “better pay”, 19% wanted
increased management feedback and staff recognition, 15% indicated a desire to
have more input and decision-making opportunity in their jobs, and 4% sought to
increase role clarity.
• 98% of participants planned to remain working in their health department.
• Enjoyment of what they do, autonomy, flexibility, scheduling, benefits, and low
stress were reported as intention to remain working.
• Factors impacting on decisions to stay were age, retirement, family circumstances
and the economy.
• Job satisfaction and community satisfaction were correlated (p < 0.001).
Halcomb et al. BMC Family Practice (2018) 19:136
Page 5 of 14
Aim
Difference in job
satisfaction between
nurse managers and
nurses
Examine the
relationship between
job satisfaction,
turnover intent and
demographic
variables
Relationship between
employment, job
Reference
Cole, et al.
[36]
Delobelle et
al. [2]
Doran et al.
[38]
Table 2 Summary table (Continued)
Canada
South Africa
Canada
Country
700 HCNs (479 RNs,
211 RPNs, and 9
143 Rural PHC nurses
(82% response)
88 PHC nurses (20
managers and 68
staff nurses) (56%
response)
Sample
Survey
Nursing Job
Mixed-methods
Survey & focus group
Survey
Stember’s model of
job satisfaction
Methods
• 98% female, mean age 45 years, mean 8.2 years of community experience, 30%
full-time.
• 87% female, 58% were aged > 40 yrs.
• 83% had been working in the unit for 10 years or less.
• 51% of participants considered turnover within 2 years.
• Job satisfaction was reportedly moderate (Mean = 3.2; SD 0.5).
• Higher mean scores were attained for work itself and co-workers, and lower scores
for pay and work conditions.
• There was a significant difference in job satisfaction amongst professional ranks NA and ENs were more satisfied than RNs (p < 0.001)
• Job satisfaction negatively correlated with unit tenure (p < 0.05), professional rank
(p < 0.01) and turnover intent (p < 0.01).
• There was no significant difference between job satisfaction and age, education
or years of nursing.
• Turnover intent was statistically significantly explained by job satisfaction, age and
education (p < 0.001).
• Younger and more highly educated nurses are more likely to show turnover
intent.
• Nurses who reported more satisfaction with supervision were nearly 40% less
likely to consider a job change.
• The most satisfying aspects of job were the nature of work itself, staff and patient
relationships, adequate staffing and resources.
• The least satisfying aspects of the job were; work conditions (including lack of
space), adequate staffing, lack of equipment and supplies, inadequate security,
high workload, and the time spent doing non-nursing activities. Participants were
also dissatisfied with their pay and benefits, lack of training and promotion, and
lack of recognition and support from supervisors.
• When asked what factors would help in their work respondents identified work
conditions and equipment (88%), improved pay (69%), additional training (60%)
and more staffing (49%).
• 94% female, 75% worked full-time and 75% had flexibility in work schedules.
• Job experience: Managers’ 20–42 yrs. (mean 29.7 yrs); Staff nurses 1–50 yrs. (mean
21.6 yrs).
• Both managers and staff reported high job satisfaction – a mean > 3 for each
subscale.
• There was no significant differences between managers and staff nurses on the
total job satisfaction scores (p = 0.530).
• Managers were significantly less satisfied than staff nurses in both the
‘influence’(participation in decision making) (p = 0.026) and ‘interpersonal
relationship’ (p = 0.008) subscales.
• The comparison of education levels and job satisfaction was inconclusive.
group and the 35–45 years group (p = 0.574).
• Those employed as PHNs for > 10 years had a significantly higher job satisfaction
compared to those with < 5 years (p = 0.001) and 6–10 years experience (p =
0.006). There was no significant difference between participants with < 5 years
and 6–10 years experience (p = 0.995).
• There was no statistically significant difference between job satisfaction and
educational background (p = 0.478), rurality of practice (p = 0.137) or if participants
were members of a constituted primary care team (p = 0.16).
Findings
Halcomb et al. BMC Family Practice (2018) 19:136
Page 6 of 14
Aim
Identify attributes
important to
professional practice
and job satisfaction
Examine relationship
between autonomy,
control-over-practice,
workload and job
satisfaction
Explore job
satisfaction and
changes needed to
boost levels of job
satisfaction
Graham et al.
[39]
Junious, et al.
[28]
satisfaction and
perceived job
security
Flynn and
Deatrick [27]
Reference
Table 2 Summary table (Continued)
USA
Canada
USA
Country
71 School Nurses
(78.9% response)
271 PHC nurses
(79.7% response)
58 HCNs
APNs)
(49.0% response)
Sample
Focus Groups
Survey
Focus groups
Satisfaction Scale
Methods
Findings
• All female, 55% worked in an elementary school, 84% had ≥3 years’ experience.
• 83% of participants reported being satisfied with their job.
• 17% were dissatisfied with their job, primarily related to poor remuneration and
lack of trust / support from administration.
• Four major themes arose: (a) benefits, (b) resources, (c) autonomy, and (d) coping
• Theme 1 Benefits. Issues related to job satisfaction included things such as
creativity, freedom, growth, power, work standards, and ethics. Participants were
very satisfied with job flexibility and paid holidays.
• Mean age 42.5 years, 52% permanent full-time, 50% worked in PHC for < 7 years.
• 53.5% reported being very satisfied with their jobs.
• Control-over practice (p = 0.01) and workload (p < 0.01) were reliable predictors for
job satisfaction.
• As workload increased job satisfaction decreased.
• Increases in control over practice scores were related to increased job satisfaction.
• Interaction between autonomy and workload was a significant predictor for job
satisfaction (p < 0.01).
• The interaction between age and workload was a significant predictor for job
satisfaction (p < 0.01).
• 91% female, Mean age 44.7 years, and had worked in HC 7 years or longer (50%).
• Continuing education opportunities were identified by all to enhance retention.
• There were 6 major categories and 8 sub-categories identified to positively influence and support job satisfaction and retention if present or working towards;
– ‘An extensive, preceptor-based orientation’
– ‘An organised and supportive office environment’ including; Real-time phone support, Interdisciplinary coordination and follow-up and Adequate and efficient clerical assistance
– ‘Reasonable working conditions’ including Realistic workload, Adequate staffing
and Scheduled days off
– ‘Accessible field security’
– ‘Competent and supportive management’, including; Competent nursing
supervisors and Supportive administrative practices
– ‘Patient-centred mission and values’
• A mean score of 3.84 (SD = 0.54) demonstrated that participants were moderately
satisfied with work enjoyment.
• Of the items measuring work enjoyment, participants were least satisfied with the
conditions of the job (1.69) and balance between work and leisure (2.14). A mean
score of 2.62 (SD = 1.28) indicated a low level of satisfaction with job security.
• There were significant differences in nurses’ work enjoyment between agencies (p
< 0.05).
• Older nurses rated work enjoyment higher than younger nurses.
• There were significant differences in participants’ satisfaction with time for care
among agencies (p < 0.05).
• Participants who had been employed by the same agency for a longer period
were less satisfied with time for care than those who had been employed by the
same agency for a shorter period.
• Participants paid on an hourly basis were more satisfied with their time for care
than those paid on a per-visit basis.
• Participants who were employed on a casual basis perceived less job security than
those employed full-time.
Halcomb et al. BMC Family Practice (2018) 19:136
Page 7 of 14
Scotland
USA
Degree of
professional support
felt by PHC
nurses and their
career intentions
Perceptions of work
and workplace to
identify factors
affecting tenure
intent
O’Donnell, et
al. [41]
Royer [32]
Brazil
Relationship between
burnout, satisfaction
at work, quality of
work and the
intention to quit
Lorenz &
Guiradello
[19]
Country
Aim
Reference
Table 2 Summary table (Continued)
478 C/PHC nurses
(76% response)
200 PHC nurses
(61% response)
168 PHC nurses
(58.5% response)
Sample
Survey
TCM Work
Commitment Survey
Survey
Survey
Nursing Work IndexRevised
Maslach Burnout
Inventory
Methods
Findings
• 73% clinical nurses, 11.6% were in management/administrative positions and 22%
supervisors
• 70.5% of respondents were middle aged or nearing or at retirement age
• 1/3 were either thinking about leaving, looking into leaving, or planning to leave
the job in 1 year
• Of the 70% of respondents aged > 45 years, 1/3 were planning to leave within
1 year.
• 46% of those aged 35–45 years were looking into leaving, and almost 40% of
those aged 56–65 were thinking about leaving.
• Respondents aged 35–45 years are 4.3 times more likely to be looking into
leaving compared with those nurses who are older.
• Respondents who have the least tenure (1–36 months) are 0.35 times less likely to
• All female, 49% aged 40–49 years and 29% were aged > 50 years. Employed as
PHC nurse for a mean of 10 years (Range 0.5–24.0 years).
• 15.5% intended to leave general practice in the next 5 years.
• There was a significant association between age and intention to leave
employment (p = 0.001), with 60% of those intending to leave aged ≥50 years,
although 40% were aged under 50 years.
• Isolated nurses are less likely to intend staying in practice nursing (p = 0.009).
• 52.3% felt isolated at least sometimes, 43.7% reported feeling isolated sometimes,
and 31% of nurses worked alone.
• 77.3% of isolated nurses intended to continue working for the coming 5 years
compared to 91.4% of non-isolated nurses.
• Factors contributing to feelings isolation are generally located in the work
environment.
• Training and qualifications being used to the full and a productive appraisal both
significantly reduce feelings of isolation, as did the intention to continue working
in the future.
• 88.4% female, Mean age 36.3 years, 6.6 years’ experience in primary care;
employed 4.9 years at current job.
• Satisfaction measure on Likert scale. 62.6% considered that they were satisfied at
work. 34.9% were dissatisfied.
• Satisfaction at work was significantly related to organisational support (p < 0.01)
and control over the practice environment (p < 0.01).
• The intention to quit their job was significantly related to autonomy (p < 0.01)
• Theme 2 Resources. Resources, such as salary and supplies, were areas where
participants were least satisfied with their jobs. Participants also wanted to be
appreciated, valued, and compensated fairly for job performance.
• Theme 3 Autonomy. Autonomy was considered the ability to act independently
within one’s scope of professional practice. When autonomy was not expressed,
“isolation” emerged as the divergent theme. Over half of the participants stated
that working with outside agencies increased satisfaction (53%).
• Strategies that could be implemented to increase satisfaction included; career or
pay scale differentiating qualifications (52%), increased professional development
(32%), supervision by another nurse rather than nonnurse (24%), and a designated
budget / supplies (17%).
• Factors that negatively impacted on job satisfaction were; uncooperative staff and
parents (61%), constant interruptions (48%), and the expectation that they would
use their personal vehicle for work (13%).
Halcomb et al. BMC Family Practice (2018) 19:136
Page 8 of 14
Aim
Impact of age on
retention
Workload
management, job
satisfaction and
challenges
Reference
Storey et al.
[29]
Stuart et al.
[30]
Table 2 Summary table (Continued)
Scotland
England
Country
31 district nurses
485 PHC nurses (61%
response)
Sample
Focus groups &
interviews
Survey
Methods
• Most job satisfaction is derived from the ‘hands-on nature’ of patient care using
clinical knowledge and skills.
• Nurses liked the ‘personal nature’ of caring for patients in this setting and the
formation of ongoing and sometimes intergenerational relationships.
• Job dissatisfaction arises with overwhelming workloads, increased time pressure
and policy change that negatively affects patient care and feeling devalued.
• Nurses are dissatisfied as administrative tasks are taking them away from patient
care.
• 78% respondents were aged between 40 and 59 years. 47% worked full-time.
• 178 district nurses, 114 health visitors, 56 school nurses, and 137 practice nurses
• 61% indicated that their role lived up to expectations. There was no significant
difference across professional groups.
• Older nurses are more likely to report that their role lived up to expectations
opposed to younger ones (p = 0.001).
• There was no difference in happiness in their current role between those aged
under and over 50 years.
• Older nurses were more likely to report being happy working in nursing than
those < 50 years (p = 0.006).
• Stress and job satisfaction were identified as key factors contributing to
respondents views of working as a nurse.
• School nurses were significantly less happy than other groups in their current role
(p = 0.006).
• Sources of unhappiness were identified as excessive workload, low morale,
disillusionment, high administrative workload, perceived lack of support and staff
shortages.
• In terms of job satisfaction, ‘relationships with other people at work’ (62%), ‘the
actual job itself’ (60%),’ the level of job security in your present job’ (55%) were
highest scored.
• There was a statistically significant difference between those aged under and over
50 years on nine items related to job satisfaction.
• There was a statistically significant difference between those aged under and over
50 years on nine items related to factors encouraging them to stay.
• Highest scored scales of dissatisfaction related to salary relative to experience
(27%), change management’ (21%), and organisational communications (18%).
• Enhanced pay is a factor encouraging retention (p = 0.044) for those with degreelevel qualifications.
• Significant potential causes of nurses leaving were high administrative workloads,
problems in combining work and family commitments (p > 0.001), and lack of
workplace support (p = 0.029).
be planning to leave < 1 year than those with greater tenure.
• Respondents who have increasing attachment (affective commitment) to the job
are also 1.7 times more likely to be looking into leaving and three times more
likely to be planning to leave within 1 year than those who are committed in
other ways.
• Respondents who hold obligatory or loyalty commitment (normative) to the job
are 1.4 times more likely to be planning to leave within 1 year than those who
are committed by attachment or cost.
Findings
Halcomb et al. BMC Family Practice (2018) 19:136
Page 9 of 14
Aim
Factors affecting
intention to remain
employed
Predictors of job
satisfaction
Reference
Tourangeau
[31]
TullaiMcGuinness
[40]
Table 2 Summary table (Continued)
Country
USA
Canada
Sample
201 PHC nurses
(42.5% response)
50 PHC nurses
Methods
Survey
Nurse Work IndexRevised
Global Appraisal of
Autonomous Practice
Focus groups
Findings
• Mean age 45 years. Mean experience 17.8 years, with a mean of 8.3 years HC
experience. 75% employed fulltime.
• Almost 77% of HC nurses were satisfied (ratings > 60).
• Diploma nurses had lower satisfaction (69.25%), compared to baccalaureate
(74.43%) and associate degree (75.21%) nurses (p > 0.05).
• There was an inverse relationship between years worked as a home healthcare
nurse and satisfaction (p < 0.01).
• Controlling for years of experience significant predictors of satisfaction were
control over practice decisions and practice setting decisions.
• 6 categories were found to influence nurse intention to remain employed:
I. Job characteristics: variation in clientele and wide use of nursing skills,
autonomous nature of work, decision authority;
II. Work structures: continuity of care, appropriateness of client expectations, and
flexibility in scheduling work hours, workload and use of technology.
III. Relationships and communication: clients and families, physicians nursing
colleagues, supervisors, CCAC case managers;
IV. Work environment: professional practice environment: orientation, education
and training; physical work environment: travel demands, access to resources
and personal safety;
V. Nurse responses to work: work-life balance, meaningfulness of work.
VI. Employment conditions: employment status, union status, pay and benefits,
unpaid work, work-related expenses, and income stability;
• Job satisfaction was not a reported concept affecting intention to remain
employed.
Halcomb et al. BMC Family Practice (2018) 19:136
Page 10 of 14
Halcomb et al. BMC Family Practice (2018) 19:136
one paper each from Saudi Arabia, South Africa, and
Brazil.
The sample sizes of included studies varied from 31
[30] to 1044 participants [26]. Participants spanned the
scope of PHC and included community nurses, primary
health nurses, general practice nurses, school nurses,
and district nurses. In some studies the data from
various primary care nursing groups was reported in an
aggregated form [32], whilst in other papers there was
an attempt to tease out the differences between groups
[26, 29].
Eleven (55%) papers focussed on job satisfaction
only [27, 28, 30, 33–40], and three (15%) papers reported only data on career intention or turnover
[31, 32, 41]. A further six (30%) papers combined
measures of job satisfaction and career intention
within the same study [2, 19, 26, 29, 42, 43].
The key features and predominant findings of papers
are summarised in Table 2. Five overarching themes
emerged, namely; levels of job satisfaction, factors that
enhanced job satisfaction, factors that reduced levels of
job satisfaction, career intentions, and, factors that impacted on career intentions.
Levels of job satisfaction
The variation in measurement of job satisfaction
across studies and the differences in respondent characteristics makes comparison difficult. Most tools
measured job satisfaction quantitatively using a Likert
scale (agree to disagree) [2, 19, 26, 37–39], whilst one
study used qualitative data collected from focus
groups and interviews [28]. Studies measured different
aspects of job satisfaction including; overall satisfaction (enjoyment, pride), specific aspects of the job
(pay, rewards, resources, task requirements, work
conditions, training, quality of care, time) and supervision (authority, autonomy, feedback, appreciation,
organisational policies, interaction).
In some studies just over half of the respondents
were reported to be satisfied with their job [19, 39],
whilst in other studies a greater majority indicated
that they were satisfied [28]. A small number of studies reported moderate [2, 38] to low levels of satisfaction [37, 42]. Those studies which reported lower
levels of satisfaction used more items to measure satisfaction (42 items and 80 items respectively) [37, 42],
compared to studies reporting high levels of satisfaction which used only 4 items [19, 39].
Factors influencing job satisfaction
The ten studies which explored the relationship between
job satisfaction and demographics / professional variables
demonstrated significant variation [2, 19, 29, 34, 36–40, 43].
Page 11 of 14
Whilst two studies found that age had no significant impact
on job satisfaction [2, 43], three others demonstrated that
older nurses were more satisfied than their younger colleagues [29, 37, 38]. Similarly, there were variable findings
related to the impact of education, with three papers finding no relationship with job satisfaction or inconclusive
findings [2, 36, 37], and two papers demonstrating that
nurses with higher educational qualifications had reported
higher work satisfaction [34, 40]. In contrast, Delobelle et
al. [2] found that Nursing Assistants and Enrolled Nurses
were more satisfied than Registered Nurses.
Curtis and Glacken [37] reported that those employed
for over 10 years had a significantly higher level of job
satisfaction than other nurses. However, other studies reported an inverse relationship between years worked in
PHC and satisfaction [40] and no significant differences
between satisfaction and years of nursing [2].
Other factors that positively contributed to satisfaction included control over clinical practice and decision-making
[19, 34, 39, 40], community satisfaction [43], organisational
support [19], remuneration [38], and workload [39].
There was significant agreement between studies in
terms of the factors that contributed positively to job
satisfaction. These included the professional role, respect
and recognition from clients and managers, workplace
relationships, autonomy, access to resources and the
flexibility of the role [2, 27–31, 33, 34, 37, 43].
Factors negatively impacting job satisfaction
There was a high level of agreement amongst included
studies about factors that negatively impacted respondents’
levels of satisfaction. Seven studies identified concerns
about adequate remuneration [2, 28, 29, 34, 35, 37, 43].
When comparing hospital and community nurses, Campbell, et al. [34] identified that hospital nurses were significantly more likely than community nurses to be satisfied
with their pay.
Another key factor identified in several studies related
to the time pressures and high administrative workloads
that impact on patient care [2, 26, 30, 33, 37]. Other factors identified to negatively impact job satisfaction included; a lack of recognition [2, 28, 33, 34], poor role
clarity [30, 34, 37] and poor organisational communication [29, 34].
Career intentions
The included studies present an important picture
around career intentions. However, caution needs to be
applied in the interpretation of these data, as most studies comprise of an ageing workforce who will naturally
retire in the near future. Six studies sought to explore
the factors impacting on retention [2, 32, 34, 41–43]
The highest reported career intentions was reported by
Delobelle, et al. [2] with half of all nurse participants (n
Halcomb et al. BMC Family Practice (2018) 19:136
= 69; 51.1%) considering leaving PHC in the next 2
years. Both Betkus and MacLeod [43] and Almalki, et al.
[42] also reported that nearly half (48 and 40%) intended
to leave their current PHC job in the next year. Royer
[32] similarly identified that some 46% of participants
aged 35–45 years were considering leaving, and almost
40% of those aged 56–65 were thinking about leaving.
The remaining two studies reported that few participants
intended to leave their current position [34, 41].
The findings of the three studies which explored job
satisfaction and quality of worklife [2, 42, 43], lacked
consistency. Almalki, et al. [42] demonstrated that quality of worklife was significantly related to turnover intent
(p < 0.001), however, this only explained 26% of the variance and was not included in the final model. Whilst
Betkus and MacLeod [43] reported no correlation between job satisfaction and retention, Delobelle, et al. [2]
found that turnover intent was significantly explained by
job satisfaction, age and education (p < 0.001). Other factors that were identified as having an impact on career
intentions included gender [42], work environment [42],
remuneration [42], education [2, 41, 42], satisfaction
with supervision [2], feelings of isolation [41], length of
time in position / years of experience [32, 42].
Discussion
This review provides the first synthesis of the literature
around job satisfaction and career intentions of registered nurses working in PHC. Given the differences in
organisational context, employment conditions and
practice environment that likely impact job satisfaction
and career intention [17–19] it is important that this
group are explored beyond the context of the broader
nursing workforce. Considering the imperatives to grow
the workforce in PHC settings, to meet community demand, understanding this literature is important to inform both practice and policy. Dissatisfaction with
nursing employment is reported in the broader nursing
workforce literature. In their survey of 33,659 medical–
surgical nurses across 12 European countries, Aiken, et
al. [44] concluded that more than one in five nurses
were dissatisfied with their employment. The variation
in job satisfaction identified in this review highlights the
need for further large well-designed longitudinal investigations of the PHC nurse workforce to monitor workforce issues, such as satisfaction and career intentions,
over time. Given the links between nurse satisfaction
and both retention and patient outcomes [44], this issue
should be prioritised.
Our review demonstrated agreement between studies
in terms of the positive impact of a professional role, respect, recognition, workplace relationships and autonomy upon job satisfaction. This is consistent with the
Page 12 of 14
acute care nursing literature where modifiable factors
within the workplace have been demonstrated to influence both job and career satisfaction [45]. In their study,
Nantsupawat, et al. [46] demonstrated that job dissatisfaction and intention to leave were significantly lower in
nurses who worked in a better work environment. Similarly, in their systematic review, Cicolini, et al. [14]
found a significant link between nurses empowerment
and satisfaction. The significant role of such modifiable
factors highlights an opportunity for managers, employers and policy makers to implement strategies which
can improve the workplace and, subsequently, enhance
satisfaction.
A key finding of this review was the negative impact of
poor remuneration on job satisfaction. Whilst concerns
about pay have been previously identified in the acute
sector [44, 47], the challenge of lower rates of pay in
PHC compared to the acute sector has long been reported [17, 48]. This review adds to the evidence-base
around the impact of this disparity on the PHC nursing
workforce and highlights the significant implications of
not addressing this issue.
Our review also revealed that in many studies large
numbers of nurses were intending to leave PHC employment in the near future [2, 42, 43]. This clearly has significant implications for the workforce and service
delivery. However, measures of the factors affecting career intentions were variable across included studies as
were findings. The difficulties in synthesising such disparate data have been previously identified in the acute
care literature [13]. Despite this, there were clear similarities between our review and the broader literature
around nurse turnover and intention to leave. In their
systematic review of nurses intention to leave their employment, Chan, et al. [13] identified that intention to
leave was impacted by a complex combination of organisational and individual factors. Organisational factors
included the work environment, culture, commitment,
work demands and social support. In contrast, individual
factors related to job satisfaction, burnout and demographic factors. The complex interplay of multiple factors that underlie retention is probably the reason that
retention is the highest when interventions such as mentoring and in-depth orientations are used to support
staff [49].
In their study of acute care nurses Galletta, et al. [50]
conclude that the quality of relationships among staff is an
important factor in nurses’ decisions to leave. Interprofessional relationships in PHC have long been identified as
presenting unique challenges [48, 51]. The complex environment of PHC, whereby services are funded by small
businesses or non-government agencies [52], combines
with the relatively rapid shift towards interdisciplinary
care to create challenges for staff in developing positive
Halcomb et al. BMC Family Practice (2018) 19:136
relationships [53]. The importance of positive relationships, respect of roles and recognition of value between
co-workers demonstrated in our review highlights the
value of further work to enhance interprofessional
collaboration.
Limitations
Whilst this review synthesised the available literature,
the variation in measurement instruments and sample
sizes made comparison difficult. Since not all papers reported the reliability or validity of the instruments they
used it is possible that these instruments had issues in
their validity. The data presented, however, represents
the best available evidence to address the research
question.
A further limitation is the variation between PHC settings and international PHC systems that makes comparison difficult. Whilst this review has included all
papers written about PHC nurses internationally, local
variations mean that care needs to be taken when generalising findings to other contexts, even within PHC.
Conclusion
This review has identified some key factors that impact
on both job satisfaction and career intentions amongst
PHC nurses. The importance of the work environment
and workplace relationships highlights the need to implement strategies that enhance modifiable workplace
factors. The numbers of nurses across studies indicating
an intention to leave is a significant concern at a time
when we need to build the PHC workforce internationally. Findings from this review highlight the need for action by managers, educators, employers and policy
makers to enhance support for nurses in PHC.
Implications for practice and research
There is urgent need to build capacity within the PHC
nursing workforce internationally to meet service demands. This review has highlighted a number of issues
around job satisfaction and career intention that impact
on the retention of nurses in PHC. Exploring strategies
to address the modifiable antecedents to nurse job dissatisfaction has the potential to improve retention.
Maintaining happy and skilled nurses in the workforce
has the potential to build workforce capacity and enhance patient outcomes.
This review has demonstrated that gaps remain in our
knowledge around job satisfaction and career intention
among PHC registered nurses. Further well-designed
longitudinal research is required to explore the trajectory of careers in PHC. Additionally, mixed methods approaches are likely required to explore not only
quantitative job satisfaction, but also to reveal how the
aspects of satisfaction impact on PHC nurses.
Page 13 of 14
Abbreviation
PHC: Primary Health Care
Funding
No funding was received for this study.
Availability of data and materials
Data sharing is not applicable to this article as no datasets were generated
or analysed during the current study.
Authors’ contributions
EH conceived the study, conducted the initial search and participated in the
data analysis and drafting of the paper. ES confirmed the initial search and
participated in the data analysis and drafting of the paper. SM participated in
the data analysis and drafting of the paper. All authors read and approved
the final manuscript.
Ethics approval and consent to participate
Not applicable.
Consent for publication
Not applicable.
Competing interests
Professor Elizabeth Halcomb is an Associate Editor of BMC Family Practice.
Nil other competing interests.
Publisher’s Note
Springer Nature remains neutral with regard to jurisdictional claims in
published maps and institutional affiliations.
Received: 8 February 2018 Accepted: 12 July 2018
References
1. Buchan J, Twigg D, Dussault G, Duffield C, Stone PW. Policies to sustain the
nursing workforce: an international perspective. Int Nurs Rev. 2015;62(2):162–70.
2. Delobelle P, Rawlinson JL, Ntuli S, Malatsi I, Decock R, Depoorter AM. Job
satisfaction and turnover intent of primary healthcare nurses in rural South
Africa: a questionnaire survey. J Adv Nurs. 2011;67(2):371–83.
3. AbuAlRub R, El-Jardali F, Jamal D, Al-Rub NA. Exploring the relationship
between work environment, job satisfaction, and intent to stay of Jordanian
nurses in underserved areas. ANR. 2016;31:19–23.
4. Spence Laschinger HK, Zhu J, Read E. New nurses’ perceptions of
professional practice behaviours, quality of care, job satisfaction and career
retention. J Nurs Manag. 2016;24(5):656–65.
5. Lu H, Barriball KL, Zhang X, While AE. Job satisfaction among hospital nurses
revisited: a systematic review. Int J Nurs Stud. 2012;49(8):1017–38.
6. Hayes B, Bonner A, Pryor J. Factors contributing to nurse job satisfaction in
the acute hospital setting: a review of recent literature. J Nurs Manag. 2010;
18(7):804–14.
7. Atefi N, Abdullah K, Wong L, Mazlom R. Factors influencing registered
nurses perception of their overall job satisfaction: a qualitative study. Int
Nurs Rev. 2014;61(3):352–60.
8. Khamisa N, Oldenburg B, Peltzer K, Ilic D. Work related stress, burnout, job
satisfaction and general health of nurses. Int J Environ Res Public Health.
2015;12(1):652–66.
9. Takase M, Yamashita N, Oba K. Nurses' leaving intentions: antecedents and
mediating factors. J Adv Nurs. 2008;62(3):295–306.
10. Hayes LJ, O’Brien-Pallas L, Duffield C, Shamian J, Buchan J, Hughes F,
Laschinger HKS, North N. Nurse turnover: a literature review – an update. Int
J Nurs Stud. 2012;49(7):887–905.
11. Kim J-K, Kim M-J. A review of research on hospital nurses' turnover
intention. J Korean Acad Nurs. 2011;17(4):538–50.
12. Liu Y. Job satisfaction in nursing: a concept analysis study job satisfaction in
nursing. Int Nurs Rev. 2016;63(1):84–91.
13. Chan ZC, Tam WS, Lung MK, Wong WY, Chau CW. A systematic literature
review of nurse shortage and the intention to leave. J Nurs Manag. 2013;
21(4):605–13.
14. Cicolini G, Comparcini D, Simonetti V. Workplace empowerment and nurses'
job satisfaction: a systematic literature review. J Nurs Manag. 2014;22(7):855–71.
Halcomb et al. BMC Family Practice (2018) 19:136
15. Australian Institute of Health and Welfare: Australian Nursing and Midwifery
Workforce Data and additional information. Canberra, Australia; 2014.
16. Freund T, Everett C, Griffiths P, Hudon C, Naccarella L, Laurant M. Skill mix,
roles and remuneration in the primary care workforce: who are the
healthcare professionals in the primary care teams across the world? Int J
Nurs Stud. 2015;52(3):727–43.
17. Halcomb E, Ashley C, James S, Smythe E. Employment conditions of
Australian PHC nurses. Collegian. 2018;25(1):65–71.
18. Halcomb EJ, Ashley C. Australian primary health care nurses most and least
satisfying aspects of work. J Clin Nurs. 2017;36(3–4):535–45.
19. Lorenz VR, De Brito Guirardello E. The environment of professional practice
and burnout in nurses in primary healthcare. Rev Lat Am Enfermagem.
2014;22(6):926–33.
20. Poghosyan L, Liu J, Shang J, D’Aunno T. Practice environments and job
satisfaction and turnover intentions of nurse practitioners: implications for
primary care workforce capacity. Health Care Manag Rev. 2015;
21. Health Workforce Australia: Health Workforce 2025 - Doctors, Nurses and
Midwives. Adelaide; 2012.
22. Whittemore R, Knafl K. The integrative review: updated methodology. J Adv
Nurs. 2005;52(5):546–53.
23. Desborough J, Parker R, Forrest L. Nurse satisfaction with working in a nurse
led primary care walk-in Centre: an Australian experience. Aust J Adv Nurs.
2013;31(1):11–9.
24. Moher D, Liberati A, Tetzlaff J, Altman DG. Preferred reporting items for
systematic reviews and meta-analyses: the PRISMA statement. Int J Surg.
2010;8(5):336–41.
25. Center for Evidence Based Management. Critical Appraisal Checklist for
Cross-Sectional Study. 2014. https://www.cebma.org/wp-content/uploads/
Critical-Appraisal-Questions-for-a-Cross-Sectional-Study-july-2014.pdf.
Accessed May 22 2017.
26. Armstrong-Stassen M, Cameron SJ. Concerns, satisfaction, and retention of
Canadian community health nurses. J Community Health Nurs. 2005;22(4):181–94.
27. Flynn L, Deatrick JA. Home care Nurses' descriptions of important agency
attributes. J Nurs Scholarsh. 2003;35(4):385–90.
28. Junious DL, Johnson RJ, Peters RJ Jr, Markham CM, Kelder SH, Yacoubian GS
Jr. A study of school nurse job satisfaction. Journal of School Nursing (Allen
Press Publishing Services Inc). 2004;20(2):88–93.
29. Storey C, Cheater F, Ford J, Leese B. Retaining older nurses in primary care
and the community. J Adv Nurs. 2009;65(7):1400–11.
30. Stuart EH, Jarvis A, Daniel K. A ward without walls? District nurses'
perceptions of their workload management priorities and job satisfaction. J
Clin Nurs. 2008;17(22):3012–20.
31. Tourangeau A, Patterson E, Rowe A, Saari M, Thomson H, MacDonald G,
Cranley L, Squires M. Factors influencing home care nurse intention to
remain employed. J Nurs Manag. 2014;22(8):1015–26.
32. Royer L. Empowerment and commitment perceptions of community/public
health nurses and their tenure intention. Public Health Nurs. 2011;28(6):523–32.
33. Best MF, Thurston NE. Canadian public health nurses' job satisfaction. Public
Health Nurs. 2006;23(3):250–5.
34. Campbell SL, Fowles ER, Weber BJ. Organizational structure and job
satisfaction in public health nursing. Public Health Nurs. 2004;21(6):564–71.
35. Cameron S, Armstrong-Stassen M, Bergeron S, Out J. Recruitment and
retention of nurses: challenges facing hospital and community employers.
Can J Nurs Leadersh. 2004;17(3):79–92.
36. Cole S, Ouzts K, Stepans MB. Job satisfaction in rural public health nurses. J
Public Health Manag Pract. 2010;16(4):E1–6.
37. Curtis EA, Glacken M. Job satisfaction among public health nurses: a
national survey. J Nurs Manag. 2014;22(5):653–63.
38. Doran D, Pickard J, Harris J, Coyte PC, MacRae AR, Laschinger HS, Darlington
G, Carryer J. The relationship between managed competition in home care
nursing services and nurse outcomes. Can J Nurs Res. 2007;39(3):151–65.
39. Graham KR, Davies BL, Woodend AK, Simpson J, Mantha SL. Impacting Canadian
public health nurses' job satisfaction. Can J Public Health. 2011;102(6):427–31.
40. Tullai-McGuinness S. Home healthcare practice environment: predictors of
RN satisfaction. Res Nurs Health. 2008;31(3):252–60.
41. O'Donnell C, Jabareen H, Watt G. Practice nurses' workload, career
intentions and the impact of professional isolation: a cross-sectional survey.
BMC Nurs. 2010;9(1):2.
42. Almalki MJ, Fitzgerald G, Clark M. The relationship between quality of work
life and turnover intention of primary health care nurses in Saudi Arabia.
BMC Health Serv Res. 2012;12:314.
Page 14 of 14
43. Betkus MH, MacLeod MLP. Retaining public health nurses in rural British
Columbia: the influence of job and community satisfaction. Can J Public
Health. 2004;95(1):54–8.
44. Aiken LH, Sloane DM, Bruyneel L, Van den Heede K, Sermeus W. Nurses'
reports of working conditions and hospital quality of care in 12 countries in
Europe. Int J Nurs Stud. 2013;50(2):143–53.
45. Laschinger HKS. Job and career satisfaction and turnover intentions of
newly graduated nurses. J Nurs Manag. 2012;20(4):472–84.
46. Nantsupawat A, Kunaviktikul W, Nantsupawat R, Wichaikhum OA,
Thienthong H, Poghosyan L. Effects of nurse work environment on job
dissatisfaction, burnout, intention to leave. Int Nurs Rev. 2017;64(1):91–8.
47. Al-Dossary R, Vail J, Macfarlane F. Job satisfaction of nurses in a Saudi
Arabian university teaching hospital: a cross-sectional study. Int Nurs Rev.
2012;59(3):424–30.
48. Halcomb EJ, Davidson PM, Griffiths R, Daly J. Cardiovascular disease
management: time to advance the practice nurse role? Aust Health Rev.
2008;32(1):44–55.
49. Lartey S, Cummings G, Profetto-McGrath J. Interventions that promote
retention of experienced registered nurses in health care settings: a
systematic review. J Nurs Manag. 2014;22(8):1027–41.
50. Galletta M, Portoghese I, Battistelli A, Leiter MP. The roles of unit leadership
and nurse–physician collaboration on nursing turnover intention. J Adv
Nurs. 2013;69(8):1771–84.
51. McInnes S, Peters K, Bonney A, Halcomb E. An integrative review of
facilitators and barriers influencing collaboration and teamwork between
general practitioners and nurses working in general practice. J Adv Nurs.
2015;71(9):1973–85.
52. McInnes S, Peters K, Bonney A, Halcomb E. The influence of funding models on
collaboration in Australian general practice. Aust J Prim Health. 2017;23(1):31–6.
53. Williams A, Sibbald B. Changing roles and identities in primary health care:
exploring a culture of uncertainty. J Adv Nurs. 1999;29(3):737–45.
|
|
https://openalex.org/W3207583316
|
https://aclanthology.org/2022.acl-long.115.pdf
|
English
| null |
GlobalWoZ: Globalizing MultiWoZ to Develop Multilingual Task-Oriented Dialogue Systems
|
Proceedings of the 60th Annual Meeting of the Association for Computational Linguistics (Volume 1: Long Papers)
| 2,022
|
cc-by
| 12,604
|
Abstract world’s citizens. The reason of this limitation lies
in the stark lack of high-quality multilingual ToD
datasets due to the high expense and challenges of
human annotation (Razumovskaia et al., 2021). Over the last few years, there has been a move
towards data curation for multilingual task-
oriented dialogue (ToD) systems that can serve
people speaking different languages. However,
existing multilingual ToD datasets either have
a limited coverage of languages due to the
high cost of data curation, or ignore the fact
that dialogue entities barely exist in countries
speaking these languages. To tackle these lim-
itations, we introduce a novel data curation
method that generates GlobalWoZ — a large-
scale multilingual ToD dataset globalized from
an English ToD dataset for three unexplored
use cases of multilingual ToD systems. Our
method is based on translating dialogue tem-
plates and filling them with local entities in
the target-language countries. Besides, we ex-
tend the coverage of target languages to 20 lan-
guages. We will release our dataset and a set
of strong baselines to encourage research on
multilingual ToD systems for real use cases.1 One solution to this is annotating conversations
in other languages from scratch, e.g., CrossWoZ
(Zhu et al., 2020) and BiToD (Lin et al., 2021). However, these methods involve expensive human
efforts for dialogue collection in the other lan-
guages, resulting in a limited language/domain cov-
erage. The other major line of work focused on
translating an existing English ToD dataset into
target languages by professional human transla-
tors (Upadhyay et al., 2018; Schuster et al., 2019;
van der Goot et al., 2021; Li et al., 2021). Despite
the increasing language coverage, these methods
simply translated English named entities (e.g., lo-
cation, restaurant name) into the target languages,
while ignored the fact that these entities barely exist
in countries speaking these languages. This hin-
ders a trained ToD system from supporting the real
use cases where a user looks for local entities in a
target-language country. For example in Figure 1,
a user may look for the British Museum when trav-
eling to London (A.), while look for the Oriental
Pearl Tower when traveling to Shanghai (B.). ∗Bosheng Ding is under the Joint PhD Program between
Alibaba and Nanyang Technological University. Proceedings of the 60th Annual Meeting of the Association for Computational Linguistics
Volume 1: Long Papers, pages 1639 - 1657
May 22-27, 2022 c⃝2022 Association for Computational Linguistics 1
Introduction One of the fundamental objectives in pursuit of ar-
tificial intelligence is to enable machines with the
ability to intelligently communicate with human in
natural languages, with one of the widely-heralded
applications being the task-oriented dialogue (ToD)
systems (Gupta et al., 2006; Bohus and Rudnicky,
2009). Recently, ToD systems have been success-
fully deployed to assist users with accomplishing
certain domain-specific tasks such as hotel book-
ing, alarm setting or weather query (Eric et al.,
2017; Wu et al., 2019; Lin et al., 2020; Zhang et al.,
2020), thanks to the joint advent of neural networks
and availability of domain-specific data. However,
most existing ToD systems are predominately built
for English, limiting their service for all of the In addition, prior studies (Cheng and Butler,
1989; Kim, 2006) have shown that code-switching
phenomena frequently occurs in a dialogue when
a speaker cannot express an entity immediately
and has to alternate between two languages to con-
vey information more accurately. Such phenomena
could be ubiquitous during the cross-lingual and
cross-country task-oriented conversations. One of
the reasons for code-switching is that there are no
exact translations for many local entities in the
other languages. Even though we have the trans-
lations, they are rarely used by local people. For
example in Figure 1 (C.), after obtaining the recom-
mendation from a ToD system, a Chinese speaker
traveling to London would rather use the English ∗Bosheng Ding is under the Joint PhD Program between
Alibaba and Nanyang Technological University. 1Our
code
is
available
at
https://ntunlpsg. github.io/project/globalwoz/. 1639 London
A. Use Case: E&E
I’m looking for an attraction to visit in London. :👧🏻
🤖: I will recommend the British Museum. Shanghai
B. Use Case: F&F
我想在上海找个地方玩。:👧🏻
(I’m looking for an attraction to visit in Shanghai.)
🤖: 我推荐东方明珠。
(I will recommend Oriental Pearl Tower.)
C. Use Case: F&E
我想在伦敦找个地方玩。:👧🏻
(I’m looking for an attraction to visit in London.)
🤖: 我推荐The British Museum。
(I will recommend The British Museum.)
I’m looking for an attraction to visit in Shanghai. :👧🏻
🤖: I will recommend 东方明珠 . (I will recommend Oriental Pearl Tower.)
D. Use Case: E&F
Figure 1: Examples of four use cases for multilingual ToD systems: A. Use Case E&E: A English speaker travels
to a country of English. B. Use Case F&F: A foreign language speaker travels to a country of the foreign language. C. 1
Introduction Use Case F&E: A foreign language speaker travels to a country of English. D. Use Case E&F: A English
speaker travels to a country of a foreign language. Shanghai London Figure 1: Examples of four use cases for multilingual ToD systems: A. Use Case E&E: A English speaker travels
to a country of English. B. Use Case F&F: A foreign language speaker travels to a country of the foreign language. C. Use Case F&E: A foreign language speaker travels to a country of English. D. Use Case E&F: A English
speaker travels to a country of a foreign language. trained multilingual models (Devlin et al., 2019;
Conneau et al., 2020; Liu et al., 2020; Xue et al.,
2021) has proven effective in many cross-lingual
tasks, we further investigate another question: How
do these multilingual models trained on the English
ToD dataset transfer knowledge to our globalized
dataset? To answer this question, we prepare a few
baselines by evaluating popular ToD systems on
our created test datasets in a zero-shot cross-lingual
transfer setting as well as a few-shot setting. entity “British Museum” than its Chinese transla-
tion to search online or ask local people. To ver-
ify this code-switching phenomena, we have also
conducted a case study (§6.1) which shows that
searching the information about translated entities
online yields a much higher failure rate than search-
ing them in their original languages. Motivated
by these observations, we define three unexplored
use cases2 of multilingual ToD where a foreign-
language speaker uses ToD in the foreign-language
country (F&F) or an English country (F&E), and
an English speaker uses ToD in a foreign-language
country (E&F). These use cases are different from
the traditional E&E use case where an English
speaker uses ToD in an English-speaking country. Our contributions include the following: • To the best of our knowledge, we provide the
first step towards analyzing three unexplored use
cases for multilingual ToD systems. To bridge the aforementioned gap between exist-
ing data curation methods and the real use cases, we
propose a novel data curation method that global-
izes an existing multi-domain ToD dataset beyond
English for the three unexplored use cases. 2See comparisons of these use cases in Appendix A 3We use Google Translate (https://cloud.google.
com/translate), an off-the-shelf MT system.
4Appendix B has an example of label sequence translation.
5Appendix C shows the bleu scores between MT test data
and MTPE test data.
6Appendix D shows the English test data distribution. 2.2
Labeled Sequence Translation Following Liu et al. (2021) that translates sentences
with placeholders, we use a machine translation
system3 to translate dialogue templates with our
designed placeholders. As we observe, a place-
holder containing an entity domain, attribute and
ID (e.g., attraction-name0) is useful to pro-
vide contextually meaningful information to the
translation system, thus usually resulting in a high-
quality translation with the placeholder unchanged
4. This also enables us to easily locate the place-
holders in the translation output and replace them
with new entities in the target language. In order to globalize an existing English ToD
dataset for the three aforementioned use cases, we
propose an approach consisting of four steps as
shown in Figure 2: (1) we first extract dialogue
templates from the English ToD dataset by replac-
ing English-specific entities with a set of general-
purpose placeholders (§2.1); (2) we then translate
the templates to a target language for both training
and test data, with one key distinction that we only
post-edit the test data by professional translators
to ensure the data quality for evaluation (§2.2); (3)
next, we collect ontologies (Kiefer et al., 2021)
containing the definitions of dialogue acts, local
entities and their attributes in the target-language
countries (§2.3); (4) finally, we tailor the translated
templates by automatically substituting the place-
holders with entities in the extracted ontologies to
construct data for the three use cases (§2.4). To build a high-quality test set for evaluation, we
further hire professional translators to post-edit a
few hundred machine-translated templates, which
produces natural and coherent sentences in the tar-
get languages.5 With the goal of selecting repre-
sentative test templates for post-editing, we first
calculate the frequency of all the 4-gram combina-
tions in the MultiWoZ data, and then score each
dialogue in the test set by the sum of the frequency
of all the 4-gram combinations in the dialogue di-
vided by the dialogue’s word length. We use this
scoring function to estimate the representiveness
of a dialogue in the original dataset. Finally, we
select the top 500 high-scoring dialogues in the test
set for post-editing.6 We also use the same proce-
dure to create a small high-quality training set for
few-shot cross-lingual transfer setting. 2.1
Automatic Template Creation We start with MultiWoZ 2.2 (Zang et al., 2020) –
a high-quality multi-domain English ToD dataset
with more accurate human annotations compared
to its predecessors MultiWoZ 2.0 (Budzianowski
et al., 2018) and MultiWoz 2.1 (Eric et al., 2020). For the sake of reducing human efforts for col-
lecting ToD context in the target languages, we
re-use the ToD context written by human in Multi-
WoZ as the dialogue templates. Specifically as
shown in Figure 2, we replace the English en-
tities in MultiWoz by a set of general-purpose
placeholders such as [attraction-name0]
and [attraction-postcode1], where each
placeholder contains the entity’s domain, attribute
and ID. To do so, we first build a dictionary with
entity-placeholder pairs by parsing the annotations
of all dialogues. For example, from a dialogue
text —“I recommend Whale of a time and the post
code is cb238el.”, we obtain two entity-placeholder
pairs from its human annotations, i.e., (Whale of
a time, [attraction-name0]) and (cb238el,
[attraction-postcode1]). Next, we iden-
tify entities in the dialogue by their word index
from the human annotations, replace them with
their placeholders in the dictionary, and finally
obtain dialogue templates with placeholders. No-
tably, we skip the entities with their attributes of
[choice] and [ref] that represent the number
of choices and booking reference number, as these
attributes could be used globally. 1
Introduction Specifi-
cally, building on top of MultiWoZ (Budzianowski
et al., 2018) — an English ToD dataset for dia-
logue state tracking (DST), we create GlobalWoZ,
a new multilingual ToD dataset in three new target-
languages via machine translation and crawled on-
tologies in the target-language countries. • We propose a cost-effective method that creates
a new multilingual ToD dataset from an existing
English dataset. Our dataset consists of high-
quality test sets which are first translated by ma-
chines and then post-edited by professional trans-
lators in three target languages (Chinese, Span-
ish and Indonesian). We also leverage machine
translation to extend the language coverage of
test data to another 17 target languages. • We propose a cost-effective method that creates
a new multilingual ToD dataset from an existing
English dataset. Our dataset consists of high-
quality test sets which are first translated by ma-
chines and then post-edited by professional trans-
lators in three target languages (Chinese, Span-
ish and Indonesian). We also leverage machine
translation to extend the language coverage of
test data to another 17 target languages. • Our experiments show that current multilingual
systems and translate-train methods fail in zero-
shot cross-lingual transfer on the dialogue state
tracking task. To tackle this problem, we pro-
pose several data augmentation methods to train
strong baseline models in both zero-shot and few-
shot cross-lingual transfer settings. Our method only requires minor human efforts
to post-edit a few hundred machine-translated di-
alogue templates in the target languages for eval-
uation. Besides, as cross-lingual transfer via pre- 1640 2.3
Collection of Local Ontology Meanwhile, we crawl the attribute information of
local entities in three cities from public websites
(e.g., tripadvisor.com, booking.com) to create three
ontologies for the three corresponding target lan-
guages respectively. As shown in Table 8 in Ap-
pendix E, we select Barcelona for Spanish (an Indo-
European language), Shanghai for Mandarin (a
Sino-Tibetan language) and Jakarta for Indonesian
(an Austronesian language), which cover a set of
typologically different language families. Given a translated dialogue template, we can
easily sample a random set of entities for a domain
of interest from a crawled ontology and assign the
entities to the template’s placeholders to obtain a 1641 🤖:I recommend Whale of a time and
the post code is cb238el. domain: attraction
name: Whale of a time
postcode: cb238el
🤖:I recommend [attraction-name0]
and the post code is
[attraction-postcode1]. domain: attraction
name: [attraction-name0]
postcode: [attraction-postcode1]
🤖:我推荐Whale of a time,邮政编
码是cb238el。
domain: attraction
name: Whale of a time
postcode: cb238el
🤖:我推荐 [attraction-name0],邮政
编码是 [attraction-postcode1]。
domain: attraction
name: [attraction-name0]
postcode: [attraction-postcode1]
Translated
Template
Use Case: F&E
1.Automatic Template Creation
2.Labeled Sequence
Translation
Machine Translation /
Human Post Editting
Localized
Ontologies
3.Localized
Ontologies Collection
🤖:I recommend 东方明珠 and the
post code is 200000. domain: attraction
name: 东方明珠
postcode: 200000
Use Case: E&F
4.Automatic Template Filling
🤖:我推荐东方明珠,邮政编码是
200000。
domain: attraction
name: 东方明珠
postcode: 200000
Use Case: F&F
English
Ontologies
Gold Data
Template
Use Case: E&E
Figure 2: Illustration of our proposed pipeline: 1. Automatic Template Creation 2. Labeled Sequence Translation
3. Localized Ontologies Collection 4. Automatic Template Filling 3.Localized
Ontologies Collection 1.Automatic Template Creation Template Localized
Ontologies Machine Translation /
Human Post Editting Gold Data
Use Case: E&E 🤖:我推荐 [attraction-name0],邮
编码是 [attraction-postcode1]。 Translated
Template English
Ontologies Figure 2: Illustration of our proposed pipeline: 1. Automatic Template Creation 2. Labeled Sequence Translation
3. Localized Ontologies Collection 4. Automatic Template Filling to Table 10 for the data statistics of GlobalWoZ and
Figure 9 for dialogue examples in the appendix. new dialogue in the target language. Repeating
this procedure on each dialogue template, we can
easily build a high-quality labeled dataset in the
target language. Table 9 in Appendix F shows
the statistics of our collected entities in the target
languages compared with the English data. 2.3
Collection of Local Ontology The
number of our collected entities are either larger
than or equal to those in the English data except for
the “train” domain; we collected the information
about only 100 “trains” for each languages due to
the complexity in collecting relevant information. 2.4
Template Filling for Three Use Cases After the above steps, we assign entities in a target
language to the translated templates in the same
target language for the F&F case, while assign-
ing target-language entities to the English (source-
language) templates for the F&E case. As for the
E&F case, we keep the original English context by
skipping the translation step and replace the place-
holders with local entities in the target language
(see Figure 2 for examples). 3.1
Dialogue State Tracking Our experiments focus on the dialogue state track-
ing (DST), one of the fundamental components
in a ToD system that predicts the goals of a user
query in multi-turn conversations. We follow the
setup in MultiWoZ (Budzianowski et al., 2018) to
evaluate ToD systems for DST by the joint goal ac-
curacy which measures the percentage of correctly
predicting all goals in a multi-turn conversation. 7According to the leaderboards of Multi-domain Dialogue
State Tracking on MultiWoZ 2.0 and MultiWoZ 2.1 on paper-
withcode.com as of 11/15/2021. 4.3
Single-Use-Case Training By skipping the human post-editing step in our
data curation method (§2), we leverage a machine
translation system to automatically create a large
set of pseudo-labeled training data with local en-
tities for the three use cases. In the F&F case, we
translate the English templates by the MT system
and replace the placeholders in the translated tem-
plates with foreign-language entities to create a
training dataset. In the F&E case, we replace the
placeholders in the translated templates with the
original English entities to create a code-switched
training dataset. In the E&F case, we use the origi-
nal English templates and replace the placeholders
in the English templates with foreign-language en-
tities to create a code-switch training dataset. With
this data augmentation method, we can train a base
model on each pseudo-labeled training dataset cre-
ated for each use case. We denote this method as
SUC (Single-Use-Case). 4.1
Pure Zero-Shot (E&E) We train a base model on the gold standard English
data (E&E) and directly apply the learned model to
the test data of the three use cases in GlobalWoZ. With this method, we simulate the condition of
having labeled data only in the source language
for training, and evaluate how the model transfers
knowledge from English to the three use cases. We
use Zero-Shot (E&E) to denote this method. 4
Proposed Baselines We prepare a base model for GlobalWoZ in the
zero-shot and few-shot cross-lingual transfer set-
tings. We select Transformer-DST (Zeng and Nie,
2020) as our base model as it is one of the state-of-
the-art models on both MultiWoZ 2.0 and Multi-
WoZ 2.17. In our paper, we replace its BERT en-
coder with an mBERT encoder (Devlin et al., 2019)
for our base model and propose a series of train-
ing methods for GlobalWoZ. As detailed below,
we propose several data augmentation baselines
that create different training and validation data for
training a base model. Note that all the proposed
baselines are model agnostic and the base model
can be easily substituted with other popular models
(Heck et al., 2020; Lin et al., 2020). For each base-
line, we first train a base model on its training data
for 20 epochs and use its validation set to select the
best model during training. Finally we evaluate the
best model of each baseline on the same test set
from GlobalWoZ. We will release GlobalWoZ and
our pre-trained models to encourage faster adap-
tation to future research. We refer the readers to
Table 11 and Table 12 in Appendix I while reading
the subsequent methods for a better understanding. 4.4
Bi-/Multi-lingual Bi-Use-Case Training We investigate the performance of combining the
existing English data and the pseudo-labeled train-
ing data created for one of the three use cases (i.e.,
F&F, F&E, E&F), one at a time, to do bi-use-case
training. In the bilingual training, we only com-
bine the gold English data (E&E) with the pseudo-
labeled training data in one target language in one
use case for joint training. We denote this method
as BBUC (Bilingual Bi-Use-Case). In the multilin-
gual training, we combine gold English data (E&E)
and pseudo-labeled training data in all languages
in one use case for joint training. We denote this
method as MBUC (Multilingual Bi-Use-Case). 4.2
Translate-Train We use our data curation method (§2) to trans-
late the templates by an MT system but replace
the placeholders in the translated templates with
machine-translated entities to create a set of pseudo-
labeled training data. Next, we train a base model
on the translated training data without local entities,
and evaluate the model on the three use cases. We
denote this method as Translate-Train. 4.5
Multilingual Multi-Use-Case Training We also propose to combine the existing English
data (E&E) and all the pseudo-labeled training data
in all target languages for all the use cases (F&F,
F&E, E&F). We then train a single model on this
combined multilingual training dataset and evalu-
ate the model on test data in all target languages
for all three use cases . We denote this method as
MMUC (Multilingual Multi-Use-Case). 3.2
Experimental Settings Zero-Shot Cross-lingual Transfer: Unlike prior
studies that annotate a full set of high-quality train-
ing data for a target language, we investigate the
zero-shot cross-lingual transfer setting where we
have access to only a high-quality human-annotated
English ToD data (referred to as gold standard data
hereafter). In addition, we assume that we have ac-
cess to a machine translation system that translates
from English to the target language. We investi-
gate this setting to evaluate how a multilingual ToD
system transfers knowledge from a high-resource
source language to a low-resource target language. Few-Shot Cross-lingual Transfer: We also inves-
tigate few-shot cross-lingual transfer, a more prac-
tical setting where we are given a small budget to
annotate ToD data for training. Specifically, we
include a small set (100 dialogues) of high-quality
training data post-edited by professional translators To sum up, our proposed method has three key
properties: (1) our method is cost-effective as we
only require a limited amount of post-editing ef-
forts for a test set when compared to the expensive
crowd-sourced efforts from the other studies; (2)
we can easily sample entities from an ontology
to create large-scale machine-translated data as
a way of data augmentation for training; (3) our
method is flexible to update entities in a ToD sys-
tem whenever an update of ontology is available,
e.g., extension of new entities. We refer the readers 1642 (§2.2) in a target language, and evaluate the effi-
ciency of a multilingual ToD on learning from a
few target-language training examples. 5.1.1
Use Case F&F, F&E and E&F Table 1 reports the joint goal accuracy of all pro-
posed methods on the three different sets of test
data in the F&F, F&E, and E&F use cases8. Both
Zero-Shot (E&E) and Translate-Train struggle,
achieving average accuracy of less than 10 in all
use cases. Despite its poor performance, Zero-
Shot (E&E) works much better in F&E than F&F,
while its results in F&F and E&F are comparable,
indicating that a zero-shot model trained in E&E
can transfer knowledge about local English enti-
ties more effectively than knowledge about English
context in downstream use cases. Besides, we also
find that Zero-Shot (E&E) performs better on the
Spanish or Indonesian context than the Chinese
context in F&E. One possible reason is that En-
glish is closer to the other Latin-script languages
(Spanish and Indonesian) than Chinese. Table 1: Zero-shot cross-lingual accuracy on DST over
three target languages in three use cases. F&F
F&E
E&F
E&E
Avg
Use cases
MBUC
(E&E+F&F)
MBUC
(E&E+F&E)
MBUC
(E&E+E&F)
MMUC
(E&E+F&F+
F&E+E&F)
Methods
30.76
32.60
25.24
53.28
35.47
1.83
56.28
1.72
53.43
28.31
0.59
0.61
38.83
51.75
22.95
33.81
54.03
38.75
51.95
44.64
10
20
30
40
50
Figure 3: Performance of MMUC vs MBUC on the test
data of the four use cases, F&F, F&E, E&F and E&E. F&F
F&E
E&F
E&E
Avg
Use cases
MBUC
(E&E+F&F)
MBUC
(E&E+F&E)
MBUC
(E&E+E&F)
MMUC
(E&E+F&F+
F&E+E&F)
Methods
30.76
32.60
25.24
53.28
35.47
1.83
56.28
1.72
53.43
28.31
0.59
0.61
38.83
51.75
22.95
33.81
54.03
38.75
51.95
44.64
10
20
30
40
50 Our proposed data augmentation methods (SUC,
BBUC, MBUC) perform much better than non-
adapted methods (Zero-Shot (E&E) and Translate-
Train) that do not leverage any local entities for
training. In particular, it is worth noting that even
though Translate-Train and SUC both do training
on foreign-language entities in F&F and E&F, there
is a huge gap between these two methods, since
Translate-Train has only access to the machine-
translated entities rather than the real local entities
used by SUC. This huge performance gaps not
only show that Translate-Train is not an effective
method in practical use cases but also prove that
having access to local entities is a key to building a
multilingual ToD system for practical usage. Figure 3: Performance of MMUC vs MBUC on the test
data of the four use cases, F&F, F&E, E&F and E&E. els, one for each use case. 8Appendix J reports the results in the E&E use case. 5.2
Few-shot Cross-lingual Transfer In few-shot experiments, we use the same scoring
function based on frequency of all 4-gram combi-
nations (§2.2) to select 100 additional dialogues
from train set for human-post editing, and create
high-quality training data for each of the three use
cases. To avoid overfitting on this small few-shot
dataset, we combine the few-shot data with the ex-
isting English data for training a base model (Few-
Shot+Zero-Shot (E&E)). Next, we also investigate
a model trained with additional synthetic data cre-
ated by our proposed SUC. In Figure 4, we find
that our proposed SUC without additional few-shot 5
Experiment Results In this section, we show the results of all methods
in the zero-shot (§5.1) and few-shot (§5.2) settings. 1643 Case
Methods
zh
es
id
avg
F&F
Zero-Shot (E&E)
1.22
1.38
1.26
1.28
Translate-Train
2.61
2.59
5.74
3.65
SUC (F&F)
36.97
24.66
25.26
28.96
BBUC (E&E + F&F)
37.32
25.52
26.39
29.74
MBUC (E&E + F&F)
38.01
26.03
28.22
30.76
F&E
Zero-Shot (E&E)
6.92
11.34
9.09
9.12
Translate-Train
2.28
4.97
4.67
3.97
SUC (F&E)
56.28
41.94
47.93
48.71
BBUC (E&E + F&E)
59.87
48.20
54.79
54.29
MBUC (E&E + F&E)
60.37
53.56
54.93
56.28
E&F
Zero-Shot (E&E)
1.69
1.81
1.82
1.77
Translate-Train
1.39
1.76
1.86
1.67
SUC (E&F)
38.56
28.00
43.82
36.79
BBUC (E&E + E&F)
39.87
27.29
45.48
37.54
MBUC (E&E + E&F)
40.20
29.22
47.06
38.83
Table 1: Zero-shot cross-lingual accuracy on DST over
three target languages in three use cases. 5.1.1
Use Case F&F, F&E and E&F In Figure 3, we compare
MMUC and MBUC (rows) on the test data in the
four use cases (columns). Although MMUC may
not achieve the best results in each use case, it
achieves the best average result over the four use
cases, indicating the potential of using one model
to simultaneously handle all the four use cases. Comparing our data augmentation methods SUC
and BBUC, we find that the base model can benefit
from training on additional English data (E&E),
especially yielding a clear improvement of up to
5.58 average accuracy points in F&E. Moreover,
when we increase the number of languages in the
bi-use-case data augmentations (i.e., MBUC), we
observe an improvement of around 1 average ac-
curacy points in all three use cases w.r.t. BBUC. These observations encourage a potential future di-
rection that explores better data augmentation meth-
ods to create high-quality pseudo-training data. 5.1.2
One Model for All Notice that we can train a single model by MMUC
for all use cases rather than training separate mod- 1644 Translate
Search
En→Zh En→Es En→Id Zh→En Es→En Id→En
"
"
35
42
36
62
30
31
"
%
61
34
51
18
18
15
%
"
0
24
13
11
50
54
%
%
4
0
0
8
2
0
Failure Case (MTed Entities)
65
58
64
37
70
69
Failure Rate (MTed Entities)
65%
58%
64%
37%
70%
69%
Failure Rate (Original Entities)
3%
3%
3%
0%
1%
0%
Table 2: The search and translation results of 100 trans-
lated entities on Google. En→Zh refers to the transla-
tion of English entities to Mandarin and Zh→En refers
to the translation of Mandarin entities to English. Translate
Search
En→Zh En→Es En→Id Zh→En Es→En Id→En
"
"
35
42
36
62
30
31
"
%
61
34
51
18
18
15
%
"
0
24
13
11
50
54
%
%
4
0
0
8
2
0
Failure Case (MTed Entities)
65
58
64
37
70
69
Failure Rate (MTed Entities)
65%
58%
64%
37%
70%
69%
Failure Rate (Original Entities)
3%
3%
3%
0%
1%
0% F&F
F&E
E&F
0
10
20
30
40
50
60
1.28
9.12
1.77
11.72
40.84
17.78
28.96
48.71
36.79
34.16
55.15
36.88
34.70
56.77
37.61
Zero Shot (E&E)
Few Shot+Zero Shot (E&E)
SUC
Few Shot+SUC
Few Shot+Zero Shot (E&E)+SUC
Figure 4: Few-shot cross-lingual average joint accuracy
on DST over three target languages in three use cases. F&F
F&E
E&F
0
10
20
30
40
50
60
1.28
9.12
1.77
11.72
40.84
17.78
28.96
48.71
36.79
34.16
55.15
36.88
34.70
56.77
37.61
Zero Shot (E&E)
Few Shot+Zero Shot (E&E)
SUC
Few Shot+SUC
Few Shot+Zero Shot (E&E)+SUC Table 2: The search and translation results of 100 trans-
lated entities on Google. En→Zh refers to the transla-
tion of English entities to Mandarin and Zh→En refers
to the translation of Mandarin entities to English. Table 2: The search and translation results of 100 trans-
lated entities on Google. En→Zh refers to the transla-
tion of English entities to Mandarin and Zh→En refers
to the translation of Mandarin entities to English. Zh
Es
Id
Avg
0
10
20
30
40
50
2.61
2.59
5.74
3.65
48.28
28.76
36.67
37.90
F&F Test
Translate-Test
Figure 5: Joint accuracy of Translate-Train for DST on
the F&F Test vs Translate-Test data. 9Please refer to Appendix L for concrete examples where
Translate-Train fails in predicting real local entities. 5.1.2
One Model for All Figure 4: Few-shot cross-lingual average joint accuracy
on DST over three target languages in three use cases. data has already outperformed the model trained
with few-shot data and English data (Few-shot +
Zero-Shot (E&E)), indicating that the model ben-
efit more from a large amount of pseudo-labeled
data than a small set of human-labeled data. If we
combine the data created by SUC with the few-shot
data or with both few-shot and English data to train
the model, we observe improvements over SUC,
especially with a clear gain of 8.06 accuracy points
in F&E. We refer the readers to Table 14 in the
appendix for detailed scores in all target languages. Figure 5: Joint accuracy of Translate-Train for DST on
the F&F Test vs Translate-Test data. due to translation and search failures, significantly
exceeding the low failure rate of searching origi-
nal entities online. Besides, even if we can find
the right information of the translated entities, lo-
cal people may not recognize or use the translated
entities for communication, thus this results in in-
efficient communication with local people. 6.1
Motivation for Code-Switched Use Cases One key research question is to validate whether
code-switched use cases with local entities (i.e.,
F&E, E&F) are practically more useful for informa-
tion seeking. To answer this question, we compare
the failure rate of using local entities and machine-
translated entities in information search, which is
a proxy to the efficiency of using these two types
of entities in conversations. We first randomly se-
lect 100 entities (33 attractions, 33 hotels and 34
restaurants) of Cambridge, Shanghai, Barcelona
and Jakarta. We translate the English entities into
Mandarin, Spanish and Indonesian and the foreign-
language entities into English via Google Translate. We then manually search the translated entities on
Google to check whether we can find the right in-
formation of the original entities. Notice that the
failure of the above verification partially come from
the translation error made by Google Translate, or
the search failure due to the fact that this entity
does not have a bilingual version at all. In Table 2,
we observe a high failure rate of around 60% for
almost all translated directions (except Zh→En) 6.3
Local Context vs. Local Entities Table 4: Comparison of average joint accuracy on DST
reported on MT test data and MTPE test data for use
case F&F and F&E Table 4: Comparison of average joint accuracy on DST
reported on MT test data and MTPE test data for use
case F&F and F&E We compare the impact of training a model on data
with either local contexts or local entities when
the model is evaluated on monolingual test data
in F&F and E&E. Specifically, when the train set
has access to local context only, all the entities in
the train set are replaced by entities in non-target
languages. Similarly, when the train set has access
to local entities only, the contexts in the train set
are replaced by context in the non-target languages. Table 3 shows that both local contexts and local
entities are essential to building ToD systems in the
target language. A further analysis in Table 15 and
Table 16 in the appendix shows that training with
local entities is more important if the entities and
contexts are written in the same type of language
script (e.g. Latin script). Case
Method
Avg
F&F
Zero-Shot (E&E)
1.48
SUC
16.12
F&E
Zero-Shot (E&E)
9.03
SUC
34.20
E&F
Zero-Shot (E&E)
1.97
SUC
23.40
Table 5: Average results of Zero-Shot (E&E) on test
data of F&F, F&E and E&F in 20 languages. Please
refer to Table 18 in Section O for the break down results
of 20 languages. Case
Method
Avg
F&F
Zero-Shot (E&E)
1.48
SUC
16.12
F&E
Zero-Shot (E&E)
9.03
SUC
34.20
E&F
Zero-Shot (E&E)
1.97
SUC
23.40
Table 5: Average results of Zero-Shot (E&E) on test
data of F&F, F&E and E&F in 20 languages. Please
refer to Table 18 in Section O for the break down results
of 20 languages. Table 5: Average results of Zero-Shot (E&E) on test
data of F&F, F&E and E&F in 20 languages. Please
refer to Table 18 in Section O for the break down results
of 20 languages. data. Although there are some differences on indi-
vidual languages, the conclusions derived from the
evaluations on the MT test data remain the same
as those derived from the evaluation on the MTPE
test data. 6.3
Local Context vs. Local Entities We also calculate the Spearman rank
correlation coefficient between the average results
reported on MTPE test data and MT test data in Ta-
ble 4, which shows a statistically high correlation
between the system performance on the MT test
data and MTPE test data10. Therefore, we show
that the MT test data can be used as a proxy to esti-
mate the model performance on the real test data
for more languages. Thus we build MT test data for
another 17 languages that are supported by Google
Translate, Trip Advisor and Booking.com at the
same time, as stated in Table 8 and Table 9 in the
appendix. Table 5 shows the results of Zero-Shot
(E&E) and SUC on the test data of F&F, F&E and
E&F in 20 languages. The results show that the
model has the best performance in the F&E use
case compared with the other two use cases, which
is consistent with our findings in Table 1. Train Set
E&E (en)
F&F (zh)
F&F (es)
F&F (id)
avg
Local Context Only
5.46
1.77
2.37
2.40
3.20
Local Entities Only
6.39
0.36
2.41
2.75
3.05
Local Context & Entities
52.78
36.97
24.66
25.26
38.13
Table 3: Comparison of training with local context
or/and local entities on the joint accuracy for DST in
E&E (en) and F&F (zh, es, id). Train Set
E&E (en)
F&F (zh)
F&F (es)
F&F (id)
avg
Local Context Only
5.46
1.77
2.37
2.40
3.20
Local Entities Only
6.39
0.36
2.41
2.75
3.05
Local Context & Entities
52.78
36.97
24.66
25.26
38.13 Table 3: Comparison of training with local context
or/and local entities on the joint accuracy for DST in
E&E (en) and F&F (zh, es, id). 10Table 17 in the appendix shows detailed scores. 6.4
Scaling up to 20 Languages With our proposed data curation method, it is pos-
sible to extend the dataset to cover more languages
without spending extra costs if we skip the human
post-editing step. Before doing so, one key ques-
tion is whether the evaluation on the translated data
without human post-editing is reliable as a proxy
of the model performance. Thus, we conduct the
experiments by evaluating the model performance
of all baselines (§4) on two sets of test data built
with local entities: (1) MT test data where trans-
lated template is created by machine translation
only (§2.2); (2) MTPE test data where translated
template is first translated by machines and post-
edited later by professional translators. As shown
in Table 4, the overall reported results on MT test
data are higher than those reported on MTPE test
data, which is expected because the distribution of
the MT test data is more similar to the MT training 6.2
Overestimate of Translate-Train In previous translation-based work, a multilingual
ToD system is usually built based on the translation
of English training data (Translate-Train), and is
evaluated on translated test data without any local
entities (Translate-Test). To verify whether this
procedure is reliable to build a multilingual ToD
system, we also create a test dataset with trans-
lated entities instead of local entities in the tar-
get languages. As shown in Figure 5, we find the
Translate-Train model performs well on the test
data with translated entities, but performs badly on
the test data with real local entities. To the best
of our knowledge, we provide the first analysis to
identify this performance gap between the trans-
lated test data and data with real local entities in
a more realistic use case 9. Our work sheds light
on the development of a globalized multilingual
ToD system in practical use cases. We can tackle 1645 Use Case
F2F
F2E
Methods
MT Test
MTPE Test
MT Test
MTPE Test
Zero-Shot (E&E)
1.29
1.28
9.64
9.12
Translate-Train
3.71
3.65
4.17
3.97
SUC
35.78
28.96
56.15
48.71
BBUC
36.31
29.74
57.84
54.29
MBUC
37.89
30.76
58.76
56.28
Spearman’s correlation
1.0
1.0
Table 4: Comparison of average joint accuracy on DST the challenge of localization issues by exploring
new data augmentation method. Alternatively we
can also explore new methods from the model level
by building modular network to update the entities
or perform transfer learning to adapt to new case
without retraining. Acknowledgements This research is partly supported by the Alibaba-
NTU Singapore Joint Research Institute, Nanyang
Technological University. All the costs for ma-
chine translation post-editing are funded by DAMO
Academy, Alibaba Group. We would like to thank
the help from our Alibaba colleagues, Haiyun Peng,
Zifan Xu and Ruidan He, and our NTU-NLP team
member, Chengwei Qin in this work as well. 7
Related Work Over the last few years, the success of ToD sys-
tems is largely driven by the joint advent of neu-
ral network models (Eric et al., 2017; Wu et al.,
2019; Lin et al., 2020) and collections of large- 1646 scale annotation corpora. These corpora cover a
wide range of topics from a single domain (e.g.,
ATIS (Hemphill et al., 1990), DSTC 2 (Henderson
et al., 2014), Frames (El Asri et al., 2017), KVRET
(Eric et al., 2017), WoZ 2.0 (Wen et al., 2017),
M2M (Schatzmann et al., 2007)) to multiple do-
mains (e.g., MultiWoZ (Budzianowski et al., 2018),
SGD (Rastogi et al., 2020)). Most notably among
these collections, MultiWoZ is a large-scale multi-
domain dataset that focuses on transitions between
different domains or scenarios in real conversations
(Budzianowski et al., 2018). Due to the high cost
of collecting task-oriented dialogues, only a few
monolingual or bilingual non-English ToD datasets
are available (Zhu et al., 2020; Quan et al., 2020;
Lin et al., 2021). While there is an increasing inter-
est in data curation for multilingual ToD systems, a
vast majority of existing multilingual ToD datasets
do not consider the real use cases when using a
ToD system to search for local entities in a country. We fill this gap in this paper to provide the first
analysis on three previously unexplored use cases. three translation companies were also requested to
provide sample MTPE, but our quality check found
the quality of these samples to be unsatisfactory. So, no company was engaged, and our in-house
Indonesian linguistic resources were used instead. These Indonesian linguists were assigned to work
on this project during normal working hours and
given proper compensation complying with the lo-
cal labor laws. 8
Conclusions In this paper, we provide an analysis on three un-
explored use cases for multilingual task-oriented
dialogue systems. We propose a new data curation
method that leverages a machine translation system
and local entities in target languages to create a
new multilingual TOD dataset, GlobalWoZ. We
propose a series of strong baseline methods and
conduct extensive experiments on GlobalWoZ to
encourage research for multilingual ToD systems. Besides, we extend the coverage of languages on
multilingual ToD to 20 languages, marking the one
step further towards building a globalized multilin-
gual ToD system for all of the world’s citizen. Paweł Budzianowski, Tsung-Hsien Wen, Bo-Hsiang
Tseng, Iñigo Casanueva, Stefan Ultes, Osman Ra-
madan, and Milica Gaši´c. 2018. MultiWOZ - a
large-scale multi-domain Wizard-of-Oz dataset for
task-oriented dialogue modelling. In Proceedings of
the 2018 Conference on Empirical Methods in Nat-
ural Language Processing (EMNLP), pages 5016–
5026, Brussels, Belgium. Association for Computa-
tional Linguistics. Li-Rong Cheng and Katharine Butler. 1989. Code-
switching: a natural phenomenon vs language ‘de-
ficiency’. World Englishes, 8(3):293–309. Alexis Conneau, Kartikay Khandelwal, Naman Goyal,
Vishrav Chaudhary, Guillaume Wenzek, Francisco
Guzmán, Edouard Grave, Myle Ott, Luke Zettle-
moyer, and Veselin Stoyanov. 2020. Unsupervised
cross-lingual representation learning at scale. In
Proceedings of the 58th Annual Meeting of the Asso-
ciation for Computational Linguistics (ACL), pages
8440–8451, Online. Association for Computational
Linguistics. References Dan Bohus and Alexander I. Rudnicky. 2009. The
ravenclaw dialog management framework: Architec-
ture and systems. Computer Speech & Language,
23:332–361. 9
Ethical Review In this section, we would like to address the eth-
ical concerns. All the professional translators in
this project have been properly compensated. For
Chinese and Spanish, we have followed the stan-
dard procurement requirements and engaged three
translation companies for quality and price com-
parison. A small sample of the data had been given
to them for MTPE and we then compared their
translation results. Following that, we selected the
company that produced the best sample translation,
and submitted the full translation orders accord-
ing to the agreed price quotations. For Indonesian, Jacob Devlin, Ming-Wei Chang, Kenton Lee, and
Kristina Toutanova. 2019. BERT: Pre-training of
deep bidirectional transformers for language under-
standing. In Proceedings of the 2019 Conference
of the North American Chapter of the Association
for Computational Linguistics: Human Language
Technologies (NAACL), Volume 1 (Long and Short 1647 Eunhee Kim. 2006. Reasons and motivations for code-
mixing and code-switching. Issues in EFL, 4(1):43–
61. Papers), pages 4171–4186, Minneapolis, Minnesota. Association for Computational Linguistics. Layla El Asri,
Hannes Schulz,
Shikhar Sharma,
Jeremie Zumer, Justin Harris, Emery Fine, Rahul
Mehrotra, and Kaheer Suleman. 2017. Frames: a
corpus for adding memory to goal-oriented dialogue
systems. In Proceedings of the 18th Annual SIG-
dial Meeting on Discourse and Dialogue (SIGDIAL),
pages 207–219, Saarbrücken, Germany. Association
for Computational Linguistics. Haoran Li, Abhinav Arora, Shuohui Chen, Anchit
Gupta, Sonal Gupta, and Yashar Mehdad. 2021. MTOP: A comprehensive multilingual task-oriented
semantic parsing benchmark. In Proceedings of the
16th Conference of the European Chapter of the As-
sociation for Computational Linguistics: Main Vol-
ume (EACL), pages 2950–2962, Online. Association
for Computational Linguistics. Mihail Eric, Rahul Goel, Shachi Paul, Abhishek
Sethi, Sanchit Agarwal, Shuyang Gao, Adarsh Ku-
mar, Anuj Goyal, Peter Ku, and Dilek Hakkani-
Tur. 2020. Multiwoz 2.1: A consolidated multi-
domain dialogue dataset with state corrections and
state tracking baselines. In Proceedings of The
12th Language Resources and Evaluation Confer-
ence (LREC), pages 422–428, Marseille, France. Eu-
ropean Language Resources Association. Zhaojiang Lin, Andrea Madotto, Genta Indra Winata,
and Pascale Fung. 2020. MinTL: Minimalist trans-
fer learning for task-oriented dialogue systems. In
Proceedings of the 2020 Conference on Empirical
Methods in Natural Language Processing (EMNLP),
pages 3391–3405, Online. Association for Computa-
tional Linguistics. Zhaojiang Lin, Andrea Madotto, Genta Indra Winata,
Peng Xu, Feijun Jiang, Yuxiang Hu, Chen Shi, and
Pascale Fung. 2021. BiToD: A bilingual multi-
domain dataset for task-oriented dialogue modeling. arXiv preprint arXiv:2106.02787. 9
Ethical Review Mihail Eric, Lakshmi Krishnan, Francois Charette, and
Christopher D. Manning. 2017. Key-value retrieval
networks for task-oriented dialogue. In Proceed-
ings of the 18th Annual SIGdial Meeting on Dis-
course and Dialogue (SIGDIAL), pages 37–49, Saar-
brücken, Germany. Association for Computational
Linguistics. Linlin Liu, Bosheng Ding, Lidong Bing, Shafiq Joty,
Luo Si, and Chunyan Miao. 2021. MulDA: A
multilingual data augmentation framework for low-
resource cross-lingual NER. In Proceedings of the
59th Annual Meeting of the Association for Compu-
tational Linguistics and the 11th International Joint
Conference on Natural Language Processing (ACL-
IJCNLP), Volume 1:
Long Papers, pages 5834–
5846, Online. Association for Computational Lin-
guistics. Narendra Kumar Gupta,
Gökhan Tür,
Dilek Z. Hakkani-Tür, Srinivas Bangalore, Giuseppe Ric-
cardi, and Mazin Gilbert. 2006. The at&t spo-
ken language understanding system. IEEE Transac-
tions on Audio, Speech, and Language Processing,
14:213–222. Yinhan Liu, Jiatao Gu, Naman Goyal, Xian Li, Sergey
Edunov, Marjan Ghazvininejad, Mike Lewis, and
Luke Zettlemoyer. 2020. Multilingual denoising
pre-training for neural machine translation. Transac-
tions of the Association for Computational Linguis-
tics (TACL), 8:726–742. Michael Heck, Carel van Niekerk, Nurul Lubis, Chris-
tian Geishauser, Hsien-Chin Lin, Marco Moresi, and
Milica Gasic. 2020. TripPy: A triple copy strategy
for value independent neural dialog state tracking. In Proceedings of the 21th Annual Meeting of the
Special Interest Group on Discourse and Dialogue
(SIGDIAL), pages 35–44, 1st virtual meeting. Asso-
ciation for Computational Linguistics. Jun Quan, Shian Zhang, Qian Cao, Zizhong Li, and
Deyi Xiong. 2020. RiSAWOZ: A large-scale multi-
domain Wizard-of-Oz dataset with rich semantic an-
notations for task-oriented dialogue modeling. In
Proceedings of the 2020 Conference on Empirical
Methods in Natural Language Processing (EMNLP),
pages 930–940, Online. Association for Computa-
tional Linguistics. Charles T Hemphill, John J Godfrey, and George R
Doddington. 1990. The atis spoken language sys-
tems pilot corpus. In Speech and Natural Language:
Proceedings of a Workshop Held at Hidden Valley,
Pennsylvania, June 24-27, 1990. Abhinav Rastogi, Xiaoxue Zang, Srinivas Sunkara,
Raghav Gupta, and Pranav Khaitan. 2020. Towards
scalable multi-domain conversational agents: The
schema-guided dialogue dataset. In Proceedings
of the AAAI Conference on Artificial Intelligence
(AAAI), volume 34, pages 8689–8696. Matthew Henderson, Blaise Thomson, and Jason D
Williams. 2014. The second dialog state tracking
challenge. In Proceedings of the 15th annual meet-
ing of the special interest group on discourse and
dialogue (SIGDIAL), pages 263–272. Bernd Kiefer, Anna Welker, and Christophe Biwer. 2021. 9
Ethical Review Vonda: A framework for ontology-based di-
alogue management. In Increasing Naturalness and
Flexibility in Spoken Dialogue Interaction, pages
93–105. Springer. Evgeniia Razumovskaia, Goran Glavaš, Olga Majew-
ska, Anna Korhonen, and Ivan Vuli´c. 2021. Cross-
ing the conversational chasm: A primer on multilin-
gual task-oriented dialogue systems. arXiv preprint
arXiv:2104.08570. Ev 1648 Xiaoxue Zang, Abhinav Rastogi, Srinivas Sunkara,
Raghav Gupta, Jianguo Zhang, and Jindong Chen. 2020. MultiWOZ 2.2 : A dialogue dataset with
additional annotation corrections and state tracking
baselines. In Proceedings of the 2nd Workshop on
Natural Language Processing for Conversational AI,
pages 109–117, Online. Association for Computa-
tional Linguistics. Jost Schatzmann, Blaise Thomson, Karl Weilhammer,
Hui Ye, and Steve Young. 2007. Agenda-based user
simulation for bootstrapping a pomdp dialogue sys-
tem. In Human Language Technologies 2007: The
Conference of the North American Chapter of the
Association for Computational Linguistics (NAACL);
Companion Volume, Short Papers, pages 149–152. Sebastian Schuster, Sonal Gupta, Rushin Shah, and
Mike Lewis. 2019. Cross-lingual transfer learning
for multilingual task oriented dialog. In Proceedings
of the 2019 Conference of the North American Chap-
ter of the Association for Computational Linguistics:
Human Language Technologies (NAACL), Volume 1
(Long and Short Papers), pages 3795–3805, Min-
neapolis, Minnesota. Association for Computational
Linguistics. Yan Zeng and Jian-Yun Nie. 2020. Jointly opti-
mizing state operation prediction and value gener-
ation for dialogue state tracking. arXiv preprint
arXiv:2010.14061. Zheng Zhang, Ryuichi Takanobu, Qi Zhu, MinLie
Huang, and XiaoYan Zhu. 2020. Recent advances
and challenges in task-oriented dialog systems. Sci-
ence China Technological Sciences, pages 1–17. Shyam Upadhyay,
Manaal Faruqui,
Gökhan Tür,
Dilek Z. Hakkani-Tür, and Larry Heck. 2018. (al-
most) zero-shot cross-lingual spoken language un-
derstanding. 2018 IEEE International Confer-
ence on Acoustics, Speech and Signal Processing
(ICASSP), pages 6034–6038. Qi Zhu, Kaili Huang, Zheng Zhang, Xiaoyan Zhu,
and Minlie Huang. 2020. Crosswoz: A large-scale
chinese cross-domain task-oriented dialogue dataset. Transactions of the Association for Computational
Linguistics (TACL), 8:281–295. Rob van der Goot, Ibrahim Sharaf, Aizhan Imankulova,
Ahmet Üstün, Marija Stepanovi´c, Alan Ramponi,
Siti Oryza Khairunnisa, Mamoru Komachi, and Bar-
bara Plank. 2021. From masked language model-
ing to translation: Non-English auxiliary tasks im-
prove zero-shot spoken language understanding. In
Proceedings of the 2021 Conference of the North
American Chapter of the Association for Computa-
tional Linguistics: Human Language Technologies
(NAACL), pages 2479–2497, Online. Association for
Computational Linguistics. Tsung-Hsien Wen, David Vandyke, Nikola Mrkši´c,
Milica Gaši´c, Lina M. A
Comparison of Four Use Cases Table 6: Four use cases of multilingual ToD systems: A foreign language or English speaker travels to a country
of a foreign language or English. Table 6: Four use cases of multilingual ToD systems: A foreign language or English speaker travels to a country
of a foreign language or English. B
Examples of Labeled Sequence Translation
Figure 6: An instance of labeled sequence translation with google translate, from English to three target languages,
Mandarin, Spanish and Indonesian. B
Examples of Labeled Sequence Translation B
Examples of Labeled Sequence Translation Figure 6: An instance of labeled sequence translation with google translate, from English to three target languages,
Mandarin, Spanish and Indonesian. C
BLEU Score of MT versus MTPE Test Template
Languages
Zh
Es
Id
Avg
BLEU Score
55.61
49.33
48.97
51.30
Table 7: BLEU Scores of MT Test Template using MTPE Test Template as reference. 9
Ethical Review Rojas-Barahona, Pei-Hao Su,
Stefan Ultes, and Steve Young. 2017. A network-
based end-to-end trainable task-oriented dialogue
system. In Proceedings of the 15th Conference of
the European Chapter of the Association for Com-
putational Linguistics (EACL): Volume 1, Long Pa-
pers, pages 438–449, Valencia, Spain. Association
for Computational Linguistics. Chien-Sheng Wu, Andrea Madotto, Ehsan Hosseini-
Asl, Caiming Xiong, Richard Socher, and Pascale
Fung. 2019. Transferable multi-domain state gen-
erator for task-oriented dialogue systems. In Pro-
ceedings of the 57th Annual Meeting of the Asso-
ciation for Computational Linguistics (ACL), pages
808–819, Florence, Italy. Association for Computa-
tional Linguistics. Linting Xue, Noah Constant, Adam Roberts, Mi-
hir Kale, Rami Al-Rfou, Aditya Siddhant, Aditya
Barua, and Colin Raffel. 2021. mT5: A massively
multilingual pre-trained text-to-text transformer. In
Proceedings of the 2021 Conference of the North
American Chapter of the Association for Computa-
tional Linguistics: Human Language Technologies
(NAACL), pages 483–498, Online. Association for
Computational Linguistics. 1649 Appendix
A
Comparison of Four Use Cases
Use Case
Source ToD
Speaker
Country
(ToD Context)
(ToD Ontology)
F&F
English
Foreign Lang. Foreign Lang. F&E
Foregin Lang. English
E&F
English
Foreign Lang. E&E
English
English
Table 6: Four use cases of multilingual ToD systems: A foreign language or English speaker travels to a country
of a foreign language or English. D
Test Set Distribution D D
Test Set Distribution
Figure 7: Gold English Test Set Distribution by Domains. We follow this distribution to select the top 500 high-
scoring dialogues in the test set for post-editing. Figure 7: Gold English Test Set Distribution by Domains. We follow this distribution to select the top 500 high-
scoring dialogues in the test set for post-editing. Figure 7: Gold English Test Set Distribution by Domains. We follow this distribution to select the top 500 high-
scoring dialogues in the test set for post-editing. C
BLEU Score of MT versus MTPE Test Template C
BLEU Score of MT versus MTPE Test Template Languages
Zh
Es
Id
Avg
BLEU Score
55.61
49.33
48.97
51.30 Table 7: BLEU Scores of MT Test Template using MTPE Test Template as reference. Table 7: BLEU Scores of MT Test Template using MTPE Test Template as reference. 1650 E
Selected Languages Language
ISO639-1code
Language Family
# Wikipedia articles (in millions)
High / Middle/ Low Resource
Writing Script
Selected City
English
en
IE: Germanic
6.35
High
Latin
Cambridge
Swedish
sv
IE: Germanic
2.95
High
Latin
Stockholm
German
de
IE: Germanic
2.61
High
Latin
Berlin
French
fr
IE: Romance
2.35
High
Latin
Paris
Dutch
nl
IE: Germanic
2.06
High
Latin
Amsterdam
Russian
ru
IE: Slavic
1.74
High
Cyrillic
Moscow
Italian
it
IE: Romance
1.71
High
Latin
Rome
Spanish
es
IE: Romance
1.71
High
Latin
Barcelona
Japanese
ja
Japonic
1.28
High
Ideograms
Tokyo
Vietnamese
vi
Austro-Asiatic
1.27
High
Latin
Ho Chi Minh City
Mandarin
zh
Sino-Tibetan
1.22
High
Chinese ideograms
Shanghai
Arabic
ar
Afro-Asiatic
1.13
High
Arabic
Cairo
Portuguese
pt
IE: Romance
1.07
High
Latin
Lisbon
Indonesian
id
Austronesian
0.59
Middle
Latin
Jakarta
Norwegian
no
IE: Germanic
0.56
Middle
Latin
Oslo
Korean
ko
Koreanic
0.55
Middle
Hangul
Seoul
Turkish
tr
Turkic
0.42
Middle
Latin
˙Istanbul
Hebrew
he
Afro-Asiatic
0.30
Low
Hebrew
Tel Aviv
Danish
da
IE: Germanic
0.27
Low
Latin
Copenhagen
Greek
el
IE: Greek
0.20
Low
Greek
Athens
Thai
th
Kra-Dai
0.14
Low
Brahmic
Bangkok
Table 8: Statistics about languages in the cross-lingual benchmark. The selected 21 languages (including English)
belong to 8 language families and 1 isolate, with Indo-European (IE) having the most members. We categorize
the languages with more than 1 million, more than 400 thousand but less than 1 million, less than 400 thousand
Wikipedia articles as high resource languages, middle resource languages and low resource languages. For each
language, we select one city for each language to collect localized ontology. Table 8: Statistics about languages in the cross-lingual benchmark. The selected 21 languages (including English)
belong to 8 language families and 1 isolate, with Indo-European (IE) having the most members. We categorize
the languages with more than 1 million, more than 400 thousand but less than 1 million, less than 400 thousand
Wikipedia articles as high resource languages, middle resource languages and low resource languages. For each
language, we select one city for each language to collect localized ontology. 1651 F
Statistics of Entities in the Collected Ontology
Languages
rest. hotel
attr. E
Selected Languages Noticed that in the Taxi database of MultiWoZ, it on
types and taxi phones. The taxi destination and departure refer to the entities in th
domains. Thus, we use the sum of the number of entities in Restaurant, Hotel an
of the total number of entities in taxi domain. Besides, we follow MultiWoZ to co F
Statistics of Entities in the Collected Ontology Table 9: Statistics of entities in the collected ontology in different languages. We count the number of entities in
the database of each domain. Noticed that in the Taxi database of MultiWoZ, it only list down the taxi colors, taxi
types and taxi phones. The taxi destination and departure refer to the entities in the restaurant, hotel and attraction
domains. Thus, we use the sum of the number of entities in Restaurant, Hotel and Attraction domains as a proxy
of the total number of entities in taxi domain. Besides, we follow MultiWoZ to collect one hospital and one police
station for each city. G
Statistics of GlobalWoZ G
Statistics of GlobalWoZ G
Statistics of GlobalWoZ
Use Case
F&F
F&E
E&F
Languages
Train & Dev
Method
Test
Method
Train & Dev
Method
Test
Method
Train & Dev
Method
Test
Method
zh
9438
MT
1000
MTPE
9438
MT
1000
MTPE
9438
Human
1000
Human
es
9438
MT
1000
MTPE
9438
MT
1000
MTPE
9438
Human
1000
Human
id
9438
MT
1000
MTPE
9438
MT
1000
MTPE
9438
Human
1000
Human
ar
9438
MT
1000
MT
9438
MT
1000
MT
9438
Human
1000
Human
da
9438
MT
1000
MT
9438
MT
1000
MT
9438
Human
1000
Human
de
9438
MT
1000
MT
9438
MT
1000
MT
9438
Human
1000
Human
el
9438
MT
1000
MT
9438
MT
1000
MT
9438
Human
1000
Human
fr
9438
MT
1000
MT
9438
MT
1000
MT
9438
Human
1000
Human
he
9438
MT
1000
MT
9438
MT
1000
MT
9438
Human
1000
Human
it
9438
MT
1000
MT
9438
MT
1000
MT
9438
Human
1000
Human
ja
9438
MT
1000
MT
9438
MT
1000
MT
9438
Human
1000
Human
ko
9438
MT
1000
MT
9438
MT
1000
MT
9438
Human
1000
Human
nl
9438
MT
1000
MT
9438
MT
1000
MT
9438
Human
1000
Human
no
9438
MT
1000
MT
9438
MT
1000
MT
9438
Human
1000
Human
pt
9438
MT
1000
MT
9438
MT
1000
MT
9438
Human
1000
Human
ru
9438
MT
1000
MT
9438
MT
1000
MT
9438
Human
1000
Human
sv
9438
MT
1000
MT
9438
MT
1000
MT
9438
Human
1000
Human
th
9438
MT
1000
MT
9438
MT
1000
MT
9438
Human
1000
Human
tr
9438
MT
1000
MT
9438
MT
1000
MT
9438
Human
1000
Human
vi
9438
MT
1000
MT
9438
MT
1000
MT
9438
Human
1000
Human
Table 10: Statistics of created dataset, GlobalWoZ for each use case in each target language. For E&F, as the
context is the original Engish data, we consider it is created by human. For test data of zh, es and id, we replace
the entities twice to boostrap the test data to 1000 dialogues. We are currently preparing the post editing of the
other 500 dialogues in test data. Meanwhile, we are leveraging machine translation to prepare the train data for the
17 languages and will release it with baselines in the next version soon. Table 10: Statistics of created dataset, GlobalWoZ for each use case in each target language. E
Selected Languages train
taxi
en
110
33
79
2828
222
zh
3000
496
1000
100
4496
es
3000
426
1000
100
4426
id
3000
999
792
100
4791
ar
2989
680
1000
100
4669
da
2343
165
1000
100
3508
de
2988
659
1000
100
4647
el
2600
1000
1000
100
4600
fr
3000
1000
1000
100
5000
he
1558
258
1000
100
2258
it
3000
800
1000
100
2800
ja
2967
864
1000
100
4831
ko
2990
532
1000
100
4522
nl
2990
537
1000
100
4527
no
1293
95
757
100
2145
pt
2993
951
1000
100
4944
ru
2985
531
1000
100
4516
sv
3000
214
891
100
4105
th
2995
1000
1000
100
4995
tr
2986
533
1000
100
4519
vi
2991
773
1000
100
4764
Table 9: Statistics of entities in the collected ontology in different languages. We count the number of entities in
the database of each domain. Noticed that in the Taxi database of MultiWoZ, it only list down the taxi colors, taxi
types and taxi phones. The taxi destination and departure refer to the entities in the restaurant, hotel and attraction
domains. Thus, we use the sum of the number of entities in Restaurant, Hotel and Attraction domains as a proxy
of the total number of entities in taxi domain. Besides, we follow MultiWoZ to collect one hospital and one police
station for each city. F
Statistics of Entities in the Collected Ontology
Languages
rest. hotel
attr. train
taxi
en
110
33
79
2828
222
zh
3000
496
1000
100
4496
es
3000
426
1000
100
4426
id
3000
999
792
100
4791
ar
2989
680
1000
100
4669
da
2343
165
1000
100
3508
de
2988
659
1000
100
4647
el
2600
1000
1000
100
4600
fr
3000
1000
1000
100
5000
he
1558
258
1000
100
2258
it
3000
800
1000
100
2800
ja
2967
864
1000
100
4831
ko
2990
532
1000
100
4522
nl
2990
537
1000
100
4527
no
1293
95
757
100
2145
pt
2993
951
1000
100
4944
ru
2985
531
1000
100
4516
sv
3000
214
891
100
4105
th
2995
1000
1000
100
4995
tr
2986
533
1000
100
4519
vi
2991
773
1000
100
4764
Table 9: Statistics of entities in the collected ontology in different languages. We
the database of each domain. G
Statistics of GlobalWoZ For E&F, as the
context is the original Engish data, we consider it is created by human. For test data of zh, es and id, we replace
the entities twice to boostrap the test data to 1000 dialogues. We are currently preparing the post editing of the
other 500 dialogues in test data. Meanwhile, we are leveraging machine translation to prepare the train data for the
17 languages and will release it with baselines in the next version soon. 1652 I
Summary of Proposed Baselines I
Summary of Proposed Baselines y
p
Methods
En Context
En Entities
Local Context
Local Entities
Translated Entites
Zero-Shot (E&E)
"
"
Translate-Train
"
"
SUC (F&F)
"
"
SUC (F&E)
"
"
SUC (E&F)
"
"
Table 11: Accessibility of different types of context and entities for each method. Methods
En Context
En Entities
Local Context
Local Entities
Translated Entites
Zero-Shot (E&E)
"
"
Translate-Train
"
"
SUC (F&F)
"
"
SUC (F&E)
"
"
SUC (E&F)
"
"
Table 11: Accessibility of different types of context and entities for each method. Table 11: Accessibility of different types of context and entities for each method. Methods
E&E
F&F
F&E
E&F
Zero-Shot (E&E)
"
Translate-Train
SUC (F&F)
"
SUC (F&E)
"
SUC (E&F)
"
BBUC (E&E + F&F)
"
"
BBUC (E&E + F&E)
"
"
BBUC (E&E + E&F)
"
"
MBUC (E&E + F&F)
"
"
MBUC (E&E + F&E)
"
"
MBUC (E&E + E&F)
"
"
MMUC (E&E + F&F + F&E + E&F)
"
"
"
"
Table 12: Accessibility of data in each use case for each method. Noticed that Translate-Train doesn’t have access
to the data of the four use cases. Translate-Train has access to a set of pseudo-labeled training data created by
replacing the placeholders in the translated template with machine-translated entities instead of local entities. Table 12: Accessibility of data in each use case for each method. Noticed that Translate-Train doesn’t have access
to the data of the four use cases. Translate-Train has access to a set of pseudo-labeled training data created by
replacing the placeholders in the translated template with machine-translated entities instead of local entities. Table 12: Accessibility of data in each use case for each method. Noticed that Translate-Train doesn’t have access
to the data of the four use cases. Translate-Train has access to a set of pseudo-labeled training data created by
replacing the placeholders in the translated template with machine-translated entities instead of local entities. H
Dialogue Examples H
Dialogue Examples MT Data with Local Entities
嗨,你能帮我在上海市中心附近找到一家非常好的亚洲料理餐厅吗?:👧🏻
(Hi can you help me find a very nice Asian Cuisine restaurant near the centre of Shanghai?)
🤖: 请指定您的价格范围。
(Please specify your price range.)
它便宜的。:👧🏻
(It's cheap.)
🤖: 首尔焖鲜汇在市中心供应亚洲料理。
(Shou'er Menxianhui supplies Asian Cuisine in the centre.)
我可以要地址、电话号码和邮政编码吗?:👧🏻
Can i have the address, phone number, and postcode?)
🤖: 当然。地址为桂林路396号,邮政编码为200000。他们的电话号码是
+86 21 5497 6668。还有别的事吗?
(Certainly. The address is 396 Guilin Road, and the postal code is 200000. Their phone number is +86 21 5497 6668. Is there anything else?)
MTPE Data with Local Entities
您好,你能帮我在上海市中心附近找到一家非常好吃的亚洲料理餐厅吗?:👧🏻
(Hello, can you help me find a very delicious Asian Cuisine restaurant near the center of
Shanghai?)
🤖: 请跟我说一下您喜欢的价格范围。
(Please tell me about your preferred price range.)
便宜的就好。:👧🏻
(As long as it's cheap.)
🤖: 首尔焖鲜汇在市中心提供亚洲料理。
(Shou'er Menxianhui serves Asian Cuisine in the centre.)
您方便跟我说一下它的地址、电话和邮编吗?:👧🏻
(Would it be convenient for you to tell me its address,
phone number and postcode?)
🤖: 当然。地址是桂林路396号,邮政编码是200000。他们的电话号码是+86 21 5497
6668。还有其他可以帮您的吗?
(Certainly. The address is 396 Guilin Road, and the postcode is 200,000. Their phone
number is +86 21 5497 6668. Is there anything else that can help you?)
Gold E&E Data
Hi can you help me find a very nice Italian restaurant near the centre of Cambridge?: 👧🏻
🤖: Please specify your price range. It doesn't matter. :👧🏻
🤖: Zizzi Cambridge serves Italian in the centre. Can I have the address, phone number, and postcode?:👧🏻
🤖: Certainly. the address is 47-53 regent street with the postcode of cb21ab. their
phone number is 01223365599. is there anything else? Figure 8: Examples of some utterances in original E&E data, MT data and MTPE data, Gold E&E Data MTPE Data with Local Entities MT Data with Local Entities Figure 8: Examples of some utterances in original E&E data, MT data and MTPE data, 1653 Summary of Proposed Baselines
Methods
En Context
En Entities
Local Context
Local Entities
Translated Entites
Zero-Shot (E&E)
"
"
Translate-Train
"
"
SUC (F&F)
"
"
SUC (F&E)
"
"
SUC (E&F)
"
"
Table 11: Accessibility of different types of context and entities for each method. J
Use Case E&E We also compare the performance of all methods on the original E&E test data. As Zero-Shot (E&E) is
trained on monolingual English training data, it gets a high accuracy of 52.78 on the English test data. In
contrast, Translate-Train and SUC (F&F) perform poorly on the English test data, because both of them
have no access to any English data. Comparing to SUC (F&F), SUC (F&E) and SUC (E&F) achieve
higher accuracy scores as they either have access to English context or English entities. When we perform
bilingual and multilingual joint training (i.e., BBUC and MBUC), the base model has a performance
increase except MBUC (E&E + E&F). This shows that bilingual and multilingual joint training may be
used to improve the performance on source language. Further research can be done in this line. 1654 Methods
En
Zero-Shot (E&E)
52.78
Translate-Train
2.27
SUC (F&F)
1.09
SUC (F&E)
6.39
SUC (E&F)
5.46
BBUC (E&E + F&F)
52.87
BBUC (E&E + F&E)
53.69
BBUC (E&E + E&F)
53.05
MBUC (E&E + F&F)
53.28
MBUC (E&E + F&E)
53.43
MBUC (E&E + E&F)
51.75
Table 13: Joint accuracy on DST in three target languages on the English test data. Table 13: Joint accuracy on DST in three target languages on the English test data. K
Breakdown of Few Shot Results
Zero Shot (E&E)
Use Case
Zh
Es
Id
Avg
F2F
1.22
1.38
1.26
1.28
F2E
6.92
11.34
9.09
9.12
E2F
1.69
1.81
1.82
1.77
Few Shot + Zero Shot (E&E)
Use Case
Zh
Es
Id
Avg
F2F
15.93
7.13
12.09
11.72
F2E
39.88
39.38
43.26
40.84
E2F
20.61
14.17
18.55
17.78
SUC
Use Case
Zh
Es
Id
Avg
F2F
36.97
24.66
25.26
28.96
F2E
56.28
41.94
47.93
48.71
E2F
38.56
28.00
43.82
36.79
Few Shot + SUC
Use Case
Zh
Es
Id
Avg
F2F
37.81
25.15
39.51
34.16
F2E
58.39
53.03
54.02
55.15
E2F
38.75
27.66
44.23
36.88
Few Shot + Zero Shot (E&E) + SUC
Use Case
Zh
Es
Id
Avg
F2F
37.52
26.44
40.15
34.70
F2E
59.21
54.93
56.17
56.77
E2F
39.51
27.84
45.48
37.61
Table 14: A breakdown of few-shot cross-lingual average joint accuracy on DST over three target languages in
three use cases. L
Concrete Examples where Translate-Train Performs Badly on the Test Data with
Real Local Entities. Through investigation, we found that the Translate-Train method usually performed badly in two main
scenarios. Figure 9 is the illustrations of the two scenarios. Scenario 1 is when the Translate-Train can
predict values that are close to the meaning of the ground truth values but suffer from the problems of
translationese. For example, model trained with Translate-Train may predict "美食酒吧" (gastropub),
which is a direct translation of gastropub and not commonly used in Chinese instead of "酒吧餐" (bar). Scenario 2 is when Translate-Train needs to predict the name of real localized entities which Translate-
Train doesn’t have access to. For example, trained with Translate-Train may predict "冈维尔酒店"
(Gonville Hotel) which is a direct translation of Gonville Hotel, instead of "汉庭酒店" (Hanting Hotel)
which is unseen in Translate-Train training data. Prediction:
restaurant-area: 中心 (center)
restaurant-food: 美食酒吧 (gastropub)
restaurant-pricerange: 缓和 (mild)
Ground Truth:
restaurant-area: 市中心 (city center)
restaurant-food: 酒吧餐 (bar)
restaurant-pricerange: 适中的 (moderate)
Ground Truth:
hotel-name: 汉庭酒店
(Hanting Hotel)
Prediction:
hotel-name: 冈维尔酒店
(Gonville Hotel)
Scenario 1
Scenario 2
Figure 9: Concrete examples where Translate-Train performs badly on the test data with real local entities. Prediction:
restaurant-area: 中心 (center)
restaurant-food: 美食酒吧 (gastropub)
restaurant-pricerange: 缓和 (mild) Prediction:
hotel-name: 冈维尔酒店
(Gonville Hotel) Ground Truth:
restaurant-area: 市中心 (city center)
restaurant-food: 酒吧餐 (bar)
restaurant-pricerange: 适中的 (moderate) Scenario 1 Scenario 2 Scenario 2 Figure 9: Concrete examples where Translate-Train performs badly on the test data with real local entities. M
Breakdown of the Results of Local Context vs Local Entities by Languages
E&E (en)
Context vs Entities
Zh
Es
Id
Avg
En_Context
5.37
5.33
5.67
5.46
En_Entites
3.49
7.78
7.90
6.39
F&F (zh)
Context vs Entities
En
Es
Id
Avg
Zh_Context
1.74
1.77
1.80
1.77
Zh_Entites
0.27
0.73
0.10
0.36
F&F (es)
Context vs Entities
En
Zh
Id
Avg
Es_Context
1.73
2.01
3.37
2.37
Es_Entites
3.92
0.44
2.86
2.41
F&F (id)
Context vs Entities
En
Zh
Es
Avg
Id_Context
2.07
2.18
2.94
2.40
Id_Entites
3.92
0.84
3.48
2.75
Table 15: A breakdown of comparison of the impact of local context and local entities on joint accuracy for DST in
each language. The cases where context and entities are in different script types are highlighted in lavender color. K
Breakdown of Few Shot Results K
Breakdown of Few Shot Results Zero Shot (E&E)
Use Case
Zh
Es
Id
Avg
F2F
1.22
1.38
1.26
1.28
F2E
6.92
11.34
9.09
9.12
E2F
1.69
1.81
1.82
1.77
Few Shot + Zero Shot (E&E)
Use Case
Zh
Es
Id
Avg
F2F
15.93
7.13
12.09
11.72
F2E
39.88
39.38
43.26
40.84
E2F
20.61
14.17
18.55
17.78
SUC
Use Case
Zh
Es
Id
Avg
F2F
36.97
24.66
25.26
28.96
F2E
56.28
41.94
47.93
48.71
E2F
38.56
28.00
43.82
36.79
Few Shot + SUC
Use Case
Zh
Es
Id
Avg
F2F
37.81
25.15
39.51
34.16
F2E
58.39
53.03
54.02
55.15
E2F
38.75
27.66
44.23
36.88
Few Shot + Zero Shot (E&E) + SUC
Use Case
Zh
Es
Id
Avg
F2F
37.52
26.44
40.15
34.70
F2E
59.21
54.93
56.17
56.77
E2F
39.51
27.84
45.48
37.61
li
l
j i t Table 14: A breakdown of few-shot cross-lingual average joint accuracy on DST over three target languages in
three use cases. 1655 L
Concrete Examples where Translate-Train Performs Badly on the Test Data with
Real Local Entities. L
Concrete Examples where Translate-Train Performs Badly on the Test Data with
Real Local Entities. It shows that
training with local entities is more important if the entities and contexts are written in the same type of language
script (e.g. Latin script), otherwise training with local contexts is more important. Table 16: Comparison of the impact of script type on Local Context Only vs Local Entities Only. It shows that
training with local entities is more important if the entities and contexts are written in the same type of language
script (e.g. Latin script), otherwise training with local contexts is more important. N
Breakdown of MT Test Data vs MTPE Test Data by Languages
Languages
Zh
Es
Id
F2F
MT
MTPE
MT
MTPE
MT
MTPE
Zero-Shot (E&E)
1.19
1.22
1.40
1.38
1.28
1.26
Translate-Train
2.50
2.61
2.81
2.59
5.81
5.74
SUC
37.79
36.97
26.95
24.66
42.59
25.26
BBUC
38.62
37.32
27.34
25.52
42.96
26.39
MBUC
39.11
38.01
29.17
26.03
45.39
28.22
Spearman’s correlation
1.00
1.00
1.00
F2E
MT
MTPE
MT
MTPE
MT
MTPE
Zero-Shot (E&E)
7.61
6.92
11.67
11.34
9.64
9.09
Translate-Train
2.25
2.28
5.25
4.97
5.03
4.67
SUC
57.10
56.28
55.70
41.94
55.64
47.93
BBUC
59.05
59.87
57.68
48.20
56.80
54.79
MBUC
60.48
60.37
57.04
53.56
58.23
54.93
Spearman’s correlation
1.00
0.90
1.00
Table 17: Spearman rank correlation coefficient between the results on MTPE test data and MT test data for each
language. N
Breakdown of MT Test Data vs MTPE Test Data by Languages N
Breakdown of MT Test Data vs MTPE Test Data by Languages Table 17: Spearman rank correlation coefficient between the results on MTPE test data and MT test data for each
language. Table 17: Spearman rank correlation coefficient between the results on MTPE test data and MT test data for each
language. L
Concrete Examples where Translate-Train Performs Badly on the Test Data with
Real Local Entities. M
Breakdown of the Results of Local Context vs Local Entities by Languages
E&E (en)
Context vs Entities
Zh
Es
Id
Avg
En_Context
5.37
5.33
5.67
5.46
En_Entites
3.49
7.78
7.90
6.39
F&F (zh)
Context vs Entities
En
Es
Id
Avg
Zh_Context
1.74
1.77
1.80
1.77
Zh_Entites
0.27
0.73
0.10
0.36
F&F (es)
Context vs Entities
En
Zh
Id
Avg
Es_Context
1.73
2.01
3.37
2.37
Es_Entites
3.92
0.44
2.86
2.41
F&F (id)
Context vs Entities
En
Zh
Es
Avg
Id_Context
2.07
2.18
2.94
2.40
Id_Entites
3.92
0.84
3.48
2.75
Table 15: A breakdown of comparison of the impact of local context and local entities on joint accuracy for DST in
each language. The cases where context and entities are in different script types are highlighted in lavender color. M
Breakdown of the Results of Local Context vs Local Entities by Languages Table 15: A breakdown of comparison of the impact of local context and local entities on joint accuracy for DST in
each language. The cases where context and entities are in different script types are highlighted in lavender color. 1656 Train Set
different script type
same script type
Local Context Only
2.48
3.52
Local Entities Only
0.98
4.98
Table 16: Comparison of the impact of script type on Local Context Only vs Local Entities Only. It shows that
training with local entities is more important if the entities and contexts are written in the same type of language
script (e.g. Latin script), otherwise training with local contexts is more important. Train Set
different script type
same script type
Local Context Only
2.48
3.52
Local Entities Only
0.98
4.98
Table 16: Comparison of the impact of script type on Local Context Only vs Local Entities Only. It shows that
training with local entities is more important if the entities and contexts are written in the same type of language
script (e.g. Latin script), otherwise training with local contexts is more important. Table 16: Comparison of the impact of script type on Local Context Only vs Local Entities Only. It shows that
training with local entities is more important if the entities and contexts are written in the same type of language
script (e.g. Latin script), otherwise training with local contexts is more important. Table 16: Comparison of the impact of script type on Local Context Only vs Local Entities Only. L
Concrete Examples where Translate-Train Performs Badly on the Test Data with
Real Local Entities. O
Breakdown of Results of 20 Languages
Case
Method
zh
es
id
ar
da
de
el
fr
he
it
ja
ko
nl
no
pt
ru
sv
th
tr
vi
avg
F&F
Zero-Shot (E&E)
1.22
1.38
1.26
1.49
1.52
1.52
1.51
2.04
1.47
1.55
1.48
1.51
1.55
1.51
1.53
1.52
1.41
1.57
1.22
1.41
1.48
SUC
36.97
24.66
25.26
14.33
24.08
15.31
4.33
23.72
7.76
18.81
20.98
1.71
23.87
24.86
14.91
13.00
11.31
2.74
10.65
3.06
16.12
F&E
Zero-Shot (E&E)
6.92
11.34
9.09
6.80
10.97
10.15
6.74
15.87
7.81
9.40
3.17
4.92
11.79
11.46
10.12
8.97
10.31
10.89
5.98
7.92
9.03
SUC
56.28
41.94
47.93
29.98
29.79
30.55
30.58
54.03
29.27
30.16
51.19
28.21
30.58
30.28
29.63
29.84
30.64
18.07
29.18
25.82
34.20
E&F
Zero-Shot (E&E)
1.69
1.81
1.82
1.94
1.98
1.96
2.01
2.82
1.99
1.98
1.92
1.92
1.94
1.97
1.95
1.99
1.89
1.86
2.00
1.99
1.97
SUC
38.56
28.00
43.82
22.98
43.00
23.71
5.73
22.61
10.65
32.07
20.05
2.13
44.03
44.61
22.19
20.13
16.52
5.24
16.83
5.07
23.40
Table 18: Results of Zero-Shot (E&E) on test data of F&F, F&E and E&F in 20 languages. Test data of F&F and
F&E in the three languages highlight in pink color are built with MTPE data and the rest are built with MT data. O
Breakdown of Results of 20 Languages O
Breakdown of Results of 20 Languages We observe that there are a few languages like Thai and Vietnamese have low results than other
languages. Through investigation, we found that it was caused by failing to predict the tone marks in
most of cases. For example, the model may predict “nha khach” for hotel type while “ nhà khách” is the
ground truth. We may explore options for post-processing or other models to improve the performance on
these languages upon the release of the data. 1657
|
https://openalex.org/W4282827504
|
https://eprints.gla.ac.uk/274063/1/274063.pdf
|
English
| null |
Association of White Blood Cell Count With Clinical Outcome Independent of Treatment With Alteplase in Acute Ischemic Stroke
|
Frontiers in neurology
| 2,022
|
cc-by
| 7,215
|
Association of White Blood Cell
Count With Clinical Outcome
Independent of Treatment With
Alteplase in Acute Ischemic Stroke Ewgenia Barow 1*†, Fanny Quandt 1†, Bastian Cheng 1, Mathias Gelderblom 1,
Märit Jensen 1, Alina Königsberg 1, Florent Boutitie 2,3,4, Norbert Nighoghossian 5,
Martin Ebinger 6,7, Matthias Endres 6,8,9,10, Jochen B. Fiebach 6, Vincent Thijs 11,12,
Robin Lemmens 13,14,15, Keith W. Muir 16, Salvador Pedraza 17, Claus Z. Simonsen 18,
Christian Gerloff 1 and Götz Thomalla 1 on behalf of the WAKE-UP investigators 1 Klinik und Poliklinik für Neurologie, Kopf- und Neurozentrum, University Medical Center Hamburg-Eppendorf, Hamburg,
Germany, 2 Hospices Civils de Lyon, Service de Biostatistique, Lyon, France, 3 Université Lyon 1, Villeurbanne, France,
4 Laboratoire de Biométrie et Biologie Evolutive, Equipe Biostatistique-Santé, Villeurbanne, France, 5 Department of Stroke
Medicine, Hospices Civils de Lyon, Université Claude Bernard Lyon 1, Lyon, France, 6 Centrum für Schlaganfallforschung
Berlin (CSB), Charité-Universitätsmedizin Berlin, Berlin, Germany, 7 Medical Park Berlin Humboldtmühle, Klinik für Neurologie,
Berlin, Germany, 8 Klinik und Hochschulambulanz für Neurologie, Charité-Universitätsmedizin Berlin, Berlin, Germany,
9 German Center for Neurodegenerative Diseases (Deutsches Zentrum für Neurodegenerative Erkrankungen), Berlin,
Germany, 10 German Center for Cardiovascular Research (Deutsches Zentrum für Herz-Kreislauf-Forschung), Berlin,
Germany, 11 Stroke Division, Florey Institute of Neuroscience and Mental Health, University of Melbourne, Heidelberg, VIC,
Australia, 12 Department of Neurology, Austin Health, Heidelberg, VIC, Australia, 13 Department of Neurology, University
Hospitals Leuven, Leuven, Belgium, 14 Department of Neurosciences, Experimental Neurology, University of Leuven, Leuven,
Belgium, 15 Laboratory of Neurobiology, Center for Brain & Disease Research, Leuven, Belgium, 16 Institute of Neuroscience &
Psychology, University of Glasgow, Glasgow, United Kingdom, 17 Department of Radiology, Institut de Diagnostic per la Image
(IDI), Girona, Spain, 18 Department of Neurology, Aarhus University Hospital, Aarhus, Denmark Edited by:
Tomohisa Nezu,
Hiroshima University, Japan Reviewed by:
Xabier Urra,
Hospital Clínic de Barcelona, Spain
Alexander Tsiskaridze,
Tbilisi State University, Georgia
*Correspondence:
Ewgenia Barow
e.barow@uke.de Reviewed by:
Xabier Urra,
Hospital Clínic de Barcelona, Spain
Alexander Tsiskaridze,
Tbilisi State University, Georgia *Correspondence:
Ewgenia Barow
e.barow@uke.de *Correspondence:
Ewgenia Barow
e.barow@uke.de Introduction: Higher white blood cell (WBC) count is associated with poor functional
outcome in acute ischemic stroke (AIS). However, little is known about whether the
association is modified by treatment with intravenous alteplase. †These authors have contributed
equally to this work and share first
authorship Specialty section:
This article was submitted to
Stroke,
a section of the journal
Frontiers in Neurology Methods: WAKE-UP was a randomized controlled trial of the efficacy and safety of
magnetic resonance imaging [MRI]-based thrombolysis in unknown onset stroke. WBC
count was measured on admission and again at 22–36 h after randomization to treatment
(follow-up). Favorable outcome was defined by a score of 0 or 1 on the modified
Rankin scale (mRS) 90 days after stroke. Further outcome were stroke volume and any
hemorrhagic transformation (HT) that were assessed on follow-up CT or MRI. Multiple
logistic regression analysis was used to assess the association between outcome and
WBC count and treatment group. Received: 16 February 2022
Accepted: 29 April 2022
Published: 13 June 2022 ORIGINAL RESEARCH
published: 13 June 2022
doi: 10.3389/fneur.2022.877367 INTRODUCTION diffusion-weighted imaging (DWI) with no marked parenchymal
hyperintensity on fluid-attenuated inversion recovery (FLAIR). The detailed trial protocol and the primary results were published
elsewhere (14). The trial was approved for each study site by the
competent authorities and the corresponding ethics committee. Patients or their legal representatives provided written informed
consent according to national and local regulations, with
an exception from explicit informed consent in emergency
circumstances in some countries. Inflammation is believed to play an important role in the
pathogenesis of acute ischemic stroke (AIS) (1). A classical
indicator of inflammation is the white blood cell (WBC;
leukocytes) count, assessed as a routine clinical blood test. In patients with AIS, increased WBC count on admission is
associated with initial stroke severity (2, 3), larger stroke lesions
(4), a poor functional outcome at discharge (2), recurrent stroke,
myocardial infarction, and mortality 30 days after stroke (5, 6). Inflammation is believed to play an important role in the
pathogenesis of acute ischemic stroke (AIS) (1). A classical
indicator of inflammation is the white blood cell (WBC;
leukocytes) count, assessed as a routine clinical blood test. In patients with AIS, increased WBC count on admission is
associated with initial stroke severity (2, 3), larger stroke lesions
(4), a poor functional outcome at discharge (2), recurrent stroke,
myocardial infarction, and mortality 30 days after stroke (5, 6). Following the study protocol, WBC count was measured on
admission (screening prior to randomization) and 22–36 h after
administration of alteplase or placebo (follow-up). Demographic
data, medical history, and clinical and imaging data were assessed
at baseline and follow-up. Neurological deficit was assessed upon
admission by means of the NIHSS score. The outcome was
assessed by the modified Rankin scale (mRS) 90 days after stroke,
and a favorable outcome was defined as a mRS score of 0–
1, indicating no neurological deficit or no significant disability
despite minor symptoms. Further outcome measures were stroke
volume and the incidence of any HT, both were measured
on MRI or CT (≈6%) at 22–36 h after treatment. HT was
defined as hemorrhagic infarction types 1 and 2 and parenchymal
hemorrhage types 1 and 2 (15, 16). In observational studies of patients treated with alteplase
(recombinant human tissue plasminogen activator, rtPA), a
lower WBC count on admission was associated with early
neurological improvement (7) and favorable functional outcome
90 days after stroke (8, 9). Statistical Analysis y
White blood cell count was compared between patients with
favorable and unfavorable outcome using the Wilcoxon signed-
rank test. Multiple logistic regression analysis was used to
assess the association between outcome and WBC count and
treatment group. We fitted separate models to estimate the
adjusted odds ratio (aOR) and 95% confidence interval (CI) of
(i) WBC count upon admission, (ii) WBC count on follow-
up, and (iii) the interaction of WBC count with treatment
group on favorable outcome. We further fitted a multiple logistic
regression and a linear model to estimate the influence of
WBC count on HT and stroke volume, respectively. All models
were adjusted for the treatment group, age, NIHSS score upon
admission, and temperature. Depending on the model (WBC
admission, WBC follow-up), temperature was either included
upon admission or on follow-up. In a sensitivity analysis, we Citation: Barow E, Quandt F, Cheng B,
Gelderblom M, Jensen M,
Königsberg A, Boutitie F,
Nighoghossian N, Ebinger M,
Endres M, Fiebach JB, Thijs V,
Lemmens R, Muir KW, Pedraza S,
Simonsen CZ, Gerloff C and
Thomalla G (2022) Association of
White Blood Cell Count With Clinical
Outcome Independent of Treatment
With Alteplase in Acute Ischemic
Stroke. Front. Neurol. 13:877367. doi: 10.3389/fneur.2022.877367 Barow E, Quandt F, Cheng B,
Gelderblom M, Jensen M,
Königsberg A, Boutitie F,
Nighoghossian N, Ebinger M,
Endres M, Fiebach JB, Thijs V,
Lemmens R, Muir KW, Pedraza S,
Simonsen CZ, Gerloff C and
Thomalla G (2022) Association of
White Blood Cell Count With Clinical
Outcome Independent of Treatment
With Alteplase in Acute Ischemic
Stroke. Front. Neurol. 13:877367. doi: 10.3389/fneur.2022.877367 Results:
Of 503 randomized patients, WBC count and baseline parameters were
available in 437 patients (µ = 64.7 years, 35.2% women) on admission and 355
patients (µ = 65.1 years, 34.1% women) on follow-up. Median WBC count on
admission was 7.6 × 109/L (interquartile range, IQR, 6.1–9.4 × 109/L) and 8.2 ×
109/L (IQR, 6.7–9.7 × 109/L) on follow-up. Higher WBC count both on admission and
follow-up was associated with lower odds of favorable outcome, adjusted for age,
National Institutes of Health (NIH) Stroke Scale Score, temperature, and treatment
(alteplase vs. placebo, adjusted odds ratio, aOR 0.85, 95% confidence interval [CI] June 2022 | Volume 13 | Article 877367 Frontiers in Neurology | www.frontiersin.org Barow et al. WBC Count in Acute Stroke 0.78–0.94 and aOR 0.88, 95% CI 0.79–0.97). No interaction between WBC count and
treatment group was observed (p = 0.11). Furthermore, WBC count on admission and
follow-up was significantly associated with HT (aOR 1.14, 95% CI 1.05–1.24 and aOR
1.13, 95% CI 1.00–1.26). Finally, WBC count on follow-up was associated with larger
stroke volume (aOR 2.57, 95% CI 1.08–6.07). Conclusion: Higher WBC count is associated with unfavorable outcome, an increased
risk of HT, and larger stroke volume, independent of treatment with alteplase. Whether
immunomodulatory manipulation of WBC count improves stroke outcome needs to
be tested. Trial Registration: ClinicalTrials.gov Identifier: NCT01525290. Trial Registration: ClinicalTrials.gov Identifier: NCT01525290. Keywords: white blood cell count (WBC), ischemic stroke, treatment effect, clinical outcome, WAKE-UP, leukocyte INTRODUCTION Increased WBC count, measured after
alteplase treatment, was associated with higher baseline National
Institutes of Health Stroke Scale (NIHSS) scores (10), larger
stroke volume (11), poor functional outcome, and mortality 3
months after stroke (10). Moreover, patients with increased WBC
count on admission were reported to have an increased risk
of symptomatic intracerebral hemorrhages (12), poor functional
outcome (13), and 3-month mortality (8). Whether WBC count
can also modify the treatment effect of thrombolysis has not yet
been studied. We aimed to investigate the relationship between WBC count,
measured on admission and after treatment, with functional
outcome, hemorrhagic transformation (HT), and stroke volume
in the WAKE-UP trial (Efficacy and Safety of magnetic resonance
imaging [MRI]-based Thrombolysis in Wake-Up Stroke). In
addition, we aimed to study a potential interaction between WBC
count and the treatment effect of intravenous alteplase. Association of WBC Count With Outcome
and Treatment Effect Mean WBC count upon admission was significantly lower with
7.42 (SD, 2.44) × 109/L in patients with favorable outcome
(mRS 0–1) when compared to 8.76 (3.37) × 109/L in patients
with unfavorable functional outcome (mRS 2–6, p < 0.001, see
Figure 1A). A higher WBC count on admission was associated
with lower odds of favorable functional outcome with an aOR for
favorable outcome of 0.85 (95% CI, 0.78–0.94, see Figure 1B). In
patients with favorable outcome in contrast to worse outcome,
a lower mean WBC count on admission was observed both
in the alteplase group (7.56 [2.66] × 109/L vs. 8.38 [3.10] ×
109/L, p < 0.031) and in the placebo group (7.24 [2.12] ×
109/L vs. 9.05 [3.54] × 109/L, p < 0.001, see Figure 2A). In
line, logistic regression analysis revealed a lower probability of
favorable outcome in patients with higher WBC, adjusting for
baseline parameters (aOR 0.85, 95% CI 0.77–0.93). Importantly,
we did not find a significant interaction of treatment group Median mRS at day 90 was 2 (IQR, 1–3), with a favorable
outcome in 233 (48.8%) and unfavorable outcome (mRS 2–
6) in 244 (51.2%) patients. Patients with favorable outcome
were less severely affected with a median NIHSS of 5 (IQR, TABLE 1 | Patient characteristics. Characteristics
mRS 0-1
N = 233
mRS 2-6
N = 244
P
Age, mean (SD) [years]
64 (12)
65 (11)
0.50
Female, No. (%)
76 (33)
91 (37)
0.30
Medical history or risk factors
Arterial hypertension, No. (%)
110 (47)
139 (57)
0.067
Diabetes mellitus, No. (%)
34 (15)
43 (18)
0.70
Hypercholesterolemia, No. (%)
71 (30)
99 (41)
0.063
Atrial fibrillation, No. (%)
21 (9)
34 (14)
0.20
WBC admission, mean (SD) [109/L]
7.42 (2.44)
8.76 (3.37)
<0.001
WBC follow-up, mean (SD) [109/L]
7.92 (2.25)
9.22 (2.70)
<0.001
Intravenous alteplase treatment, No. (%)
131 (56)
105 (43)
0.004
Baseline NIHSS score, median (IQR)
5.0 (3.0, 6.0)
8.0 (5.0, 13.0)
<0.001
DWI lesion volume admission, median (IQR) [ml]
1 (1, 4)
4 (1, 15)
<0.001
DWI lesion volume follow-up, median (IQR) [ml]
2 (1, 5)
9 (2, 37)
<0.001
Temperature admission, median (IQR) [C]
36.60 (36.20, 36.90)
36.40 (36.00, 36.80)
0.041
Temperature follow-up, median (IQR) [C]
36.80 (36.40, 37.10)
36.80 (36.40, 37.20)
0.5
Any hemorrhage, No. Patient Characteristics Of 503 patients randomized in WAKE-UP, 437 patients (86.9%)
had available outcome, baseline data, and WBC count recordings
on admission. Mean age was 64.7 (standard deviation [SD],
11.7) years, 154 (35.2%) were men. Median WBC count on
admission was 7.6 × 109/L (interquartile range [IQR], 6.1–9.4
109/L). In total, 215 patients were assigned to receive alteplase,
and 222 patients were assigned to receive a placebo. The median
NIHSS score on hospital arrival was 6, (IQR 4–9). Mean body
temperature was 36.5◦C (SD, 0.6◦C) on admission. Median lesion
volume was 3.43 ml (IQR, 1.2–17.6 ml). HT occurred in 90
(22.8%) patients. In total, 355 patients (70.6%) had available
outcome, baseline data, and WBC recordings on follow-up. Mean
age was 65.1 (SD, 11.5) years, 121 (34.1%) were women. The
median WBC on follow-up was 8.2 × 109 g/l (IQR, 6.7–9.7 ×
109/L) with a mean body temperature of 36.8◦C (SD, 0.59◦C)
on follow-up. Study Design WAKE-UP was a multicenter, double-blind, placebo-controlled
randomized clinical trial to study MRI-based intravenous
thrombolysis in patients with AIS of unknown onset time
(ClinicalTrials.gov identifier NCT01525290). The mandatory
imaging criterion for randomization to treatment with alteplase
or placebo was a mismatch between acute ischemic lesions on June 2022 | Volume 13 | Article 877367 Frontiers in Neurology | www.frontiersin.org 2 WBC Count in Acute Stroke Barow et al. 3–6) when compared to patients with unfavorable outcome
with a median NIHSS of 8 (IQR, 5–13, p < 0.001). Patients
with favorable outcome presented with smaller median infarct
volumes on DWI on admission with 1 ml (IQR, 1–4 ml) vs. 4 ml (IQR, 1–15 ml, p < 0.001) in patients with unfavorable
outcome and on DWI on follow-up with 2 ml (IQR, 1–5 ml)
vs. 8 ml (IQR, 2–41 ml, p < 0.001). Furthermore, patients
with favorable outcome showed less often hemorrhages on
follow-up imaging (34 [15%] patients) as compared to those
with unfavorable outcome (75 [31%] patients, p < 0.001). All
clinical characteristics for patients with favorable outcome as
compared to patients with unfavorable outcome are presented
in Table 1. further adjusted all models for DWI lesion volume on admission
(Supplementary Figure S3). The model on HT was adjusted
for lesion volume on follow-up. Influential points, defined by
the value according to the Cook’s distance (>0.027), were
removed from each model. All tests were carried out with a two-
sided significance level of 5% without correction for multiple
comparisons. For each model, we excluded patients with missing
data (Supplementary Figure S1). DISCUSSION In this post-hoc analysis of the WAKE-UP trial, we studied
the impact of WBC count on outcome in patients with AIS
who received alteplase or placebo. Lower WBC count upon
admission and 22–36 h after randomization to treatment group
was associated with better functional outcome, independent
of treatment. Moreover, with higher WBC count, the risk
of HT was increased in both groups. Patients with a higher
WBC count 22–36 h after randomization showed a larger stroke
volume, independent of whether they were treated with alteplase
or placebo. In this post-hoc analysis of the WAKE-UP trial, we studied
the impact of WBC count on outcome in patients with AIS
who received alteplase or placebo. Lower WBC count upon
admission and 22–36 h after randomization to treatment group
was associated with better functional outcome, independent
of treatment. Moreover, with higher WBC count, the risk
of HT was increased in both groups. Patients with a higher
WBC count 22–36 h after randomization showed a larger stroke
volume, independent of whether they were treated with alteplase
or placebo. Association of WBC Count With Outcome
and Treatment Effect (%)
34 (15)
75 (31)
<0.001
mRS, modified Rankin Scale; IQR, interquartile range; SD, standard deviation; NIHSS, National Institutes of Health Stroke Scale; WBC, white blood cell count; DWI, diffusion-
weighted imaging. June 2022 | Volume 13 | Article 877367 Frontiers in Neurology | www.frontiersin.org 3 WBC Count in Acute Stroke Barow et al. FIGURE 1 | Relationship between white blood cell (WBC) count on admission and favorable outcome. (A) Stroke patients with a lower WBC count on admission
developed better functional outcome 90 days after stroke onset. Horizontal bars indicate statistical significance for group differences (Wilcoxon test). (B) Lower WBC
count [109/L] on admission was associated with higher adjusted odds (logarithmic scale) for favorable outcome (mRS 0–1, adjusted odds ratio, and 5 and 95% CIs). FIGURE 1 | Relationship between white blood cell (WBC) count on admission and favorable outcome. (A) Stroke patients with a lower WBC count on admission
developed better functional outcome 90 days after stroke onset. Horizontal bars indicate statistical significance for group differences (Wilcoxon test). (B) Lower WBC
count [109/L] on admission was associated with higher adjusted odds (logarithmic scale) for favorable outcome (mRS 0–1, adjusted odds ratio, and 5 and 95% CIs). and WBC count on admission (p = 0.11), indicating that the
relationship of WBC count on admission and outcome was
independent of alteplase treatment (see Figure 2B). Similar, a
higher WBC count on follow-up was associated with lower odds
of favorable outcome (aOR 0.89, 95% CI 0.80–0.98) with no
interaction between WBC count at 22–36 h and treatment group
(p = 0.67). The association of WBC count with outcome and
treatment effect remained stable when further adjusting for DWI
lesion volume on admission (Supplementary Figure S3). 95% CI 1.08–6.07, Figure 3D), independent of the treatment with
alteplase or placebo (p = 0.4). Association of WBC Count With Secondary
Outcome (B) Outcome probability of the non-significant interaction of treatment group and WBC count on admission showing a similar association of WBC
count with outcome in the placebo group. Estimated outcome probability (line) and 95% CIs (shaded area), purple = placebo group, green = alteplase group. Increased WBC count may be an indicator of an activated
immune system. In AIS patients, an increment of inflammatory
markers may have various causes. Firstly, it can be induced
by the stroke lesion itself. In the healthy brain, there are
very few peripheral WBCs, but a large number of WBCs
infiltrate when an ischemic stroke occurs (18). Ischemic brain
lesions generate inflammatory mediators and damage-associated
molecular patterns, which in turn activate the mobilization and
migration of immune cells (19). The infiltration of different types
of WBCs can cause deterioration through various mechanisms. Neutrophils, which are the majority of WBCs, are regarded
as forerunning mediators in the ischemic brain (20, 21). The
migration and accumulation of neutrophils in brain parenchyma
might contribute to the disruption of the blood-brain barrier
(BBB) and correlate with an increased tissue damage and poor
neurological outcome (22–25). Other important immune cells
are monocytes, which can favor blood coagulation by expressing
thromboplastin (26). Macrophages and lymphocytes can harm
the nervous system by expressing a variety of cytokines (27). Secondly, a systemic inflammatory activation in patients with
AIS can be caused by secondary complications, such as post-
stroke infections, which can complicate the evolution of brain
tissue injury and repair and thus contribute to poor outcome
(28, 29). In addition, finally, chronic comorbid diseases, such
as atherosclerosis, ischemic heart disease, diabetes, hypertension, or smoking, all common in stroke patients can contribute to an
increment in inflammatory markers (30–34). y
The association between WBC count and functional outcome
was initially described in acute stroke patients without treatment
with alteplase (3). When intravenous thrombolysis with alteplase
was approved and commonly practiced, a similar association
was revealed in several retrospective (9, 10, 12) and prospective
studies (8, 35, 36), both for WBC before treatment with
alteplase and after administration of alteplase. Furthermore, the
association between WBC count on admission and functional
outcome was studied in one post-hoc analysis of the Enhanced
Control of Hypertension and Thrombolysis Stroke Study
(ENCHANTED) trial (13). Association of WBC Count With Secondary
Outcome A higher WBC count on admission and follow-up was a
significant predictor of any HT when corrected for age,
temperature, and NIHSS score on admission, stroke volume,
and treatment (aOR 1.16, 95% CI 1.07–1.27 for WBC count
on admission, see Figure 3A, and aOR 1.13, 95% CI 1.00–1.26
for WBC count on follow-up, see Figure 3B). The association
between WBC count and any HT was independent of the
treatment group (p = 0.67 for WBC count on admission and p =
0.07 for WBC count on follow-up). WBC count on admission was
not significantly associated with stroke volume (aOR 1.55, 95%
CI 0.45–4.33, Figure 3C) whereas patients with a higher WBC
count on follow-up showed a larger stroke volume (aOR 2.57, Our results are in line with previous studies that observed
an association between increased WBC count at the time of
stroke onset with poor outcome (10, 17). Compared to previous
investigations, our study is based upon a large population of
acute stroke patients who were randomized in a clinical trial,
which allowed a comparison of WBC count in different treatment
groups. Moreover, serial measurements of WBC count were
performed and thus allowed to differentiate between WBC count
on admission and follow-up. June 2022 | Volume 13 | Article 877367 Frontiers in Neurology | www.frontiersin.org 4 WBC Count in Acute Stroke Barow et al. FIGURE 2 | Association of white blood cell (WBC) count with outcome and treatment effect. (A) Lower WBC count on admission is associated with better functional
outcome both in the alteplase group (p < 0.031), as well as in the placebo group (p < 0.001). Horizontal bars indicate statistical significance for group differences
(Wilcoxon test). (B) Outcome probability of the non-significant interaction of treatment group and WBC count on admission showing a similar association of WBC
count with outcome in the placebo group. Estimated outcome probability (line) and 95% CIs (shaded area), purple = placebo group, green = alteplase group. FIGURE 2 | Association of white blood cell (WBC) count with outcome and treatment effect. (A) Lower WBC count on admission is associated with better functional
outcome both in the alteplase group (p < 0.031), as well as in the placebo group (p < 0.001). Horizontal bars indicate statistical significance for group differences
(Wilcoxon test). Frontiers in Neurology | www.frontiersin.org Association of WBC Count With Secondary
Outcome In the ENCHANTED trial, 423
patients with increased WBC count and hyperglycemia on
admission were compared to 1,831 patients with normal
WBC count and normal glucose, showing the coexistence of
hyperglycemia and increased WBC count was independently
associated with poor functional outcome. Compared to our
analysis, the conditions in that study varied significantly: both
groups contained only patients who presented with a systolic
blood pressure (BP; ≥150 mm Hg and who were treated with
alteplase (low-dose [0.6 mg/kg] rtPA vs. standard-dose [0.9
mg/kg] alteplase). There was no control group containing
patients without treatment of alteplase or with a systolic BP <
150 mm Hg on admission. June 2022 | Volume 13 | Article 877367 5 WBC Count in Acute Stroke Barow et al. FIGURE 3 | Association of white blood cell (WBC) count with secondary outcome. The probability of any hemorrhage dependent on WBC shows a greater risk of
bleeding with increasing WBC count (A) on admission (adjusted odds ratio [aOR] 1.16, 95% CI 1.07–1.27) and (B) on follow-up (aOR 1.13, 95% CI 1.00–1.26),
estimated hemorrhage probability (line) and 95% CIs (shaded area). (C) WBC count on admission was not significantly associated with stroke volume (aOR 1.55, 95%
CI 0.45–4.33). (D) Patients with a higher WBC count on follow-up showed a larger stroke volume (aOR 2.57, 95% CI 1.08–6.07), estimated stroke volume (line), and
95% CIs (shaded area). FIGURE 3 | Association of white blood cell (WBC) count with secondary outcome. The probability of any hemorrhage dependent on WBC shows a greater risk of
bleeding with increasing WBC count (A) on admission (adjusted odds ratio [aOR] 1.16, 95% CI 1.07–1.27) and (B) on follow-up (aOR 1.13, 95% CI 1.00–1.26),
estimated hemorrhage probability (line) and 95% CIs (shaded area). (C) WBC count on admission was not significantly associated with stroke volume (aOR 1.55, 95%
CI 0.45–4.33). (D) Patients with a higher WBC count on follow-up showed a larger stroke volume (aOR 2.57, 95% CI 1.08–6.07), estimated stroke volume (line), and
95% CIs (shaded area). Our analysis extends these important findings by representing
a more widely depicted cohort of acute stroke patients and
more importantly by comparing the association between WBC
count and functional outcome in a control group of acute stroke
patients without treatment with alteplase with patients receiving treatment. Hence, we extend prior findings by demonstrating
that the association between WBC count and functional outcome
was independent of treatment. Association of WBC Count With Secondary
Outcome Another finding in our analysis was that a higher WBC
count on admission and follow-up was associated with an June 2022 | Volume 13 | Article 877367 Frontiers in Neurology | www.frontiersin.org 6 WBC Count in Acute Stroke Barow et al. increased risk of any HT, independent of treatment. An
intracranial hemorrhage is the most feared complication in
the management of acute stroke patients who are eligible for
thrombolysis because it can dramatically impact the prognosis
(37). The results of previous studies considering the relationship
between WBC count and intracranial hemorrhages, mostly
assessing symptomatic intracranial hemorrhages, but also HT,
are contradicting. Similar to our results, various prospective
and retrospective studies have revealed that a higher WBC
count was independently associated with the development of
intracranial hemorrhages and thus may be partly responsible
for the association of higher WBC count with poor outcome
in acute stroke patients treated with alteplase (12, 35, 38). Other studies observed no relationship between WBC count
and intracranial hemorrhages (8, 9), or only in patients with
increased WBC count and hyperglycemia (13). Our analysis
revealed an association between increased WBC count and any
HT, independent of treatment with alteplase. Explanations for
this association largely result from animal studies investigating
immunological mechanisms. They suggest an increase of
proinflammatory blood cells in acute stroke, which can either
impair the BBB directly (22–24) or the function of alteplase
and hence indirectly aggravate the damage of the BBB (39),
which may lead to an increased risk of intracranial hemorrhages. Another study in patients with AIS with large vessel occlusion,
who underwent thrombectomy, suggests that the impact of
neutrophils on hemorrhagic complications and poor functional
outcome depends on the extent of collaterals and reperfusion,
with a more substantial impact on patients with good collaterals
achieving successful reperfusion (40). system may here be a therapeutic key target. Already existing
experimental data from rodents show that pharmacological mast
cell stabilization with cromoglycate can lead to a significant
reduction in alteplase-mediated hemorrhagic formations and
better functional outcome when compared to controls (39). A pilot trial has demonstrated that the immune modulator
fingolimod plus alteplase attenuated reperfusion injury and
improved clinical outcome in patients with AIS (45). Another
trial studied the effect of natalizumab in patients with AIS and
revealed neither an improvement in functional outcome nor
a reduction of infarct growth (46, 47). Association of WBC Count With Secondary
Outcome However, there is no
sufficient evidence to guide therapeutic interventions so far (48). Further research will be required on immunomodulation therapy
targeting inflammatory pathways to prove that modulating
immune response as a potential treatment for the management
of patients with AIS will improve the function of alteplase and
attenuate its side effects. There are some limitations to our study. The study protocol
implied routine medical care. No differentiation of leukocytes
was available to determine the percentages of each type of
WBCs. Therefore, our results cannot be contributed to specific
WBCs but only to the WBC count in general. The assessment
of the C-reactive protein (CRP) was not a part of the
WAKE-UP protocol. We thus cannot rule out concomitant
subclinical infection at the time of admission, which might
contribute to increased WBC count in individual patients. Most patients, however, showed a WBC count within the
normal range. Drugs, which might have been administered
after randomization and treatment, such as antipyretics or
antibiotics, were not recorded. In addition, this special patient
cohort of the WAKE-UP trial differs from patient cohorts of
clinical practice, e.g., patients did not exceed 80 years due to
randomized-controlled trial inclusion criteria. Hence, in this
study, age was not a significant predictor of clinical outcome
(see Supplementary Figure S2), limiting the generalizability to
real-world data. Finally, as this is a post-hoc analysis, all findings
have to be considered hypothesis generating. Moreover, it must
be acknowledged that no causality can be assumed from the
detected associations. As a cause-effect relationship cannot be
determined, our results do not allow a firm conclusion on
management of WBC count in acute stroke patients. WAKE-
UP randomized patients with unknown time of stroke onset,
who, according to the DWI-FLAIR mismatch, were highly
likely within 4.5 h of symptom onset. Thus, there is no reason
to assume that these patients differ from patients within
4.5 h of known symptom onset with regards to the effects of
intravenous alteplase. g
p
Finally, in line with previous studies, we describe an
association of higher WBC count on follow-up with larger stroke
volume, independent of the treatment (4, 13, 37). Based on
the current state of research, a cause-effect relationship between
WBC count and stroke lesion size cannot be determined, as many
mechanisms may contribute to this association. Association of WBC Count With Secondary
Outcome Experimental
observations suggest that necrosis of brain tissue, caused by
acute ischemia, may induce an inflammatory activation mostly
by migration and accumulation of WBCs (20). The activation of
various immunological mechanisms may consecutively lead to an
increase of necrotic tissue of the ischemic penumbra and thus be
predictive of functional outcome (11). Neutrophils are regarded
as the leading immune cells of this inflammatory response and
correlate with larger infarct volume (4). After brain ischemia, a
peak of neutrophil count in the peripheral blood is described at
12 h, preceding the peak in the brain lesion, which occurs within
1–2 days (41, 42). This temporal distribution of accumulating
neutrophils might explain the correlation between WBC count
on follow-up with stroke volume, but not with the WBC count
on admission. As increased WBC count is widely known to be
associated with the burden of atherosclerosis, posing a risk factor
for cardiovascular events and stroke, other investigations suggest
that an increment of WBC count possibly precedes stroke onset
and therefore affects the stroke lesion size (31, 33, 43, 44). In summary, a higher WBC count was associated with
unfavorable functional outcome, increased risk of HT, and larger
stroke volume in acute stroke patients, independent of treatment
with alteplase. Frontiers in Neurology | www.frontiersin.org June 2022 | Volume 13 | Article 877367 REFERENCES 12. Tiainen M, Meretoja A, Strbian D, Suvanto J, Curtze S, Lindsberg PJ,
et al. Body temperature, blood infection parameters, and outcome of
thrombolysis-treated ischemic stroke patients. Int J Stroke. (2013) 8:632–
8. doi: 10.1111/ijs.12039 1. Lakhan
SE,
Kirchgessner
A,
Hofer
M. Inflammatory
mechanisms
in
ischemic
stroke:
therapeutic
approaches. J
Transl
Med. (2009)
7:97. doi: 10.1186/1479-5876-7-97 13. Xia C, Wang X, Lindley RI, Delcourt C, Zhou Z, Chen X, et al. Combined
utility of blood glucose and white blood cell in predicting outcome after
acute ischemic stroke: The ENCHANTED trial. Clin Neurol Neurosurg. (2020)
198:106254. doi: 10.1016/j.clineuro.2020.106254 2. Boehme AK, Kumar AD, Lyerly MJ, Gillette MA, Siegler JE, Albright
KC, et al. Persistent leukocytosis-is this a persistent problem for patients
with acute ischemic stroke? J Stroke Cerebrovasc Dis. (2014) 23:1939–
43. doi: 10.1016/j.jstrokecerebrovasdis.2014.02.004 14. Thomalla G, Simonsen CZ, Boutitie F, Andersen G, Berthezene Y, Cheng B, et
al. MRI-guided thrombolysis for stroke with unknown time of onset. N Engl J
Med. (2018) 379:611–22. doi: 10.1056/NEJMoa1804355 3. Christensen H, Boysen G. C-reactive protein and white blood cell count
increases in the first 24 hours after acute stroke. Cerebrovasc Dis. (2004)
18:214–9. doi: 10.1159/000079944 15. von Kummer R, Broderick JP, Campbell BC, Demchuk A, Goyal M, Hill
MD, et al. The Heidelberg bleeding classification: classification of bleeding
events after ischemic stroke and reperfusion therapy. Stroke. (2015) 46:2981–
6. doi: 10.1161/STROKEAHA.115.010049 4. Buck BH, Liebeskind DS, Saver JL, Bang OY, Yun SW, Starkman S, et al. Early neutrophilia is associated with volume of ischemic tissue in acute stroke. Stroke. (2008) 39:355–60. doi: 10.1161/STROKEAHA.107.490128 4. Buck BH, Liebeskind DS, Saver JL, Bang OY, Yun SW, Starkman S, et al. Early neutrophilia is associated with volume of ischemic tissue in acute stroke. Stroke. (2008) 39:355–60. doi: 10.1161/STROKEAHA.107.490128 16. Jensen M, Schlemm E, Cheng B, Lettow I, Quandt F, Boutitie F, et al. Clinical
characteristics and outcome of patients with hemorrhagic transformation
after intravenous thrombolysis in the WAKE-UP trial. Front Neurol. (2020)
11:957. doi: 10.3389/fneur.2020.00957 5. Furlan JC, Vergouwen MD, Fang J, Silver FL. White blood cell count is an
independent predictor of outcomes after acute ischaemic stroke. Eur J Neurol. (2014) 21:215–22. doi: 10.1111/ene.12233 6. Elkind
MS,
Cheng
J,
Rundek
T,
Boden-Albala
B,
Sacco
RL. Leukocyte
count
predicts
outcome
after
ischemic
stroke:
the
Northern Manhattan Stroke Study. J Stroke Cerebrovasc Dis. (2004)
13:220–7. doi: 10.1016/j.jstrokecerebrovasdis.2004.07.004 17. REFERENCES Grau AJ, Boddy AW, Dukovic DA, Buggle F, Lichy C, Brandt T, et al. Leukocyte count as an independent predictor of recurrent ischemic events. Stroke. (2004) 35:1147–52. doi: 10.1161/01.STR.0000124122.71702.64 18. Garcia JH, Liu KF, Yoshida Y, Lian J, Chen S, del Zoppo GJ. Influx of
leukocytes and platelets in an evolving brain infarct (Wistar rat). Am J Pathol. (1994) 144:188–99. 7. Tian C, Ji Z, Xiang W, Huang X, Wang S, Wu Y, et al. Association
of lower leukocyte count before thrombolysis with early neurological
improvement in acute ischemic stroke patients. J Clin Neurosci. (2018) 56:44–
9. doi: 10.1016/j.jocn.2018.08.004 19. Moskowitz
MA,
Lo
EH,
Iadecola
C. The
science
of
stroke:
mechanisms
in
search
of
treatments. Neuron. (2010)
67:181–
98. doi: 10.1016/j.neuron.2010.07.002 8. Malhotra K, Goyal N, Chang JJ, Broce M, Pandhi A, Kerro A, et al. Differential
leukocyte counts on admission predict outcomes in patients with acute
ischaemic stroke treated with intravenous thrombolysis. Eur J Neurol. (2018)
25:1417–24. doi: 10.1111/ene.13741 20. Gelderblom M, Leypoldt F, Steinbach K, Behrens D, Choe CU, Siler DA, et al. Temporal and spatial dynamics of cerebral immune cell accumulation
in
stroke. Stroke. (2009)
40:1849–57. doi:
10.1161/STROKEAHA. 108.534503 9. Chen J, Zhang FL, Lv S, Jin H, Luo Y, Qu Y, et al. Association
of
admission
leukocyte
count
with
clinical
outcomes
in
acute
ischemic
stroke
patients
undergoing
intravenous
thrombolysis
with
recombinant tissue plasminogen activator. Curr Neurovasc Res. (2020)
17:660–6. doi: 10.2174/1567202617999201125201616 21. Wu L, Walas S, Leung W, Sykes DB, Wu J, Lo EH, et al. Neuregulin1-
beta
decreases
IL-1beta-induced
neutrophil
adhesion
to
human
brain
microvascular
endothelial
cells. Transl
Stroke
Res. (2015)
6:116–24. doi: 10.1007/s12975-014-0347-9 10. Chen J, Zhang Z, Chen L, Feng X, Hu W, Ge W, et al. Correlation of
changes in leukocytes levels 24 hours after intravenous thrombolysis with
prognosis in patients with acute ischemic stroke. J Stroke Cerebrovasc Dis. (2018) 27:2857–62. doi: 10.1016/j.jstrokecerebrovasdis.2018.06.014 22. Perez-de-Puig I, Miro-Mur F, Ferrer-Ferrer M, Gelpi E, Pedragosa J, Justicia
C, et al. Neutrophil recruitment to the brain in mouse and human ischemic
stroke. Acta Neuropathol. (2015) 129:239–57. doi: 10.1007/s00401-014-1381-0 11. Audebert HJ, Rott MM, Eck T, Haberl RL. Systemic inflammatory response
depends on initial stroke severity but is attenuated by successful thrombolysis. Stroke. (2004) 35:2128–33. doi: 10.1161/01.STR.0000137607.61697.77 23. Neumann J, Riek-Burchardt M, Herz J, Doeppner TR, Konig R, Hutten H,
et al. DATA AVAILABILITY STATEMENT Our results suggest that a higher WBC count has an
important impact on functional outcome, HT, and stroke volume
in acute stroke patients, independent of whether they were
treated with alteplase or not. Modulation of the immune Individual
patients’
data,
after
de-identification,
will
be
accessible for researchers upon reasonable request to the
corresponding author. June 2022 | Volume 13 | Article 877367 7 WBC Count in Acute Stroke Barow et al. AUTHOR CONTRIBUTIONS The authors thank all the patients who participated in the
WAKE-UP trial. EB and FQ conceived and designed the study, conducted the
statistical analysis, analyzed and interpreted the data, and wrote
the first draft of the manuscript. BC, MG, MJ, AK, FB, MEb,
MEn, JF, VT, RL, KM, NN, SP, CS, CG, and GT acquired data
and critically revised the manuscript. All authors contributed to
the article and approved the submitted version. SUPPLEMENTARY MATERIAL The Supplementary Material for this article can be found
online
at:
https://www.frontiersin.org/articles/10.3389/fneur. 2022.877367/full#supplementary-material FUNDING WAKE-UP
received
funding
from
the
European
Union
Seventh Framework Program [FP7/2007-2013] under Grant
Agreement No. 278276 (WAKE-UP). This work was funded
by
the
Deutsche
Forschungsgemeinschaft
(DFG,
German
Research
Foundation),
FOR
2879,
TH
1106/8-1
(Grant
Number 40535880). The trial was approved for each study site by the competent
authorities and the corresponding Ethics Committee. The Ethics
Committee of the Hamburg chamber of physicians, Hamburg,
Germany was the primary ethics committee that approved the
trial (PVN3857). Patients or their legal representatives provided
written informed consent according to National and Local
Regulations, with an exception from explicit informed consent
in emergency circumstances in some countries. REFERENCES Very-late-antigen-4 (VLA-4)-mediated brain invasion by neutrophils
leads to interactions with microglia, increased ischemic injury and impaired June 2022 | Volume 13 | Article 877367 Frontiers in Neurology | www.frontiersin.org 8 Barow et al. WBC Count in Acute Stroke behavior in experimental stroke. Acta Neuropathol. (2015) 129:259–
77. doi: 10.1007/s00401-014-1355-2 41. Chapman KZ, Dale VQ, Denes A, Bennett G, Rothwell NJ, Allan SM, et
al. A rapid and transient peripheral inflammatory response precedes brain
inflammation after experimental stroke. J Cereb Blood Flow Metab. (2009)
29:1764–8. doi: 10.1038/jcbfm.2009.113 24. Kolaczkowska E, Kubes P. Neutrophil recruitment and function in health and
inflammation. Nat Rev Immunol. (2013) 13:159–75. doi: 10.1038/nri3399 42. Cai W, Liu S, Hu M, Huang F, Zhu Q, Qiu W, et al. Functional dynamics
of neutrophils after ischemic stroke. Transl Stroke Res. (2020) 11:108–
21. doi: 10.1007/s12975-019-00694-y 25. Akopov SE, Simonian NA, Grigorian GS. Dynamics of polymorphonuclear
leukocyte
accumulation
in
acute
cerebral
infarction
and
their
correlation
with
brain
tissue
damage. Stroke. (1996)
27:1739–
43. doi: 10.1161/01.STR.27.10.1739 43. Elkind MS, Sciacca RR, Boden-Albala B, Rundek T, Paik MC, Sacco
RL. Relative elevation in baseline leukocyte count predicts first cerebral
infarction. Neurology. (2005) 64:2121–5. doi: 10.1212/01.WNL.0000165989.12
122.49 26. Rivers
RP,
Hathaway
WE,
Weston
WL. The
endotoxin-induced
coagulant
activity
of
human
monocytes. Br
J
Haematol. (1975)
30:311–6. doi: 10.1111/j.1365-2141.1975.tb00547.x 27. Morganti-Kossmann
MC,
Kossmann
T,
Wahl
SM. Cytokines
and
neuropathology. Trends
Pharmacol
Sci. (1992)
13:286–
91. doi: 10.1016/0165-6147(92)90087-M 44. Madjid M, Awan I, Willerson JT, Casscells SW. Leukocyte count and coronary
heart disease: implications for risk assessment. J Am Coll Cardiol. (2004)
44:1945–56. doi: 10.1016/j.jacc.2004.07.056 28. Emsley
HC,
Hopkins
SJ. Acute
ischaemic
stroke
and
infection:
recent
and
emerging
concepts. Lancet
Neurol. (2008)
7:341–
53. doi: 10.1016/S1474-4422(08)70061-9 45. Zhu Z, Fu Y, Tian D, Sun N, Han W, Chang G, et al. Combination
of
the
immune
modulator
fingolimod
with
alteplase
in
acute
ischemic
stroke:
a
pilot
trial. Circulation. (2015)
132:1104–
12. doi: 10.1161/CIRCULATIONAHA.115.016371 29. Worthmann H, Tryc AB, Deb M, Goldbecker A, Ma YT, Tountopoulou A,
et al. Linking infection and inflammation in acute ischemic stroke. Ann N Y
Acad Sci. (2010) 1207:116–22. doi: 10.1111/j.1749-6632.2010.05738.x 46. Elkind
MSV,
Veltkamp
R,
Montaner
J,
Johnston
SC,
Singhal
AB,
Becker K, et al. Natalizumab in acute ischemic stroke (ACTION II):
A
randomized,
placebo-controlled
trial. Neurology. (2020)
95:e1091–
e104. doi: 10.1212/WNL.0000000000010038 30. McColl
BW,
Allan
SM,
Rothwell
NJ. Systemic
infection,
inflammation
and
acute
ischemic
stroke. Neuroscience. (2009)
158:1049–61. REFERENCES doi: 10.1016/j.neuroscience.2008.08.019 47. Elkins J, Veltkamp R, Montaner J, Johnston SC, Singhal AB, Becker K,
et al. Safety and efficacy of natalizumab in patients with acute ischaemic
stroke (ACTION): a randomised, placebo-controlled, double-blind phase
2 trial. Lancet Neurol. (2017) 16:217–26. doi: 10.1016/S1474-4422(16)30
357-X 31. Elkind MS, Cheng J, Boden-Albala B, Paik MC, Sacco RL, Northern
Manhattan Stroke S. Elevated white blood cell count and carotid plaque
thickness : the northern manhattan stroke study. Stroke. (2001) 32:842–
9. doi: 10.1161/01.STR.32.4.842 32. Gkrania-Klotsas E, Ye Z, Cooper AJ, Sharp SJ, Luben R, Biggs ML, et al. Differential white blood cell count and type 2 diabetes: systematic review and
meta-analysis of cross-sectional and prospective studies. PLoS ONE. (2010)
5:e13405. doi: 10.1371/journal.pone.0013405 48. Iadecola C, Anrather J. The immunology of stroke: from mechanisms
to
translation. Nat
Med. (2011)
17:796–808. doi:
10.1038/nm. 2399 33. Kannel WB, Anderson K, Wilson PW. White blood cell count and
cardiovascular disease. Insights from the Framingham Study. JAMA. (1992)
267:1253–6. doi: 10.1001/jama.1992.03480090101035 Conflict of Interest: EB, BC, AK, FB, NN, MEb, MEn, JF, VT, RL, KM, SP, CS, CG,
and GT report grants from European Union 7th Framework Program during the
conduct of the study. MEn reports grants from Bayer and fees paid to the Charité
from AstraZeneca, Bayer, Boehringer Ingelheim, BMS, Daiichi Sankyo, Amgen,
GSK, Sanofi, Covidien, Novartis, Pfizer and funding from DFG under Germany’s
Excellence Strategy – EXC-2049 – 390688087, BMBF, DZNE, DZHK, EU, Corona
Foundation, and Fondation Leducq, all outside the submitted work. JF reports
personal fees from Abbvie, AC Immune, Artemida, Bioclinica/Clairo, Biogen,
BMS, Brainomic, Daiichi-Sankyo, Eisai, F.Hoffmann-La Roche AG, Eli Lilly,
Guerbet, Ionis Pharmaceuticals, IQVIA, Janssen, Julius Clinical, Jung Diagnostics,
Lysogene, Premier Research and Tau Rx, all outside the submitted work. CS
reports grants from Novo Nordisk Foundation and Health Research Foundation
of Central Denmark Region outside the submitted work. 34. Siedlinski
M,
Jozefczuk
E,
Xu
X,
Teumer
A,
Evangelou
E,
Schnabel
RB,
et
al. White
Blood
Cells
and
Blood
Pressure:
a
mendelian
randomization
study. Circulation. (2020)
141:1307–
17. doi: 10.1161/CIRCULATIONAHA.119.045102 35. Maestrini
I,
Strbian
D,
Gautier
S,
Haapaniemi
E,
Moulin
S,
Sairanen
T,
et
al. Higher
neutrophil
counts
before
thrombolysis
for
cerebral
ischemia
predict
worse
outcomes. Neurology. (2015)
85:1408–16. doi: 10.1212/WNL.0000000000002029 36. Qu X, Shi J, Cao Y, Zhang M, Xu J. Prognostic value of white
blood
cell
counts
and
c-reactive
protein
in
acute
ischemic
stroke
patients after intravenous thrombolysis. Curr Neurovasc Res. REFERENCES (2018) 15:10–
7. doi: 10.2174/1567202615666180326101524 The remaining 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. 37. Fiorelli M, Bastianello S, von Kummer R, del Zoppo GJ, Larrue V, Lesaffre
E, et al. Hemorrhagic transformation within 36 hours of a cerebral infarct:
relationships with early clinical deterioration and 3-month outcome in the
European Cooperative Acute Stroke Study I (ECASS I) cohort. Stroke. (1999)
30:2280–4. doi: 10.1161/01.STR.30.11.2280 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. 38. Semerano A, Strambo D, Martino G, Comi G, Filippi M, Roveri L, et
al. Leukocyte counts and ratios are predictive of stroke outcome and
hemorrhagic complications independently of infections. Front Neurol. (2020)
11:201. doi: 10.3389/fneur.2020.00201 39. Strbian D, Karjalainen-Lindsberg ML, Kovanen PT, Tatlisumak T, Lindsberg
PJ. Mast cell stabilization reduces hemorrhage formation and mortality after
administration of thrombolytics in experimental ischemic stroke. Circulation. (2007) 116:411–8. doi: 10.1161/CIRCULATIONAHA.106.655423 Copyright © 2022 Barow, Quandt, Cheng, Gelderblom, Jensen, Königsberg, Boutitie,
Nighoghossian, Ebinger, Endres, Fiebach, Thijs, Lemmens, Muir, Pedraza, Simonsen,
Gerloffand Thomalla. 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. 40. Semerano
A,
Laredo
C,
Zhao
Y,
Rudilosso
S,
Renu
A,
Llull
L,
et
al. Leukocytes,
collateral
circulation,
and
reperfusion
in
ischemic
stroke
patients
treated
with
mechanical
thrombectomy. Stroke. (2019)
50:3456–64. doi:
10.1161/STROKEAHA.119.02
6743 June 2022 | Volume 13 | Article 877367 Frontiers in Neurology | www.frontiersin.org 9
|
https://openalex.org/W4387813209
|
https://ciencialatina.org/index.php/cienciala/article/download/8015/12142
|
es
|
Avances en la Comprension y Tratamiento de la Migraña
|
Ciencia latina
| 2,023
|
cc-by
| 3,882
|
Ciencia Latina Revista Científica Multidisciplinar
Septiembre-Octubre, 2023, Volumen 7, Número 5
https://doi.org/10.37811/cl_rcm.v7i5.8015
Avances en la Comprension y Tratamiento de la Migraña
Edinson David Quiroz Sanabria1
edinsonquiroz31@gmail.com
https://orcid.org/0009-0004-0427-5535
Universidad de Santander
Maria del Carmen Arevalo Vides
mariaarevalovides@gmail.com
https://orcid.org/0009-0005-9945-6060
Universidad de Santander
RESUMEN
La migraña es una enfermedad incapacitante que afecta aproximadamente al 15% de la población
predominando en el sexo femenino, siendo generada de forma multifactorial y viéndose
involucrado el aspecto genético en algunos casos. A pesar de los avances científicos en este campo
aún no se ha definido el mecanismo fisiopatológico preciso que la explique completamente por
lo que se comprenden diversas teorías. Su manejo comprende desde medidas generales y fármacos
sintomáticos, hasta tratamiento preventivo de acuerdo a su nivel de recurrencia. En el momento
se han dado avances con anticuerpos monoclonales los cuales han conseguido buenos resultados
demostrando mayor eficacia y tolerabilidad comparadas con los preventivos orales por lo que
pueden suponer una gran alternativa para futuras dianas terapéuticas.
Palabras clave: migraña; fármacos; recurrencia; anticuerpos monoclonales.
1 Autor Principal
Correspondencia: edinsonquiroz31@gmail.com
pág. 4087
Advances In the Understanding and Treatment of Migraine
ABSTRACT
Migraine is a disabling disease that affects approximately 15% of the population, predominantly
female, and is generated in a multifactorial manner and the genetic aspect is involved in some
cases. Despite scientific advances in this field, the precise pathophysiological mechanism that
completely explains It hasn't yet been defined, which is why various theories are understood. Its
management ranges from general measures and symptomatic drugs to preventive treatment
according to its level of recurrence. At the moment there have been advances with monoclonal
antibodies which have achieved good results demonstrating greater efficacy and tolerability
compared to oral preventives, which is why they can be a great alternative for future therapeutic
targets.
Keywords: migraine; drugs; recurrence; monoclonal antibodies.
Artículo recibido 18 agosto 2023
Aceptado para publicación: 20 setiembre 2023
pág. 4088
INTRODUCCIÓN
La migraña es una entidad clínica que ha desconcertado a médicos y pacientes durante siglos
debido a su compleja naturaleza y a su impacto significativo en la calidad de vida. Se clasifica
como un tipo cefalea primaria sin lesión estructural macroscópica donde el dolor de cabeza
pulsátil e intenso es el único o principal síntoma cuya duración es variable y afectando
generalmente un lado de la cabeza acentuándose en región la periocular (1,2). Según los
resultados del último estudio Global Burden Disease, la migraña sigue siendo la segunda causa
de discapacidad en el mundo y la primera entre las mujeres jóvenes (3,5), representando alrededor
de un quinto de las consultas al servicio de neurología, por lo que dado su afectación en relación
a calidad de vida se debe brindar un manejo adecuado y ser tratada de forma integral ya que a
pesar de ser una de las enfermedades neurológicas más comunes y que afectan más la calidad de
vida aún presenta desafíos en términos de diagnóstico preciso y manejo efectivo.
Afortunadamente la investigación en este campo ha experimentado avances notables en las
últimas décadas, con un enfoque cada vez mayor en el desarrollo de estrategias terapéuticas más
eficaces y en la identificación de factores de riesgo, por ejemplo en 2018 se realizó la
Clasificación Internacional de las Cefaleas (CIC) (4) justo 30 años después de su primera edición,
delimitando sus subtipos clínicos e impulsándose en su totalidad en datos probatorios. Esta
revisión tiene como objetivo proporcionar una visión general de la última década de los avances
en cuanto a las migrañas, desde su fisiopatología hasta su diagnóstico y opciones de tratamiento.
Se basa en una revisión exhaustiva de la literatura científica disponible, que abarca desde estudios
clínicos hasta investigaciones básicas en neurociencia.
MATERIALES Y MÉTODOS
Para este documento se realizó una revisión sistemática en bases científicas como: PubMed,
Scielo, google académico, Elsevier, entre otras. Se seleccionaron artículos en inglés, castellano
y portugués para la selección de los artículos entre los años 2013 al 2023 y se tuvo en cuenta el
uso de palabras como: migraña, fisiopatología, anticuerpos y tratamiento. Se identificaron 94
publicaciones originales y de revisión relacionada a la temática estudiada, de los cuales se
tomaron 26 artículos, cumpliendo con los criterios de inclusión tales como: artículos publicados
pág. 4089
en un año no menor a 2013, artículos de texto completo y que brindaran información de la
temática. Se descartaron artículos con información insuficiente en los cuales no se evidenciaban
textos completos durante su revisión.
DISCUSIÓN Y RESULTADOS
Epidemiología
Para contextualizar adecuadamente la importancia de las migrañas en el ámbito de la salud
pública, es esencial comprender su prevalencia. Según la Organización Mundial de la Salud
(OMS), las migrañas afectan a aproximadamente el 15% de la población mundial, lo que las
convierte en una de las principales causas de discapacidad en todo el mundo (5). El sexo y la edad
tienden a ser un factor importante en la presentación de esta enfermedad debido a que en la edad
pediátrica es infrecuente padecerla, siendo en la pubertad donde se aumenta la incidencia en el
sexo femenino por alteraciones hormonales propias de la edad (6).
Debido a que el diagnóstico de la cefalea primaria es meramente clínico según CIC, se dificulta
plantear estudios de prevalencia de migraña. Por ello, para realizar un estudio de prevalencia en
el campo de las cefaleas se debe llevar a una base poblacional basándose en la CIC, definiendo la
especificidad y sensibilidad del instrumento que se usa y permitiendo determinar la prevalencia
por edad, sexos y enfermedades asociadas (7).
Etiología
La migraña posee diversos factores que influyen en su aparición siendo el componente genético
uno de los más importantes; se ha demostrado que la variación de genes condiciona a su aparición
como sucede en el caso de la migraña hemipléjica familiar (FHM), donde el gen CACNA1A da
lugar a la MHF1 (Migraña Hemipléjica Familiar tipo 1), este gen codifica la subunidad alfa-1A
del canal de calcio voltaje-dependiente tipo P/Q encontrado en brazo corto de cromosoma 19, su
alteración conlleva a un aumento en la probabilidad de la hiperexcitabilidad neuronal medida por
glutamina debido a la apertura de la bomba (8,9,10); la mutación del gen ATP1A2 da lugar a
MHF2 (Migraña Hemipléjica Familiar tipo 2), este gen codifica un catalizador de la subunidad
alfa 2 de sodio / potasio ATPasa y se encuentra en el cromosoma 1q23, su alteración conlleva a
la perdida de la función del catalizador dando lugar a una alteración electroquímica que termina
pág. 4090
en la disfunción de la receptación del glutamato (9), y por último el MHF3 (Migraña Hemipléjica
Familiar tipo 3), es producido por mutaciones en el gen SCN1A, que codifica la subunidad alfa 1
transmembrana de los canales sodio neuronales dependientes que desencadena una alteración en
la excitabilidad neuronal debido a la reducción de las corrientes de sodio (10). También se aclara
que se presenta una entidad llamada migraña hemipléjica esporádica con características similares
clínicamente a MHF pero sin asociación familiar, principalmente se ha asociado con ATP1A2
aunque también se han descrito otros genes (2,11). Al parecer la migraña puede ser una expresión
fenotípica de cambios genéticos que se presentan por interacciones con factores ambientales.
Estilo de vida
Es un factor modificable para cualquier enfermedad, hay factores específicos asociados al estilo
de vida que se comportan como desencadenantes para la migraña como cerveza, vino, alimentos
ricos en nitratos y nitritos. En este apartado, toma relevancia el consumo de cafeína la cual
provoca un estado pronociceptivo y de hiperexcitabilidad cortical que puede exacerbar una
cefalea primaria (12,13). Un estilo de vida sedentario asociado a obesidad incrementa el riesgo
hasta 5 veces de padecer migraña y predisponer a su cronicidad (10,13). El estrés, depresión y
ansiedad son factores predisponentes a presentación crónica de migraña siendo incluso una
relación bidireccional, todo mediado por la tensión muscular a la que son sometidos y la liberación
de sustancias químicas que pueden terminar en alteración del patrón del sueño, lo cual desempeña
un papel fundamental aumentando la frecuencia o agravando la migraña como se ve reflejado en
estudio realizado en Brasil en 2014, donde se tomaron 31 mujeres de muestra arrojando como
resultado que el 100% de las mujeres con migrañas presentan estrés y que el 31,25% de las
mujeres que sufren de migrañas tienen un nivel moderado de estrés lo cual cambar o tratar estos
factores pueden mejorar la calidad de vida en pacientes migrañosos. (15)
pág. 4091
Principales factores desencadenantes de la migraña tomado de: Pascual J, cefalea y migraña. Medicine.
2019;12(71):4145-5
Fisiopatología subyacente
La comprensión de la fisiopatología de las migrañas ha avanzado significativamente en los
últimos años. Tradicionalmente, se creía que las migrañas eran un trastorno vascular, pero
investigaciones más recientes han arrojado luz sobre los mecanismos neurogénicos involucrados.
La liberación de péptidos vasoactivos, como la sustancia P, y la activación de vías nociceptivas
en el sistema nervioso central son aspectos clave de esta enfermedad (11,13,14). Todo esto
desencadena en una cascada de eventos que incluyen dilatación e inflamación de los vasos
sanguíneos cerebrales lo que provoca el dolor y otros síntomas característicos de la migraña. A
medida que profundizamos en la fisiopatología de las migrañas, también hemos identificado
factores desencadenantes clave, que van desde el estrés hasta los cambios hormonales, que pueden
iniciar o desencadenar episodios de migraña. Aunque se han realizado avances significativos en
la comprensión de su fisiopatología, la migraña sigue siendo un campo de investigación activo y
en evolución.
pág. 4092
Diagnostico
Por medio de la clínica se realiza el diagnóstico definitivo de la migraña, con la realización de
una adecuada anamnesis donde es fundamental los antecedentes personales y familiares, síntomas
y la exploración física. La migraña se manifiesta en crisis o ataques episódicos y en sus intervalos
el paciente se encuentra asintomático. Generalmente las crisis son de inicio entre las dos primeras
décadas de la vida, siendo infrecuente por encima de la quinta década de la vida.
Aproximadamente dos tercios de los pacientes con migraña indican presentar síntomas
prodrómicos ya sean inhibitorios como lentitud mental, astenia, adinamia o anorexia, o bien sean
excitatorios como irritabilidad o euforia (16).
La migraña comprende cuatro frases y cada una de ellas comprende unos síntomas características
siendo así:
Fase premonitoria
Esta fase puede iniciar hasta 3 días antes de la cefalea, presentando diversos síntomas que abarcan
desde cambios anímicos como hiperactividad o lentitud mental, alteración cognitiva, trastornos
en el apetito, alteraciones sensoriales, mareo, sudoración, cambios en temperatura corporal, etc.
Aunque estos síntomas pueden estar presentes en el inicio de fase de aura (9,16, 17)
Fase de aura
En varios de los casos la fase migrañosa es precedida por síntomas neurológicos experimentando
lo llamado aura, normalmente es desarrollado en un tiempo de 5-20 minutos (16) y son reversibles
en máximo de 60 minutos, más del 90% de las auras tiene un componente visual y casi dos tercios
de los pacientes con migraña tienen auras con sintomatología visual aislada (16,17). Entre los
síntomas visuales presentados pueden ser síntomas positivos, distorsión de la forma de objetos,
teicopsia, alucinaciones visuales, etc (18). En algunos casos también se puede presentar cambios
conductuales e incluso delirium aunque no suelen ser comunes (19).
Fase de migraña
Característicamente se presenta un dolor progresivo, pulsátil e intenso en región hemicraneal que
se puede acentuar en región periocular y que generalmente se asocia a síntomas disautonomicos
náuseas, vómitos, fotofobia, fonofobia, dificultad para concentrarse, cervicalgia, entre otros. (9)
pág. 4093
Fase resolución
La cefalea disminuye progresivamente. Su duración es variable llegando incluso a días. Sus
síntomas comunes van desde anorexia, mareo, astenia, adinamia, cambios sensitivos. (6)
De los distintos subtipos, la migraña sin aura es la más común siendo sus criterios según la IHS:
1. Al menos 5 crisis que cumplan todos los criterios 2 a 4.
2. Crisis de cefalea que duran de 4 a 72 horas (sin tratamiento o sin éxito).
3. El dolor de cabeza tiene al menos dos de las siguientes características:
• Unilateral • Carácter pulsátil • Dolor moderado o intenso •Se agrava al realizar actividades
físicas habituales (por ejemplo, caminar o subir escaleras) o se evita hacer esas actividades.
4. Durante el dolor de cabeza al menos uno de los siguientes:
• Náuseas, vómitos o ambos • Fotofobia y fonofobia.
5. No se explica mejor por otro diagnóstico ICHD-3.
El aura se presenta hasta en un 30% de los pacientes con migraña siendo los criterios diagnósticos
de migraña con aura típica según la clasificación de la IHS (International Headache Society)
1. Al menos dos crisis que cumplen los criterios 2 y 3
2. Uno o más de los siguientes síntomas de aura totalmente reversibles
2.1 Visuales 2.2 Sensitivos 2.3 Habla y/o lenguaje 2.4 Motores 2.5 Troncoencéfalo 2.6
Retinianos
3. Al menos tres de las siguientes seis características
3.1 Progresión gradual de al menos uno de los síntomas del aura durante un periodo de ≥ 5
minutos, y/o dos o más síntomas se presentan consecutivamente
3.2 Cada síntoma individual del aura tiene una duración entre 5 y 60 minutos
3.3 Al menos uno de los síntomas del aura es unilateral
3.4 Al menos un síntoma del aura es positivo
3.5 El aura se acompaña, o se sigue antes de 60 minutos, de cefalea
4. Sin mejor explicación por otro diagnóstico
La complicación más frecuente de la migraña es su cronicidad siendo los criterios diagnósticos
de la migraña crónica según la clasificación IHS:
pág. 4094
1. Cefalea (tipo tensional o migrañoso) durante un periodo de 15 o más días al mes durante más
de 3 meses que cumple los criterios 2 y 3
2. Aparece en un paciente que ha sufrido al menos cinco crisis que cumplen los criterios 2-4 para
la migraña sin aura y/o criterios 2 y 3 de la migraña con aura
3. Durante un periodo de 8 o más días al mes por espacio de más de 3 meses cumple cualquiera
de los siguientes
1. Criterios 3 y 4 para la migraña sin aura
2. Criterios 2 y 3 para la migraña con aura
4. En el momento de la aparición el paciente cree que es migraña, y se alivia con triptán o
derivados ergóticos
5. Sin mejor explicación por otro diagnóstico
Tratamiento
En medidas generales se deben realizar cambios en los factores modificables que desencadenan
las crisis migrañosas, dentro de los cuales se encuentran: Patrón del sueño, alimentación
saludable, terapia psicológica y ejercicio. Adicionalmente, se debe establecer un tratamiento
sintomático de acuerdo con la intensidad de la crisis y en algunos casos tratamiento preventivo
(1,13,16). Recordemos que aunque no se cuenta con un tratamiento definitivo para la migraña, el
manejo está orientado a mejorar la calidad de vida de quienes lo presentan.
Tratamiento sintomático
Se dispone de una amplia gama de fármacos que se usan de acuerdo a la intensidad, frecuencia
de la crisis, sus síntomas asociados, comorbilidades y medicación crónica, por lo que se abarcan
AINES, antiepilépticos, antidepresivos, triptanes, betabloqueantes, antieméticos, entre otros. (13)
Los Aines Continúan siendo un pilar importante en el tratamiento de la crisis migrañosa, su
indicación se da principalmente en las crisis de leve a moderadas y asociarlos a antieméticosprocineticos. A pesar de contar con una amplia gama de fármacos, no todos los AINEs cuentan
con eficacia demostrada para la migraña por lo que los más usados son el ácido acetilsalicílico,
naproxeno, ibuprofeno, diclofenaco (nivel de evidencia I, grado de recomendación A) y el
dexketoprofeno trometamol (nivel de evidencia II, grado de recomendación B) (20).
pág. 4095
Tratamiento preventivo
El tratamiento sintomático de la migraña es insuficiente, por lo que hasta el 25% de los pacientes
requieren tratamiento preventivo. Se indica cuando los ataques afectan la calidad de vida; si la
frecuencia es mayor a 3 crisis/mes, pacientes con migraña crónica o si la crisis se asocia a
manifestaciones neurológicas. Tiene como objetivo principal reducir la severidad, duración y
frecuencia de las crisis. Lo más usado son los antidepresivos tricíclicos tipo amitriptilina o
inhibidores de recaptación de serotonina tipo fluoxetina, anticonvulsivos tipo ácido valproico y
los beta bloqueadores como propanolol. (13)
Tratamiento abortivo
Los triptanes son una clase de medicamentos diseñados específicamente para el tratamiento de
migraña, actúan reduciendo la inflamación de los vasos sanguíneos cerebrales y bloquear la señal
de dolor al unirse a los receptores de serotonina. Sin embargo se recomienda precaución en su
uso debido a la inducción de sensibilización central lo que puede generar el uso excesivo de
medicamentos. Los triptanes se pueden dividir en dos grupos. El primer grupo incluye el
zolmitriptán y sumatriptán, que tienen un inicio más rápido pero una mayor taza de recurrencia.
El otro grupo incluye naratriptán y frovatriptán que presentan mejor tolerancia. (21)
Terapia de rescate en la crisis migrañosa adaptado de: Buonanotte C, Buonanotte M. Migraña. Neurología Argentina.
2013; 5(2): 94-100
pág. 4096
Tratamiento quirúrgico
La cirugía para el control de la migraña o de descompresión pericraneal de nervios de puntos
desencadenantes es un procedimiento seguro que se basa en la descompresión de alguno de los
siete puntos gatillo de compresión nerviosa distribuidos en cuatro áreas periféricas principales.
Los pacientes se seleccionan luego de un diagnóstico de migraña crónica realizado por el
neurólogo y/o tras el fracaso del tratamiento médico conservador. La tasa promedio de éxito de
la cirugía (eliminación o reducción de al menos 50% de los síntomas), se ha acercado a casi el
90%. (22,23)
Tratamiento no farmacológico
Son coadyuvantes para el tratamiento farmacológico necesario donde se incluye el ejercicio
aeróbico, acupuntura, estimulación nerviosa eléctrica transcutanea. De igual forma el identificar
y evitar los factores desencadenantes asociándose a un estilo de vida saludable es indispensable
para disminuir la frecuencia de aparición de la migraña.
Avances en el manejo de la migraña
En la última década se han producido importantes avances científicos en el conocimiento de la
fisiopatología de la migraña lo cual ha permitido el desarrollo de varios anticuerpos monoclonales
frente al péptido regulador del gen de la calcitonina (CGRP) o su receptor los cuales se expresan
en un subgrupo de pequeñas neuronas y está ampliamente distribuido en el sistema nervioso,
particularmente en estructura anatómicas implicadas en la fisiopatología de la migraña,
incluyendo el sistema trigeminovascular: estos anticuerpos son el erenumab, galcanezumab,
fremanezumab y más recientemente eptinezumab (24). Los anticuerpos anti-CGRP son prescritos
el paciente tiene más de cuatro de crisis de migraña cada mes incluso la European Headache
Federation dado que estos fármacos están demostrando mayor eficacia y tolerabilidad
comparados con los preventivos orales, ha actualizado las guías de tratamiento y recomienda que
los anticuerpos monoclonales anti-CGRP sean considerados una opción terapéutica de primera
línea. (25) En el momento se continúa con estudios de farmacovigilancia con el fin de lograr una
alternativa terapéutica para el manejo de la migraña diferente a su tratamiento tradicional.
pág. 4097
CONCLUSIÓN
A lo largo de este artículo hemos explorado los intrincados aspectos de la migraña, desde su
etiología hasta las estrategias de manejo efectivas. La migraña es una enfermedad neurológica
crónica que puede llegar a afectar profundamente la calidad de vida de quien la padece por lo que
se ha convertido en un tema de investigación activa en la comunidad médica. A través de la
comprensión de su fisiopatología se han desarrollado enfoques más específicos y personalizados
para su tratamiento; en el ámbito del manejo clínico, se destaca la importancia de un enfoque
multifacético que abarque desde la identificación de los factores desencadenantes hasta las
opciones farmacológicas y no farmacológicas disponibles. Los triptanes en particular han
demostrado ser un pilar esencial en el tratamiento agudo de la migraña. A medida que se continúa
con la investigación de la migraña, surgen nuevas esperanzas para tratamientos específicos y
personalizados. Sin embargo es esencial que el personal en salud trabaje en colaboración con los
pacientes para desarrollar planes de manejo adaptados a las necesidades individuales.
La migraña sigue siendo un desafío clínico y científico apasionante. A medida que avanzamos en
la comprensión de su fisiopatología y en la aplicación de tratamientos efectivos se espera abrir
nuevas perspectivas para aquellos que presentan esta afección, con la visión de un futuro donde
la migraña pueda manejarse de manera más precisa logrando una mejor calidad de vida.
REFERENCIAS BIBLIOGRÁFICAS
Straube A, Andreou A. Primary headaches during lifespan. J Headache Pain. 2019; 20(1):7
Gasparini CF, Smith RA, Griffiths LR. Genetic and biochemical changes of the
serotonergic system in migraine pathobiology. J Headache Pain. 2017; 18(1): 20.
Aguilar-Shea AL, Membrilla Md JA, Diaz-de-Teran J. Migraine review for general practice. Aten
Primaria. 2022 Feb;54(2):102208
Headache Classification Committee of the International Headache Society (IHS). The
International Classification of Headache Disorders, 3rd edition. Cephalalgia.
2018;38:1-211
pág. 4098
GBD 2015 Neurological Disorders Collaborator Group. Global, regional, and national burden of
neurological disorders during 1990-2015: A systema-tic analysis for the Global Burden
of Disease Study 2015. Lancet Neurol.2017;16:877–97.
MacGregor EA. Diagnosing migraine. J Fam Plann Reprod Health Care. 2016; 42(4): 280‐286.
Navarro-Pérez MP, Marín-Gracia M, Bellosta-Diago E, Santos-Lasaosa S. Epidemiología de la
migraña en España y Latinoamérica . Rev Neurol 2020;71 (03):110-118
Bolay H, Vuralli D, Goadsby PJ. Aura and Head pain: relationship and gaps in the translational
models. J Headache Pain. 2019; 20(1): 94.
Goadsby PJ, Holland PR, Martins-Oliveira M, Hoffmann J, Schankin C, Akerman S.
Pathophysiology of Migraine: A Disorder of Sensory Processing. Physiol Rev. 2017; 97(2): 553‐
622
Colina A, Montufar M, Migraña hemipléjica familiar: diagnósticos diferenciales y revisión de la
literatura. Reporte de caso. Avances en Biomedicina, vol. 7, núm. 1, pp. 64-69, 2018
Gasparini CF, Sutherland HG, Griffiths LR. Studies on the pathophysiology and genetic
basis of migraine. Curr Genomics. 2013; 14(5): 300–315
Espinosa Jovel C, Sobrino Mejía F. Caffeine and headache: specific remarks. Elsevier.
2014;(6):394-398
Solano Mora A, Ramirez Vargas X, Solano Castillo A, Actualización en migraña. Revista Médica
Sinergia Vol.5 Num:4 , Abril 2020
Benavides D, Rodriguez L, Restrepo J, Vargas B D. Fisiopatología de la migraña: Teoría vascular,
¿Cierta o no?. Acta Neurológica Colombiana. 2015;31(1):84-91
Mascella, Vivian, Vieira, Nádia, Beda, Luiz Carlos, & Lipp, Marilda Emmanuel Novaes. (2014).
Stress, sintomas de ansiedade e depressão em mulheres com dor de cabeça. Boletim Academia Paulista de Psicologia, 34(87), 407-428.
Pascual J, cefalea y migraña. Medicine. 2019;12(71):4145-5
Gago-Veiga AB, Vivancos J, Sobrado M. The premonitory phase: A crucial stage in
migraine. Neurologia. 2017; S0213-4853(17)30359-6.
pág. 4099
Uribe Olivares RA. Fisiopatología la ciencia del porqué y el cómo. 1ª ed. Barcelona: Elsevier;
2018
Buonanotte C, Buonanotte M. Migraña. Neurología Argentina. 2013; 5(2): 94-100
Osorio D, Toro J, Giraldo N, Vargas L, Machado J, Castrillon J. Profilaxis en la Migraña:
Descripción de la Prescripción en un Primer Nivel de Colombia. Revista Ecuatoriana
de Neurología / Vol. 29, No 1, 2020
Vila-Pueyo M. Targeted 5-HT1F Therapies for Migraine. Neurotherapeutics. 2018; 15(2):291‐
303.
Pereira C N, Janis J. Migraña: efectividad del tratamiento quirúrgico. Revisión de la
literatura.Thieme Publishing. 2019;(6):578-584.
Beas R, Hochman M, Mascareño A, Montalvo C, Salamanca M, Hoyle C. Surgery for control of
migraine. An Orl Mex 2018 octubre-diciembre;63(4):165-172
S. Santos-Lasaosa, R. Belvís, M.L. Cuadrado, S. Díaz-Insa, A. Gago-Veiga, A.L. Guerrero-Peral,
et al. Calcitonin gene–related peptide in migraine: from pathophysiology to treatment
CGRP en migraña: de la fisiopatología a la terapéutica. Neurologia (Engl Ed)., 37
(2022), pp. 390-402
S. Sacco, F.M. Amin, M. Ashina, L. Bendtsen, C.I. Deligianni, R. Gil-Gouveia, et al. European
Headache Federation guideline on the use of monoclonal antibodies targeting the
calcitonin gene related peptide pathway for migraine prevention-2022 update.
Irimia P, Belvis R, Garcia N, Garcia J, Lainez J. Inequidad de acceso a los nuevos tratamientos
para la migraña. Elsevier. 2022.
pág. 4100
|
|
W2528343270.txt
|
https://equityhealthj.biomedcentral.com/track/pdf/10.1186/s12939-016-0457-y
|
en
|
Health inequalities research in India: a review of trends and themes in the literature since the 1990s
|
International journal for equity in health
| 2,016
|
cc-by
| 5,194
|
Bhan et al. International Journal for Equity in Health (2016) 15:166
DOI 10.1186/s12939-016-0457-y
REVIEW
Open Access
Health inequalities research in India: a
review of trends and themes in the
literature since the 1990s
Nandita Bhan1*, Krishna Dipankar Rao2 and Shivani Kachwaha3
Abstract
Background: Research on health inequalities can be instrumental in drawing attention to the health of
socioeconomically vulnerable groups in India in the context of rapid economic growth. It can shape the
dialogue for public health action, emphasizing the need for greater investments in health, and monitor
effectiveness of health programs. Our objective was to examine trends in studies on health inequalities in
the last 25 years.
Methods: We conducted a systematic literature review of studies on health inequalities published from 1990.
The year, 1990, marked the beginning of economic reforms and liberalization in India. We searched PubMED
using key terms to identify 8800 articles between 1990 and 2016; we identified 1,312 final studies for review.
Key domains of analysis included measures of equity, health outcomes, populations studied, year of
publication, study methodology, study focus (descriptive versus analytical), and location of main author.
Results: We found an increase in studies on health inequalities after 2005. About 88 % of the studies utilized
quantitative methods for analysis. About 8 % of the studies related to health interventions or programs; the
number of intervention studies have been increasing since 2010. A majority of studies were led by authors
based in India. Early studies focused on mortality, communicable and non-communicable diseases, and nutrition, while
later studies have focused on non-communicable diseases, mental health, risk factors, and injuries. Studies on women
and children comprised nearly half of the literature; studies on the youth (15–24 years or as defined by the study) and
elderly have been rising. Wealth and income were the most common measures of equity, followed by education and
gender. The proportion of studies on wealth, education, region and caste have stayed consistent over time, while
studies on gender disparities have been rising.
Conclusion: In a country as diverse as India with large social inequalities combined with rapid economic growth,
research on health inequalities has a special significance for policy. We recommend that studies on health
inequalities in the future focus on evaluations of policy and health programs, and on underrepresented health
outcomes and populations.
Keywords: Health inequalities, Equity, Socioeconomic status, Social gradient, India
* Correspondence: nandita.bhan@phfi.org
1
Public Health Foundation of India, New Delhi, India
Full list of author information is available at the end of the article
© 2016 The Author(s). 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.
Bhan et al. International Journal for Equity in Health (2016) 15:166
Background
Research on health inequalities has been instrumental
in drawing attention to the health of socially and economically vulnerable groups in India. It has shaped the
dialogue for public health action, emphasized the need
for greater and targeted investments in health, and can
be an important marker for the effectiveness of public
health services [1–5]. Importantly, health inequalities
research enriches our understanding of societal disparities in health and healthcare, moving away from a narrow focus on income to include markers of deprivation
like gender, caste, religion and occupation that afflict
health and the quality of life. Research on health inequalities has now become one of the central pillars of the
development dialogue [6–9]. This research profoundly influences health policy; the recent call for universal health
coverage (UHC) represents the latest effort to reduce
health disparities globally and in India [8, 10–12].
Prior to the 1980s, few studies investigated health inequalities. There may be several reasons for this. Postindependence, the focus of health policy was increasing
the coverage of health services and hence, research focused on the delivery of basic health services. Philosophical debates on nation-building and the role of modern
medicine also led to a shift from investigations of the role
of caste, religion and ethnicity [13, 14]. Socioeconomic
stratifiers were considered ‘shackles’, holding India back
from modernization [15, 16]. This vision and the recommendations of the Bhore Committee led to a number of
clinical research studies [17]. The Bhore committee was
set up in 1943 under Sir Joseph Bhore to make recommendations on improving public health system in India.
The report envisioned a national health system that was
tax funded and publicly run along the lines of the Beveridge model adopted in the United Kingdom. At the other
end, social science studies were mainly investigating
micro-perspectives and health practices of specific cultural groups leading to village studies, anthropological
assessments and historical analyses [18–24].
In 1964, the Indian Journal for Medical Research
(IJMR), a bi-annual journal of the ICMR, was turned to
a monthly publication, increasing the scope for publishing more studies. Until then, few research journals
published health studies and research and training in
public health was the domain of physicians and departments of community medicine within medical colleges
[25]. However, most published studies were clinical and
the objective was to identify new clinical conditions
and issues in different parts of India. Few studies focused on assessing health inequalities. The policy
sphere was also devoid of discussion on health inequalities. Different governmental committees were engaged
in evaluating health service delivery and improving
coverage of health services [26–28].
Page 2 of 8
A series of global and national events brought health
inequalities on the policy radar. The Alma Ata ‘Health
for All’ declaration emphasized the significance of primary
health care for reducing health disparities [29]. People’s
movements for health highlighted multiple deprivations
faced by vulnerable groups globally. In Brazil, for instance,
after 20 years of political dictatorship, movements for
health as a fundamental right led to a constitutional
amendment in 1988, based on the principle of reducing
health disparities through a responsive public health infrastructure [30]. In India, the focus of research in the
1980s was on family planning, reproductive health and
child survival [31–34]. Policy emphasis on the role of
women in reducing health disparities in reproductive
and child health led to mainstreaming of gender in research [35, 36]. Gender and poverty were considered the
structural determinants of health inequalities in maternal
and child health. Health inequalities research also received
a push with the WHO Commission on Social Determinants of Health (CSDH) [37, 38]. This commission emphasized the importance of systematically investigating
the role of social inequalities, particularly living conditions, for health.
Social and political movements also played an important
role in highlighting inequalities. The landmark report on
gender, ‘Towards Equality’, highlighted socioeconomic
challenges faced by women in diverse domains of life [39].
Poverty and education have been central to Indian public
policy and health [40–50]. Low rates of education among
women was considered a major barrier in achieving health
goals [2, 31]. Movements related to caste, region and religion have also contributed to improving our understanding of inequalities [51–53].
Developments in health education, particularly the setting up of departments of preventive and social medicine
in medical schools and health electives in other courses
such as in social work built capacity for research on
health inequalities in India [25]. Training and course
development in these streams improved capacity for
conducting field epidemiological studies. Early studies
on the health burden emerged from surveillance sites
set up by independent research groups affiliated to universities. The Indian Association of Preventive and Social
Medicine (IAPSM) (1974) and launch of the Indian Journal of Community Medicine (IJCM) enhanced avenues for
discussion and publication of research on health issues
and the scope of training and research in these institutes.
A paradigm shift for research on health inequalities in
India was seen with public availability of survey data. A
Ministry for Statistics and Program Implementation had
been set up shortly after independence to plan and conduct decennial census, population surveys and surveillance studies. However, for decades only few statistics
were available in the public domain and raw data could
Bhan et al. International Journal for Equity in Health (2016) 15:166
not be acquired. The National Sample Survey Organization
(NSSO) provided the first national level assessments of selfreported health and health care data on a cross-section of
social and policy themes. Nutrition surveys conducted by
the National Institute of Nutrition (NIN) gathered data on
food and nutrition; this data remains underutilized. In
the 1990s, the USAID funded the Demographic Health
Surveys (DHS), a multi country cross-sectional survey
focused on reproductive health and family planning
[54]. In India, this was referred to as the National Family
Health Survey and data are now available for three rounds
(1992–93, 1999–2000 and 2005–06). In the 1980s, the
national government also released the National Sample
Surveys (NSS) which collect data from households on
consumption, labor force participation and other key development themes [55]. Both these surveys led to a flurry
of studies on health inequalities as data became available
to both international and national researchers [56, 57].
These research studies have added depth and richness to
the understanding of health inequalities in India. While research on social inequalities including gender, caste, poverty
and education is conducted by social scientists, research on
health inequalities has been driven by cross-disciplinary
groups of epidemiologists and social science scholars.
The main objective of this study was to examine the
direction of health inequalities research in India over the
last three decades to understand key patterns, themes
and trends. With this research question, we conducted
a review of published peer-reviewed studies on health inequalities in India to understand the issues examined
and key gaps in present research.
Methods
In this study, we reviewed published studies to examine
trends in health inequalities research in India since 1990,
which marked the onset of economic reforms in India.
We describe the populations in focus, main methods utilized, health outcomes studied and measures of equity
used in the research on health inequalities in India.
Search
We conducted a systematic literature search on PubMED,
the database of the US National Library of Medicine for
research on health inequalities published between 1990
and 2016. PubMED is a widely used online bibliographic
database for public health and medicine and indexes a
large number of international and national journals. We
considered publications from 1990 onwards for two reasons. Firstly, 1990 marked the beginning of economic
reforms in in India which has implications for equity in
health and healthcare. Additionally, the period from 1990
to 2016 covers a time period of more than 25 years of
research publications. Databases were searched using
the terms: ‘India’, ‘health status disparities’, ‘healthcare
Page 3 of 8
disparities’, ‘health services needs and demand’, ‘social
justice’, ‘social marginalization’, ‘poverty’, ‘socioeconomic
factor’, ‘social class’, ‘ethnic groups’, and ‘minority health’.
We followed relevant aspects of the PRISMA guidelines
for the literature search, for defining key aspects of the
study methodology and in drafting the manuscript.
Study selection
We used search terms to review and identify relevant
study abstracts. We included studies that reported single
or multiple types of health inequalities, studies on the burden of diseases reporting stratification by socioeconomic
factors, studies showing gender differences, multi country
studies that reported disparities for India and any other
studies of studies that included data on health inequalities.
We excluded duplicates, clinical studies, studies on the
burden of diseases that did not stratify by any socioeconomic or demographic factors, reviews, editorials or any
other studies of articles, studies on Indian populations in
other countries and studies showing differences in health
outcomes by age groups only.
Data extraction
Following this, information was extracted from identified
abstracts and full text studies. Domains of data extraction included information on year of publication, study
methodology, study focus (descriptive versus analytical),
location of main author, health outcomes of focus, population group and measures of socioeconomic disparity.
Summary measures
In particular, we examined population groups, health outcomes and measures of disparity in focus. Extracted data
was summarized into spreadsheet templates and results
were synthesized quantitatively.
Data items and synthesis of results
We classified studies into nine thematic sub-groups.
These included studies on mortality, communicable diseases, non-communicable diseases, mental health, injuries, health services, risk factors, malnutrition and others.
Key population groups considered by the study included
men, women, adults (i.e. men and women), child (including adolescents), youth (age group of 15–24 years
or as defined by the study), elderly and all populations
(for studies that did not specify a population group).
We classified measures of socioeconomic disparities
into geographical markers (rural, urban or states), income or wealth, occupation, education, religion, caste/
tribe, gender and access to water/sanitation. If studies
reported multiple socioeconomic markers, all of them
were recorded in the analysis.
Bhan et al. International Journal for Equity in Health (2016) 15:166
Results
A review of research published on health inequalities
between 1990 and 2016 yielded 8,800 abstracts of which
1,312 studies were relevant to this review (Fig. 1).
Publication trends over time
We found an increase in the research published on health
inequalities, especially after 2005 (Fig. 2). Our review shows
that of the studies published, more than 9 % were published between 1990 and 2000, and 90 % were published
between 2001 and 2016. Among the studies published, a
majority (75 %) were led by authors based in Indian institutions. The share of lead authors based at international
institutions was small but growing (Fig. 2). Studies led by
international researchers originated in developed nations
such as the United States of America (USA), United
Kingdom (UK), European Union (EU) countries (Germany,
France, Denmark, Sweden and Ireland) and Australia.
Research methods
More than 88 % of the studies identified by the review
used quantitative methods, with 4.1 % using qualitative
methods and 4.5 % using mixed methods. Over time, we
noted a decline in the proportion of qualitative and mixed
methods studies from 6.7 and 5.8 % respectively in the
1990s to 3.8 and 4.4 % respectively between 2000 and
2016. The proportion of quantitative studies increased
from 84 % in the 1990s to 89 % between 2000 and 2016.
Nearly 92 % of the studies were descriptive or comparative
in nature, with 7.9 % investigating the impact of health
interventions and programs. Since 2010, intervention
studies are on the rise.
Fig. 1 Review of Literature on Health Inequalities
Page 4 of 8
Health outcomes
Communicable and non-communicable diseases and malnutrition comprised the largest proportion of the research
literature (Fig. 3). Of the studies reviewed, 10.1 % examined disparities in communicable diseases, 16.2 % in noncommunicable diseases and 13.8 % focused on nutrition.
Studies on health services comprised 11.7 % of the total
studies reviewed and the category ‘Other’ comprised
12.2 %. Studies on risk factors comprised 8.8 % of the
reviewed studies. About 5.7 % of the studies focused on
mortality, 4.5 % on mental health and 4.6 % on maternal health.
Studies prior to 2000 focused on mortality, communicable and non-communicable diseases. Studies on mortality
declined after 2000 and studies on non-communicable
diseases started increasing between 2000 and 2016. We
did not find any studies on injuries or accidents prior to
2000, but between 2000 and 2016, 3 % of the studies examined injuries. Studies on mental health doubled from
2.5 % (1990–2000) to 5.2 % (2000–2016), while the proportion of studies on health services declined. The number of
studies on risk factors and nutrition increased between
2000 and 2016. Research on sexual health and dental
health emerged as defined areas from 2000 onwards comprising 3 % each of the total literature respectively.
Population groups
Nearly half of the published studies focused on women
and children (Fig. 4). About 20.3 % of the studies focused
exclusively on women, 24.6 % focused exclusively on children and 3.5 % examined outcomes for both women and
children. Studies on men comprised only 2.9 % of the total
Bhan et al. International Journal for Equity in Health (2016) 15:166
Page 5 of 8
Fig. 2 Published studies on health inequalities between 1990 and 2016 by country of lead author. *Note: Data for the year 2016 is till July only
studies and youth and elderly comprised 3.4 % and 3.2 %
of the literature respectively.
We noted three trends in the population groups studied
by the research literature. Firstly, we found a decline in
the proportion of studies on children from 41.7 % (1990–
2000) to 21.3 % (2010–2016). Secondly, we found that the
proportion of studies focused on all populations increased
from 5.1 % in 1990–2000 to 20.2 % in 2000–2016. This
may be attributed to diversification of study themes that
were earlier focused on maternal and child health. Finally,
we noted an increase in studies on youth and elderly.
Studies on elderly increased from none in the 1990s to
3.5 % in 2000–16. Studies on the youth populations increased from none in 1990s to 3.8 % in 2010–16.
Measures of equity
Income (including wealth) (61.2 %) was the most common
measure of equity for health disparities, followed by education (45.4 %) and gender (36.1 %) (Table 1). A substantial number of studies considered disparities based on
region, occupation and caste/tribe status. The importance
of wealth or income stayed consistent over time. The proportion of studies on education, income, region, caste
and religion also stayed consistent over time. Studies
Fig. 3 Distribution of Study Outcomes in the Health inequalities Research (1990–2016)
Bhan et al. International Journal for Equity in Health (2016) 15:166
Fig. 4 Distribution of Population Groups in the Health inequalities
research (1990–2016)
on gender disparities in health increased over time
from 33.3 % (1990–2000) to 38.1 % (2011 onwards).
Discussion
In a country as diverse as India with large social inequalities combined with rapid economic growth, research on
health inequalities has a special significance for policy.
The rapidly growing literature on health inequalities
further attests that. While health inequalities as a research
domain emerged from disciplines like demography,
economics and sociology, today it represents a large and
interdisciplinary field of study in health research. Studies
that show socioeconomic gradients have firmly established
health inequalities in the development discourses both
internationally and in India [46, 47, 56–60]. However, to
an extent research on health inequalities in India follows
international trends with local flavor.
We found that despite their gaps, research on health inequalities has systematically highlighted the large disparities
across health outcomes that exist in India [56, 57, 61–65].
Outcomes have extended beyond documented differences
in health outcomes across groups, to research on the
distribution of public subsidies and out of pocket payments
for health and impoverishment across socioeconomic
Table 1 Trends in Equity Measures Used in Health Inequalities
Research in India (1990–2016)
Disparity
measure
Total (%)
1990–2000 (%)
2000–10 (%)
2010–2016 (%)
Region
34.8
25.8
28.6
45.2
Income
61.2
48.3
55.3
72.2
Occupation
15.2
14.2
15.0
15.8
Caste/Tribe
12.9
15.8
11.9
13.6
Religion
8.8
10.8
7.9
9.5
Gender
36.1
33.3
35.2
38.1
Education
45.4
46.7
39.7
52.9
Note: Multiple measures of equity were present in many studies
Page 6 of 8
groups [61–65]. These studies have been widely used to
inform health policy and programs. We also found that
studies on interventions have also contributed to measuring how successful health programs have been in
reaching disadvantaged groups (and reducing health
disparities) [46]. Hence, health inequalities research has
also moved beyond documentation to become an important policy tool.
Our review of the literature on health inequalities in
the last 25 years provides insight into how the field of
research has evolved in India. The number of studies
has grown over time and this research has been led by
researchers based in India. A majority of studies conducted are quantitative, which shows the important role
of quantitative disciplines like epidemiology and economics in this research. The contribution of qualitative
studies at present remains largely untapped. We found
that a majority of studies were situational analyses with
few studies on health programs and interventions. Even
as the latter have played an important role for policy,
their potential for health inequalities research in evaluation of programs and policies remains underutilized.
The themes investigated in the literature on health inequalities also indicate the changing politics of health issues
in public health. We found that studies in the 1990s
focused on mortality, communicable and non-communicable
diseases and nutrition. However, in the latter period, noncommunicable diseases, health risk factors, mental health
and injuries acquired increasing importance. These patterns
broadly reflect shifts in public health priorities, globally
and in India. Studies on women and children have
dominated this research in India, attributed to policy
focus on reproductive and child health in public health
programs. Wealth has been the main socioeconomic
marker studied followed by education and gender. This
resonates largely with global practice. In the Indian context, caste/tribe status and religion occupy an important position as they capture sociocultural aspects of
disadvantage. However, in health inequalities studies,
their proportion remains low.
Conclusion
In a country as diverse as India with large social inequalities, research on health inequalities has a special significance for monitoring effectiveness of health policies and
programs. We recommend that future research in this
area focuses on evaluations of policies and health programs in order to ensure improved targeting towards
underserved populations. We also recommend that
future research focuses on underrepresented health areas
and populations.
Abbreviations
CSDH: Commission on Social Determinants of Health; DHS: Demographic
and Health Surveys; GATS: Global Adult Tobacco Survey; LMIC: Low and
Bhan et al. International Journal for Equity in Health (2016) 15:166
middle income countries; MICS: Multiple Indicator Cluster Survey; NCD: Non
communicable diseases; UHC: Universal Health Coverage
Acknowledgements
The authors would like to thank Arshima Dost, Radhika Arora, and Aasim
Khan for their help with the literature review.
Funding
The authors received no specific funding for this research and were not
funded under any fellowships at the time of the study.
Availability of data and materials
All data associated with this study are freely available and can be requested
from the authors as needed.
Authors’ contributions
KDR conceptualized the paper. NB and KDR jointly designed and analyzed
the study. NB and KDR contributed to different sections of the manuscript.
SK assisted with additional data analysis. NB drafted the final manuscript and
KDR and SK edited and provided comments. All authors read and approved
the final manuscript.
Competing interests
The authors declare that they have no competing interests.
Consent for publication
No issues anticipated.
Ethics approval and consent to participate
Not applicable.
Author details
1
Public Health Foundation of India, New Delhi, India. 2Johns Hopkins
University, Baltimore, USA. 3The Graduate Institute of International and
Development Studies Geneva, Geneva, Switzerland.
Received: 3 May 2016 Accepted: 28 September 2016
References
1. Balarajan Y, Selvaraj S, Subramanian SV. Health care and equity in India.
Lancet. 2011;377(9764):505–15. doi:10.1016/S0140-6736(10)61894-6.
Epub 2011 Jan 10.
2. Kumar A. Social Transformation in Modern India. New Delhi: Sarup & Sons;
2001.
3. McCoy D, Sanders D, Baum F, et al. Pushing the international health research
agenda towards equity and effectiveness. Lancet. 2004;364(9445):1630–1.
4. Mohindra KS, Mukherjee S, Khan S, Thresia CU. Towards the next
generation of public health research in India: a call for a health
equity lens. J Epidemiol Community Health. 2012;66(9):839–42.
doi:10.1136/jech-2011-200372.Epub 2012 Apr 6.
5. Ramalingaswami V. Health research, a key to equity in health development.
Soc Sci Med. 1993;36(2):103–8.
6. GOI. Twelfth five year plan (2012/2017). Planning Commission. 2013.
http://planningcommission.gov.in/plans/planrel/12thplan/welcome.html.
7. GOI. Faster, Sustainable and More Inclusive Growth. An approach to
the twelfth five year plan. (2012–17). Planning Commission. 2011.
http://planningcommission.gov.in/plans/planrel/12thplan/welcome.html.
8. GOI. High Level Expert Group Report on Universal Health Coverage for
India. Submitted to the Planning Commission of India, New Delhi. 2011.
9. Prasad AM, Chakraborty G, Yadav SS, Bhatia S. Addressing the social
determinants of health through health system strengthening and intersectoral convergence: the case of the Indian National Rural Health Mission.
Glob Health Action. 2013;6:1–11. doi:10.3402/gha.v6i0.20135.
10. Marmot M. Universal health coverage and social determinants of health.
Lancet. 2013;382(9900):1227–8. doi:10.1016/S0140-6736(13)61791-2.
11. McIntyre D, Meheus F. Achieving sustainable universal health coverage in
low- and middle income countries. Health Econ Policy Law. 2013;8(4):543–8.
doi:10.1017/S1744133113000303.
12. WHO. Health Systems Financing: The path to universal coverage. Geneva:
World Health Organization; 2010.
Page 7 of 8
13. Chandra B, Mukherjee M, Mukherjee A. India after independence: 1947–2000.
Penguin. 2000.
14. Guha RC. India after Gandhi. Macmillan. 2007.
15. Prakash G. Another Reason: Science and the Imagination of Modern India.
Princeton University Press. 1999.
16. Tharoor S. Nehru: The Invention of India. USA: Arcade Publishing; 2003.
17. GOI. Report of the Health Survey and Development Committee (Bhore Committee).
Calcutta: Government of India Press; 1946.
18. Srinivas MN. The Remembered Village. University of California Press. 1976.
19. Ramesh A, Hyma B. Traditional Indian medicine in practice in an Indian
metropolitan city. Soc Sci Med Med Geogr. 1981;15(1):69–81.
20. Banerji D. The place of indigenous and western systems of medicine in the
health services of India. Soc Sci Med Med Psychol Med Sociol. 1981;15(2):109–14.
21. Bhattacharya S. Expunging variola: the control and eradication of smallpox
in India, 1947–1977. Vol. 14. Orient Blackswan. 2006.
22. Haldipur CV. Madness in ancient India: Concept of insanity in Charaka
Samhita (1st century AD). Compr Psychiatry. 1984;25(3):335–44.
23. Pati B and Harrison M (eds). The Social History of Health & Medicine in
Colonial India. Routledge. 2009.
24. Sigerist HE. A History of Medicine, Vol. II, Early Greek, Hindu and Persian
Medicine. 1961.
25. Negandhi H, Sharma K, Zodpey SP. History and evolution of public health
education in India. Indian J Public Health. 2012;56:12–6.
26. GOI. Report of the Health Planning and Survey Committee (Mudaliar
Committee). Government of India: Ministry of Health; 1962.
27. GOI. Report of the Committee on Integration of Health Services
(Jungalwalla Committee). Directorate General of Health Services. 1967.
28. GOI. Report of the Expert Committee for Health Manpower Planning.
Government of India: Production and Management; 1986.
29. WHO. Declaration of Alma-Ata. International Conference on Primary Health
Care, Alma-Ata, USSR. 1978.
30. Elias PEM, Cohn A. Health reform in Brazil: lessons to consider. Am J Public Health.
2003;93(1):44–8.
31. Das Gupta M. Death clustering, mothers’ education and the determinants of
child mortality in rural Punjab, India. Popul Stud. 1990;44(3):489–505.
32. Leslie J. Women’s time: a factor in the use of child survival technologies?
Health Policy Plan. 1989;4(1):1–6.
33. Rahmathullah L, Underwood BA, Thulasiraj RD, Milton RC, Ramaswamy K,
Rahmathullah R, Babu G. Reduced mortality among children in southern India
receiving a small weekly dose of vitamin A. N Engl J Med. 1990;323(14):929–35.
34. Kapil U. Promotion of safe motherhood in India. Indian Pediatr. 1990;27(3):232–8.
35. Catino J. Meeting the Cairo Challenge Progress in Sexual and Reproductive
Health. Implementing the ICPD Program of Action. 1999.
36. Cleland J. ICPD and the feminization of population and development issues.
Health Trans Rev. 1996;6(1):107–10.
37. WHO. Closing the gap in a generation: health equity through action on the
social determinants of health. Final Report of the Commission on Social
Determinants of Health, Commission on Social Determinants of Health.
Geneva: WHO; 2008.
38. Marmot M, et al. Closing the gap in a generation: health equity through
action on the social determinants of health. Lancet. 2008;372(9650):1661–9.
39. GOI. Towards Equality: Report of the Committee on the Status of Women in
India. Majumdar V, Sharma K & Sujaya CP (eds). 1974. http://pldindia.org/
wp-content/uploads/2013/04/Towards-Equality-1974-Part-1.pdf.
40. Kakwani N, Subbarao K. Rural poverty and its alleviation in India. Econ Pol Wkly.
1990;25:A2–16.
41. Dreze J. Poverty in India and the IRDP Delusion. Econ Pol Wkly. 1990;25:
A95–104.
42. Harriss B. Differential female mortality and health care in South Asia. J Soc Stud.
1989;44:1.
43. Chelliah RJ, Sudarshan R. Income-poverty and beyond: human development
in India. Anthem Press; 1999.
44. Agarwal B. Gender, environment, and poverty interlinks: Regional variations
and temporal shifts in rural India, 1971–1991. World Dev. 1997;25(1):23–52.
45. Basu RN, Jezek Z, Ward NA. The eradication of smallpox from India. New Delhi:
World Health Organization, South East Asia Regional Office; 1979.
46. Gwatkin DR. Health inequalities and the health of the poor: what do we
know? What can we do? Bull World Health Organ. 2000;78(1):3–18.
47. Gwatkin DR, et al. Socio-economic differences in health, nutrition and
poverty. Washington, DC: World Bank: HNP/Poverty Thematic Group, World
Bank; 2000.
Bhan et al. International Journal for Equity in Health (2016) 15:166
Page 8 of 8
48. Visaria L. Regional variations in female autonomy and fertility and
contraception in India. 1993.
49. Visaria L, Jejeebhoy S, Merrick M. From family planning to reproductive
health: challenges facing India. Int Fam Plan Perspect. 1999;25:S44–9.
50. Jain AK, Nag M. Importance of female primary education for fertility
reduction in India. Econ Pol Wkly. 1986;1986:1602–8.
51. Jaffrelot C. India’s Silent Revolution. The Rise of the Lower Castes in
North India. UK: C. Hurst & Co; 2003.
52. Das Gupta M, Chen LC and Krishnan TN. Health, poverty and development
in India. Oxford University Press. 1996.
53. Booth BE, Verma M. Decreased access to medical care for girls in
Punjab, India: the roles of age, religion, and distance. Am J Public Health.
1992;82(8):1155–7.
54. Demographic and Health Surveys. Website: http://www.dhsprogram.com/Data/.
Accessed 1 Mar 2016.
55. GOI. National Sample Surveys. Ministry of Statistics and Programme
Implementation. Website: [http://mospi.nic.in/Mospi_New/Site/home.aspx].
Accessed 1 Mar 2016.
56. Subramanian SV, Ackerson LK, Subramanyam M, Sivaramakrishnan K.
Health inequalities in India: the axes of stratification. Brown J World Aff. 2008;14:127.
57. Subramanian SV, Nandy S, Irving M, et al. The mortality divide in India: the
differential contributions of gender, caste, and standard of living across the
life course. Am J Public Health. 2006;96(5):818.
58. Marmot M. Status syndrome. Significance. 2004;1(4):150–4.
59. Marmot M. Epidemiology of socioeconomic status and health:
Are determinants within countries the same as between countries?
Ann N Y Acad Sci. 1999;896(1):16–29.
60 Subramanian SV, Nandy S, Kelly M, Gordon D, Smith GD. Patterns and
distribution of tobacco consumption in India: cross sectional multilevel
evidence from the 1998–9 national family health survey. BMJ. 2004;
328(7443):801–6.
61 Sorensen G, Gupta PC, Pednekar MS. Social disparities in tobacco use in Mumbai,
India: the roles of occupation, education, and gender. Am J Public Health.
2005;95(6):1003–8.
62 Saxena D, Vangani R, Mavalankar DV, Thomsen S. Inequity in maternal
health care service utilization in Gujarat: analyses of district-level health
survey data. Glob Health Action. 2013;6:1–9. doi:10.3402/gha.v6i0.19652.
63 Reddy KS, Prabhakaran D, Jeemon P, et al. Educational status and
cardiovascular risk profile in Indians. Proc Natl Acad Sci. 2007;104(41):16263–8.
64 Garg CC, Karan AK. Reducing out-of-pocket expenditures to reduce
poverty: a disaggregated analysis at rural–urban and state level in India.
Health Policy Plan. 2009;24(2):116–28.
65 Selvaraj S, Karan AK. Deepening health insecurity in India: evidence from
national sample surveys since 1980s. Econ Pol Wkly. 2009;55–60.
Submit your next manuscript to BioMed Central
and we will help you at every step:
• 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
|
|
https://openalex.org/W2465580594
|
https://are-journal.com/are/article/download/9/9
|
English
| null |
Formation of sunflower production efficiency in the agricultural enterprises
|
Agricultural and resource economics
| 2,015
|
cc-by
| 5,330
|
FORMATION OF SUNFLOWER PRODUCTION EFFICIENCY IN THE
AGRICULTURAL ENTERPRISES The concept of sunflower production efficiency is specified and the indices system of its
evaluation at the agricultural enterprises is generalized. The main tendencies of sunflower
production in domestic agriculture and in agricultural enterprises activity of the oblast` are
revealed. The conceptual principles of sunflower production efficiency increase at the agricultural
enterprises with ecological standards adherence on the basis of ecological coefficient which takes
into consideration the factors of the area under crop and the level of soil fertility renovation are
proved. The method of determining this factor was approved as an example of specific farms. Dependence of sunflower production efficiency on the level of production concentration is
investigated. The methodological approaches to efficiency evaluation of the certain expenses
elements are improved. Key words: production efficiency, sunflower, production concentration, intensity, ecological
production. Наталя Кондратюк Харківський національний аграрний університет ім. В. В. Докучаєва
У
ї Харківський національний аграрний університет ім. В. В. Докучаєва
Україна Natalya Kondratyuk Kharkiv National Agrarian University named after V. V. Dokuchaev
Ukraine Agricultural and Resource Economics: International Scientific E-Journal
www.are-journal.com Agricultural and Resource Economics: International Scientific E-Journal
www.are-journal.com Agricultural and Resource Economics: International Scientific E-Journal
www.are-journal.com JEL: Q15, Q57 Natalya Kondratyuk Agricultural and Resource Economics: International Scientific E-Journal
www.are-journal.com conditions for agricultural producers of Ukraine is the sunflower seeds. In recent
years, domestic agricultural producers have the leading positions in sunflower
production. By the area of crop and sunflower production volume in 2008–2012
Ukraine is the first in the world. In 2012 it`s share in the domestic crops of cultivated
area was reached 18.7 %. The share of sunflower seed production in Ukraine in the
world market was increased from 11.3 % (1990) to 25.0 % (2012). At the same
sunflower production causes a number of problems, the main one of which is the
reduction in soil fertility and monocultivation of production. Therefore, research on
effective organization of sunflower seed under the protection of national interests in
the current market conditions is crucial for economic science. Theoretical and practical aspects of sunflower efficiency were investigated by
famous domestic and foreign economists: M. Kalinchyk [1], V. Perebiynis [2],
O. Pityk [3], M. Tonyuk [4], O. Ulianchenko [5], I. Chekhova [6], M. Külekçi [7],
I. Peretyat'ko [8], J. Katore [9], S. Todorović [10] and others. Research of scientists
focuses on the questions of improvement of economic relations between the product
sub-components, particularly in the production and sale of sunflower; development of
mechanisms of state regulation; development of a market economy; formation of
market agro-food products; selection of channels for implementation and evaluation
of marketing; pricing of oil and sunflower seeds. However, in the current conditions
of the national economy it is necessary deeper study of problems of production
efficiency due justification of sunflower optimal intensity levels of its production,
with a combination of environmental and economic aspects of the economic activity
of agricultural enterprises. Also it is not investigated regularities of concentration on
the efficiency of this culture. The purpose of the article is to prove the theoretical and methodological
aspects and develop proposals to improve the efficiency of sunflower production in
the agricultural enterprises considering environmental factors. Results and discussion. The market economy requires a special approach from
entrepreneurs – their activities must be the most effective. Efficiency – is an
economic category, reflecting the ratio between the obtained results and spent
resources for their achievements. Research of scientific-theoretical foundations of
production efficiency showed that the assessment of the effectiveness of sunflower
production is based on an integrated approach to the determination of results, taking
into account the involved resources and the extent of their use. ФОРМУВАННЯ ЕФЕКТИВНОСТІ ВИРОБНИЦТВА СОНЯШНИКА
В СІЛЬСЬКОГОСПОДАРСЬКИХ ПІДПРИЄМСТВАХ Обґрунтовано
концептуальні
засади
підвищення
ефективності
виробництва
соняшника в сільськогосподарських підприємствах з контролем дотримання екологічних
вимог на основі застосування коефіцієнта екологічності, який ураховує фактори структури
посівних площ і відтворення родючості ґрунтів. Установлено залежність ефективності
виробництва соняшника від рівня концентрації виробництва. Удосконалено методичні
підходи до оцінки ефективності окремих елементів витрат. ц
ф
р
р
Ключові слова: ефективність виробництва, соняшник, концентрація виробництва,
інтенсивність, екологічність виробництва. Introduction and review of literature. The organization of agricultural
production in a market economy is a complex and multifaceted process in which, on
the one hand, the owner is interested in receiving revenues from economic activity,
and on the other, it is necessary to provide the population with quality and affordable
food and processing industry – with raw materials. One of the key products in such Vol. 1, No. 1, 2015 14 Agricultural and Resource Economics: International Scientific E-Journal
www.are-journal.com Agricultural and Resource Economics: International Scientific E-Journal
www.are-journal.com Systematics of existing approaches to evaluating the effectiveness of sunflower
makes it possible to identify the technological, economic, ecological and social
efficiency of its production (Fig. 1). In modern economic activity sunflowers are one
of the leading crops of Ukraine and major oilseeds. In recent years Ukraine has
tended to increase in sunflower production. If in 1990 the agricultural enterprises
harvest of this crop was 2.5 million tons, in 2000 – 3.0 in 2010 – 5.6, in 2012 was
increased to 7.1 million tons. The expansion of the cultivated area in 2012 to
5.5 million hectares contributed to this, that 3.2 times higher than crops of sunflowers
in 1990 and 76 and 14 % respectively in 2000 and 2010 together with the expansion Vol. 1, No. Agricultural and Resource Economics: International Scientific E-Journal
www.are-journal.com 1, 2015 15 Agricultural and Resource Economics: International Scientific E-Journal
www.are-journal.com
Technological
efficiency
Economic
efficiency
- Sunflower yield;
- Production of sunflower seeds per 1 ha of
arable land;
- Production of sunflower seeds per unit of
fertilizer;
- The share of sunflower crops in arable
land;
- Sunflower oil content;
- Output of oil per 1 ha of sunflower
-Labor costs for 1 c of sunflower;
- Labor costs for 1 ha of sunflower crops;
- Price of 1 c of sunflower;
- Income from sale of sunflower seeds per
1 ha;
- Profit of 1 c of sunflower;
- The profitability of sunflower
- Introduction of scientifically
based technologies of sunflower;
- Introduction of sustainable
cultivation;
- Compliance with recommended
crop rotation;
- The use of promising varieties
and hybrids;
- Improving the quality of seed
- Providing support producers of
sunflower;
- Improvement of credit facility;
- Improving the price mechanism;
- Justification of optimal intensity
levels of sunflower seed;
- Optimization of the concentration
and size of sunflower seed
INDICATORS OF EFFICIENCY
DIRECTIONS OF INCREASING
EFFICIENCY
Sunflower production efficiency – the ratio between results and costs in technological, economic,
ecological, social context that was emerged in the enterprise as a result of this culture Agricultural and Resource Economics: International Scientific E-Journal
www.are-journal.com
Technological
efficiency
Economic
efficiency
- Sunflower yield;
- Production of sunflower seeds per 1 ha of
arable land;
- Production of sunflower seeds per unit of
fertilizer;
- The share of sunflower crops in arable
land;
- Sunflower oil content;
- Output of oil per 1 ha of sunflower
-Labor costs for 1 c of sunflower;
- Labor costs for 1 ha of sunflower crops;
- Price of 1 c of sunflower;
- Income from sale of sunflower seeds per
1 ha;
- Profit of 1 c of sunflower;
- The profitability of sunflower
- Introduction of scientifically
based technologies of sunflower;
- Introduction of sustainable
cultivation;
- Compliance with recommended
crop rotation;
- The use of promising varieties
and hybrids;
- Improving the quality of seed
- Providing support producers of
sunflower;
- Improvement of credit facility;
- Improving the price mechanism;
- Justification of optimal intensity
levels of sunflower seed;
- Optimization of the concentration
and size of sunflower seed
INDICATORS OF EFFICIENCY
DIRECTIONS OF INCREASING
EFFICIENCY
Sunflower production efficiency – the ratio between results and costs in technological, economic,
ecological, social context that was emerged in the enterprise as a result of this culture Agricultural and Resource Economics: International Scientific E-Journal
www.are-journal.com Agricultural and Resource Economics: International Scientific E-Journal
www.are-journal.com Agricultural and Resource Economics: International Scientific E-Journal
www.are-journal.com DIRECTIONS OF INCREASING INDICATORS OF EFFICIENCY - Introduction of scientifically
based technologies of sunflower;
- Introduction of sustainable
cultivation;
- Compliance with recommended
crop rotation;
- The use of promising varieties
and hybrids;
- Improving the quality of seed Technological
efficiency - Providing support producers of
sunflower;
- Improvement of credit facility;
- Improving the price mechanism;
- Justification of optimal intensity
levels of sunflower seed;
- Optimization of the concentration
and size of sunflower seed - Improvement of credit facility; Economic
efficiency Fig. 1. Key indicators and areas of efficiency of sunflower production
in the agricultural enterprises
Source: it was formed by author. Social
efficiency
Ecological
efficiency
- Content of harmful substances in soil
and produced sunflower seeds;
- The intensity of erosion;
- The rate of reproduction of the natural
fertility of the soil;
- Weight of the lost volume of soil
nutrients;
- Additional volumes of products derived
from the introduction of environmental
and land protection measures;
- Environmental factor
- The level and trends in labor
remuneration sector;
- The level of social housing comfort;
- Availability of cultural and welfare
facilities;
- Quality of life of employees;
- The share of consumption of sunflower
seed and oil
- Ensuring state control over observance
by producers the sunflower crop rotation;
- Development of a conceptual model of
environmental assessment of sunflower
production in market conditions;
- Implementation of programs of land
protection and improvement of
management, based on ecological safety;
- Introduction of biological farming
systems;
- The use of reasonable fertilization
system
- Increasing spending on social
infrastructure enterprises;
- Regulation of salary;
- The quality of life of employees;
- Improving the level and quality of
training - Ensuring state control over observance
by producers the sunflower crop rotation; y p
p
- Development of a conceptual model of
environmental assessment of sunflower
production in market conditions; Ecological
efficiency - Implementation of programs of land
protection and improvement of
management, based on ecological safety; Fig. 1. Key indicators and areas of efficiency of sunflower production
in the agricultural enterprises
Source: it was formed by author. Agricultural and Resource Economics: International Scientific E-Journal
www.are-journal.com Agricultural and Resource Economics: International Scientific E-Journal
www.are-journal.com Agricultural and Resource Economics: International Scientific E-Journal
www.are-journal.com of the area of increased productivity. In 2012 the average yield of sunflower was
16.5 c/ha, which is 4 % higher than in 1990 and 4.3 and 1.5 kg/ha – indicators of
2000 and 2010. High profitability of sunflower culture contributes to mass
cultivation. Although in 2012 the profitability of sunflower was decreased five times
compared to 1990 and amounted to 45.8 %, though this figure is quite high for the
agricultural sector of Ukraine. Production of sunflower is one of the main directions of development of
agriculture in Kharkiv region. During the period 1990–2012 it was increased
2.7 times (Table 1). Effectiveness of sunflower production in the agricultural enterprises
in Kharkiv region 1990–2012
Indicator
Year
2012, %
to 2010
1990
1995
2000
2005
2010
2012
Yield, c/ha
17.6
18.3
15.7
12.3
17.1
22.6
132.2
Gathered area, ths. ha
138.2
154.4
178.5
138.7
291.3
289.6
99.4
Gross yield, ths. c
2422
2814
2589
1702
4980
6539
131.3
Costs: on 1 kg, UAH
12,28*
6.13
27.46
96.68
157.96
201.62
127.6
on 1 ha, UAH
256.0*
112.73
400.00 1186.42 2700.28 4552.34
168.6
Price of 1 c of
production, UAH
44.31*
23.84
52.07
141.21
321.08
356.26
110.9
Profit: on 1 c, UAH
31.83*
16.44
22.26
29.11
121.78
134.63
110.6
on 1 ha, UAH
488.12* 174.74
289.90
266.19 2175.21 3370.32
154.9
Profitability, %
255.2
221.7
74.7
26.0
61.1
60.8
on -0,3
* In karbovanets. Effectiveness of sunflower production in the agricultural enterprises
in Kharkiv region 1990–2012 Source: it was calculated by the author according to of the data of form # 50 s.-g. «The main
economic indicators of work of agricultural enterprises in the Kharkiv region». In modern terms sunflower production is mainly carried out through extensive
technology by increasing acreage. Thus, during the 1990–2012 the sown area of
sunflower in agricultural enterprises of the Kharkiv region was increased annually by
an average of 172.7 hectares. Compared with 1990 in 2012 plantings of crops were
increased twice in the structure of arable land and were occupied 22.6 %. In the
structure of gross plant production (at constant prices in 2010) in agricultural
enterprises of the Kharkiv region the share of sunflower was 28.2 %. It should be noted that the production of sunflower is costly. INDICATORS OF EFFICIENCY Social
efficiency
- The level and trends in labor
remuneration sector;
- The level of social housing comfort;
- Availability of cultural and welfare
facilities;
- Quality of life of employees;
- The share of consumption of sunflower
seed and oil
- Increasing spending on social
infrastructure enterprises;
- Regulation of salary;
- The quality of life of employees;
- Improving the level and quality of
training - Increasing spending on social
infrastructure enterprises;
- Regulation of salary;
- The quality of life of employees;
- Improving the level and quality of
training Social
efficiency Fig. 1. Key indicators and areas of efficiency of sunflower production
in the agricultural enterprises
it
f
d b
th Fig. 1. Key indicators and areas of efficiency of sunflower production
in the agricultural enterprises
Source: it was formed by author. Source: it was formed by author. Vol. 1, No. 1, 2015 16 Agricultural and Resource Economics: International Scientific E-Journal
www.are-journal.com Agricultural and Resource Economics: International Scientific E-Journal
www.are-journal.com Agricultural and Resource Economics: International Scientific E-Journal
www.are-journal.com and fertilizers (4.7–24.8 %). Realization price during the research period also grew
steadily and in 2012 was amounted to 356.26 UAH per 1 kg. Profitability of
sunflower during the period 1990–2012 exceeded general economic indicator in
2,64–3,47 times and average crop – in 2,29–2,62 times. Sunflower – thermophilic culture, which is demanding to light, moisture, soil
and climatic growing conditions. Zonal peculiarities of its production depends on
location by agroclimatic subzones of area. The main production of sunflower is
formed in III (South) agro-climatic subzone of the Kharkiv region, where are
favorable climatic conditions. The largest producers are Lozova and Balakliy areas. In the first (northern) subzone bulk of the gross harvest of agricultural enterprises is
formed in Velykoburlutsk and Vovchansk areas in the II (central) subzone – farms of
Chuguevsky area. An important factor in the increasing yield is the yield of sunflower. During the
period 1990–2012 fluctuations in this index had a very cyclical character. The lowest
level of sunflower yield was in 2005, that was directly associated with adverse
weather conditions. Peak of yield came in 2012 – 22.6 c/ha, which is 5 kg higher than
in 1990. The main direction of increasing the yield of sunflower in modern conditions is
the introduction of intensive technologies, based on the performance of complex
manufacturing operations in a timely manner by carefully agronomic requirements. Important components of the intensity of sunflower seed production are the use of
high-performance varieties and hybrids. In 2011–2012 in studied farms in the
Kharkiv region it was used hybrids: Mehasan (yield of 37.2 c/ha), Opera PR
(33.1 c/ha), KVS Helium 06 (32.8 c/ha), Noah (24.3 c/ha), Kharkiv 58 (19.5 c/ha)
and others. Constant fluctuations in the yield of sunflower occurred due to lack of
fertilizers. Thus, on 1 hectare of sown area of sunflower in 1990 there were made
137 kg of mineral fertilizers. Due to the economic crisis of the 90's in 2000 for 1 ha
of sunflower it was made only 2 kg of mineral fertilizers. Since 2001, there had been a positive trend, and in 2012 the number of fertilizer
made under the harvest of sunflower was already 45 kg on 1 ha. Agricultural and Resource Economics: International Scientific E-Journal
www.are-journal.com Research results
indicate that over 2010–2012 in general, in the farms in sunflower production it was
allocated 24.5 % of production costs. It ensures sunflower farms more than 33 % of
the proceeds from the sale of crop production in 2010–2012 and it is the most
profitable crop. During the period 1990–2012 the income from its sale was constantly growing
and in 2012 amounted to 134.63 UAH/c, which is 10.6 % above the level of 2010. Sunflower production costs in 2012 were increased by 27.6 % compared with 2010. The largest share in the total expenditure for the period 2008–2012 in studied
enterprises were the cost of seed (15.0–18.7 %), petroleum products (11.3–12.7 %) Vol. 1, No. 1, 2015 17 Agricultural and Resource Economics: International Scientific E-Journal
www.are-journal.com Agricultural and Resource Economics: International Scientific E-Journal
www.are-journal.com Agricultural and Resource Economics: International Scientific E-Journal
www.are-journal.com situational approach that was an expert evaluating performance on a five point scale,
determining the accuracy of estimates, the average assessment of compliance with the
requirements, indicators of the quality factor. q
q
y
As a result of the calculations of JV agricultural firm «Hliborob» average rating
of conditions for sunflower production was 4.26 (in 2011) and 3.30 points (2012), the
quality factor respectively 0.858 and 0.660. That is the necessary conditions on the
farm – 85.8 (in 2011) and 66.0 % (2012); in Ltd. in the Agricultural firm
«Borshchivske» – by 87.8 and 71.1 %; in LLC «Agricultural Investment Company
«Balinvest» – 86 and 73.4 %. We should also note the reduction of the necessary
conditions for sunflower production in 2012 (agricultural firm JV «Hliborob» – 19.8;
Ltd Agricultural company «Borshchivske» – 16.7, LLC «Agricultural Investment
Company «Balinvest» – 12.6 %). These changes were primarily due to deterioration
in the quality of technical support farms. During the study, 467 agricultural enterprises of the Kharkiv region over 2012 it
was determined that one of the elements characterizing the concentration of
production, is the value of gross yield of sunflower. Gross fees largely characterize
the level of intensity, as related to the level of productivity of this crop. Results of the
study indicate that the value of achieving gross fees of 20 thousand of metric center
there is a clear trend in increasing yields. The highest yield was in the group with gross collection more than 30 thousand
of metric center. The average area of planting sunflowers in these enterprises was
amounted 740.6 hectares. It was noted in this group the largest value of the cost of
1 ha of cultivated area and, consequently, one of the outputs of marketable products. The biggest profit was obtained in the group with gross 15.1–20.0 thousand of metric
center. This group is characterized by one of the highest rates of profitability
(72.9 %). The total intensity of production consists of individual cost elements, each of
which affects the final performance. Agricultural and Resource Economics: International Scientific E-Journal
www.are-journal.com The formation of
sunflower harvest it made from the soil with nitrogen: in the whole of the Kharkiv
region – 50 kg per 1 ha; in JV agricultural firm «Hliborob» – 47; LLC «Agricultural
Investment Company «Balinvest» – 40; Ltd. Agricultural firm «Borshchivske» –
55 kg per 1 ha. Number of exchangeable potassium, which is needed during the
growing season of sunflower reaches respectively 210; 200; 170 and 230 kg per 1 ha. With the harvest is made only 9 % of potassium and 91 % – for stubble. If these crop
residues are plowed into arable layer, in the process of mineralization nutrition will
eventually return to the soil. During assessing the degree of compliance with the agronomic requirements and
conditions of sunflower production in JV agricultural firm «Hliborob» of Volchansk
district, Ltd Agricultural company «Borshchivske» and LLC «Investment agrarian
company «Balinvest» of Balakliya district of Kharkiv region it was used evaluative- Vol. 1, No. 1, 2015 18 Agricultural and Resource Economics: International Scientific E-Journal
www.are-journal.com Vol. 1, No. 1, 2015 Agricultural and Resource Economics: International Scientific E-Journal
www.are-journal.com By analyzing the costs of seeds, fertilizers and
petroleum products methodical approach was used, the essence of which is to
determine the effect of each item of expenditure, which was obtained by
multiplication of the profits from sales of sunflower and the proportion of each cost
element in their overall value. On the example of the agricultural enterprises of the
Kharkiv region it was defined relationship between selected elements of cost and
profit margin of 1 ha, which was nonlinear and described a parabola of 2nd order: - by cost of seeds per 1 ha: - by cost of seeds per 1 ha: - by cost of seeds per 1 ha: (tf(2,62)> tt(1,65));
(1)
(tf (5,22)> tt(1,65));
(2)
(tf(3,90)> tt(1,65)). (3)
( )
hi h
d i
ibl y
p
y= – 20.718 + 1.1626x – 0.0002x2 (tf(2,62)> tt(1,65)); (1) y= – 20.718 + 1.1626x – 0.0002x2 (tf(2,62)> tt(1,65));
(1)
- by cost on fertilizers per 1 ha:
y= 41.076 + 0.954x – 0.0002x2 (tf (5,22)> tt(1,65));
(2)
- by cost of petroleum products:
y= 82.233 + 1.0462x – 0.0003x2 (tf(3,90)> tt(1,65)). (3)
ll d
d
d
i
d
hi h
d i
ibl y
( f( ,
)
t( ,
));
( )
- by cost on fertilizers per 1 ha:
y= 41.076 + 0.954x – 0.0002x2 (tf (5,22)> tt(1,65));
(2)
- by cost of petroleum products:
y= 82.233 + 1.0462x – 0.0003x2 (tf(3,90)> tt(1,65)). (3) (2) - by cost of petroleum products:
y= 82.233 + 1.0462x – 0.0003x2 (3) All dependences were tested using Student's test (t), which made it possible to
ensure their reliability. Based on the study of functions it was defined optimal value
of overall level of intensity and major cost elements that for seed was Vol. 1, No. 1, 2015 19 Agricultural and Resource Economics: International Scientific E-Journal
www.are-journal.com Agricultural and Resource Economics: International Scientific E-Journal
www.are-journal.com 2906.50 UAH/ha; mineral fertilizers – 2385; oil – 1743.67 UAH/ha. These values
make it possible to find out the average level of efficiency in the existing level of
management in the region. g
g
The level of cost efficiency by mineral fertilizers with calculating the break-
even cost point using the graphical method. For this purpose, by dividing the average
cost of fertilizers per 1 ha in money in average number of their application in kind, it
was calculated the average price of 1 kg of mineral fertilizers, which accounted for
14.56 USD. Next, it was calculated the amount of normative expenditure of fertilizers
per 1 hectare by multiplying the price of fertilizer to 120 kg (by the standards of the
NSC «Institute of Agrarian Economy») and received 1747.2 UAH. On the next step
of calculation the cost on mineral fertilizers for each of the enterprise was compared
with the norm and in case of differences it was corrected to a given value. Thus, this
value cost of mineral fertilizers was taken as fixed cost. Taking this into account, it
was determined that under these conditions the break-even level of production will be
12.4 c. Compliance with regulatory requirements for fertilization in sunflower will
promote the creation of environmental assessment mechanism of production of this
crop by calculating the relevant factor, which is determined by searching the square
root of the product of the coefficient of restitution of nutrients and coefficient of the
using areas under sunflower: (4) Kalu
Krn
Ke
,
(4) Kalu
Krn
Ke
, Kalu
Krn
Ke
, Agricultural and Resource Economics: International Scientific E-Journal
www.are-journal.com of sunflower in the structure of arable land over 10 %. Practical use of coefficient
may be associated with the development of the state strategy concerning control
policy for compliance of arable lands and reproduction of soil fertility. As a result of environmental coefficient calculations for all enterprises of
Kharkiv region it was received value in the range of 0.399 to 1.95. In the studied
enterprises the coefficient was: in JV Agricultural firm «Hliborob» – 1.24; in LLC
«Investment Company «Balinvest» – 1.36; Ltd. Agricultural firm «Borshchiv» –
1.63. That is the ecological coefficient in the studied farms is within the value
received in the whole from the agricultural enterprises of the Kharkiv region,
confirming the correctness of the made calculations. Conclusions. It was systematized indicators and criteria that characterize the
effectiveness of sunflower production based on reasonable mechanism of formation
of technological, economic, environmental and social effects. Methodical approach to
evaluating the effectiveness of certain cost elements of agricultural enterprises was
improved, which determines the share of net income caused by these costs, and their
optimum value per unit of land area. It was found that the optimal value of
expenditures on seed in agricultural enterprises of the Kharkiv region in 2012 was
2906.50 UAH/ha; mineral fertilizers – 2385; petroleum products 1743.67 UAH/ha. There was determined the dependence of efficiency on the concentration of sunflower
production based on statistical indicators proving of materiality differences for
various groups of enterprises, that were systematized by different criteria of
concentration. It was substantiated conceptual bases of increasing efficiency of
sunflower production in the agricultural enterprises with control of compliance with
environmental requirements on the basis of environmental coefficient, which takes
into account factors of arable lands structure and reproduction level of soil fertility. A
calculation of environmentally friendly coefficient of sunflower production was
proposed, which also takes into account the level of performance of each enterprise
of standards to restore nutrients in the soil and sunflower share in the structure of
arable land. As a result of the definition of common environmental coefficient of the
sunflower production according to appropriate method it was detected: the higher
coefficient from zero, the higher level of abuse of technological and environmental
conditions under the production of sunflower. Calculations showed that this
coefficient, in all enterprises of the Kharkiv region has a value between 0.399 to 1.95. References
1. Kalinchyk, M. V., Il'chuk, M. M. and Novosel'tseva, A. M. (2014), Rozvytok
pidpryyemstv oliyezhyrovoho pidkompleksu v systemi yevrointehratsiyi [The
development of the oil enterprises lipid sub system of European integration], NNC
«IAE» Кyiv, Ukraine. Kalu
Krn
Ke
, where Ке – coefficient of environmental production; Кrn – coefficient of
restitution of nutrients; Кalu – coefficient of arable land usage. g
Nof
Nmf
Krn
:
2
,
(5) (5) Nof
Nmf
Krn
:
2
, where 2 – conditional value, which indicates that the coefficient of restitution of
nutrients will be equal to the unit if the amount of actual fertilizers matches the
normative or exceeds it; Nmf – the number of actual mineral fertilizers, kg; Nof –
standard for application of fertilizers (120 kg). By the calculation of the coefficient of restitution of nutrients we based on the
fact that the standard value of fertilizer of 120 kg per 1 ha was set by the need to
restore the entire removal of nutrients. The higher figure of actually made fertilizers
would be closer to the standard value, the more the coefficient of restitution of
nutrients will be close to one. 1.0
:
1
Al
Aa
Kalu
. (6)
d 1.0
:
1
Al
Aa
Kalu
. (6) where 1 – conditional value, which shows that the coefficient of arable land
usage will be equal to the one in case where the specific weight of sunflower in
arable land structure is 10 %; Aa – actual sunflower sowing area, ha; Al – area of
arable land in the enterprise; 0.1 – the specific weight of sunflower in the structure of
arable land. The total value of environmental coefficient should take into account both its
elements that are suggested to determine. This ratio reveals troubled economy: those
who made under sunflower fertilizers, less than the standard value; those with a share Vol. 1, No. 1, 2015 20 y
2. Perebyynis, V. I. (2014), Strategic directions of improvement of logistics and Agricultural and Resource Economics: International Scientific E-Journal
www.are-journal.com Testing methods on the example of the agricultural enterprises of the Kharkiv region
found that the smaller the environmentally friendly environmental coefficient, the
greater amount of profit and sunflower yields were obtained by enterprises. References (2013), The evaluation of economic efficiency of producing
and selling sunflower seeds at agricultural enterprises. Zbirnyk naukovykh prats'
Tavriys'koho derzhavnoho ahrotekhnolohichnoho universytetu (ekonomichni nauky),
vol. 1, no. 2, pp. 20–26. 9. Katore, J. R., Ingole, P. G., Paslawar, A. N., Kubde, K. J. and Sajid, M. (2015), Studies on sunflower production and efficiency as influenced by preceding
legumes, crop residue management and nitrogen levels to sunflower. Ecology,
Environment and Conservation Paper, vol. 21, pp. 353–357. 9. Katore, J. R., Ingole, P. G., Paslawar, A. N., Kubde, K. J. and Sajid, M. (2015), Studies on sunflower production and efficiency as influenced by preceding
legumes, crop residue management and nitrogen levels to sunflower. Ecology,
Environment and Conservation Paper, vol. 21, pp. 353–357. 10. Todorović, S., Filipović, N. and Munćan, M. (2010), Economic analysis of
sunflower production on family farms in the Republic of Serbia. Research Journal of
Agricultural Science, vol. 42, no. 3, pp. 833–837. 10. Todorović, S., Filipović, N. and Munćan, M. (2010), Economic analysis of
sunflower production on family farms in the Republic of Serbia. Research Journal of
Agricultural Science, vol. 42, no. 3, pp. 833–837. References 1. Kalinchyk, M. V., Il'chuk, M. M. and Novosel'tseva, A. M. (2014), Rozvytok
pidpryyemstv oliyezhyrovoho pidkompleksu v systemi yevrointehratsiyi [The
development of the oil enterprises lipid sub system of European integration], NNC
«IAE» Кyiv, Ukraine. y ,
2. Perebyynis, V. I. (2014), Strategic directions of improvement of logistics and Vol. 1, No. 1, 2015 21 Agricultural and Resource Economics: International Scientific E-Journal
www.are-journal.com keting of sunflower seeds. Visnyk KhNAU. Ser. «Ekon. nauky», vol. 5, pp. 4 3. Pityk, О. V. and Hrabovets'kyy, B. Ye. (2012), Marketynhova stratehiya v
upravlinni vyrobnytstvom nasinnya sonyashnyku [Marketing strategy in managing the
production of sunflower seeds], VNTU, Vinnytsya, Ukraine. 3. Pityk, О. V. and Hrabovets'kyy, B. Ye. (2012), Marketynhova stratehiya v
upravlinni vyrobnytstvom nasinnya sonyashnyku [Marketing strategy in managing the
production of sunflower seeds], VNTU, Vinnytsya, Ukraine. 4. Tonyuk, M. O. and Kontseba, S. M. (2015), Ways to improve the economic
efficiency of oil seeds in the region. Ekonomika APK, vol. 3, pp. 28–33. 4. Tonyuk, M. O. and Kontseba, S. M. (2015), Ways to improve the economic
efficiency of oil seeds in the region. Ekonomika APK, vol. 3, pp. 28–33. 5. Ul'yanchenko, O. V., Kondratyuk, N. V. and Taran, O. M. (2015), Efektyvnist'
vyrobnytstva nasinnya sonyashnyku v sil's'kohospodars'kykh pidpryyemstvakh
[Efficiency of production of sunflower seeds in agricultural enterprises], KhNAU,
Kharkiv, Ukraine. 5. Ul'yanchenko, O. V., Kondratyuk, N. V. and Taran, O. M. (2015), Efektyvnist'
vyrobnytstva nasinnya sonyashnyku v sil's'kohospodars'kykh pidpryyemstvakh
[Efficiency of production of sunflower seeds in agricultural enterprises], KhNAU,
Kharkiv, Ukraine. 6. Chekhova, I. V., Kyslyts'ka, I. O. and Taranyuk, T. Z. (2012), Prospects for
the major oilseeds market. Ekonomika APK, vol. 6, pp. 43–48. 6. Chekhova, I. V., Kyslyts'ka, I. O. and Taranyuk, T. Z. (2012), Prospects for
the major oilseeds market. Ekonomika APK, vol. 6, pp. 43–48. 7. Külekçi, M. (2010), Technical efficiency analysis for oilseed sunflower
farms: a case study in Erzurum, Turkey. Journal of the Science of Food and
Agriculture, vol. 90, pp. 1508–1512. 7. Külekçi, M. (2010), Technical efficiency analysis for oilseed sunflower
farms: a case study in Erzurum, Turkey. Journal of the Science of Food and
Agriculture, vol. 90, pp. 1508–1512. g
pp
8. Peretyat'ko, I. V. (2013), The evaluation of economic efficiency of producing
and selling sunflower seeds at agricultural enterprises. Zbirnyk naukovykh prats'
Tavriys'koho derzhavnoho ahrotekhnolohichnoho universytetu (ekonomichni nauky),
vol. 1, no. 2, pp. 20–26. 8. Peretyat'ko, I. V. How to cite this article? Як цитувати цю статтю? Стиль – ДСТУ:
Kondratyuk N. Formation of sunflower production efficiency in the agricultural
enterprises [Electronic resource] / N. Kondratyuk // Agricultural and Resource
Economics : International Scientific E-Journal. – 2015. – Vol. 1. – No. 1. – pp. 14–
22. – Mode of access : www.are-journal.com. Style – Harvard: Kondratyuk, N. (2015), Formation of sunflower production efficiency in the
agricultural enterprises. Agricultural and Resource Economics: International
Scientific E-Journal, [Online], vol. 1, no. 1, available at: www.are-journal.com. Vol. 1, No. 1, 2015 22
|
https://openalex.org/W4214551938
|
https://www.biodiversitylibrary.org/partpdf/320363
|
English
| null |
Dwarf Buckeyes
|
Bulletin of popular information - Arnold Arboretum. Harvard University
| 1,915
|
public-domain
| 882
|
31 31 Abelia Engleriana. Abelia is a genus of small shrubs related to
Diervilla and Lonicera with small oblique flowers in pairs. Abelia
grandijlora, which is believed to be a hybrid, is much grown in the
middle and southern states, and although it usually suffers at the
north plants in sheltered positions in the A boretum often flower. Abelia Engleriana, a native of western China', appears to be much
hardier and promises to be a useful small plant for the borders of shrub-
beries. The flower is three-quarters of an inch long, the corolla light
rose color on the outer surface and very pale yellow on the inner sur-
face with conspicuous yellow blotches at the base of the lobes of the
lower lip. In size, shape and color the flowers have a strong resem-
blance to those of Kolkwitzia amabalis. Syringa reflexa. This is perhaps the most distinct of the Lilacs dis-
covered by Wilson in western China. It is a stout and vigorous shrub,
with foliage which in general appearance resembles that of S. villosa. It flowers freely and the narrow flower-clusters, which are nine or ten
inches long, arch downward from near the base. The plants are per-
haps handsomest before the flower-buds open, for these are bright red
and more conspicuous than the open flowers which are pale rose color. It appears to be perfectly hardy and gives promise of being a first-rate
garden plant. Syringa tomentella, another of the west China species, is also flow-
ering well this year. The flowers, which are produced in large loose
clusters, are longer and more slender than those of S. reflexa and are
of the palest rose color. The foliage, like that of most of the new
Chinese species, resembles that of S. villosa. Styrax japonica. Attention is called to the group of these plants on
Hickory Path where they are perfectly at home, although in other
parts of the Arboretum they have not proved entirely hardy. This is
one of the handsomest of the species of this handsome genus, and
every year at this time these plants are covered with white flowers
hanging down from the branches on long slender stalks. That it is
perfectly at home in this position is shown by the fact that hundreds
of seedlings spring up every year under the old plants. Dwarf Buckeyes. 1915. "Dwarf Buckeyes." Bulletin of popular information - Arnold Arboretum,
Harvard University 1(8), 31–31. https://doi.org/10.5962/p.320363. View This Item Online: https://www.biodiversitylibrary.org/item/226132
DOI: https://doi.org/10.5962/p.320363
Permalink: https://www.biodiversitylibrary.org/partpdf/320363
Holding Institution
New York Botanical Garden, LuEsther T. Mertz Library
Sponsored by
IMLS LG-70-15-0138-15
Copyright & Reuse
Copyright Status: Public domain. The BHL considers that this work is no longer under
copyright protection. This document was created from content at the Biodiversity Heritage Library, the world's
largest open access digital library for biodiversity literature and archives. Visit BHL at
https://www.biodiversitylibrary.org. 1915. "Dwarf Buckeyes." Bulletin of popular information - Arnold Arboretum,
Harvard University 1(8), 31–31. https://doi.org/10.5962/p.320363. 31 In a bed in the Horsechestnut Group, which is on
the right-hand side of the Meadow Road entering from the Jamaica
Plain Gate, the new shrubby Aesculus georgiana with its short com-
pact clusters of red and yellow flowers has been in bloom again this
year and has proved itself a fine plant in this climate. With it is
blooming one of the southern scarlet-flowered Buckeyes, Aesculus dis-
color, var. mollis, sometimes found in books under the name of Aescu-
lus austrina. This is a common and widely distributed shrub or small
tree from Georgia to Texas and southeastern Missouri, and is the only
red-flowered Buckeye found in the territory west of the Mississippi
River. Long overlooked or confounded with other species by botanists,
it has only recently been brought into gardens. It is one of the hand-
somest flowering plants of the southern states, and it is fortunate that
it is able to flourish in the Arboretum where it has now been growing
for the last ten years. Dwarf Buckeyes. In a bed in the Horsechestnut Group, which is on
the right-hand side of the Meadow Road entering from the Jamaica
Plain Gate, the new shrubby Aesculus georgiana with its short com-
pact clusters of red and yellow flowers has been in bloom again this
year and has proved itself a fine plant in this climate. With it is
blooming one of the southern scarlet-flowered Buckeyes, Aesculus dis-
color, var. mollis, sometimes found in books under the name of Aescu-
lus austrina. This is a common and widely distributed shrub or small
tree from Georgia to Texas and southeastern Missouri, and is the only
red-flowered Buckeye found in the territory west of the Mississippi
River. Long overlooked or confounded with other species by botanists,
it has only recently been brought into gardens. It is one of the hand-
somest flowering plants of the southern states, and it is fortunate that
it is able to flourish in the Arboretum where it has now been growing
for the last ten years. This file was generated 30 March 2024 at 19:13 UTC Copyright & Reuse This document was created from content at the Biodiversity Heritage Library, the world's
largest open access digital library for biodiversity literature and archives. Visit BHL at
https://www.biodiversitylibrary.org. This file was generated 30 March 2024 at 19:13 UTC
|
https://openalex.org/W4388017042
|
https://www.nature.com/articles/s41598-023-45288-9.pdf
|
English
| null |
Augmentation of plant biomass productivity using epigeic earthworm Perionyx excavatus and Eisenia fetida as soil nutrient facilitators
|
Scientific reports
| 2,023
|
cc-by
| 11,430
|
Augmentation of plant biomass
productivity using epigeic
earthworm Perionyx excavatus
and Eisenia fetida as soil nutrient
facilitators
OPEN Lirikum Jing 1,2, Lakhmi Nandan Kakati 3*, Bendang Ao 2 & Patricia Kiewhuo 1,2 With the increasing demand for organic food production, the earthworm is used as a soil nutrient
facilitator. The present study was conducted to assess the effect of epigeic earthworms Perionyx
excavatus and Eisenia. fetida on soil nutrients and the consequent improvement of biomass
productivity and yield of Capsicum chinense Jacq and Zea mays L. The experiment was conducted in 5
L and 15 L capacity plastic pots for C. chinense and Z. mays with 150 g and 300 g of half-decomposed
cow dung, respectively. It was observed that the weekly harvest rate of ripened chili was 17.59 g,
13.91 g, and 9.24 g in P. excavatus, control, and E. fetida pot showing 26.49% higher in P. excavatus. Also, the total kernel count per corn was significantly different (F(2, 9) = 37.78, p < 0.05), with the
highest kernel present in P. excavatus(333.5 ± 13.5), followed by E. fetida(261.5 ± 16.5) and control
(235 ± 22). The impact of P. excavatus was more perceptible in C. chinense, indicated by higher leaf
biomass (69.16%), root length (30.14%), and fruit harvest (71.03%). However, the effect of E. fetida
was noticed more in Z. mays (stem length, 19.24%, stem biomass, 14.39%, root biomass, 20.9%,
kernel count, 41.91%, and kernel weight, 95.07%). Enhanced plant productivity was also supported
by an increasing soil nutrient turnover in organic carbon (OC) (25.76% and 23.4%), Phosphorus (P)
(31.03% and 25.67%), and Potassium (K) (41.67% and 12.26) in P. excavatus and E. fetida worked
soil respectively. The findings indicate that earthworms have a notable impact on plant biomass
productivity by promoting the mineralization of soil nutrients and imply on possibility of organic
cultivation of seasonal vegetables without using synthetic fertilizers. The rapid increase in the world’s population and unprecedented human consumption necessitates increased
food production. This leads to the intensive use of chemical fertilizers and pesticides in agricultural practices. These unsustainable practices to maximize productivity result in land degradation, cause human health hazards,
interrupt ecological nutrient cycling, and destroy healthy biotic communities1. Therefore, it is vital to emphasize
on cost-effective and eco-friendly methods of agriculture for a healthier future.h f
y
g
In soil, large-bodied macroinvertebrates such as earthworms play a crucial role in plant productivity. www.nature.com/scientificreports www.nature.com/scientificreports 1Department of Zoology, Don Bosco College, Kohima, Nagaland, India. 2Department of Zoology, Nagaland
University, Lumami, Zunheboto, Nagaland, India. 3Faculty of Science, Assam Down Town University, Panikhaiti,
Guwahati‑26, Guwahati, Assam, India. *email: lakhmi.kakati1956@gmail.com Scientific Reports | (2023) 13:18648 www.nature.com/scientificreports/ Earthworms initiate numerous mechanisms for plant growth stimulation ranging from large-scale effects on soil
physical properties to the microsite level. The potential effects of earthworms on ecosystem modification, plant
community composition, and productivity are well demonstrated when earthworms are introduced to areas
that were previously earthworm-free11,12. The benefits of earthworms are highlighted through increased levels
of microbial activity, nutrient availability, and rhizosphere processes13,14. With the introduction of earthworms
in soil with sandy textures, poor in organic matter, and with a moderately acidic pH, shoot and grain biomass
increases to 56.3% and 35.8%, respectively15.l Earthworms initiate numerous mechanisms for plant growth stimulation ranging from large-scale effects on soil
physical properties to the microsite level. The potential effects of earthworms on ecosystem modification, plant
community composition, and productivity are well demonstrated when earthworms are introduced to areas
that were previously earthworm-free11,12. The benefits of earthworms are highlighted through increased levels
of microbial activity, nutrient availability, and rhizosphere processes13,14. With the introduction of earthworms
in soil with sandy textures, poor in organic matter, and with a moderately acidic pH, shoot and grain biomass
increases to 56.3% and 35.8%, respectively15.l p
y
Studying earthworms’ influence on soil properties is essential to develop management strategies for improving
soil fertility and plant growth in different subsystems of tropical areas. Although positive effects of earthworms
on plant growth have been described in agroecosystems16,17, quantitative studies on the role of earthworms in
augmenting plant biomass productivity have not been satisfactorily established. In a tropical country like India,
earthworm species such as Pontoscolex corethrurus and Drawida willsi with biomass of around 30 g m-2 or
more, are considered promising in plant growth and shown to increase the grain yield (> 40%) of agriculturally
important plants16. While single species of earthworms under laboratory conditions resulted in more significant
improvements in soil physico-hydraulic properties. However, such studies on the most important horticultural
plants such as Capsicum chinense (King chili) and Zea mays are lacking. p
p
g
y
g
C. chinense (King chili), one of the hottest chili in the world, is commonly grown in Indian states of Assam,
Manipur, and Nagaland; and besides being appreciated for its taste and pungency, it is also rich in vitamins, min-
erals, and nutrients18. King chili is one of the key ingredients in Naga cuisine and plays a vital role in the region’s
culinary traditions and cultural identity. www.nature.com/scientificreports/ The state has favorable climatic conditions for growing this chili variety,
and the demand for it has also increased in recent years. Therefore employing efficient means of farming could
provide windows of opportunities for entrepreneurs to gain significant economic importance. Z. mays (Corn,
locally known as Makai) is a vital staple food crop in Nagaland and Northeast India. It plays a crucial role in the
region’s food security and sustains a large population. Corn-based dishes are integral to traditional cuisine, and
their cultivation and consumption have deep cultural and social significance. Corn adds dietary diversity and
nutritional value to the local diet with a rich amount of carbohydrates, dietary fiber, vitamins (such as thiamine
and niacin), and minerals (such as phosphorus and magnesium). Also, corn cultivation is a vital livelihood
source for many farmers in Nagaland. It provides employment opportunities, especially for small-scale farmers,
and contributes significantly to the rural economy. The sale of corn and its by-products, such as corn flour, corn
flakes, and corn oil, generates income for farmers and local entrepreneurs.Thus it is necessary to identify the
design of agricultural strategies that facilitate an increase in the growth and yield of these economically potential
plants while conserving the concept of organic farming and sustainability. P. excavatus and E. fetida are the most promising earthworm species used for vermitechnology. Being epigeic,
these macroinvertebrates dwell in the organic carbon-rich soil and play a vital role in nutrient turnover, heavy
metal detoxification, waste biomass degradation and recycling of coal ash19–21. Also, apart from a few studies
supporting the usage of P. excavatus and E. fetida in vermicomposting22,23, information on plant growth, pro-
ductivity, and soil macronutrient enhancement is lacking. Therefore to abide by the initiatives to implement the
practice of organic farming and sustainability, exploitation of these potential macroinvertebrates (E. fetida and
P. excavatus) is vital. Nagaland (Northeast India) is a hilly state where indigenous people depend on agricultural practices for
their sustenance. There is a need to further encourage organic farming practices without subsiding the quality
and quantity of productivity for viable and healthier living. In this context, the application of epigeic earthworm
species like P. excavatus and E. fetida is considered sustainable, especially for C. chinense (Naga king chili) and Z. mays, popularly used by local inhabitants for consumption as well as vending in the local market. www.nature.com/scientificreports/ Therefore, the
present study focuses on improving the biomass and yield of C. chinense and Z. mays by inoculating P. excavatus
and E. fetida in the soil. We hypothesize that earthworms act as soil nutrient facilitators by acting as critical agents
in nutrient turnover and enhancing the plants’ growth and productivity. Augmentation of plant biomass
productivity using epigeic
earthworm Perionyx excavatus
and Eisenia fetida as soil nutrient
facilitators
OPEN Through
ingestion and microbial priming activities, solubilization of an inaccessible form of soil nutrients, making it avail-
able for plants, is anchored by earthworms2–4. Burrowing activities of earthworms aid aerations and improve bio-
chemical properties providing stability and resilience to the soil ecosystem5,6. Earthworms can process up to 250
tons per hectare of soil yearly7 and provide optimum soil conditions for plant growth. Earthworms also increase
soil organic carbon by incorporating organic materials into the soil8 and generate macropores that increase the
water flow, which protects the soil surface against erosion9. With proliferative reproduction, the earthworm is an
economically affordable, environmentally sustainable, and socially acceptable potential candidate for improving
soil properties for better plant productivity10.f p
p
p
p
y
It is well understood that in the natural environment, different ecological categories of earthworms (epigeic,
endogeic, and anecic) and their interactions with other soil biota improve the soil’s physicochemical properties. 1Department of Zoology, Don Bosco College, Kohima, Nagaland, India. 2Department of Zoology, Nagaland
University, Lumami, Zunheboto, Nagaland, India. 3Faculty of Science, Assam Down Town University, Panikhaiti,
Guwahati‑26, Guwahati, Assam, India. *email: lakhmi.kakati1956@gmail.com | https://doi.org/10.1038/s41598-023-45288-9 Scientific Reports | (2023) 13:18648 www.nature.com/scientificreports/ Results
C Comparative study of the effects of P. excavatus and E. fetida on C. chinense
In P. excavatus inoculated soil, the average growth rate (mm/day) was maximum (8.3 ± 2), followed by the control
and E. fetida inoculated soil showing 7.5 ± 3.5 and 5.7 ± 1.4 respectively (Fig. 1A). The average growth rate in
P. excavatus inoculated soil was 12.59% higher than the control, while in E. fetida inoculated soil, it was 9.65%
lower than the control. A significant difference in the number of leaves recorded from earthworm inoculated soil
(163.66 ± 43.88 and 91.25 ± 13.43 in P. excavatus and E. fetida respectively), and control (46.5 ± 19.94) (F(2, 9) = 8.9,
p < 0.05) was recorded. A high percentage in the number of leaves was recorded in both P. excavatus, and E. fetida
inoculated soils (250.40% and 142.85%, respectively). Mean leaf biomass (g) also varies significantly (F(2, 12) = 7.89,
p < 0.05) depending on the treatment, and maximum biomass resulted from P. excavatus (69.16 ± 20.73) > E. fetida
(39.46 ± 6.7) > control (35.85 ± 6.77). With 92% and 10.06% increase over control, biomass increase in P. excavatus
was significantly (p < 0.05) higher. The average stem length (mm) at the time of harvest was higher in P. excavatus
(410 ± 49.7) than in control (398.7 ± 70.2) and E. fetida (368.7 ± 36.6) (Fig. 1B), showing an increase and decrease
of 7.66% and 2.77% respectively over the control. Stem length was substantially higher in the presence of P. exca-
vatus (Table 1). While stem biomass (g) from P. excavatus inoculated soil was increased by 47.30% (89.32 ± 24.27)
over the control (63.00 ± 26.78), while in E. fetida (46.42 ± 21.27), it was decreased by 16.43% (Fig. 2). f
y
g
Root length (mm) in P. excavatus (405.00 ± 82.1), E. fetida (251.2 ± 20.1), and control (300.0 ± 80.4) dif-
fer significantly (F(2, 9) = 8.12, p < 0.05). Due to fungal infection, the root length from E. fetida inoculated soil
was decreased by 2.42%, while in P. excavatus, the root length was 30.14% higher. Also, root biomass (g) was
recorded to be maximum in P. excavatus (41.8 ± 12.75) with a 58.04% increase over control, while in E. fetida https://doi.org/10.1038/s41598-023-45288-9 Scientific Reports | (2023) 13:18648 | www.nature.com/scientificreports/ Figure 1. (A) Growth rate of C. Results
C (31.39 ± 12.7), it was increased by 20.22% (Fig. 2). Along with the plant morphological characters, significant
variations (F(2, 10) = 5.24, p < 0.05) in total fruit yield (g) per plant were also recorded. Total harvest was observed
to be maximum in P. excavatus (573.27 g), followed by control (266.8 g) and E. fetida (112.99 g). In P. excavatus
inoculated soil, ripened chili was harvested at 17.59 g per week with an average of 108.13 ± 37.93 g per plant. In
control and E. fetida, ripened chili was harvested at 13.91 g and 9.24 g per week. While the quantity of harvest
per week does not differ significantly (F(2, 18) = 1.21, p > 0.05) among the treatments, it was 26.49% higher (P. excavatus) and 33.53% lesser (E. fetida) over the control. (31.39 ± 12.7), it was increased by 20.22% (Fig. 2). Along with the plant morphological characters, significant
variations (F(2, 10) = 5.24, p < 0.05) in total fruit yield (g) per plant were also recorded. Total harvest was observed
to be maximum in P. excavatus (573.27 g), followed by control (266.8 g) and E. fetida (112.99 g). In P. excavatus
inoculated soil, ripened chili was harvested at 17.59 g per week with an average of 108.13 ± 37.93 g per plant. In
control and E. fetida, ripened chili was harvested at 13.91 g and 9.24 g per week. While the quantity of harvest
per week does not differ significantly (F(2, 18) = 1.21, p > 0.05) among the treatments, it was 26.49% higher (P. excavatus) and 33.53% lesser (E. fetida) over the control. Results
C chinense under earthworm treatment and control (B) Increasing pattern of C. chinensestem under earthworm-mediated soil and control. Figure 1. (A) Growth rate of C. chinense under earthworm treatment and control (B) Increasing pattern of C. chinensestem under earthworm-mediated soil and control. Table 1. Morphological characteristics of C. chinense in the presence and absence of earthworms. Data
represent mean ± SD. * indicate a significant difference at p < 0.05. Mean with different superscripts within the
same row differ significantly (p < 0.05) by the Tukey test at a 95% confidence level. Treatment
No. of leaves
Leaf biomass (g)
Stem length(mm)
Stem biomass(g)
Root length (mm)
Root biomass(g)
P. excavatus
163.66 ± 43.88a
69.16 ± 20.73a
41 ± 4.97a
89.32 ± 24.27a
40.5 ± 8.21a
41.8 ± 12.75a
E. fetida
91.25 ± 13.43ab
28.87 ± 0.82c
36.87 ± 3.66a
46.42 ± 21.27b
25.12 ± 2.01b
31.39 ± 12.7a
Control
46.5 ± 19.94b
35.85 ± bc
39.87 ± 7.02a
63.00 ± 26.78a
30.00 ± 8.04ab
29.2 ± 8.87a
H
8.95
7.89
0.26
2.68
8.12
2.55
p-value
0.007**
0.006*
0.87
0.12
0.01*
0.11 Treatment
No. of leaves
Leaf biomass (g)
Stem length(mm)
Stem biomass(g)
Root length (mm)
Root biomass(g)
P. excavatus
163.66 ± 43.88a
69.16 ± 20.73a
41 ± 4.97a
89.32 ± 24.27a
40.5 ± 8.21a
41.8 ± 12.75a
E. fetida
91.25 ± 13.43ab
28.87 ± 0.82c
36.87 ± 3.66a
46.42 ± 21.27b
25.12 ± 2.01b
31.39 ± 12.7a
Control
46.5 ± 19.94b
35.85 ± bc
39.87 ± 7.02a
63.00 ± 26.78a
30.00 ± 8.04ab
29.2 ± 8.87a
H
8.95
7.89
0.26
2.68
8.12
2.55
p-value
0.007**
0.006*
0.87
0.12
0.01*
0.11 Table 1. Morphological characteristics of C. chinense in the presence and absence of earthworms. Data
SD * i di
i
ifi
diff
0 05 M
i h diff
i
i hi Table 1. Morphological characteristics of C. chinense in the presence and absence of earthworms. Data
represent mean ± SD. * indicate a significant difference at p < 0.05. Mean with different superscripts within the
same row differ significantly (p < 0.05) by the Tukey test at a 95% confidence level. Table 1. Morphological characteristics of C. chinense in the presence and absence of earthworms. Data
represent mean ± SD. * indicate a significant difference at p < 0.05. Mean with different superscripts within the
same row differ significantly (p < 0.05) by the Tukey test at a 95% confidence level. Table 1. Morphological characteristics of C. chinense in the presence and absence of earthworms. Data
SD * i di
i
ifi
diff
0 05 M
i h diff
i
i hi
h Comparative study of theeffectsof P. excavatus and E. fetida on Z. mays p
yf
f
y
Stem growth was maximum between 70 and 80 days, the highest average growth rate (mm/day) was recorded
in E. fetida soil (13.6 ± 8.5), followed by P. excavatus (13.0 ± 5.3) and control (12.7 ± 2.5) indicating the posi-
tive effect of earthworms (Fig. 3-A). The average number of leaves per plant was maximum (14.5 ± 0.95) in E. fetida soil, followed by control (13.5 ± 1.29) and P. excavatus (13.5 ± 0.95), showing the increasing percentage of
9.93% and 6.92% in E. fetida and P. excavatus over control. Contrary to its number, the maximum leaf biomass
(g) was recorded in P. excavatus (82.6 ± 3.5) followed by control (76.32 ± 4.45) and E. fetida soil (63.25 ± 4.07)
(Table 2). In P. excavatus treated soil, leaf biomass was 11.52% higher than in control, while in E. fetida, biomass https://doi.org/10.1038/s41598-023-45288-9 Scientific Reports | (2023) 13:18648 | www.nature.com/scientificreports/ Figure 2. Increased/ decrease in C. chinense morphological characters in the presence of P. excavatus and E. fetida. Data represent mean ± SD. Different superscripts between earthworm treatments differ significantly
(p < 0.05) by the Tukey test at a 95% confidence level. Figure 2. Increased/ decrease in C. chinense morphological characters in the presence of P. excavatus and E. fetida. Data represent mean ± SD. Different superscripts between earthworm treatments differ significantly
(p < 0.05) by the Tukey test at a 95% confidence level. Figure 2. Increased/ decrease in C. chinense morphological characters in the presence of P. excavatus and E. fetida. Data represent mean ± SD. Different superscripts between earthworm treatments differ significantly
(p < 0.05) by the Tukey test at a 95% confidence level. Figure 3. (A) The growth rate of Z. mays in the presence and absence of earthworms (B) Stem length of Z. mays under control and earthworm treatment. Figure 3. (A) The growth rate of Z. mays in the presence and absence of earthworms (B) Stem length of Z. mays under control and earthworm treatment. was 16.42% lower (Fig. 4). With the broader leaf diameter, plants were found to be healthy, and no infestation
of plants by insects was observed as the experiment was conducted in a greenhouse (Fig. 5A-F). Also, unlike C. chinense, no pathogenic infections occurred in the plants; all the seedlings grown, matured, and successfully bore
corn of varying sizes, depending on the treatments. The average stem length (Fig. Comparative study of theeffectsof P. excavatus and E. fetida on Z. mays 3B) at the final harvest was
maximum in E. fetida (246 ± 19.05), followed by P. excavatus (222 ± 12.28) and control (206 ± 13.22), exhibiting
an increasing trend of 19.24% and 7.82%, respectively, over the control. Maximum stem biomass was recorded https://doi.org/10.1038/s41598-023-45288-9 Scientific Reports | (2023) 13:18648 | www.nature.com/scientificreports/ Table 2
Morphological characteristics of Z mays plants in the presence and absence of earthworm Data
Treatment
No. of leaves
Leaf biomass (g)
Stem length (cm)
Stem biomass (g)
Root length(cm)
Root biomass (g)
P. excavatus
13.5 ± 0.95a
82.6 ± 3.51a
222 ± 12.28a
517.24 ± 15.44a
87.9 ± 5.43a
107.55 ± 4.84b
E. fetida
14.5 ± 0.95a
63.25 ± 4.07b
246 ± 19.05a
592.16 ± 7.06b
69.45 ± 4.1b
126.49 ± 5.69a
Control
13.5 ± 1.29a
76.32 ± 4.45ab
206 ± 13.22a
517.71 ± 7.12a
68.15 ± 1.95b
104.59 ± 4.81b
F
2.21
23.07
14.13
79.78
21.41
30.11
p-value
0.16
0.0002*
0001*
2.8321E-7*
0.000077*
0.000035* Table 2. Morphological characteristics of Z. mays plants in the presence and absence of earthworm. Data
represent mean ± SD. * indicate a significant difference at p < 0.05. Mean with different superscripts within the
same row differ significantly (p < 0.05) by the Tukey test at a 95% confidence level. Table 2. Morphological characteristics of Z. mays plants in the presence and absence of earthworm. Data
represent mean ± SD. * indicate a significant difference at p < 0.05. Mean with different superscripts within the
same row differ significantly (p < 0.05) by the Tukey test at a 95% confidence level. Figure 4. Increased/ decrease of Z. mays morphological characters in the presence of P. excavatus and E. fetida. Data represent mean ± SD. Different superscripts between earthworm treatments differ significantly (p < 0.05) by
the Tukey test at a 95% confidence level. Figure 4. Increased/ decrease of Z. mays morphological characters in the presence of P. excavatus and E. fetida. Data represent mean ± SD. Different superscripts between earthworm treatments differ significantly (p < 0.05) by
the Tukey test at a 95% confidence level. in E. fetida(592.16 ± 7.06), followed by P. excavatus (517.24 ± 15.44) and control (517.71 ± 7.12) showing signifi-
cant differences (F(2, 11) = 79.78, p < 0.05). Multiple comparisons test shows that the mean stem biomass from E. fetida was significantly (p < 0.05) higher than from P. excavatus and control pot. Comparative study of theeffectsof P. excavatus and E. fetida on Z. mays Depending on the treatment,
root length also differs significantly (F(2,13) = 21.41, p < 0.05), where the maximum was observed in P. excava-
tus(87.9 ± 5.43), followed by E. fetida (69.45 ± 4.1) and control (68.15 ± 1.95) (Table 2). Multiple comparisons test
indicates that the mean root length from P. excavatus was significantly higher than that of E. fetida and control. In P. excavatus, a 28.9% increase in root length over the control was observed, while in E. fetida, root length was
increased by only 1.9% (Fig. 4).i A significant variation of root biomass (F(2, 11) = 30.11, p < 0.05) was also recorded with a maximum in E. fetida treated soil (126.49 ± 5.69) followed by P. excavatus (107.55 ± 4.84) and control (104.59 ± 4.81), having
shown the increasing trend of 20.93% and 2.82% respectively over control. Post hoc test shows root biomass
from earthworm-treated soil was significantly (p < 0.05) higher compared to control, however, no significant
differences (p > 0.05) were observed between the two earthworm species. Among the treatments, the total kernel
count per corn was significantly different (F(2, 9) = 37.78, p < 0.05). The highest number of kernels was present in P. excavatus (333.5 ± 13.5), followed by E. fetida (261.5 ± 16.5) and control (235 ± 22), showing 41.91% and 11.27%
increase over control. Similarly, there was also a significant difference (F(2, 9) = 7.92, p < 0.05) on average kernel
weight with maximum production from P. excavatus (104.6 ± 14.9) followed by E. fetida (66.68 ± 6.78) worked
soil and control (56.32 ± 10.38) exhibiting 95.05% and 24.34% increase over control. Earthworm effects on soil nutrients
Soil pH p
Changes observed in various physicochemical parameters such as pH, OC, TN, P, and K reflect the effects of
earthworms on soil nutrient mineralization. Initially, soil pH was slightly acidic (5.6 ± 0.04), but at the end of the
experiment, it increased marginally in both C. chinense and Z. mays-grown soil in the presence of E. fetida, P. excavatus, and control (Table 3). In C. chinense grown soil, in the presence of P. excavatus, E. fetida, and control,
the final pH was 6.14 ± 0.34, 6.09 ± 0.15, and 6.12 ± 0.28 with an increased percentage of 9.6%, 8.5%, and 9.18% https://doi.org/10.1038/s41598-023-45288-9 Scientific Reports | (2023) 13:18648 | www.nature.com/scientificreports/ Figure 5. (A) Initial days (Day 63) of Z. mays grown in P. excavatus treated soil (B) Tassel bearing spikelet
pairs, first observed on day 108 in E. fetida treated soil (C) First silk appears on the 110th day in E. fetida treated
soil (D) Fully matured corn bearing plant as observed under greenhouse (E) Removing of roots from the
experimented pot for plant biomass estimation and measurement of stem and root length (F) final harvested
corn with healthy kernel obtained from control, P. excavatus and E. fetida treated soil. Figure 5. (A) Initial days (Day 63) of Z. mays grown in P. excavatus treated soil (B) Tassel bearing spikelet
pairs, first observed on day 108 in E. fetida treated soil (C) First silk appears on the 110th day in E. fetida treated
soil (D) Fully matured corn bearing plant as observed under greenhouse (E) Removing of roots from the
experimented pot for plant biomass estimation and measurement of stem and root length (F) final harvested
corn with healthy kernel obtained from control, P. excavatus and E. fetida treated soil. Table 3. Initial and final physicochemical characteristics of soil obtained from Z. maysand C. chinensegrew
pot treated with P. excavatus, E. fetida, and control. Data represent mean ± SD. * indicate a significant difference
at p < 0.05. Mean with different superscripts within the same row differ significantly (p < 0.05) by the Tukey test
at a 95% confidence level. C. chinense
pH
OC (%)
TN (%)
C:N
P (mg/kg)
K (mg/kg)
Initial
5.6 ± 0.04a
2.63 ± 0.25b
0.42 ± 0.02a
6.17 ± 0.62a
33.15 ± 2.31c
185.75 ± 18.11b
P. respectively (Fig. 6A). In Z. mays soil, the final soil pH was 5.79 ± 0.65, 6.26 ± 0.26, and 5.95 ± 0.08 in the P.
excavatus and E. fetida soil and control with an increasing percentage of 3.30%, 11.73%, and 6.12% respectively
(Fig. 6B). The increase in soil pH was the least affected by the earthworm’s activities and did not vary significantly
(F(2, 6) = 0.03, p > 0.05) among different treatments. Table 3. Initial and final physicochemical characteristics of soil obtained from Z. maysand C. chinensegrew
pot treated with P. excavatus, E. fetida, and control. Data represent mean ± SD. * indicate a significant difference
at p < 0.05. Mean with different superscripts within the same row differ significantly (p < 0.05) by the Tukey test
at a 95% confidence level. Earthworm effects on soil nutrients
Soil pH excavatus
6.14 ± 0.34a
3.24 ± 0.24ab
0.51 ± 0.04ab
6.56 ± 1.02a
41.96 ± 3.84a
263.16 ± 15.39a
E. fetida
6.09 ± 0.15a
3.29 ± 0.32a
0.46 ± 0.03ab
7.42 ± 1.17a
41.03 ± 1.00ab
208.53 ± 9.75ab
control
6.12 ± 0.28a
3.04 ± 0.06b
0.6 ± 0.04b
5.17 ± 0.62a
37.93 ± 1.15ab
202.88 ± 12.76ab
F
3.43
4.61
13.71
3.27
8.41
21.78
p-value
0.07
0.03*
0.002*
0.08
0.007*
0.000038*
Z. mays
pH
OC (%)
TN (%)
C:N
P (mg/kg)
K (mg/kg)
Initial
5.6 ± 0.04a
2.63 ± 0.25b
0.42 ± 0.02b
6.17 ± 0.62b
33.15 ± 2.31c
185.75 ± 18.11b
P. excavatus
5.79 ± 0.65a
3.34 ± 0.22ab
0.32 ± 0.01a
10.21 ± 0.21a
43.38 ± 2.85a
218.63 ± 7.34a
E. fetida
6.26 ± 0.26a
3.4 ± 0.38a
0.34 ± 0.02a
9.94 ± 1.41a
42.54 ± 0.61ab
215.68 ± 4.53ab
control
5.95 ± 0.08a
3.11 ± 0.2ab
0.3 ± 0.02a
10.35 ± 0.04a
40.19 ± 1.53bc
206.46 ± 9.95ab
F
1.84
4.81
23.9
19.6
16.4
7.03
p-value
0.21
0.03*
0.000239*
0.000481*
0.001*
0.006* Table 3. Initial and final physicochemical characteristics of soil obtained from Z. maysand C. chinensegrew
pot treated with P. excavatus, E. fetida, and control. Data represent mean ± SD. * indicate a significant difference
at p < 0.05. Mean with different superscripts within the same row differ significantly (p < 0.05) by the Tukey test
at a 95% confidence level. respectively (Fig. 6A). In Z. mays soil, the final soil pH was 5.79 ± 0.65, 6.26 ± 0.26, and 5.95 ± 0.08 in the P. excavatus and E. fetida soil and control with an increasing percentage of 3.30%, 11.73%, and 6.12% respectively
(Fig. 6B). The increase in soil pH was the least affected by the earthworm’s activities and did not vary significantly
(F(2, 6) = 0.03, p > 0.05) among different treatments. respectively (Fig. 6A). In Z. mays soil, the final soil pH was 5.79 ± 0.65, 6.26 ± 0.26, and 5.95 ± 0.08 in the P. excavatus and E. fetida soil and control with an increasing percentage of 3.30%, 11.73%, and 6.12% respectively
(Fig. 6B). The increase in soil pH was the least affected by the earthworm’s activities and did not vary significantly
(F(2, 6) = 0.03, p > 0.05) among different treatments. https://doi.org/10.1038/s41598-023-45288-9 Scientific Reports | (2023) 13:18648 | www.nature.com/scientificreports/ Figure 6. Soil physicochemical percentage changes over initial value in C. Earthworm effects on soil nutrients
Soil pH The maximum reduction was recorded in control (29.72%), followed by P. excavatus
(23.42%), and E. fetida (19.48%) (Fig. 6B). C:N
C:N ratio is another essential parameter to indicate the nutrient stability of the soil. C:N ratio 15–20 is considered
an acceptable range for agronomy (FAO, 2020). In the present study, substantial variations of C:N were observed
depending on the treatment but well within the suggested required range. Having the initial ratio of 6.17 ± 0.62 Organic carbon (%)
ll
h
f Organic carbon (%)
Initially, the OC of the soil samples used for the experiment was 2.63 ± 0.25 (Table 3). At the end of the experi-
ment, OC increased to 3.04 ± 0.06 to 3.4 ± 0.38 depending on the plant grown and the presence and absence of
earthworms. In C. chinense grown soil, the maximum amount of OC was present in the presence of E. fetida
(3.29 ± 0.32), followed by P. excavatus (3.24 ± 0.24) and control (3.04 ± 0.06) with 25.76%, 23.47%, and 16.24%
increase over the initial concentration (Fig. 6A). Similarly, in Z. mays-grown soil, the highest concentration of
OC was recorded in the presence of E. fetida (3.4 ± 0.38), P. excavatus (3.34 ± 0.22), and control (3.1 ± 0.2) with
30.48% 27.36% and 18.4% increase (Fig. 6B). TN (%) Contrary to other parameters, total nitrogen showed an uneven increase and decrease. Initially, the average
amount of TN was 0.42 ± 0.02; however, at the end of the experiment, in C. chinense-grown soil, TN was increased
to 0.51 ± 0.04 and 0.46 ± 0.03 in the presence of P. excavatus and E. fetida, respectively. While in control, the
final concentration of TN was increased to 0.6 ± 0.04. Variations of TN among the treatment were significantly
(F(2, 6) = 9.9, p < 0.05) different. Multiple comparisons test showed TN in P. excavatus and E. fetida were insig-
nificant (p > 0.05), but the control was significantly (p < 0.05) lower compared to E. fetida. Depending on the
presence and absence of earthworms, the increased percentage of TN over the initial value were significantly
(F(2,6) = 25.61, p = 0.001) different with the highest being observed in control (41.86%), P. excavatus (20.81%),
and E. fetida (8.19%) (Fig. 6A).Post hoc test shows TN increased in the control pot was significantly (p < 0.05)
higher compared to P. excavatus and E. fetida. While in Z. mays-grown soil, TN decreased (Table 3) in all the
treatments, and the final concentration was 0.32 ± 0.01, 0.34 ± 0.02, and 0.3 ± 0.02 in P. excavatus, E. fetida,
and control, respectively. The maximum reduction was recorded in control (29.72%), followed by P. excavatus
(23.42%), and E. fetida (19.48%) (Fig. 6B). Earthworm effects on soil nutrients
Soil pH chinense (A), Z. mays (B) grown pot
in the presence and absence of earthworm. Figure 6. Soil physicochemical percentage changes over initial value in C. chinense (A), Z. mays (B) grown pot
in the presence and absence of earthworm. 7
Vol (01234
c Reports | (2023) 13:18648 |
https://doi.org/10.1038/s41598-023-45288-9
Organic carbon (%)
Initially, the OC of the soil samples used for the experiment was 2.63 ± 0.25 (Table 3). At the end of the experi-
ment, OC increased to 3.04 ± 0.06 to 3.4 ± 0.38 depending on the plant grown and the presence and absence of
earthworms. In C. chinense grown soil, the maximum amount of OC was present in the presence of E. fetida
(3.29 ± 0.32), followed by P. excavatus (3.24 ± 0.24) and control (3.04 ± 0.06) with 25.76%, 23.47%, and 16.24%
increase over the initial concentration (Fig. 6A). Similarly, in Z. mays-grown soil, the highest concentration of
OC was recorded in the presence of E. fetida (3.4 ± 0.38), P. excavatus (3.34 ± 0.22), and control (3.1 ± 0.2) with
30.48% 27.36% and 18.4% increase (Fig. 6B). TN (%)
Contrary to other parameters, total nitrogen showed an uneven increase and decrease. Initially, the average
amount of TN was 0.42 ± 0.02; however, at the end of the experiment, in C. chinense-grown soil, TN was increased
to 0.51 ± 0.04 and 0.46 ± 0.03 in the presence of P. excavatus and E. fetida, respectively. While in control, the
final concentration of TN was increased to 0.6 ± 0.04. Variations of TN among the treatment were significantly
(F(2, 6) = 9.9, p < 0.05) different. Multiple comparisons test showed TN in P. excavatus and E. fetida were insig-
nificant (p > 0.05), but the control was significantly (p < 0.05) lower compared to E. fetida. Depending on the
presence and absence of earthworms, the increased percentage of TN over the initial value were significantly
(F(2,6) = 25.61, p = 0.001) different with the highest being observed in control (41.86%), P. excavatus (20.81%),
and E. fetida (8.19%) (Fig. 6A).Post hoc test shows TN increased in the control pot was significantly (p < 0.05)
higher compared to P. excavatus and E. fetida. While in Z. mays-grown soil, TN decreased (Table 3) in all the
treatments, and the final concentration was 0.32 ± 0.01, 0.34 ± 0.02, and 0.3 ± 0.02 in P. excavatus, E. fetida,
and control, respectively. Discussion Sustainable agriculture encompasses food production from plants or animals using different techniques without
adverse impacts on humans, the environment, and animals. Extensive use of fertilizers and pesticides boosts
food production but also deteriorates the biodiversity (above and below the ground) associated with cropland. As an essential component of the soil, earthworms maintain soil fertility and play a key role in sustainability. The
presence of earthworms enhanced the soil nutrient, plant biomass (leaves, stem, root), and fruit yield (ripened
chili, kernel count, and kernel weight), which was consistent with the notion that earthworms increased plant
growth13. In the present findings, plants grown in earthworm treatment (P. excavatus and E. fetida) resulted in
better morphological characteristics such as shoot biomass, stem length, number of leaves, coloration, biomass,
and fruit yield.In P. excavatus treated soil, C. chinense growth rate was 11.43% higher. However, in E. fetidain-
oculated soil, C. chinenseresulted in a lower growth rate (-9.65%), stem length (-2.77%), stem biomass (-16.43%)
and root length (-2.42%). The average growth rate of Z. mays was higher in E. fetida (13.6 ± 8.5 mm/day), and P. excavatus (13.0 ± 5.3 mm/day) than in control (12.7 ± 2.5 mm/day). y
y
It was observed that during the initial 30–35 days, plants grew successfully in the earthworm treated soil and
control. However, due to fungal infection, 50% of the plant roots in E. fetida inoculated soil (Fig. 7A–F) did not
survive till maturity, and the average growth rate was negatively affected (Fig. 7F). In P. excavatus soil, 100% of
plants survived, and no fungal infections were observed. Therefore, it is less likely that earthworm-associated
pathogens cause disease in plants. Fungal infections could be due to excess waterlogging in the root, depriving the
roots of oxygen making them more susceptible to infections. Also, unsterilized seeds may be the cause of fungal
infection in the E. fetida inoculated soil.Other researchers have also reported that, C. chinense is susceptible to
various fungal diseases, including Colletotrichum capsici, Colletotrichum gloeosporoides, Sclerotinia sclerotiorum,
Rhizoctonia solani, and Corynespora cassicola24. In C. chinense, due to fungal infection total fruit harvest, plant
growth rate, leaf biomass, and root biomass were lowered. Apart from the microbial effects, concentrations of
salts in the soil, mainly NaCl, are also responsible for the reduction in the productivity of economically impor-
tant crops such as chili (C. annuum), tomato (Solanumlycopersicum), and potato (S. tuberosum)18,25. Also,Aktaş
et al. www.nature.com/scientificreports/ in the C. chinense grown soil, C:N ratio in the presence of E. fetida and P. excavatus were increased to 7.42 ± 1.17
and 6.56 ± 1.02 with 21.92% and 7.48% increase. While in control, the final C:N ratio was decreased by 15.39%
(5.17 ± 0.62). However, in Z. mays grown-soil, C:N ratio was 10.35 ± 0.34, 10.21 ± 0.21, and 9.94 ± 0.41 in control,
P. excavatus, and E. fetida, respectively exhibiting a maximum increase of C:N ratio in control (68.68%), followed
by P. excavatus (66.58%), and E. fetida (63.46%). Analysis of variance study shows that in Z. mays grown soil, the
increased percentage of C:N varies significantly (F(2, 6) = 47.17, p < 0.05) among treatments. in the C. chinense grown soil, C:N ratio in the presence of E. fetida and P. excavatus were increased to 7.42 ± 1.17
and 6.56 ± 1.02 with 21.92% and 7.48% increase. While in control, the final C:N ratio was decreased by 15.39%
(5.17 ± 0.62). However, in Z. mays grown-soil, C:N ratio was 10.35 ± 0.34, 10.21 ± 0.21, and 9.94 ± 0.41 in control,
P. excavatus, and E. fetida, respectively exhibiting a maximum increase of C:N ratio in control (68.68%), followed
by P. excavatus (66.58%), and E. fetida (63.46%). Analysis of variance study shows that in Z. mays grown soil, the
increased percentage of C:N varies significantly (F(2, 6) = 47.17, p < 0.05) among treatments. Phosphorus (P) (mg/kg)
In C. chinense-grown soil, although no significant (F(2, 6) = 2.33, p > 0.05) differences were observed among the
treatment, P was increased to 41.96 ± 3.84, 41.03 ± 1.00, and 37.93 ± 1.15 in the presence of P. excavatus, E. fetida,
and control, respectively. The increased percentage of P in P. excavatus, E. fetida, and control were 31.03%,
28.67%, and 21.59% (Fig. 6A). Similarly, in Z. mays-grown soil, a higher percentage of increase was recorded in
the presence of P. excavatus, E. fetida, and control, respectively, and the final concentration of P was 43.38 ± 2.85,
42.54 ± 0.61, 40.19 ± 3.10. Potassium (K) (mg/kg)h The initial amount of K was 33.15 ± 2.31 (Table 3). In C. chinense-grown soil, K was increased at the final and
showed significant differences (F(2, 9) = 26.86, p < 0.05) among the treatment. The highest concentration was
present in P. excavatus (263.16 ± 15.39), E. fetida (208.53 ± 9.75), and control (202.88 ± 12.76), with increasing
trend of 41.67%, 12.26%, and 9.22%, respectively over the initial value. Increased percentage of K in treatment
also shows significant differences (F(2,6) = 15.23, p < 0.05). The post hoc test shows an K increased in P. excavatus
inoculated soil was significantly (p < 0.05) higher compared to E. fetida and control. In Z. mays-grown soil also,
although the final amount of K varies insignificantly among the treatment (F(2,9) = 2.78, p > 0.05), substantially
higher amount of K concentration was recorded in the presence of earthworms P. excavatus (218.63 ± 7.34), E. fetida (215.68 ± 4.53), and control- 206.46 ± 9.95). In P. excavatus inoculated soil, K was increased by 18.44%
over the initial value, while in E. fetida and control, 14.28%, and 7.75% increase over the initial concentration
was observed. C:N C:N
C:N ratio is another essential parameter to indicate the nutrient stability of the soil. C:N ratio 15–20 is considered
an acceptable range for agronomy (FAO, 2020). In the present study, substantial variations of C:N were observed
depending on the treatment but well within the suggested required range. Having the initial ratio of 6.17 ± 0.62 https://doi.org/10.1038/s41598-023-45288-9 Scientific Reports | (2023) 13:18648 | www.nature.com/scientificreports/ Discussion excavatus treated soil (E) Freshly harvested plant taken for root length and biomass
estimation (F) Fungal infected root and stem causing rotting of plants starting from underground roots to stem
resulting into the black in color, observed in E. fetida treated soil. of earthworms is attributed to releasing inaccessible forms of nutrients in the soil, making it available for plant
absorption. Along with the other plants’ morphological characteristics, the present study has shown the posi-
tive effect of earthworm (P. excavatus), recording 71.3% higher chili fruit production per plant. Gong and Gao
(2019)32 opined that shoot biomass is less sensitive to changes in soil fertility.Van Groenigen (2013)33reported
that once earthworms processed soils, their effects on plant growth get reduced. Similarly, earthworms’ role in
plant growth enhancement is more impactful in developing soil than in developed soil and further emphasized
that during early to a late succession of plants community, earthworm activities play a significant role12. Barrion
and Litsinger (1997)34 reported that at very high density (17,294 ind./m2) Dichogaster curgensis Michaelsen
becomes a pest in the irrigated rice field, causing leaks in rice levees, injured roots, uneven growth, and seedling
death. However, in the present study, P. excavatus and E. fetida, surface dweller were used for the experiment,
and naturally, these species has not been recorded at such high density. Further, due to low density of earthworm
the species did not revealed any negative effects on plant growth.f p
y
gf
p
g
In the present study, both the earthworm species have a fair share of effects on Z. mays, with P. excavatus more
perceptible in leaf biomass (11.52%) and root length (28.9%). At the same time, E. fetida effects were more in
morphological characters, such as the number of leaves (9.93%), stem length (24.63%), stem biomass (14.39%),
and root biomass (20.93%). The effect on kernel count and weight was more with P. excavatus (41.91% and
95.07%) than E. fetida (11.27% and 24.35%). The bacteria such as Bacillus safeness, Bacillus flexus, and Staphy-
lococcus haemolyticusassociated with earthworm gut show plant growth-promoting potentials with the produc-
tion of indole acidic acid (IAA), gibberellic acid (GA), ammonia, aminocyclopropane-1-carboxylic acid (ACC)
deaminase activity, and phosphate solubilizing activities35. The higher percentage of plant growth characteristics
in the presence of earthworms could be attributed to associated bacteria that release the insoluble form of soil
nutrients into a soluble form, making it available for plants to absorb36,37. Discussion (2006)26and Niu and Cabrera (2010)27considered chili plants to be very susceptible to this abiotic factor. 28 (
)
(
)
p
y
p
Researcher in the past (Xiao, Z. et al. 2018)28 also reported that the presence of earthworms increased plant
growth by 20% and further emphasized that earthworms’ effect on plant growth is more effective when mixed
earthworm species are inoculated at the same time. In the present study, distinct differences in leaf coloration
were also observed, with leaves acquiring dark green color in earthworm-worked soil, which could be due to more
chlorophyll and carotenoid content29. Brown et al. (2004)15suggested that there are five possible ways through
which earthworms positively affect plant productivity. (i) Biocontrol of pests and diseases; (ii) stimulation of plant
microbial associations (iii) production of plant growth regulating substances (iv) changes in soil physicochemical
structures, (v) and enhanced nutrient availability for absorption through roots. In C. chinense, the effects of P. excavatus were higher, as evident from the increasing number of leaves (250.4%), leaf biomass (92%), stem length
(11.6%), stem biomass (41.77%), root length (35%) and root biomass (43.15%) over the control.Van Groenigen
et al. (2014)30 reported that the presence of earthworms increased the aboveground plant biomass productivity
by 23% and suggested that earthworms enhanced plants’ growth mainly through their ability to release nitrogen
trapped in organic matter. Similarly, Trap et al. (2021)31 also reported that the presence of endogeic earthworms
significantly increased the shoot biomass (26%) of rice (Oryza sativa). Increased plant biomass in the presence https://doi.org/10.1038/s41598-023-45288-9 Scientific Reports | (2023) 13:18648 | www.nature.com/scientificreports/ www.nature.com/scientificreports/ Figure 7. (A)Flowering of C. chinenseobserved on day 50 in P. excavatus treated soil (B) Ripen fruit from P. excavatus treated soil observed on 78th day (C) Fully ripen chili inE. fetida treated soil (D) One-time harvest
from single plant grown in P. excavatus treated soil (E) Freshly harvested plant taken for root length and biomass
estimation (F) Fungal infected root and stem causing rotting of plants starting from underground roots to stem
resulting into the black in color, observed in E. fetida treated soil. Figure 7. (A)Flowering of C. chinenseobserved on day 50 in P. excavatus treated soil (B) Ripen fruit from P. excavatus treated soil observed on 78th day (C) Fully ripen chili inE. fetida treated soil (D) One-time harvest
from single plant grown in P. Conclusion As macroinvertebrates, P. excavatus and E. fetida demonstrated promising abilities in enhancing plant biomass
and soil nutrient content. Explicitly, the influence of P. excavatus was more pronounced in C. chinense, as evi-
denced by the increased number of leaves, biomass, stem length, root length, root biomass, and fruit harvest. Conversely, E. fetida significantly impacted Z. mays, leading to enhanced stem length, stem biomass, root bio-
mass, number of leaves, kernel count, and kernel weight. The presence of earthworm also increased soil nutrients,
further supporting improved plant morphological characteristics. Consequently, the study did not identify a
superior earthworm species based on their effects on plant productivity. Nonetheless, these findings suggest
that organic cultivation of seasonal vegetables, without synthetic fertilizers, can be achieved by introducing
earthworms. This approach becomes particularly valuable for kitchen gardens in urban areas with limited space
for plant growth. Using earthworms as mediators for fulfilling soil nutrient requirements, even miniature plants
like C. chinense can be cultivated purely organically. www.nature.com/scientificreports/ gut enzymes, phosphatase, formation of organic acids, and discharge of total phosphorus from a complex form
of humic acid mediated by microbial activity might contribute to the increased concentration of P in the soil40,41. Many earthworm gut-associated bacteria are reported to have phosphate and potassium-solubilizing bacteria. Yakkou et al. (2022)42 observed that out of 16 bacteria isolated from earthworm gut, six bacteria, namely Pseu-
domonas aeruginosa, Pantoea vagans, Buttiauxella gaviniae, Raoultella planticola, Aeromonas sp. Aeromonas
drosophila has the potential to solubilize insoluble forms of Potassium. Therefore, apart from the other biochemi-
cal process, an increased P and K could be attributed to earthworm-associated bacteria that solubilize the bound
form of macronutrients43. Irrespective of earthworm species, the increased amount of macronutrients in the soil is more distinct,
indicating its role in nutrient turnover, making it more readily available for plant absorption. An increase in
organic carbon and inconsistent changes in total nitrogen (Table 3) might be attributed to the decomposition
of leaves from plants themselves. Plant-available water, water-holding capacity, bulk density, and soil organic
matter were also reported to increase earthworm presence10. Zhao et al. (2013)44 reported an 11% increase in
nitrogen in the presence of earthworms. Enhanced plant productivity increases the organic matter input to the
soil, increasing the earthworm’s food supply.Earthworms’ effects on the soil and plants are influenced by various
factors, including their feeding preferences, soil types, and plant species-specific traits. Variations in plant root
systems also impact earthworm presence, seeking areas with suitable structures. Moreover, earthworms’ interac-
tions with soil microorganisms, influenced by different plant species, also impact their behavior and health of
the above-ground productivity.if g
y
Despite higher soil fertility in earthworm-treated soil, a lack of significant differences in Z. mays stems length
and its biomass from earthworm-treated soil and control were observed (Table 2). Also, for C. chinense, insignifi-
cant differences were observed in stem length from earthworm-treated soil and control. It is important to note
that our study was short-term, conditioned for optimum earthworm activities through proper moisture mainte-
nance, and conducted under greenhouse conditions. Earthworm affects plant biomass productivity more in soil
with no earthworm legacy than in earthworm-mediated soil. Therefore, it is essential to elucidate the long-term
effects of earthworms on soil physicochemical parameters, plant productivity, and associated microorganisms
that bring about various changes in soil systems in many different natural environments. Materials and method
Pre‑experimental preparationsf p
p
p
Two different earthworm species were used for the experiment. (a) E. fetida, a commercially available species, was
procured from a local vermicomposting farm, Wokha, Nagaland, India, and (b) P. excavatus, was sampled during
an earthworm resource exploration study in Minkong forest (26°21′43.34"N and 94°33′23.42"E) under Mokok-
chung district, Nagaland. Both the earthworm species were mass cultured separately in the vermicomposting
chamber in the Zoology Department, Nagaland University, for adaptation to the local environment and multi-
plication of their population. Moisture in the vermiculture setup was maintained at 60%-70% by sprinkling water
regularly, and temperature ranged between 28 °C to 34.6 °C. Earthworms were fed with a mixture of urine-free
pre-decomposed cow dung collected from a local farm and domestic organic waste collected from the household. Discussion Irrespective of species, the presence of
earthworm increases the microbiota that improved soil nutrient content (N, P, K) available for plant absorption. Plant growth hormones such IAA secreted by earthworm associated bacteria stimulates the plant cell elongation
or divisions, especially in roots, thereby providing greater surface area for soil nutrient absorption and enhanc-
ing root growth and length. However, the mechanism connecting earthworms-soil promoting plants’ growth
response is more complex due to the involvement of multiple factors interaction38. p
p
p
P in the soil was increased by 27.12% (P. excavatus) and 24.11% (E. fetida), while in Z. mays-grown soil,
31.03% (P. excavatus) and 28.67% (E. fetida) increase were observed. In C. chinense-grown soil, K was observed
to increase by 42.39% (P. excavatus) and 12.70% (E. fetida). While in Z. mays-grown soil, an 18.38% and 14.27%
increase was observed. The increased concentration of phosphorus in the earthworm-worked soil may be attrib-
uted to earthworm activity conducive to phosphate-dissolving bacteria in the soil39. The activity of earthworm https://doi.org/10.1038/s41598-023-45288-9 Scientific Reports | (2023) 13:18648 | www.nature.com/scientificreports/ Statistical analysis
Th
fi
d ff The significant differences in the number and biomass of leaves, stem, root biomass; and growth rate and total
fruit harvest of both plants among the treatments were analysed using one-way ANOVA at a 95% confidence
level (p < 0.05). Each analysis was followed up with multiple comparison tests (Tukey test) to find the mean dif-
ferences between treatments. The statistical analysis was computed using SPSS (Version 22). Soil physicochemical analysis Soil samples were analyzed at two intervals, i.e., before the inoculation earthworms to the pot and at the end of
the pot experiment. Before analysis, mixture of soil and cow dung were collected from the pot, air-dried, sieved
through a 1 mm mesh size, and kept in an airtight plastic bag. pH was measured using a digital pH meter (Lab
junction-111) at a 1:20 soil–water ratio. Organic carbon was analyzed by a modified form of the wet oxidation
initially described by Walkley and Black (1934)45. Total nitrogen (TN) was determined by Kel plus instrument
(Pelican equipment- Classic- DX VAT-E). Phosphorus (P) was determined spectrophotometrically (Systronic
spectrophotometer-166) using a modified form of Bray and Kurtz (1945)46. The amount of available phosphorus
was determined by the intensity of blue color development when treated with a molybdate-ascorbic acid reagent. Potassium (K) was determined by flame photometer following a modified form of the ammonium acetate method
described by Hanway and Heidel (1952)47. www.nature.com/scientificreports/ www.nature.com/scientificreports/ For Z. mays, nine plastic pots (in triplicate for each group) with a capacity of 15 L were used due to the larger
size of the plants. These pots had dimensions of 390 mm in length and 320 mm in diameter. The pots were filled
with 2 mm sieved soil and were regularly sprinkled to maintain optimal moisture levels. In each pot, including
the control, 300 g of urine-free, partially decomposed cow dung was added as food for earthworms. Because of
the larger plant and pot size, 20 healthy clitellated earthworms, P. excavatus (average weight 350.34 ± 7.4), and
E. fetida (average weight 410.12 ± 8.5), were inoculated into the first and second set of pots, respectively. The
remaining three pots were used as control with no earthworm. g
p
In all the pots, the earthworms were allowed to settle and were observed for three days to ensure their normal
survival and growth. Once the earthworms had settled and burrowed into the soil, a pair of sprouted C. chinense
and Z. mays seeds were planted in their respective pots. The moisture level in all the experimental pots was
maintained at 40–50% by regular water sprinkling. Since the experiment took place in a greenhouse, no pest
attack was observed. The temperature ranged between 28 and 34.6 °C, and humidity fluctuated between 40–70%,
depending on the weather conditions. Plant growth was monitored at regular intervals of 7 days (weekly) from
day one until the plants complete fruiting and reached maturity. This involved measuring stem length and count-
ing the number of leaves and fruits. In the case of C. chinense, once the plants began to bear fruits and mature,
harvesting was conducted weekly, and the fruits were weighed to record the weekly fruit yield per plant. While
for Z. mays kernel count and weight were done at the final harvest of the plant. The biomass of both the plants
were weighted using a portable digital weighing machine (Oblivion-OBSF400A). Ethical declaration 1. The authors affirm that no ethical violations occurred during the collection of plants. The collection of plants
was conducted in compliance with the Constitution of India (Article 371 (A)), which grants the tribal com-
munities of Northeast India, specifically Nagaland, rightful authority to collect and utilize natural resources
from non-protected regions of the state. Moreover, it is important to note that the plant species (Capsicum
chinensis and Zea mays) utilized in this study are not listed under any categories of the IUCN Red List. Further, after the experiment, plant specimens were deposited in the University Herbarium with brochure
numbers NU_LJ-570 and NU_LJ-571. 1. The authors affirm that no ethical violations occurred during the collection of plants. The collection of plants
was conducted in compliance with the Constitution of India (Article 371 (A)), which grants the tribal com-
munities of Northeast India, specifically Nagaland, rightful authority to collect and utilize natural resources
from non-protected regions of the state. Moreover, it is important to note that the plant species (Capsicum
chinensis and Zea mays) utilized in this study are not listed under any categories of the IUCN Red List. Further, after the experiment, plant specimens were deposited in the University Herbarium with brochure
numbers NU_LJ-570 and NU_LJ-571. 2. It is hereby declared that seeds of Capsicum chinensis (King chili) and Zea mays (Makai) from Zaphumi
village were collected for experimental purposes in the Department of Zoology at Nagaland University,
Lumami, Zunheboto. Furthermore, it is confirmed that no objections have been raised by any individual or
community regarding their consent for this collection.i 2. It is hereby declared that seeds of Capsicum chinensis (King chili) and Zea mays (Makai) from Zaphumi
village were collected for experimental purposes in the Department of Zoology at Nagaland University,
Lumami, Zunheboto. Furthermore, it is confirmed that no objections have been raised by any individual or
community regarding their consent for this collection.i y
g
g
3. Experimental research and field studies on plants (either cultivated or wild), including the collection of plant
material, comply with relevant institutional, national, and international guidelines and legislation. y
g
g
3. Experimental research and field studies on plants (either cultivated or wild), including the collection of plant
material, comply with relevant institutional, national, and international guidelines and legislation. Data availability
ll d
d All data generated or analysed during this study are included in this article. Received: 16 March 2023; Accepted: 18 October 2023 Received: 16 March 2023; Accepted: 18 October 2023 Experimental design Two commonly available and preferred plant species were chosen for this study i.e. C. chinense, locally referred
to as Naga king chili, and Z. mays, (Maize). The plant growth experiment used loose topsoil, collected from the
University campus within a depth of 0–10 cm. Prior to commencing the experiment, the seeds of C. chinense
and Z. mays were sprouted by soaking them in water for 36 h. For C. chinense, the experiment was conducted in triplicates using nine plastic pots with a capacity of 5 L
due to the smaller size of the plants. Each pot had dimensions of 250 mm in length and 200 mm in diameter. The pots were filled with 2 mm sieved soil and water was sprinkled to maintain moisture. Subsequently, 150 g
of urine-free, partially decomposed (15 days) cow dung was added to each pot as a food source for earthworms. The same amount of cow dung was applied to the control pots to ensure a uniform amount of nutrients. Since
the earthworm species used were surface dwellers (epigeic), the cow dung was applied to the top layer (0–10 cm)
and mixed with the soil. In the first three pots, ten healthy, clitellate individuals of P. excavatus, with an average
weight of 350.34 ± 7.4 mg, were introduced. Similarly, ten healthy E. fetida individuals, with an average weight
of 410.12 ± 8.5 mg, were introduced in the following three pots. Due to the smaller plant and pot size, only ten
earthworm individuals were added to the pots where C. chinense was grown. The third set of three pots served
as the control group and did not have any earthworms. Scientific Reports | (2023) 13:18648 | https://doi.org/10.1038/s41598-023-45288-9 References hah, S., Ramanan, V. V., Singh, V. V. & Singh, K. A. Potential and prospect of plant growth promoting rhizobacteria in lentil. Sci. entil Prod. 431–451 (2018). 2. Prescott, C. E. Decomposition and mineralization of nutrients from litter and humus. Nutrient Acquisition by Plants https://doi.
org/10.1007/3-540-27675-0_2 (2005). g
_ (
)
3. Yoshitake, S., Soutome, H. & Koizumi, H. Deposition and decomposition of cattle dung and its impact on soil properties and plant
growth in a cool-temperate pasture. Ecol. Res. 29, (2014). 4 V
G
i
J W
l H
f
il
h
? A
l
i
G
d
338 525 535 (2019) g
3. Yoshitake, S., Soutome, H. & Koizumi, H. Deposition and decomposition of cattle dung and its impact on soil properties and plant
growth in a cool-temperate pasture. Ecol. Res. 29, (2014). g
_ (
)
3. Yoshitake, S., Soutome, H. & Koizumi, H. Deposition and decomposition of cattle dung and its impact on soil properties and plant
growth in a cool-temperate pasture. Ecol. Res. 29, (2014). www.nature.com/scientificreports/ www.nature.com/scientificreports/ 5. Singh, J. S. & Gupta, V. K. Soil microbial biomass: a key soil driver in management of ecosystem functioning. Sci. Total Environ
634, (2018). 6. Wurst, S., Sonnemann, I. & Zaller, J. G. Soil Macro-invertebrates: their impact on plants and associated aboveground communities
in temperate regions. in (2018). doi: https://doi.org/10.1007/978-3-319-91614-9_8.il 6. Wurst, S., Sonnemann, I. & Zaller, J. G. Soil Macro-invertebrates: their impact on plants and associated aboveground
in temperate regions in (2018) doi: https://doi org/10 1007/978 3 319 91614 9 8 in temperate regions. in (2018). doi: https://doi.org/10.1007/978 p
g
p
g
7. Zaller, J. G. et al. Subsurface earthworm casts can be important soil microsites specifically influencing the growth of grassland
plants. Biol Fertility of Soils 49, (2013).f plants. Biol Fertility of Soils 49, (2013).f p
y f
8. Fahey, T. J. et al. Earthworm effects on the incorporation of litter C and N into soil organic matter in a sugar maple forest. Eco
Appl 23, (2013). pp
, (
)
9. Sharma, D. K., Tomar, S. & Chakraborty, D. Role of earthworm in improving soil structure and functioning. Current Sci. https://
doi.org/10.18520/cs/v113/i06/1064-1071 (2017).f g
(
)
10. Hallam, J. et al. Effect of earthworms on soil physico-hydraulic and chemical properties, herbage production, and wheat growth
on arable land converted to ley. Sci. Total Environ. 713, (2020). y
et al. Earthworm invasion into previously earthworm-free tempera . Frelich, L. E. et al. Earthworm invasion into previously earthwor 1. Frelich, L. E. et al. Earthworm invasion into previously earthworm free temperate and boreal forests. Biol. Invasions vol. 8 (2006)
2. Mudrák, O. & Frouz, J. Earthworms increase plant biomass more in soil with no earthworm legacy than in earthworm-mediated
soil, and favour late successional species in competition Func Ecol 32, (2018) 12. Mudrák, O. & Frouz, J. Earthworms increase plant biomass more in soil with no earthworm legacy than in
soil, and favour late successional species in competition. Func. Ecol 32, (2018).f soil, and favour late successional species in competition. Func. Ecol 32, (2018).f Scheu, S. Effects of earthworms on plant growth: Patterns and per f
g
g
14. Paliwal, P. Exploration study of organic manure and earthworm ( Pheretima posthuma ) inoculation on quality of coal mine soil. 2, 75–77 (2020).f 2, 75–77 (2020). 5. Brown, G. G., Edwards, C. A. & Brussaard, L. How earthworms affect plant growth: Burrowing into the mechanisms. Earthworm 5. www.nature.com/scientificreports/ Brown, G. G., Edwards, C. A. & Brussaard, L. How earthworms affect plant growth: Burrowing into the mechanisms. Earthworm
Ecol. Second Edition. https://doi.org/10.1201/9781420039719 (2004).f 16. Brown, G. G. et al. Effects of earthworms on plant production in the tropics. Earthworm management in tropical agroecosystems
(1999). (
)
7. Edwards, C. A. & Arancon, N. Q. Earthworms, Soil Structure, Fertility, and Productivity BT - Biology and Ecology of Earthworms
in (eds. Edwards, C. A. & Arancon, N. Q.) 303–334 (Springer US, 2022). doi:https://doi.org/10.1007/978-0-387-74943-3_10. p
g
p
g
18. Medina-Lara, F. et al. Red and brown soils increase the development and content of nutrients in habanero pepper subject
h h h l
l
d
H
S
(
) g
18. Medina-Lara, F. et al. Red and brown soils increase the development and con
irrigation water with high electrical conductivity. HortScience 54, (2019).i 18. Medina-Lara, F. et al. Red and brown soils increase the development and content of nutrients in habanero pepper subjec
irrigation water with high electrical conductivity. HortScience 54, (2019).i on water with high electrical conductivity. HortScience 54, (2019) 19. Mondal, A. et al. Detoxification and eco-friendly recycling o
vermitechnology. Chemosphere 244, 125470 (2020). 19. Mondal, A. et al. Detoxification and eco-friendly recycling of brick kiln coal ash using Eisenia fetida: a clean approach through
vermitechnology. Chemosphere 244, 125470 (2020). i
vermitechnology. Chemosphere 244, 125470 (2020) 20. Devi, J. et al. Appraisal of lignocellusoic biomass degrading potential of three earthworm species using vermireactor mediated
with spent mushroom substrate: compost quality, crystallinity, and microbial community structural analysis. Sci. Total Environ. 716, 135215 (2020).i 21. Hussain, N. et al. Metal induced non-metallothionein protein in earthworm: A new pathway for cadmium detoxification in
chloragogenous tissue. J. Hazardous Mater 401, (2021). g g
2. Das, D. et al. Eisenia fetida for vermiconversion of waste biomass of medicinal herbs: Status of nutrients and stability parameters
Bioresource Technol 347, (2022). 3. Pottipati, S., Kundu, A. & Kalamdhad, A. S. Process optimization by combining in-vessel composting and vermicomposting o
vegetable waste. Bioresource Technol 346, (2022). 24. Talukdar, J., Saikia, A. K. & Borah, P. Survey and detection of the diseases of Bhut Jolokia ( Capsicum chinense Jacq.) in Assam. J
Crop and Weed 11, 186–192 (2015).f p
25. Maas, E. V. & Hoffman, G. J. Crop salt tolerance- Current assessment. J Irrigation and Drainage Division 103, (1977). Öhf f
26. Aktaş, H., Abak, K., Öztürk, L. Scientific Reports | (2023) 13:18648 | https://doi.org/10.1038/s41598-023-45288-9 www.nature.com/scientificreports/ & Çakmak, I. The effect of zinc on growth and shoot concentrations of sodium and potassium in
pepper plants under salinity stress. Turkish J. Agriculture and Forestry 30, (2006). 27. Niu, G. & Cabrera, R. I. Growth and physiological responses of landscape plants to saline water irrigation: a review. HortSc
45, (2010).f 28. Xiao, Z. et al. Earthworms affect plant growth and resistance against herbivores: a meta-analysis. Functional Ecol 32, (2018)
l
h
d
l f
l
l
h
d
b l
f
d fl 29. Usmani, Z. et al. Enhanced soil fertility, plant growth promotion and microbial enzymatic activities of vermicomposted fly
Sci. Rep. 9, (2019). p
30. Van Groenigen, J. W. et al. Earthworms increase plant production: a meta-analysis. Sci. Rep. 4, 1–24 (2014).f 31. Trap, J. et al. Effects of the earthworm Pontoscolex corethrurus on rice P nutrition and plant-available soil P in
Appl. Soil. Ecol. 160, 103867 (2021).i pp
32. Gong, H. & Gao, J. Soil and climatic drivers of plant SLA (specific leaf area). Global Ecol Conserv 20, (2019) 32. Gong, H. & Gao, J. Soil and climatic drivers of plant SLA (specific leaf area). Global Ecol Conserv 20, (2019). 33 Roubíčková A Mudrák O & Frouz J Soil fauna plant interactions during succession at post mining sites Soil Biota and E i
33. Roubíčková, A., Mudrák, O. & Frouz, J. Soil fauna plant interactions during succession at post-mining sites. Soil Biota and Ec
Develop. Post Mining Sites https://doi.org/10.1201/b15502 (2013). 4. Barrion, A. T. & Litsinger, J. A. Dichogaster nr. curgensis Michaelsen (Annelida: Octochaetidae): an earthworm pest of terraced
rice in the Philippine Cordilleras. Crop Protection 16, 89–93 (1997). pp
p
5. Banerjee, A. et al. Enteric bacteria from the earthworm (Metaphire posthuma) promote plant growth and remediate toxic trace
elements. J. Environ. Manag. 250, (2019). g
36. Biswas, J. K. et al. Potential application of selected metal resistant phosphate solubilizing bacteria isolated from the gut of earthworm
(Metaphire posthuma) in plant growth promotion. Geoderma 330, 117–124 (2018). 37. Houida, S. et al. Biopriming of maize seeds with plant growth-promoting bacteria isolated from the earthworm Aporrect
molleri: effect on seed germination and seedling growth. Lett. Appl. Microbiol. 75, 61–69 (2022).l molleri: effect on seed germination and seedling growth. Lett. Appl. Microbiol. 75, 61–69 (2022).l et al. Disentangling the influence of earthworms in sugarcane rhi f
38. Braga, L. P. P. et al. Acknowledgements
Th fi
h
d
f g
The first author extends profound gratitude to University Grant Commission (UGC) for financial assistance in the
form of a Junior Research fellow (CSIR_UGC-JRF). The corresponding author acknowledges the Department of
Biotechnology (DBT), Government for India, for funding through grant number BT/PR24972/NER/95/932/2017. Author contributions L.J. Experimental design, Experimentation, data analysis, manuscript drafting, review, and editing: P.K.-Experi-
mentation, data analysis, manuscript drafting, review, and editing. B.A.- Conceptualization, review, and editing:
L.N.K.- Conceptualization, review, and editing. www.nature.com/scientificreports/ Disentangling the influence of earthworm l
39. Ramnarain, Y. I., Ansari, A. A. & Ori, L. Vermicomposting of different organic materials using the epigeic
foetida. Int. J. Recycling of Organic Waste in Agriculture 8, 23–36 (2019). y
g f
g
g
0. Gusain, R. & Suthar, S. Vermicomposting of duckweed (Spirodela polyrhiza) by employing Eisenia fetida: changes in nutrient
contents, microbial enzyme activities and earthworm biodynamics. Biores. Technol. 311, 123585 (2020). 1. Sharma, K. & Garg, V. K. Vermicomposting: a green technology for organic waste management. Energy, Environ, Sustain. https://
doi.org/10.1007/978-981-10-7431-8_10 (2018).lf 2. Yakkou, L. et al. Assessment of earthworm (Aporrectodea molleri)’s coelomic fluid-associated bacteria on different plant growth-
promoting traits and maize germination and seedling growth Biocatal Agric Biotechnol 42 102341 (2022) 42. Yakkou, L. et al. Assessment of earthworm (Aporrectodea molleri)’s coelomic fluid-associated bacteria on different
promoting traits and maize germination and seedling growth. Biocatal. Agric. Biotechnol. 42, 102341 (2022). 42. Yakkou, L. et al. Assessment of earthworm (Aporrectodea molleri)s coelomic fluid-associated bacteria on different plant growth-
promoting traits and maize germination and seedling growth. Biocatal. Agric. Biotechnol. 42, 102341 (2022). 3. Bhakta, J. N., Sarkar, B. & Brahma, P. Isolation and characterization of potential phosphate solubilizing bacteria from earthworm
(Metaphire posthuma) for applying as biofertilizer. Org. Agric. 12, 431–444 (2022). 44. Zhao, C. et al. Insights into the role of earthworms on the optimization of microbial community structure during vermicomposting
of sewage sludge by PLFA analysis. Waste Manag. 79, 700–708 (2018).fi . Zhao, C. et al. Insights into the role of earthworms on the optimiz 45. Walkley, A. & Black, I. A. An examination of the degtjareff method for determining soil organic matter, and a proposed modifica-
tion of the chromic acid titration method. Soil Sci. 37, (1934). (
)
46. Bray, R. H. & Kurtz, L. T. Determination of total, organic, and available forms of phosphorus in soils. Soil Sci. 59, (1945). . Bray, R. H. & Kurtz, L. T. Determination of total, organic, and a y
g
p
p
(
7. Hanway, J. & Heidel. Soil analysis methods as used in Iowa state college soil testing laboratory. Plant and Soil (1952). 47. Hanway, J. & Heidel. Soil analysis methods as used in Iowa state college soil testing laboratory. Plant and Soil (1952). Scientific Reports | (2023) 13:18648 | https://doi.org/10.1038/s41598-023-45288-9 www.nature.com/scientificreports/ Competing interests h p
g
The authors declare no competing interests. © The Author(s) 2023 Additional information
d
d
f Correspondence and requests for materials should be addressed to L.N.K. Correspondence and requests for materials should be addressed to L.N.K. Reprints and permissions information is available at www.nature.com/reprints. Reprints and permissions information is available at www.nature.com/reprints. Publisher’s note Springer Nature remains neutral with regard to jurisdictional claims in published maps and
nstitutional affiliations. Open Access This article is licensed under a Creative Commons Attribution 4.0 International
License, which permits use, sharing, adaptation, distribution and reproduction in any medium or
format, as long as you give appropriate credit to the original author(s) and the source, provide a link to the
Creative Commons licence, and indicate if changes were made. The images or other third party material in this
article are included in the article’s Creative Commons licence, unless indicated otherwise in a credit line to the
material. If material is not included in the article’s Creative Commons licence and your intended use is not
permitted by statutory regulation or exceeds the permitted use, you will need to obtain permission directly from
the copyright holder. To view a copy of this licence, visit http://creativecommons.org/licenses/by/4.0/. © The Author(s) 2023 Scientific Reports | (2023) 13:18648 | https://doi.org/10.1038/s41598-023-45288-9
|
https://openalex.org/W4287870484
|
https://pure.mpg.de/pubman/item/item_3275434_3/component/file_3338337/ece3.7205.pdf
|
English
| null |
Understanding evolutionary and ecological dynamics using a continuum limit
|
arXiv (Cornell University)
| 2,020
|
cc-by
| 14,764
|
K E Y W O R D S continuum limit, diffusion approximation, extinction time, fixation probability, stationary
distribution Abstract 2Centre Interdisciplinaire de Recherche
en Biologie, CNRS, Collège de France, PSL
Research University, Paris, France Ecology and Evolution. 2021;11:5857–5873. Understanding evolutionary and ecological dynamics using a
continuum limit 2,3
| Arne Traulsen3 Peter Czuppon1,2,3
| Arne Traulsen3 Peter Czuppon1,2,3 1Institute of Ecology and Environmental
Sciences Paris, UPEC, CNRS, IRD, INRA,
Sorbonne Université, Paris, France
2Centre Interdisciplinaire de Recherche
en Biologie, CNRS, Collège de France, PSL
Research University, Paris, France
3Department of Evolutionary Theory, Max
Planck Institute for Evolutionary Biology,
Plön, Germany 1Institute of Ecology and Environmental
Sciences Paris, UPEC, CNRS, IRD, INRA,
Sorbonne Université, Paris, France Abstract
Continuum limits in the form of stochastic differential equations are typically used
in theoretical population genetics to account for genetic drift or more generally, in-
herent randomness of the model. In evolutionary game theory and theoretical ecol-
ogy, however, this method is used less frequently to study demographic stochasticity. Here, we review the use of continuum limits in ecology and evolution. Starting with
an individual-based model, we derive a large population size limit, a (stochastic) dif-
ferential equation which is called continuum limit. By example of the Wright–Fisher
diffusion, we outline how to compute the stationary distribution, the fixation prob-
ability of a certain type, and the mean extinction time using the continuum limit. In
the context of the logistic growth equation, we approximate the quasi-stationary
distribution in a finite population. Correspondence Peter Czuppon, Institute of Ecology and
Environmental Sciences (IEES), Sorbonne
Université, Campus Pierre et Marie Curie,
Bâtiment 44-45 – 4ème étage, 4 Place
Jussieu, 75252 Paris, France. E
ail p t r
pp
@ p
fr Funding information g
Agence Nationale de la Recherche, Grant/
Award Number: ANR-14-ACHN-0003;
European Commission, Grant/Award
Number: 844369; Max-Planck-Gesellschaft Received: 6 October 2020 | Revised: 8 December 2020 | Accepted: 23 December 2020 Received: 6 October 2020 | Revised: 8 December 2020 | Accepted: 23 December 2020
DOI: 10.1002/ece3.7205 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.
© 2021 The Authors. Ecology and Evolution published by John Wiley & Sons Ltd arising from the different methods applied, here we aim to provide
an introduction to the continuum limit for those less comfortable
with these methods and hesitant to go into the extensive, more
mathematical, literature. In summary, for the theoretical population
geneticist with a probabilistic background, we provide a summary of
some key results on stochastic differential equations; for the evolu-
tionary game theorist, we give a new perspective on the derivations
of results obtained when using discrete birth–death processes; and
lastly, for the theoretical ecologist familiar with deterministic mod-
eling, we outline how to derive and work with stochastic versions of
classical ecological and evolutionary processes. for example to model co-evolution in ecological communities
(Dieckmann & Law, 1996). More generally, questions related to
extinction and coexistence, transitions between different stable
deterministic equilibria or the maintenance of quasi-cycles can be
studied within the framework of stochastic differential equations
(Boettiger, 2018; Jeltsch et al., 2019). Here, we outline how to
derive stochastic differential equations from an individual-based
model. We do this along similar lines as reviewed in Black and
McKane (2012) but with a larger emphasis on the technical details. In evolutionary game theory, the Moran process has become a
popular model for stochastic dynamics in finite populations (Nowak
et al., 2004). It is a model describing the dynamics of different alleles
in a population of fixed size and overlapping generations. As this is
a birth–death process, quantities like fixation probabilities, fixation
or extinction times, and the stationary distribution can be calculated
based on recursions (Allen, 2011; Goel & Richter-Dyn, 1974; Karlin &
Taylor, 1975; Traulsen & Hauert, 2009). A continuum approximation
for quantities that are known exactly may thus make limited sense at
first sight—but it can provide a very useful new perspective. Another
important process in population genetics is the Wright–Fisher pro-
cess—a model for allele frequency dynamics in a population of fixed
size and nonoverlapping generations (Wright, 1931). It is more pop-
ular in population genetics but is also used in evolutionary game
theory (e.g., Imhof & Nowak, 2006; Taylor & Maciejewski, 2012;
Traulsen et al., 2006; Wakano & Lehmann, 2014). The Wright–Fisher
process is mathematically more challenging to analyze exactly than
the Moran process. Therefore, continuum approximations result-
ing in stochastic differential equations are used to compute typical
quantities of interest such as the probability of fixation of a certain
genotype or the mean time until this fixation event occurs (Crow &
Kimura, 1970; Ewens, 2004). Additional to the derivation of the con-
tinuum limit, we also present how to compute these quantities. In
evolutionary game theory, demographic stochasticity is particularly
important for behaviors that only evolve in small populations, such as
spite (Gardner & West, 2004; Nowak et al., 2004). Initially, stochas-
tic replicator dynamics have been developed to address the prob-
lem of equilibrium selection in evolutionary games (Cabrales, 2000;
Foster & Young, 1990; Fudenberg & Harris, 1992). With the more
recent development to look at games with a larger number of pos-
sible strategies, an approach based on weak mutation which allows
to reduce the analysis to pairwise comparison between strategies
became popular (Fudenberg & Imhof, 2006; Wu et al., 2011). These
methods are particularly useful when many strategies have to be
taken into account (García & Traulsen, 2019; Rand & Nowak, 2011;
Sigmund et al., 2010; Traulsen et al., 2012; Vasconcelos et al., 2017). However, while the focus on weak mutation allows an analysis that
takes demographic noise into account, additional approaches are
necessary when, for example, internal equilibria are present (Black
et al., 2012; Vasconcelos et al., 2017). The stochastic tools discussed
here may be a further step into that direction. Even though similar in the questions they try to answer, evolu- Since our goal is to illustrate how to apply a continuum limit to
individual-based descriptions of a biological process, the calculations
and derivations below may remain vague where more mathematical
theory is necessary. For a mathematically rigorous presentation of
this topic, we refer to the lecture notes by Etheridge (2012) or the
book by Ewens (2004). A more application-oriented treatment of
stochastic processes in biology can be found in the books by Lande
et al. (2003), Otto and Day (2007), and Allen (2011). 2 | EVOLUTIONARY AND ECOLOGICAL
PROTO-TYPE PROCESSES We outline the derivation of continuum limits by application to ex-
emplary processes from evolution and ecology, the Wright–Fisher
and Moran process, and the logistic equation. By showing the ex-
plicit derivation in these examples, we provide the necessary tool
set to derive continuum limits of more complex processes motivated
by individual-based models. In this section, we define the models by
their microscopic descriptions, that is, we describe the model dy-
namics as viewed from an individual's perspective. 2.1 | Wright–Fisher and Moran process The two most popular processes to model (stochastic) evolutionary
dynamics are the Wright–Fisher and the Moran process. While in
the Wright–Fisher process generations are nonoverlapping and time
is measured in discrete steps, generations in the Moran model are
overlapping and measured in either discrete or continuous time. Originally, both processes describe the stochastic variation of allele
frequencies due to finite population size effects referred to as ge-
netic drift. 1 | INTRODUCTION or even extinction events are not captured by this determinis-
tic model. To account for these stochastic effects, one needs to
change to a stochastic differential equation which can be de-
rived from individual-based reactions (Champagnat et al., 2006). Stochastic differential equations consist of a deterministic and a
stochastic term, the latter also often referred to as noise. In the-
oretical ecology, the effect of random environmental fluctuations
on deterministic dynamics like the logistic equation has been stud-
ied in great detail (e.g., Allen et al., 1993; Schaffer et al., 1986). Demographic stochasticity, which arises from the inherent ran-
domness of birth and death events of individuals, is often mod-
eled in discrete-time models (e.g., Melbourne & Hastings, 2008;
Schreiber et al., 2018). Models including demographic stochas-
ticity in continuous time are more scarce in ecology. Typically,
these models are studied in the context of evolutionary ecology, The huge computational power available today allows researchers
to develop individual-based models of high complexity to explore
dynamical processes in ecology and evolution. Here, we aim to make
a link between these individual-based descriptions and continuous
models like (stochastic) differential equations that remain amenable
to analysis. We review these techniques and apply them to some
frequently used models in ecology and evolution. In ecology, probably the most common description of popula-
tion dynamics is the logistic growth equation (Verhulst, 1838). Its
attractiveness draws from its simplicity. It has a globally attractive
fixed point (when started with any nonzero population size), the
carrying capacity of the population. This simplicity comes at the
cost that biological observations like population size fluctuations | 5857
www.ecolevol.org www.ecolevol.org 5857 Ecology and Evolution. 2021;11:5857–5873. 5858 CZUPPON and TRAULSEN | Denoting the
number of type A individuals in generation n by Xn, we have Continuous time The same dynamics (albeit on a different time scale) are obtained by
assuming that each pair of individuals is associated with a random
exponentially distributed time (also described as exponential clocks). The next pair to update their types is determined by the smallest
random time (or the clock that rings first). At these updating times,
one of the two individuals is chosen to reproduce, the offspring re-
placing the other individual of the pair. There is no standard choice
when it comes to choosing the rate of these exponential times. (2)
ℙ(Xn+1 = jXn = k) =
⎛
⎜
⎜⎝
N
j
⎞
⎟
⎟⎠
pj
k (1 −pk ) N −j,
0 ≤k ≤N. Unfortunately, the Wright–Fisher model, even though very illus-
trative, is difficult to study analytically. Through the developments
in stochastic modeling in the last century, a lot of this new theory
could be adopted to overcome this problem (e.g., Ewens, 2004;
Kimura, 1983). Both formulations of the Moran process are Markov chains,
either in discrete or continuous time, with the special property of
having jumps of ±1 only. These processes are called birth–death pro-
cesses. The theory of these is well developed, see for example the
books of Karlin and Taylor (1975, 1981), Gardiner (2004), or Allen
(2011), so that the dynamics of Moran processes are often amenable
to analysis (typically by solutions of recursion equations). 2.1.2 | Moran model Another way to resolve the difficulties associated with the Wright–
Fisher process is provided by the Moran process (Moran, 1958). The
setup is the same as for the Wright–Fisher process (constant popula-
tion size N with two types or – in population genetics – alleles A and
B) with one exception: Time is not measured in generations but each
change in the population configuration affects only one individual,
the one that dies and gets replaced by an offspring of another ran-
domly selected individual. Therefore, generations are overlapping,
and time can be measured in discrete steps or continuously. To sum up the introduction to these two evolutionary models,
the difference between the Wright–Fisher model and the Moran
model is the progression of populations in time. In the Wright–Fisher
process, generations are nonoverlapping, that is, all individuals up-
date their type at the same time. Therefore, the distribution of types
in the offspring generation is binomial. In contrast, generations are
overlapping in the Moran model and the dynamics are described by
a birth–death process since only one individual is updated at a time. Discrete time | with pk as defined in Equation 1. Analogously, the probability for the
number of type-A individuals to decrease from k to k − 1 reads with pk as defined in Equation 1. Analogously, the probability for the
number of type-A individuals to decrease from k to k − 1 reads Classically, one considers a population of N individuals where
each individual is of type A or B. The population is considered to
be in its ecological equilibrium. The population size N is therefore
constant over time. One interpretation of the dynamics is that every
generation each individual chooses, independently of all other in-
dividuals, an ancestor from the previous generation and inherits its
type. Under selection, the likelihood of drawing type A individuals
increases (or decreases) which introduces a sampling bias. The prob-
ability for an offspring to have a parent of type A, conditional on k
individuals being of type A in the parental generation, is (4)
Tk −= (1 −pk )
k
N −1,
for 0 ≤k ≤N. (4) We have implemented selection on the reproduction step, but
it could also affect the replacement step. In a nonspatial setting,
as considered here, this leads to the same transition probabilities. However, the Moran model can also be studied on a graph which
aims to model spatial structure. In that case, the order of repro-
duction and replacement, and which of these steps is affected by
selection, matters and can potentially give rise to different evolu-
tionary dynamics (Kaveh et al., 2015; Lieberman et al., 2005). We
note further that without selection (s = 0) we have pk = k/N, that is,
the increase and decrease probabilities are equal for any choice of k. Dynamics with this property are called neutral. (1)
pk =
(1 + s)k
(1 + s)k + N −k, (1) (1) where s ∈ℝ≥0 is the selective advantage of type A. The number of type
A individuals in the next generation is then given by a binomial dis-
tribution with sample size N and success probability pk. Denoting the
number of type A individuals in generation n by Xn, we have where s ∈ℝ≥0 is the selective advantage of type A. The number of type
A individuals in the next generation is then given by a binomial dis-
tribution with sample size N and success probability pk. 2.1.1 | Wright–Fisher model One of the oldest population genetics model is the finite size
Wright–Fisher process (Fisher, 1930; Wright, 1931). Given a popula-
tion of constant size, it describes the change in frequencies of al-
leles in nonoverlapping generations over time, measured in (discrete)
generations. Even though similar in the questions they try to answer, evolu-
tionary game theory and population genetics are developing in paral-
lel, sometimes with little interaction between them. As this is partly CZUPPON and TRAULSEN 5859 The term μ(xt) is called the infinitesimal mean, that is, the expected
change of the stochastic process (xt)t ≥ 0 in a very short (infinitesimal)
time interval. It represents the deterministic dynamics of the process. The term σ2 (xt) is called the infinitesimal variance, that is, the expected
variation of the continuum limit in very small time steps. It quantifies
the random fluctuations. In the case where σ2 (x) is zero, the limit is de-
terministic and Equation 8 reduces to an ordinary differential equation. Here, we give the mechanistic basis that could potentially de-
scribe such a process. We denote a single individual of the popula-
tion by Y. The birth and death processes can then be written as (5)
Y
훽
⟶Y+Y, birth;
Y
훿
⟶∅,
death. (5) The parameters β and δ correspond to the rates at which the two
reactions happen, that is, each reaction corresponds to an exponen-
tial clock with rate either β or δ. For β > δ, the population grows to
infinity (exponential growth), whereas for β <δ, it goes extinct. One can formally show that the terms μ(x) and σ2 (x) indeed cor-
respond to the changes of the mean and the variance in infinitesi-
mally small time steps if they are derived formally (Appendix 1). This
allows us to compute them by the following identities: Population regulation is achieved through a nonlinear term that
is interpreted as an interaction between two individuals, for exam-
ple, competition for space. The corresponding microscopic process
is given by (9)
휇(x)= lim
Δt→0
1
Δt 피[(xΔt −x0)|x0 =x],
휎2(x)= lim
Δt→0
1
Δt핍[(xΔt −x0)|x0 =x], (9) (6)
Y + Y
훾∕K
⟶Y,
competition. (6) where 피 and 핍 denote the expectation and variance of the process xt. and 핍 denote the expectation and variance of the process A solution of a stochastic differential equation of the form in
Equation 8 is called a diffusion. Another common representation of
Equation 8 is the following integral equation The parameter γ is referred to as the intraspecific competition
coefficient, and K is a measure of the number of individuals at carry-
ing capacity. 3.1 | Discrete-time derivation: Wright–Fisher model where r = β − δ is the per-capita growth rate, c = (β − δ)/γ is the rescaled
carrying capacity, and y = Y/K is the density of the population. where r = β − δ is the per-capita growth rate, c = (β − δ)/γ is the rescaled
carrying capacity, and y = Y/K is the density of the population. For the reason of illustration, we assume a Wright–Fisher model as
outlined in Section 2.1 without selection, s = 0. We need to com-
pute the expectations in Equation 9 using the probability distribu-
tion given in Equation 2 (with s = 0). Let us ignore the time step Δt
for the moment and simply compute the change in expectation and
variance from one generation to the other. Writing Xt for the number
of individuals of type A and setting ΔXt = Xt − Xt−1, we find The division by K in the competition rate is accounting
for the probability of interaction of two individuals in a well-mixed
population where space is measured by the parameter K so that Y/K
becomes a density (or rate of encountering an individual when ran-
domly moving in space). For a more detailed derivation of these type
of interaction rates, we refer to Anderson and Kurtz (2015). (10)
xt = ∫
t
0
휇(xs )ds + ∫
t
0
휎(xs )dWs, (10) where the stochastic integral is interpreted in the sense of Itô. For a
discussion of the different choices of stochastic integrals and their con-
sequences in terms of modeling, we refer for example to Turelli (1977). We now present how to derive Equation 8 for the three intro-
duced models. The strategy is rather simple: Compute the infinitesi-
mal mean and variance as given in Equation 9 for the individual-based
model. where the stochastic integral is interpreted in the sense of Itô. For a
discussion of the different choices of stochastic integrals and their con-
sequences in terms of modeling, we refer for example to Turelli (1977). The logistic process is, like the Moran process, a birth–death
process. We will see in the next section that in the infinite popula-
tion size limit (we let K tend to infinity), the mechanistic description
above yields the logistic equation We now present how to derive Equation 8 for the three intro-
duced models. The strategy is rather simple: Compute the infinitesi-
mal mean and variance as given in Equation 9 for the individual-based
model. (7)
dy
dt = ry
(
1 −y
c
)
, (7) 2.2 | Logistic growth The Moran process in discrete time progresses as follows. Every
time step, one individual is randomly chosen to reproduce and the
offspring replaces a randomly chosen individual among the remain-
ing N − 1 individuals (sometimes, the replacement mechanism is not
restricted to the remaining individuals but also includes the parent). Therefore, in a population with k type-A individuals, the probability
that one of these replaces a type-B individual is given by In ecology, one is typically interested in population sizes or densi-
ties rather than allele frequencies. The simplest population growth
model is that of exponential growth. Obviously, a population cannot
grow exponentially forever. Its growth will be limited at some point,
for example due to spatial constraints or resource depletion. This
form of density regulation suffices to stabilize a population around
its carrying capacity, the positive population size at which in the de-
terministic process the growth rate equals zero. (3)
Tk + = pk
N −k
N −1,
for 0 ≤k ≤N
(
sometimes Tk + = pk
N −k
N
) (3) 5860 CZUPPON and TRAULSEN 3 | INFINITE POPULATION SIZE LIMIT 3 The microscopic descriptions can be implemented by a stochastic
simulation algorithm. Yet, the theoretical analysis of finite size popu-
lations can be challenging. A common technique to overcome this
challenge is to consider a continuum approximation, that is, studying
the limiting model for N (or K) to infinity. The limit is a (stochastic)
differential equation of the form (11)
피[ΔXt |Xt−1 = k] = 피[Xt |Xt−1 = k] −k = N k
N −k = 0, (11) where we used that the number of individuals of a certain type in the
next generation is binomially distributed. Analogously, the infinitesimal
variance is (8)
dxt = 휇(xt )dt +
√
휎2 (xt )dWt, (8) (12)
피[(ΔXt)2|Xt−1 =k] =피[X2
t ||Xt−1 =k]−2k피[Xt|| Xt−1 =k]+k2
=핍[Xt ||Xt−1 =k]+피[Xt|| Xt−1 =k]2 −2k2 +k2
=N k
N
(
1−k
N
)
. where (Wt)t ≥ 0 is a standard Brownian motion. This equation describes
the population dynamics, that is, the macroscopic evolution of a certain
model. For a general introduction to stochastic differential equations,
see for example the books by Karlin and Taylor (1981) and Gard (1988). CZUPPON and TRAULSEN 5861 is given by (we refer to Appendix 1 for a derivation by the Itô formula) It remains to account for the transition from discrete to continu-
ous time. In this case, the natural choice is Δt = N−1. This can be seen
by examining the infinitesimal variance. To obtain a limit different
from zero or infinity in Equation 12 for N to infinity, we need to di-
vide that equation by N. Comparing Equation 12 to the correspond-
ing line in Equation 9, we set Δt = N−1. Replacing k/N by x and taking
the limit N → ∞, we find the neutral Wright–Fisher diffusion for the
allele frequency dynamics (16)
(풢f) (x) = 휇(x)f (x) + 1
2휎2 (x)f (x). (16) Our strategy is to find a limit of the infinitesimal generator as-
sociated with a finite population size process, which corresponds
to the form given in Equation 16. We consider a continuous-time
birth–death process with transition rates Tk+ and Tk− for 0 ≤ k ≤ N. Due to the exponentially distributed waiting times, the probability
for a single update until time t is λt exp(−λt), where λ is the rate of the
corresponding exponential clock. 3.2 | Continuous-time derivation: general case We have used the Landau notation o(Δt) to summarize processes
that scale with order (Δt)1 + ε for any ε > 0. We will also use the Big-O
notation O(Δt) for processes that scale with order Δt or higher. Doing a Taylor expansion for large N and neglecting the terms of
order higher than 1/N2, we find In principle, the same methodology as above is applicable for the
derivation of the continuum limit of a process measured in con-
tinuous time. However, in view of our subsequent analysis of the
limit Equation 8, we will introduce a new tool, the infinitesimal
generator. (18)
(풢Nf)(x) =N
(
TxN+
(
f
(
x+ 1
N
)
−f(x)
)
+TxN−
(
f
(
x−1
N
)
−f(x)
))
≈N
(
TxN+
(
f(x)+ 1
Nf(x)+
1
2N2 f(x)−f(x)
)
+TxN−
(
f(x)−1
N f(x)+
1
2N2 f(x)−f(x)
)
+O
(
1
N3
))
=N
(
(TxN+ −TxN−) f(x)
N +(TxN+ +TxN−) f(x)
2N2 +O
(
1
N3
))
=(TxN+ −TxN−)f(x)+ 1
2N(TxN+ +TxN−)f(x)+O
(
1
N2
)
. The change in infinitesimal time of any continuous-time Markov
process (xt)t ≥ 0 can be described by the infinitesimal generator, de-
noted (Ethier & Kurtz, 1986, chapter 1, eq. (1.10)). Intuitively, one
can think of it as the derivative of the expectation (of an arbitrary
function) of a stochastic process. Formally, it is defined by (18) (14)
(풢f) (x) = lim
Δt →0
(피[f(xΔt )|x0 = x] −f(x)
Δt
)
, (14) Translating this equation to a stochastic differential equation, we
identify the single components as where 피[f(xΔt ) |x0 = x] denotes the conditional expectation of the
stochastic process f(xt) at time Δt given the initial value x0 = x. Here,
f is an arbitrary function so that the limit is well-defined. For exam-
ple, applying 풢 to f(x) = x describes the dynamics of the mean of xt,
and for f(x) = x2, we obtain the dynamics of the second moment of xt. From the first two moments, we can recover the variance, so that from
Equation 14, one can derive the infinitesimal mean and variance. (19)
휇(x) = lim
N →∞(TxN + −TxN −)
and
휎2 (x) = lim
N →∞
(TxN + + TxN −)
N
. 3 | INFINITE POPULATION SIZE LIMIT Setting x = X/N, the frequency of
type-A individuals, we find the infinitesimal generator for the model
with finite population size N, 풢N, to be of the form (13)
dxt =
√
xt (1 −xt )dWt. (13) This equation is called Wright–Fisher diffusion and describes the
dynamics of a neutral allele due to genetic drift. In other words, the
allele frequency behaves like a random walk in continuous time and
space. A similar derivation as above can be done by including se-
lection and mutation. The more lengthy computation is relegated to
Appendix 2. (17)
풢Nf)(x) = lim
Δt→0
⎧
⎪
⎪
⎨
⎪
⎪⎩
1
Δt
⎡
⎢
⎢
⎢
⎢
⎢⎣
NTxN+Δte−NTxN+Δt
f
x+ 1
N
−f(x)
⏟⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏟⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏟
probability of birth of type A until time Δt
+ NTxN−Δte−NTxN−Δt
f
x−1
N
−f(x)
⏟⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏟⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏟
probability of death of type A until time Δt
⎤
⎥
⎥
⎥
⎥
⎥⎦
+
o(Δt)
⏟⏟⏟
more than one update until time Δt
⎫
⎪
⎪
⎬
⎪
⎪⎭
=N
TxN+
f
x+ 1
N
−f(x)
+TxN−
f
x−1
N
−f(x)
. (풢Nf)(x) = lim
Δt→0
⎧
⎪
⎪
⎨
⎪
⎪⎩
1
Δt
⎡
⎢
⎢
⎢
⎢
⎢⎣
NTxN+Δte−NTxN+Δt
f
x+ 1
N
−f(x)
⏟⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏟⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏟
probability of birth of type A until time Δt
⎤ Conclusion 1: To derive a continuum limit of a finite population
size model in discrete time, one computes the infinitesimal mean
and variance as given in Equation 9 and rescales time so that the
two quantities converge in a meaningful way, that is, do not tend to
infinity. (17)
⎩
⎣
probability of birth of type A until time Δt
+ NTxN−Δte−NTxN−Δt
f
x−1
N
−f(x)
⏟⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏟⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏟
probability of death of type A until time Δt
⎤
⎥
⎥
⎥
⎥
⎥⎦
+
o(Δt)
⏟⏟⏟
more than one update until time Δt
⎫
⎪
⎪
⎬
⎪
⎪⎭
=N
TxN+
f
x+ 1
N
−f(x)
+TxN−
f
x−1
N
−f(x)
. (17) 3.2.1 | Example: Moran process with
selection and mutation Inserting these into Equation 19 yields In the Moran model, or more generally for a birth–death pro-
cess, the variance is computed by the sum of the transition rates,
cf. Equation 19. In our example, both transitions happen at rate 1,
which explains the additional factor 2. The difference between the
variances is therefore a result of the different sampling schemes of
the individual-based models. (21)
휇(x)= lim
N→∞
(
sk(N−k)
N
+uB→A(N−k)−uA→Bk
)
,
휎2(x)= lim
N→∞
((2+s)k N−k
N +uB→A(N−k)+uA→Bk
N
)
. (21) Depending on the choice of selection and mutation rates, these
equations result in different limits. Typically, one is interested in
nontrivial limits for these equations, that is, a limit so that not both
components equal zero. Often this can be achieved by rescaling time
(Section 3.3) and/or defining the strength of selection and mutation
in terms of the population size N. As an example, we will focus on
two specific limits: (a) strong selection and strong mutation and (b)
weak selection and weak mutation. As a consequence of this difference in the variance σ2 (x) between
the two models, the Moran diffusion limit progresses twice as fast
as the Wright–Fisher diffusion limit which can be seen by the scaling
property of the Brownian motion. In terms of the original discrete pro-
cesses, this means that N individual jumps, like in the Moran process,
accumulate more variance than one update of the whole population,
like in the Wright–Fisher process. The sampling therefore determines
the variance and consequently the speed of the continuum limit. Conclusion 3: The Moran process, by definition, has the same
mean behavior as the Wright–Fisher model. However, its variance in
the diffusion limit is twice the variance of the corresponding Wright–
Fisher diffusion. This difference arises from the different sampling
schemes of the individual-based models. Strong selection and mutation We consider large selection and mutation rates. We assume that s
and ui do not depend on N but are constant. To obtain a limit equa-
tion for the frequency of individuals of type A, x = X/N, we rescale
time by N, that is, t→Nt, which transforms Equation 21 to (22)
휇(x) = lim
N→∞(sx(1−x)+uB→A(1−x)−uA→Bx)=sx(1−x)+uB→A(1−x)−uA→Bx,
휎2(x) = lim
N→∞
(2x(1−x)+sx(1−x)+uB→A(1−x)+uA→Bx
N
)
=0. Weak selection and mutation Weak selection and mutation Weak selection and mutation Weak selection and mutation Conclusion 2: For time-continuous finite population size models
with jumps of ±1, that is, a birth–death process, the terms of the
continuum limit can be computed by Equation 19. In contrast to the previous scenario, we now assume that both se-
lection and mutation are weak. We let s and ui scale inversely with
N and define the constants α = sN and νi = uiN. Inserting these into
Equation 21 (and here without rescaling time) yields 3.2 | Continuous-time derivation: general case (19) Note that we have made no assumption on the dependence of the
transition probabilities on the frequency x, such that this approach is
applicable for constant selection, linear frequency dependence aris-
ing in two player games (Traulsen et al., 2005) or multiplayer games
with polynomial frequency dependence (Gokhale & Traulsen, 2010;
Peña et al., 2014). The infinitesimal generator is useful in our context since it can
be related to a diffusion process. More precisely, the infinitesimal
generator associated with the stochastic diffusion (15) 5862 CZUPPON and TRAULSEN 3.2.1 | Example: Moran process with
selection and mutation (24)
휇(x)= lim
N→∞(훼x(1−x)+휈B→A(1−x)−휈A→Bx)=훼x(1−x)+휈B→A(1−x)−휈A→Bx,
휎2(x)= lim
N→∞
(
2x(1−x)+ 훼x(1−x)+휈A→B(1−x)+휈A→Bx
N
)
=2x(1−x), which gives the diffusion limit
(24)
휇(x)= lim
N→∞(훼x(1−x)+휈B→A(1−x)−휈A→Bx)=훼x(1−x)+휈B→A(1−x)−휈A→Bx,
휎2(x)= lim
N→∞
(
2x(1−x)+ 훼x(1−x)+휈A→B(1−x)+휈A→Bx
N
)
=2x(1−x),
(25)
dxt = (훼xt (1 −xt ) + 휈B→A (1 −xt ) −휈A→Bxt )dt +
√
2xt (1 −xt )dWt. (24) Returning to our proto-type processes, we explicitly derive the sto-
chastic differential equation corresponding to the Moran model with
selection and mutation. We decouple reproduction and mutation
processes, but similar derivations can be made if we assume a cou-
pling of mutations to reproduction events. The selection coefficient
is denoted by s, and the mutation rates from type A to B and type B
to A are given by uA→B and uB→A, respectively. Then, the transition
rates are which gives the diffusion limit (25) Note that compared to the Wright–Fisher diffusion in Equation 13 this
limit has twice as much variance. This difference is explained by the differ-
ent sampling schemes in the individual-based description of the model. To
see this, we assume no selection, s = 0, and no mutation, uA→B = uB→A = 0. Note that compared to the Wright–Fisher diffusion in Equation 13 this
limit has twice as much variance. This difference is explained by the differ-
ent sampling schemes in the individual-based description of the model. To
see this, we assume no selection, s = 0, and no mutation, uA→B = uB→A = 0. In the Wright–Fisher process, individuals are updated by binomial
sampling. The variance of this sampling procedure is Nx(1 − x), where
the factor N vanishes by rescaling the time. This gives σ2 (x) = x(1 − x). In the Moran model, or more generally for a birth–death pro-
cess, the variance is computed by the sum of the transition rates,
cf. Equation 19. In our example, both transitions happen at rate 1,
which explains the additional factor 2. The difference between the
variances is therefore a result of the different sampling schemes of
the individual-based models. (20)
Tk + = (1 + s)k (N −k)
N
+ uB→A (N −k),
and
Tk −= (N −k) k
N + uA→Bk. In the Wright–Fisher process, individuals are updated by binomial
sampling. The variance of this sampling procedure is Nx(1 − x), where
the factor N vanishes by rescaling the time. This gives σ2 (x) = x(1 − x). 3.3 | Change of time scales in the derivation of a
continuum limit (22) In the derivation of the continuum limit, we have repeatedly
rescaled time to obtain a nontrivial limit, for example, right before
Equations 13 and 22. Rescaling the time speeds up (or slows down)
the original process so that the dynamics of interest, for example, al-
lele frequency changes, become observable. For example, if the dy-
namics were to be very fast in the original process, we would need to
slow down time appropriately to observe the changes of the quan-
tity of interest more gradually. In general, we are free to chose any The first equation is independent of N and the vanishing variance
in the second equation implies that the limit process is deterministic. We find the ordinary differential equation (23) (23)
dxt = 휇(xt )dt = sxt (1 −xt ) + uB→A (1 −xt ) −uA→Bxt, which describes the change in allele frequency in a population under
strong selection and mutation over time. | 5863
CZUPPON and TRAULSEN
FI G U R E 1 Individual-based simulations of the logistic growth model. (a) For low population sizes, the individual-based simulation (solid
lines) fluctuates strongly around the deterministic solution of the population (dashed lines) given by Equation 28. (b) Increasing the scaling
parameter K, the stochastic fluctuations around the deterministic prediction decrease, until eventually the individual-based simulation is
indistinguishable from the deterministic curve. The parameter values are chosen as follows: β = 2, δ = 1, γ = 1, and (a) K=100, (b) K=1,000. The initial population sizes are stated in subfigure (b) CZUPPON and TRAULSEN 5863 FI G U R E 1 Individual-based simulations of the logistic growth model. (a) For low population sizes, the individual-based simulation (solid
lines) fluctuates strongly around the deterministic solution of the population (dashed lines) given by Equation 28. (b) Increasing the scaling
parameter K, the stochastic fluctuations around the deterministic prediction decrease, until eventually the individual-based simulation is
indistinguishable from the deterministic curve. The parameter values are chosen as follows: β = 2, δ = 1, γ = 1, and (a) K=100, (b) K=1,000. The initial population sizes are stated in subfigure (b) Repeating the steps from the previous section with y = j/K,
we find the following expressions for the infinitesimal mean and
variance: scaling of time. However, it is important to keep in mind the scaling
when interpreting results obtained in the limiting process in terms of
the original process. 3.3 | Change of time scales in the derivation of a
continuum limit Especially so, if one is interested in quantities
involving time, for example, fixation or extinction times. Conclusion 4: Different assumptions on the model dynamics, for
example, on selection and mutation, can lead to different contin-
uum limits on the population level. To identify parameter combina-
tions that result in a reasonable continuum limit, one needs to study
Equation 19 to match the orders of the scaling parameter. Rescaling
time gives an additional degree of freedom when trying to match
these orders to obtain a reasonable limit. (27)
휇(y)= lim
K→∞
(
TyK+ −TyK−
K
)
=(훽−훿)y
(
1−
훾y
(훽−훿)
)
,
휎2(y)= lim
K→∞
(
TyK+ +TyK−
K2
)
= lim
K→∞
(훽+훿+훾y)y
K
=0. (27) Thus, the classical deterministic logistic equation is obtained in
the infinite population size limit, K → ∞: (28)
dyt = (훽−훿)yt
(
1 −
훾yt
훽−훿
)
dt = 휇(yt )dt. (28) 5 | STATIONARY DISTRIBUTIONS First, we rescale the space of the original process by the
scale function. It is defined by For the Moran model, we have derived two different limits that dif-
fer in their assumptions on selection and mutation. If both selection
and mutation are strong, the infinite population size limit is an ordi-
nary differential equation. For weak selection and weak mutation,
we derived a stochastic differential equation. One qualitative dif-
ference between these two limits is that trajectories of the deter-
ministic limit will always converge to a fixed point (other limits are
possible in general, e.g., limit cycles) while the stochastic differential
equation fluctuates indefinitely for positive mutation rates. The de-
terministic fixed point of the Moran model is given by the solution
of Equation 23 equal to zero. In our example, a single fixed point x*
lies within the interval between 0 and 1 and is stable. Therefore, all
trajectories will approach this value, for example, Figure 2a. (32)
S(x) = ∫x
exp
(
−2∫y
휇(z)
휎2 (z) dz
)
dy,
x ∈(0, 1) , (32) where the lower boundaries of the integrals can be chosen
arbitrarily. The name of this function derives from the fact
that for a one-dimensional diffusion xt satisfying (33)
dxt = 휇(xt )dt + 휎(xt )dWt, (33) the scaled process S(xt) becomes a time-changed Brownian
motion on the interval [S(0), S(1)], that is, there is no deter-
ministic contribution in the scaled process. The process S(xt)
is a Brownian motion with a “non-standard” time scale. To
map this time-changed Brownian motion to the time scale
of a standard Brownian motion, one needs to rescale time
by the speed measure M. It defines how much faster (or
slower) the process S(xt) is evolving compared to a standard
Brownian motion. The speed measure is defined by In contrast, Equation 25 is a stochastic equation. Thus, even if
the trajectories approach or hit the deterministic fixed point they will
not stay there due to the stochasticity of the Brownian motion, cf. Figure 2b. Still, we can make predictions about the time a trajectory
spends in certain allele configurations. This information is summarized
in the stationary distribution, the stochastic equivalent of a determin-
istic fixed point. If the initial state of the population is given by the
stationary distribution, then the distribution of all future time points
will not change. The solution is expressed in terms of the speed measure density m(x),
which we introduce in Box 1, and is given by The approximation in Equation 29 is called Diffusion approximation. One can prove formally that this approximation, under the assump-
tions that the function μ(x) and σ2(x) are (twice) continuously differen-
tiable, performs equally well as a more accurate analysis based on the
central limit theorem (Ethier & Kurtz, 1986, Theorem 11.3.2). For a rig-
orous discussion of diffusion approximations and their relation to the
central limit theorem, we refer to Ethier and Kurtz (1986, Chapter 11). (31)
휓(x) =
m(x)
∫
1
0
m(y)dy
. (31) In terms of performance of the diffusion approximation, the
population size measure K does not need to be very large for
the individual-based model to approach the deterministic limit
(K ≈ 1,000 is enough in this example, Figure 1). BOX 1 Scale function and speed measure of a
one-dimensional diffusion Conclusion 5: Not taking the limit in Equation 19 yields the dif-
fusion approximation of the studied model. This approximation is a
stochastic differential equation (Equation 29) where the variance (typ-
ically) scales inversely with the square root of the scaling parameter. A one-dimensional stochastic diffusion can be transformed
into a standard Brownian motion. Since the Brownian mo-
tion is well-studied, a lot of results can then be translated
to the stochastic diffusion by the transformation func-
tions, the scale function, and the speed measure. 4 | DIFFUSION APPROXIMATION How well does the finite population size description approxi-
mate this deterministic limit? One way to approach this question is
to simply not take the limit of K to infinity. The finite population size
logistic equation, derived from Equation 27, is then approximated by We have seen that if we let the population size N tend to infinity, we
can derive a (stochastic) differential equation describing the studied
evolutionary or ecological process. A natural question that arises is how
these results relate to finite population size models. To study this differ-
ence between the finite population process and the continuum limit, we
consider the logistic growth equation. The transition rates are given by (29)
dyK
t = 휇(yK
t )dt +
√
(훽+ 훿+ 훾yK
t )yK
t
K
dWt, (29) where the superscript K in yK
t indicates the order of magnitude of the
carrying capacity. (26)
Tj + = 훽j
and
Tj −= j
(
훿+ 훾(j −1)
K
)
. (26) FI G U R E 2 Allele frequency dynamics with selection and mutation. (a) The deterministic system given by Equation 23 converges to the
fixed point (dashed line) and remains there. (b) The stochastic process given by Equation 25 fluctuates strongly in frequency space and for
the chosen parameter values spends most time close to the monotypic states x = 0 and x = 1 FI G U R E 2 Allele frequency dynamics with selection and mutation. (a) The deterministic system given by Equation 23 converges to the
fixed point (dashed line) and remains there. (b) The stochastic process given by Equation 25 fluctuates strongly in frequency space and for
the chosen parameter values spends most time close to the monotypic states x = 0 and x = 1 5864 CZUPPON and TRAULSEN 5 | STATIONARY DISTRIBUTIONS For birth–death processes, the stationary distribution
can be calculated based on detailed balance, that is, the incoming and
outgoing rates need to be equal for every state of the process (Antal
et al., 2009; Claussen & Traulsen, 2005; Gardiner, 2004). Formally, the
stationary distribution, denoted ψ, is defined as the solution of (34)
M(x) = ∫
x
m(y)dy,
with
m(y) =
1
휎2 (y)S (y) (34) the density of the speed measure. The time is then rescaled
by 휏(t) = ∫t
0 m(S(xs))ds. Compactly written, we have changed the stochastic diffu-
sion xt to the standard Brownian motion by the following
steps: (30)
d
dt피[f(xt ) |x0 ∼휓] = 0, (30) xt
(stochastic
diffusion)
x↦S(x)
⟶
S(xt)=Bt
(time - changed
Brownian motion)
t↦휏(t)
⟶
B휏(t)
(standard
Brownian motion)
. where x0∼ψ denotes that x0 is distributed according to ψ and f is an
arbitrary function. Importantly, this condition means that the distribu-
tion of allele frequencies does not change over time because its de-
rivative in time is zero (for any choice of f). The above equation can be
solved with the infinitesimal generator (Etheridge (2012, Chapter 3.6)). where x0∼ψ denotes that x0 is distributed according to ψ and f is an
arbitrary function. Importantly, this condition means that the distribu-
tion of allele frequencies does not change over time because its de-
rivative in time is zero (for any choice of f). The above equation can be
solved with the infinitesimal generator (Etheridge (2012, Chapter 3.6)). | 5865
FI G U R E 3 Stationary distribution of the Wright–Fisher diffusion
with selection and mutation. The lines are given by Equation 36. Larger mutation rates accumulate more probability on intermediate
allele frequencies (compare solid and dashed lines). Selection (or
asymmetric mutation) skews the stationary distribution toward
the selectively favored type (or type with the lower mutation rate),
dash-dotted (dotted) line CZUPPON and TRAULSEN | 5865 | 5865 5865 Intuitively, the speed measure at a point x, m(x), quantifies the
time which the process spends in this state. Therefore, ψ(x) is noth-
ing but the average time spent in state x. Conclusion 6: The stationary distribution of a one-dimensional
diffusion can be expressed in terms of the density of the speed mea-
sure m(x) through Equation 31. 5.1 | Stationary distribution of the Wright–
Fisher diffusion In fact, the expected extinction time
of the logistic growth process when started in the positive population
equilibrium is of order exp(K) (Champagnat, 2006). This suggests that
the process will be in a quasi-stationary state, that is, before its extinc-
tion the population is described by the stationary distribution of the
corresponding logistic process conditioned on nonextinction. The equation itself does not provide much insight. To illustrate the
possible shapes of stationary distributions, we plot several choices of
mutation rates and selection coefficients in Figure 3. We see that for
higher mutation rates, more probability mass is allocated to intermedi-
ate allele frequencies (compare the solid and dashed lines). In this case,
the Wright–Fisher diffusion spends more time in states of coexistence
than in monotypic states (the boundaries of the allele frequency space
in Figure 3) because temporary extinction events are prevented by re-
current mutations. If the mutation rates are asymmetric (dotted line),
the stationary distribution is skewed toward the type with the lower
mutation rate. If one type is favored selectively (dash-dotted line), the
stationary distribution is skewed toward the favored type. Formally, the quasi-stationary distribution is computed by con-
ditioning the original process on its survival. This means that the
transition rates change and the novel process can be analyzed by
the techniques described above. However, this method goes be-
yond the scope of this manuscript. For a theoretical treatment of
this topic in the context of the logistic equation, we refer to Cattiaux
et al. (2009), Assaf et al. (2010), Méléard and Villemonais (2012). For
a general review on methods related to quasi-stationary distribu-
tions, see Ovaskainen and Meerson (2010). Stationary distributions are the stochastic equivalents of deter-
ministic fixed points and as such provide a basic description and a
starting point for further analysis of the qualitative behavior of a
stochastic model, especially in situations where polymorphisms of
alleles, coexistence of species, or spatial population distributions are
to be expected (e.g., Czuppon & Rogers, 2019; Gaston & He, 2002;
Lehmann, 2012; Polansky, 1979; Turelli, 1981). Another way to approximate the quasi-stationary distribution
when extinction is very unlikely for long times (which is the case for
large K) is provided by the central limit theorem (sometimes also called
linear noise approximation in this context). 5 | STATIONARY DISTRIBUTIONS The density of the speed measure is
given by the scale function corresponding to the stochastic diffusion
process, Equations 32 and 34 in Box 1. 5.1 | Stationary distribution of the Wright–
Fisher diffusion Here, the distribution of
the process is derived from its local dynamics around the determinis-
tic fixed point y* (Ethier & Kurtz, 1986; van Kampen, 2007). The un-
derlying assumption is that the population stays close to its positive 5.1 | Stationary distribution of the Wright–
Fisher diffusion FI G U R E 3 Stationary distribution of the Wright–Fisher diffusion
with selection and mutation. The lines are given by Equation 36. FI G U R E 3 Stationary distribution of the Wright–Fisher diffusion
with selection and mutation. The lines are given by Equation 36. Larger mutation rates accumulate more probability on intermediate
allele frequencies (compare solid and dashed lines). Selection (or
asymmetric mutation) skews the stationary distribution toward
the selectively favored type (or type with the lower mutation rate),
dash-dotted (dotted) line Larger mutation rates accumulate more probability on intermediate
allele frequencies (compare solid and dashed lines). Selection (or
asymmetric mutation) skews the stationary distribution toward
the selectively favored type (or type with the lower mutation rate),
dash-dotted (dotted) line As an example, let us consider the Wright–Fisher diffusion with
selection and mutation as derived in Equation 13 (and Equation 25
when derived from the Moran model), that is, (37)
dyK
t = (훽−훿−훾yK
t
) yK
t dt +
√(훽+ 훿+ 훾yK
t
) yK
t
K
dWt. (35)
dxt = (훼xt (1 −xt ) + 휈B→A (1 −xt ) −휈A→Bxt )dt +
√
xt (1 −xt )dWt. (35) (37) Computing Equation 31 with help of the quantities defined in
Box 1, one obtains The logistic process for finite K has a (unique) absorbing state,
y = 0 because there is no transition from this state to positive popula-
tion densities. Once the population went extinct, it remains so. Since
the extinction state is accessible from all values y > 0 (and because
the population size remains finite for all times), the population will go
extinct with probability 1. The only stationary distribution is the point
measure on 0, that is, ψ ∼ δ0 (δx is the Dirac measure at point x). (36)
휓(x) = e2훼xx2휈B→A −1 (1 −x) 2휈A→B −1
Γ(2(휈A→B + 휈B→A ) )
Γ(2휈A→B )Γ(2휈B→A)1F1 (2휈B→A, 2(휈A→B + 휈B→A ), 훼) , where Γ(x) is the Gamma function and 1F1 (a, b, z) is the generalized
hypergeometric function. In contrast, the positive deterministic population equilibrium,
y* = (β − δ)/γ, is a stable fixed point of the deterministic system. Considering large values of the deterministic equilibrium (K ≫1), we
expect the finite population size process from Equation 37 to remain
close to this value for long times. Next, we consider the diffusion approximation of the logistic growth
model, that is, (40) Recalling the definition of α = sN for a finite population of size N
and plugging this into Equation 42 yields This distribution describes the fluctuations of the process yK
t
around the deterministic steady state y*. Therefore, when plugging
the distribution ψU into the original process from Equation 38, we
find the quasi-stationary distribution of yK
t around the deterministic
equilibrium y* which yields (44)
ℙx0(x∞=1) = 1−e−2𝛼x0
1−e−2𝛼= 1−e−2sx0N
1−e−2sN
Ns≫1
≈
1−e−2sx0N
s≪1
≈
2sx0N, (44) (41)
휓∼풩
(
y ∗, −
휎2 (y ∗)
2K휇 (y ∗)
)
. (41) which for x0 = 1/N becomes ℙ1∕N (x∞= 1) ≈2s, the result of
Haldane for the fixation of a single mutant copy in a population of
size N (Haldane, 1927). The first line of Equation 44, the classical
result of fixation probabilities when derived from diffusion theory,
and its applicability has been the subject of extensive research, for
example, Bürger and Ewens (1995) and references therein; for a
more general review on fixation probabilities, we refer to Patwa and
Wahl (2008). which for x0 = 1/N becomes ℙ1∕N (x∞= 1) ≈2s, the result of
Haldane for the fixation of a single mutant copy in a population of
size N (Haldane, 1927). The first line of Equation 44, the classical
result of fixation probabilities when derived from diffusion theory,
and its applicability has been the subject of extensive research, for
example, Bürger and Ewens (1995) and references therein; for a
more general review on fixation probabilities, we refer to Patwa and
Wahl (2008). For increasing population sizes K, the variance is decreasing and
vanishes in the limit K→∞, as is to be expected by the deterministic limit. Conclusion 7: If the deterministic process has a stable steady
state but is almost surely going extinct for finite population sizes,
a quasi-stationary distribution can be computed to describe the be-
havior of the process conditioned on survival. If the extinction prob-
ability is very low, an approximation of this distribution is given by
the linear noise approximation where the variance around the deter-
ministic steady state is modeled by the Ornstein–Uhlenbeck process
derived from Equation 39. Of course, the fixation probability can also be calculated for
more complicated stochastic differential equations where the sign
of the deterministic dynamics μ(x) depends on the population con-
figuration. stochastic differential equations, fixation probabilities can be com-
puted explicitly. As before, we denote by xt the frequency of type A
individuals at time t ≥ 0 in the population. We use the fact that the
mean of the scaled process S(xt) in Equation 32 does not change over
time. Stochastic processes with this property are called martingales. With pfix (x0 ) = ℙ(x∞= 1|x0 ) we find steady state and just slightly fluctuates around this value. This is only
a valid assumption when the probability of extinction within the stud-
ied time frame is essentially zero. These small fluctuations are de-
scribed by a Gaussian distribution. Formally this translates to (38)
yK
t ≈yt +
1
√
K
U, (38) where U is a Gaussian random variable and yt the deterministic trajec-
tory. Writing μ(y) = (β − δ − γy)y and σ2 (y) = (β + δ + γy)y, the dynamics
of U can be rewritten as (42)
S(x0)=피[S(xt)|x0]
t≫1
= pfix(x0)S(1)+(1−pfix(x0))S(0)
⇔
pfix(x0)= S(x0)−S(0)
S(1)−S(0) , (42) (39)
1
√
K
dU ≈dyK
t −dyt =휇yK
t
−휇yt
dt+
휎2 yK
t
K
dWt
≈휇(yt) yK
t −yt
dt+
휎2
yK
t
K
dWt
(Taylor series approximation)
≈1
√
K
휇 yt
Udt+휎yK
t
dWt
. where we have used the martingale property of the scaled process S(x)
in the first equality. The second equality is explained by the process
being absorbed at one of the two boundaries x = 0 or x = 1 at large
times. For a formal derivation, we refer to Otto and Day (2007, Chapter
15.3.3) or Etheridge (2012, Lemma 3.14). (39) As an example, let us consider the Wright–Fisher diffusion
with selection and without mutations (νA→B = νB→A = 0) given in
Equation 35. We have μ(x) = αx(1 − x) and σ2(x) = x(1 − x) such that
the scale function simplifies to Evaluating the process U at yK
t = yt = y ∗, we obtain a description
of the variance in the deterministic fixed point. For this fixed choice
of yt and yK
t , U becomes an Ornstein–Uhlenbeck process. Its station-
ary distribution is then given by (43)
S(x) = ∫
x
exp
(
−2∫
y 훼z(1 −z)
z(1 −z) dz
)
dy = −1
2훼exp( −2훼x). (43) (40)
휓U ∼풩
(
0, −휎2 (y ∗)
2휇 (y ∗)
)
. Most classically, these frequency-dependent problems
were studied in deterministic evolutionary game theory intro-
duced by Maynard Smith and Price (1973) (see also Hofbauer and
Sigmund (1998) for an introduction to evolutionary game dynam-
ics). In Appendix 3, we (re-)derive the fixation probability in case of
frequency-dependent selection. 5.2 | Quasi-stationary distribution of the
logistic process Next, we consider the diffusion approximation of the logistic growth
model, that is, 5866 CZUPPON and TRAULSEN 8 | DISCUSSION AND CONCLUSION (45)
G(x, y) =
⎧
⎪
⎨
⎪⎩
2 S(x)−S(0)
S(1)−S(0)(S(1)−S(y))m(y),
0≤x≤y≤1,
2 S(1)−S(x)
S(1)−S(0)(S(y)−S(0))m(y),
0≤y≤x≤1, We have outlined how to derive a stochastic differential equa-
tion from an individual-based description of two classical models
in evolutionary theory and theoretical ecology, the Wright–Fisher
diffusion and the logistic growth equation. The resulting stochas-
tic differential equations in one dimension describe the dynamics
of the allele frequency and population density, respectively. Using
probabilistic properties of this equation, that is, transforming it to a
standard Brownian motion (Box 1), it is possible to analytically derive
the (quasi-) stationary distribution, fixation probability, and the mean
time to fixation. As an example, we derived these quantities for the
Wright–Fisher diffusion. (45) where S(x) is the previously defined scale function and m(x) denotes
the speed measure density (Box 1). The expected time to fixation for a process started at frequency
x, denoted 피x [휏], is then given by (Ewens, 2004, section 4.4). (46)
피x [휏] = ∫
1
0
G(x, y)dy. (46) The diffusion process emerges as the infinite population size
limit. However, as we have shown in Section 4, one can also derive
a finite population size approximation of the dynamics, the diffusion
approximation. The fixation probability, mean extinction time, and
stationary distribution are accessible by the same means as for the
continuum limit. Applications of diffusion approximations are abun-
dant and cover diverse topics (e.g., Assaf & Mobilia, 2011; Constable
et al., 2016; Czuppon & Gokhale, 2018; Czuppon & Traulsen, 2018;
Débarre & Otto, 2016; Houchmandzadeh, 2015; Kang & Park, 2017;
Koopmann et al., 2017; McLeod & Day, 2019; Parsons et al., 2018;
Reichenbach et al., 2007; Schenk et al., 2020; Serrao & Täuber, 2017;
Traulsen et al., 2005). This integral corresponds to the summation of the sojourn times
in the discrete case, for example, we refer to Ohtsuki et al. (2007) for
an application in finite populations. In some cases, the result of this
equation yields an analytically tractable result, for example, for the
neutral Wright–Fisher diffusion (47)
dxt =
√
xt (1 −xt )dWt. (47) In this case, the scale function and speed measure density are
given by (48)
S(x) = x
and
m(x) =
1
x(1 −x) . Apart from the fixation probability and the mean time to fixa-
tion, the (quasi-)stationary distribution is a commonly used mea-
sure to describe stochastic processes. 6 | FIXATION PROBABILITIES We have seen that stochastic descriptions of processes can lead
to outcomes that are different from their deterministic counter-
parts. Here, we study one of these phenomena: the probability for
a certain type to become fixed in a population. For one-dimensional Conclusion 8: The fixation probability of a one-dimensional diffu-
sion is given by the scale function as stated in Equation 42. CZUPPON and TRAULSEN 5867 7 | MEAN TIME TO FIXATION in the context of population extinction (Lande, 1994) and speciation
events (Yamaguchi & Iwasa, 2013). A related quantity of interest is the expected time to fixation (or
extinction from the other type's point of view), that is, the average
time of coexistence of two types. Again, the calculation relies on
a special function, this time Green's function G(x, y), which can be
interpreted as the average time that a diffusion started in x spends
in the interval [y, y + dy) before reaching one of the boundaries
(Etheridge, 2012, Chapter 3.5). It is therefore also called sojourn time
density (Ewens, 2004). It is defined as Conclusion 9: Expected unconditional fixation times, that is, the
expected time of coexistence of two types in a population, can be
calculated by integrating over Green's function (the mean occu-
pation time of a certain frequency until extinction), as shown in
Equation 46. CONFLICT OF INTEREST The authors declare no conflict of interest. The authors declare no conflict of interest. Champagnat, N., Ferrière, R., & Méléard, S. (2006). Unifying evolution-
ary dynamics: From individual stochastic processes to macroscopic
models. Theoretical Population Biology, 69(3), 297–321. https://doi. org/10.1016/j.tpb.2005.10.004 Peter Czuppon
https://orcid.org/0000-0003-1462-7237
Arne Traulsen
https://orcid.org/0000-0002-0669-5267 Czuppon, P., & Constable, G. (2019). Invasion and extinction dynamics of
mating types under facultative sexual reproduction. Genetics, 213(2),
567–580. https://doi.org/10.1534/genetics.119.302306 Assaf, M., & Mobilia, M. (2011). Fixation of a deleterious allele under mu-
tation pressure and finite selection intensity. Journal of Theoretical
Biology, 275, 93–103. https://doi.org/10.1016/j.jtbi.2011.01.025 Lastly, we did not cover multi-dimensional or spatially explicit sto-
chastic differential equations in this methods review. These processes
are often much more complicated to analyze. Here, we aimed to give
a brief introduction into the derivation of a continuum limit from an
individual-based model. We hope, that with our basic comparisons
between different approaches used in different subfields of theoreti-
cal biology, we help to clarify the common foundation, the individual-
based model, on which these different methods are based. Black, A. J., & McKane, A. J. (2012). Stochastic formulation of ecologi-
cal models and their applications. Trends in Ecology and Evolution, 27,
337–345. https://doi.org/10.1016/j.tree.2012.01.014 Black, A., Traulsen, A., & Galla, T. (2012). Mixing times in evolutionary
game dynamics. Physical Review Letters, 109(2), 028101. https://doi. org/10.1103/physrevlett.109.028101 Boettiger, C. (2018). From noise to knowledge: How randomness gener-
ates novel phenomena and reveals information. Ecology Letters, 21(8),
1255–1267. https://doi.org/10.1111/ele.13085 1255–1267. https://doi.org/10.1111/ele.13085 DATA AVAILABILITY STATEMENT Constable, G., Rogers, T., McKane, A., & Tarnita, C. (2016). Demographic
noise can reverse the direction of deterministic selection. Proceedings
of the National Academy of Sciences of the United States of America,
113(32), E4745–E4754. No data are used. ACKNOWLEDGMENTS Boettiger, C., Dushoff, J., & Weitz, J. (2010). Fluctuation domains in adap-
tive evolution. Theoretical Population Biology, 77(1), 6–13. https://doi. org/10.1016/j.tpb.2009.10.003 We are very grateful to Florence Débarre who carefully read an
earlier version of the manuscript and made numerous sugges-
tions that led to the current version. Both authors appreciate
generous funding from the Max Planck Society. PC also received
funding from the Agence Nationale de la Recherche, grant num-
ber ANR-14-ACHN-0003 provided to Florence Débarre and
the European Union's Horizon 2020 research and innovation
program under the Marie Skłodowska -Curie grant agreement
PolyPath 844369. Bürger, R., & Ewens, W. J. (1995). Fixation probabilities of additive alleles
in diploid populations. Journal of Mathematical Biology, 33(5), 557–
575. https://doi.org/10.1007/BF00163042 Cabrales, A. (2000). Stochastic replicator dynamics. International Economic
Review, 41(2), 451–481. https://doi.org/10.1111/1468-2354.00071 Cattiaux, P., Collet, P., Lambert, A., Martínez, S., Méléard, S., & San
Martín, J. (2009). Quasistationary distributions and diffusion models
in population dynamics. The Annals of Probability, 37(5), 1926–1969. https://doi.org/10.1214/09-AOP451 Champagnat, N. (2006). A microscopic interpretation for adaptive dy-
namics trait substitution sequencemodels. Stochastic Processes and
their Applications, 116(8), 1127–1160. https://doi.org/10.1016/j. spa.2006.01.004 AUTHOR CONTRIBUTION Peter Czuppon: Conceptualization (equal); methodology (lead);
writing–original draft (lead); writing–review and editing (equal). Arne
Traulsen: Conceptualization (equal); writing–review and editing (equal). Claussen, J., & Traulsen, A. (2005). Non-Gaussian fluctuations arising
from finite populations: Exact results for the evolutionaryMoran
process. Physical Review E, 71, 025101(R). 8 | DISCUSSION AND CONCLUSION Its calculation through
the speed measure of the associated scaled process (Box 1) is (in
many cases) numerically straightforward. If the process has an
absorbing state, for example, an extinction boundary of the pop-
ulation, the stationary distribution is not meaningful. Here, the
quasi-stationary distribution describes the stationary distribu-
tion conditioned on the survival of the population. For negligible
extinction probabilities, that is, very large survival probabilities
of the population, the functional central limit theorem (or lin-
ear noise approximation) can be used to approximate this quasi-
stationary distribution. In the theoretical biology literature, this
method is frequently used in models of gene regulatory networks
(see Anderson and Kurtz (2015) for a mathematical introduction),
and less so in the context of ecology or evolution (e.g., Boettiger
et al. (2010); Kopp et al. (2018); Wienand et al. (2018); Czuppon
and Constable (2019); and Assaf and Meerson (2017) for a review
of the physics literature related to this topic). (48) Then, the expected time to fixation of one of the two alleles can
be expressed as (49)
피x[휏] =∫
x
0
2(1−x)
y
y(1−y)dy+∫
1
x
2x (1−y)
y(1−y) dy
=2(1−x)ln((1−x)−1)+2xln(x−1). (49) In Appendix 3, we consider the more involved example of
frequency-dependent
selection
(Altrock
&
Traulsen,
2009;
Pfaffelhuber & Wakolbinger, 2018). Similarly to fixation probabilities, the mean time to fixation has
been studied extensively through stochastic diffusions, for example,
Kimura and Ohta (1969). It is especially important in population ge-
netics where one is interested in the time to extinction or fixation of
newly arising alleles (van Herwaarden & van der Wal, 2002). In ecol-
ogy, the mean time to extinction or fixation is for example applied 5868 CZUPPON and TRAULSEN ORCID Crow, J., & Kimura, M. (1970). An introduction to population genetics the-
ory. Harper and Row. Peter Czuppon
https://orcid.org/0000-0003-1462-7237
Arne Traulsen
https://orcid.org/0000-0002-0669-5267 Ethier, S., & Kurtz, T. (1986). Markov processes: Characterization and con-
vergence. Wiley series in probability and mathematical statistics. J. Wiley & Sons. Kimura, M., & Ohta, T. (1969). The average number of generations until
fixation of amutant gene in a finite population. Genetics, 61(3), 763–
771. https://doi.org/10.1093/genetics/61.3.763 Koopmann, B., Müller, J., Tellier, A., & Živković, D. (2017). Fisher-
Wright model with deterministic seed bank and selection. Theoretical Population Biology, 114, 29–39. https://doi.org/10.1016/j. tpb.2016.11.005 Ewens, W. (2004). Mathematical population genetics. I. Theoretical
Introduction. Springer. Fisher, R. (1930). The genetical theory of natural selection. Clarendon Press. 1930). The genetical theory of natural selection. Clarendon Pr Foster, D., & Young, P. (1990). Stochastic evolutionary game dynam-
ics¤. Theoretical Population Biology, 38(2), 219–232. https://doi. org/10.1016/0040-5809(90)90011-j Kopp, M., Nassar, E., & Pardoux, E. (2018). Phenotypic lag and population
extinction in the moving-optimum model: Insights from a small-jumps
limit. Journal of Mathematical Biology, 77(5), 1431–1458. https://doi. org/10.1007/s00285-018-1258-2 Fudenberg, D., & Harris, C. (1992). Evolutionary dynamics with aggre-
gate shocks. Journal of Economic Theory, 57(2), 420–441. https://doi. org/10.1016/0022-0531(92)90044-i Lande, R. (1994). Risk of population extinction from fixation of new
deleterious mutations. Evolution, 48(5), 1460–1469. https://doi. org/10.1111/j.1558-5646.1994.tb02188.x Fudenberg, D., & Imhof, L. A. (2006). Imitation processes with small
mutations. Journal of Economic Theory, 131(1), 251–262. https://doi. org/10.1016/j.jet.2005.04.006 Lande, R., Engen, S., & Saether, B.-E. (2003). Stochastic population dynam-
ics in ecology and conservation. Oxford University Press. García, J., & Traulsen, A. (2019). Evolution of coordinated punishment to
enforce cooperation from an unbiased strategy space. Journal of the
Royal Society Interface, 16(156), 20190127. https://doi.org/10.1098/
rsif.2019.0127 Lehmann, L. (2012). The stationary distribution of a continuously varying
strategy in a classstructured population under mutation-selection-
drift balance. Journal of Evolutionary Biology, 25(4), 770–787. https://
doi.org/10.1111/j.1420-9101.2012.02472.x Gard, T. (1988). Introduction to stochastic differential equations. Marcel
Dekker, Inc. Lessard, S., & Ladret, V. (2007). The probability of fixation of a single-
mutant in an exchangeable selectionmodel. Journal ofMathematical
Biology, 54, 721–744. https://doi.org/10.1007/s00285-007-0069-7 Gardiner, C. (2004). Handbook of stochastic methods (3rd edition). Springer. Lieberman, E., Hauert, C., & Nowak, M. A. (2005). Evolutionary dynam-
ics on graphs. Nature, 433, 312–316. https://doi.org/10.1038/natur
e03204 Gardner, A., & West, S. A. (2004). Spite and the scale of competi-
tion. Journal of Evolutionary Biology, 17(6), 1195–1203. https://doi. org/10.1111/j.1420-9101.2004.00775.x Maynard Smith, J., & Price, G. (1973). The logic of animal conflict. Nature,
246, 15–18. https://doi.org/10.1038/246015a0 Gaston, K. J., & He, F. (2002). The distribution of species range size: A
stochastic process. Proceedings of the Royal Society of London. Series B:
Biological Sciences, 269(1495), 1079–1086. https://doi.org/10.1098/
rspb.2002.1969 McLeod, D., & Day, T. (2019). Why is sterility virulence most common in
sexually transmitted infections? Examining the role of epidemiology. Evolution, 73(5), 872–882. https://doi.org/10.1111/evo.13718 olution, 73(5), 872–882. https://doi.org/10.1111/evo.13718 Goel, N., & Richter-Dyn, N. (1974). Stochastic models in biology. Academic
Press. Melbourne, B. A., & Hastings, A. (2008). Extinction risk depends strongly
on factors contributing to stochasticity. Nature, 454(7200), 100–103. https://doi.org/10.1038/nature06922 Gokhale, C., & Traulsen, A. (2010). Evolutionary games in the multiverse. Proceedings of the National Academy of Sciences of the United States of
America, 107, 5500–5504. https://doi.org/10.1073/pnas.0912214107 Méléard, S., & Villemonais, D. (2012). Quasi-stationary distributions and
population processes. Probability Surveys, 9, 340–410. https://doi. org/10.1214/11-PS191 Haldane, J. (1927). A mathematical theory of natural and artificial selec-
tion, part V: Selection and mutation. Proceedings of the Cambridge
Philosophical Society, 23(838), 838–844. https://doi.org/10.1017/
S0305004100015644 Moran, P. (1958). Random processes in genetics. Mathematical
Proceedings of the Cambridge Philosophical Society, 54(1), 60–71. https://doi.org/10.1017/S0305004100033193 Hofbauer, J., & Sigmund, K. (1998). Evolutionary games and population dy-
namics. Cambridge University Press. Nowak, M., Sasaki, A., Taylor, C., & Fudenberg, D. (2004). Emergence of
cooperation and evolutionary stability in finite populations. Nature,
428, 646–650. https://doi.org/10.1038/nature02414 Houchmandzadeh, B. (2015). Fluctuation driven fixation of cooperative
behavior. Biosystems, 127, 60–66. https://doi.org/10.1016/j.biosy
stems.2014.11.006 Ohtsuki, H., Bordalo, P., & Nowak, M. (2007). The one-third law of evo-
lutionary dynamics. Journal of Theoretical Biology, 249, 289–295. https://doi.org/10.1016/j.jtbi.2007.07.005 Imhof, L., & Nowak, M. (2006). Evolutionary game dynamics in a Wright-
Fisher process. Journal of Mathematical Biology, 52, 667–681. https://
doi.org/10.1007/s00285-005-0369-8 Otto, S. P., & Day, T. (2007). A biologist’s guide to mathematical modeling in
ecology and evolution. Princeton Univ. Press. Jeltsch, F., Grimm, V., Reeg, J., & Schlägel, U. E. (2019). Give chance a
chance: From coexistence to coviability in biodiversity theory. Ecosphere, 10(5), e02700. https://doi.org/10.1002/ecs2.2700 Ovaskainen, O., & Meerson, B. (2010). Stochastic models of population
extinction. Trends in Ecology and Evolution, 25(11), 643–652. https://
doi.org/10.1016/j.tree.2010.07.009 Kallenberg, O. (2002). Foundations of modern probability. Springer Verlag. Kallenberg, O. (2002). Foundations of modern probability. Springer Verlag. Kang, Y.-G., & Park, J.-M. (2017). Demographic-noise-induced fix-
ation in subdivided populations with migration. Journal of g
g
g
Kang, Y.-G., & Park, J.-M. (2017). Demographic-noise-induced fix-
ation in subdivided populations with migration. Journal of
Physics A: Mathematical General, 50(47), 475001. https://doi. REFERENCES Czuppon, P., & Gokhale, C. (2018). Disentangling eco-evolutionary ef-
fects on trait fixation. Theoretical Population Biology, 124, 93–107. https://doi.org/10.1016/j.tpb.2018.10.002 Allen, J. C., Schaffer, W. M., & Rosko, D. (1993). Chaos reduces species
extinction by amplifying local population noise. Nature, 364(6434),
229–232. https://doi.org/10.1038/364229a0 Czuppon, P., & Rogers, D. (2019). Evolution of mating types in finite
populations: The precarious advantage of being rare. Journal of
Evolutionary Biology, 32(11), 1290–1299. https://doi.org/10.1111/
jeb.13528 Allen, L. (2011). An introduction to stochastic processes with applications to
biology (2nd ed.). Pearson Education. Allen, L. (2011). An introduction to stochastic processes with applications to
biology (2nd ed.). Pearson Education. Altrock, P., & Traulsen, A. (2009). Fixation times in evolutionary games
under weak selection. New Journal of Physics, 11(1), 013012. https://
doi.org/10.1088/1367-2630/11/1/013012 Altrock, P., & Traulsen, A. (2009). Fixation times in evolutionary games
under weak selection. New Journal of Physics, 11(1), 013012. https://
doi.org/10.1088/1367-2630/11/1/013012 Czuppon, P., & Traulsen, A. (2018). Fixation probabilities in populations
under demographic fluctuations. Journal ofMathematical Biology,
77(4), 1233–1277. https://doi.org/10.1007/s00285-018-1251-9 Anderson, D., & Kurtz, T. G. (2015). Stochastic analysis of biochemical sys-
tems. Springer. Anderson, D., & Kurtz, T. G. (2015). Stochastic analysis of biochemical sys-
tems. Springer. Débarre, F., & Otto, S. (2016). Evolutionary dynamics of a quantitative
trait in a finite asexual population. Theoretical Population Biology, 108,
75–88. https://doi.org/10.1016/j.tpb.2015.12.002 Antal, T., Nowak, M., & Traulsen, A. (2009). Strategy abundance in 2£2 games
for arbitrary mutation rates. Journal of Theoretical Biology, 257, 340–344. Assaf, M., & Meerson, B. (2017). WKB theory of large deviations in sto-
chastic populations. Journal of Physics A: Mathematical and Theoretical,
50(26), 263001. https://doi.org/10.1088/1751-8121/aa669a Dieckmann, U., & Law, R. (1996). The dynamical theory of coevolu-
tion: A derivation from stochastic ecological processes. Journal of
Mathematical Biology, 34(5–6), 579–612. https://doi.org/10.1007/
bf02409751 Assaf, M., Meerson, B., & Sasorov, P. (2010). Large fluctuations in
stochastic
population
dynamics:
Momentum-space
calcula-
tions. Journal of StatisticalMechanics, 2010, P07018. https://doi. org/10.1088/1742-5468/2010/07/P07018 Etheridge, A. (2012). Some mathematical models from population ge-
netics. Lecture notes in mathematics (119pp.). Berlin Heidelberg:
Springer-Verlag. CZUPPON and TRAULSEN 5869 Turelli, M. (1977). Random environments and stochastic calcu-
lus. Theoretical Population Biology, 12(2), 140–178. https://doi. org/10.1016/0040-5809(77)90040-5 Polansky, P. (1979). Invariant distributions for multi-population models in
random environments. Theoretical Population Biology, 16(1), 25–34. https://doi.org/10.1016/0040-5809(79)90004-2 Rand, D. G., & Nowak, M. A. (2011). The evolution of antisocial punish-
ment in optional public goods games. Nature Communications, 2(1). https://doi.org/10.1038/ncomms1442 Turelli, M. (1981). Temporally varying selection on multiple alleles: A
diffusion analysis. Journal of Mathematical Biology, 13(1), 115–129. https://doi.org/10.1007/bf00276870 Reichenbach, T., Mobilia, M., & Frey, E. (2007). Noise and correlations in
a spatial population model with cyclic competition. Physical Review
Letters, 99, 238105. https://doi.org/10.1103/PhysRevLett.99.238105 van Herwaarden, O. A., & van der Wal, N. J. (2002). Extinction time and
age of an allele in a large finite population. Theoretical Population
Biology, 61(3), 311–318. https://doi.org/10.1006/tpbi.2002.1576 Schaffer, W. M., Ellner, S., & Kot, M. (1986). Effects of noise on some
dynamical models in ecology. Journal ofMathematical Biology, 24(5),
479–523. https://doi.org/10.1007/bf00275681 van Kampen, N. (2007). Stochastic processes in physics and chemistry. North Holland. Vasconcelos, V. V., Santos, F. P., Santos, F. C., & Pacheco, J. M. (2017). Stochastic
dynamics
through
hierarchically
embedded
mar-
kov chains. Physical Review Letters, 118(5), 058301. https://doi. org/10.1103/physrevlett.118.058301 Schenk, H., Schulenburg, H., & Traulsen, A. (2020). How long do Red
Queen dynamics survive under genetic drift? A comparative analy-
sis of evolutionary and eco-evolutionary models. BMC Evolutionary
Biology, 20(8). https://doi.org/10.1186/s12862-019-1562-5 Verhulst, P.-F. (1838). Notice sur la loi que la population suit dans son
accroissement. CorrespondanceMathématique Et Physique Publiée Par
A. Quetelet, 10, 113–121. Schreiber, S. J., Levine, J. M., Godoy, O., Kraft, N. J., & Hart, S. P. (2018). Does deterministic coexistence theory matter in a finite world? bioRxiv. https://doi.org/10.1101/290882 Wakano, J., & Lehmann, L. (2014). Evolutionary branching in deme-
structured populations. Journal of Theoretical Biology, 351, 83–95. https://doi.org/10.1016/j.jtbi.2014.02.036 Serrao, S., & Täuber, U. (2017). A stochastic analysis of the spatially extended
may–leonard model. Journal of Physics A: Mathematical and Theoretical,
50(40), 404005. https://doi.org/10.1088/1751-8121/aa87a8 Wienand, K., Frey, E., & Mobilia, M. (2018). Eco-evolutionary dynamics of
a population with randomly switching carrying capacity. Journal of the
Royal Society Interface, 15(145), 20180343. https://doi.org/10.1098/
rsif.2018.0343 Sigmund, K., Silva, H. D., Traulsen, A., & Hauert, C. (2010). Social learning
promotes institutions for governing the commons. Nature, 466(7308),
861–863. https://doi.org/10.1038/nature09203 Taylor, P., & Maciejewski, W. (2012). An inclusive fitness analysis of syn-
ergistic interactions in structured populations. Proceedings of the
Royal Society B: Biological Sciences, 279(1747), 4596–4603. org/10.1088/1751-8121/aa8ce0 Parsons, T., Lambert, A., Day, T., & Gandon, S. (2018). Pathogen evolution
in finite populations: Slow and steady spreads the best. Journal of the
Royal Society Interface, 15(147), 20180135. https://doi.org/10.1098/
rsif.2018.0135 Karlin, S., & Taylor, H. (1975). A first course in stochastic processes (2nd
ed.). Academic. Patwa, Z., & Wahl, L. (2008). The fixation probability of beneficialmuta-
tions. Journal of the Royal Society Interface, 5(28), 1279–1289. https://
doi.org/10.1098/rsif.2008.0248 Karlin, S., & Taylor, H. (1981). A second course in stochastic processes (1st
ed.). Academic. Peña, J., Lehmann, L., & Nöldeke, G. (2014). Gains from switching and evo-
lutionary stability in multi-player matrix games. Journal of Theoretical
Biology, 346, 23–33. https://doi.org/10.1016/j.jtbi.2013.12.016 Kaveh, K., Komarova, N. L., & Kohandel, M. (2015). The duality of spatial
death-birth and birthdeath processes and limitations of the isother-
mal theorem. Journal of the Royal Society Open Science, 2(4), 140465. https://doi.org/10.1098/rsos.140465 Pfaffelhuber, P., & Wakolbinger, A. (2018). Fixation probabilities and
hitting times for low levels of frequency-dependent selection. Theoretical Population Biology, 124, 61–69. https://doi.org/10.1016/j. tpb.2018.09.003 Kimura, M. (1983). The neutral theory of molecular evolution. Cambridge
University Press. 5870 CZUPPON and TRAULSEN APPENDIX 1
INFINITESIMAL MEAN AND VARIANCE Given the stochastic differential equation (50)
(55)
pk =
(1 + s)k
(1 + s)k + N −k . (55)
pk =
(1 + s)k
(1 + s)k + N −k . (55) (50) the corresponding infinitesimal generator is defined by We can also add mutations to the Wright–Fisher model, that is,
type A individuals can mutate to type B and vice versa. We set uA→B as
the probability to mutate from type A to B and uB→A as the mutation
probability from B to A. Then, the probability for an individual to be
of type A given k type A individuals in the parental generation reads (51)
(풢f) (x) = 휇(x)f (x) + 1
2휎2 (x)f (x). (51) The connection between the infinitesimal generator and its as-
sociated stochastic differential equation is outlined in more detail
in, for example, Kallenberg (2002, Chapter 23). Briefly, one needs
to apply Itô's formula (Kallenberg, 2002, Theorem 17.18) to the
process f(xt), where xt solves the stochastic differential equation in
Equation 50: (56)
pk = (1 + s)k(1 −uA→B )
(1 + s)k + N −k
+
uB→A (N −k)
(1 + s)k + N −k. (56) (52)
df(xt )
It̂o=
f (xt ) dxt + 휎2 (xt )
2
f (xt ) dt
Eq.(50)
=
(
휇(xt )f (xt ) + 휎2 (xt )
2
f (xt )
)
dt + 휎(xt ) dWt. df(xt )
It̂o=
f (xt ) dxt + 휎2 (xt )
2
f (xt ) dt
Eq.(50)
=
(
휇(xt )f (xt ) + 휎2 (xt )
2
f (xt )
)
dt + 휎(xt ) dWt. (52) In this model, mutation is intimately connected with the reproduc-
tion mechanism. For the Moran model, compare Section 3, these pro-
cesses do not necessarily need to be coupled (even though this would,
biologically speaking, make the most sense). Taking the expectation yields the result since the last term on the
right-hand side vanishes (the mean of a standard Brownian motion
is zero). Additionally, we show that μ(x) is indeed the infinitesimal mean
of the stochastic process with infinitesimal generator 풢 as given in
Equation 51. https://
doi.org/10.1098/rspb.2012.1408 Wright, S. (1931). Evolution in mendelian populations. Genetics, 16(2),
97–159. Wu, B., Gokhale, C. S., Wang, L., & Traulsen, A. (2011). How small are
small mutation rates? Journal of Mathematical Biology, 64(5), 803–
827. https://doi.org/10.1007/s00285-011-0430-8 Traulsen, A., Claussen, J., & Hauert, C. (2005). Coevolutionary dynam-
ics: From finite to infinite populations. Physical Review Letters, 95,
238701. Yamaguchi, R., & Iwasa, Y. (2013). First passage time to allopatric spe-
ciation. Interface Focus, 3(6), 20130026. https://doi.org/10.1098/
rsfs.2013.0026 Traulsen, A., Claussen, J. C., & Hauert, C. (2012). Stochastic differential
equations for evolutionary dynamics with demographic noise and-
mutations. Physical Review E, 85(4), 041901. https://doi.org/10.1103/
physreve.85.041901 How to cite this article: Czuppon P, Traulsen A. Understanding
evolutionary and ecological dynamics using a continuum limit. Ecol Evol. 2021;11:5857–5873. https://doi.org/10.1002/ Traulsen, A., & Hauert, C. (2009). Stochastic evolutionary game dynam-
ics. In H. G. Schuster (Ed.), Reviews of nonlinear dynamics and complex-
ity (Vol. II, pp. 25–61). Wiley-VCH. Traulsen, A., Pacheco, J., & Imhof, L. (2006). Stochasticity and evolution-
ary stability. Physical Review E, 74, 021905. https://doi.org/10.1103/
PhysRevE.74.021905 CZUPPON and TRAULSEN 5871 APPENDIX 1
NFINITESIMAL MEAN AND VARIANCE
the probability for an offspring to choose a type A individual as a
parent is given by APPENDIX 1
INFINITESIMAL MEAN AND VARIANCE Setting f1(x) = x (and thus f
1 (x) = 0) we find for the
infinitesimal change of the mean Following the same methodology as for the neutral Wright–
Fisher model in the main text, we can derive a diffusion process by
computing the infinitesimal mean and variance. Writing xt = Xt/N
and setting Δt = 1/N, we obtain for the infinitesimal change in al-
lele frequency (53)
lim
Δt →0
1
Δt피[xΔt −x0 |x0 = x]
def. = (풢f1 ) (x)
Eq.(51)
=
휇(x). (53) (57)
1
Δt피[xΔt −x0|x0 =x] =피[XΔt −X0|X0 =k]=(Npk −k)
=
(
N(1+s)k(1−uA→B)
N+sk
+NuB→A(N−k)
N+sk
−k
)
. Similarly, we see that σ2(x) is the infinitesimal variance. With
f2(x) = x2, we have (57) f2(x) = x2, we have (54)
lim
Δt→0
1
Δt핍[(xΔt −x0)|x0 =x]
def. = lim
Δt→0
1
Δt 피[(xΔt −x0 −피[xΔt −x0|x0 =x])2|x0 =x]
= lim
Δt→0
1
Δt 피[(xΔt −x0)2|x0 =x]−(피[xΔt −x0|x0 =x])2
⏟⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏟⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏟
=O((Δt)2)
= lim
Δt→0
1
Δt 피[x2
Δt −x2
0 −2x0(xΔt −x0)|x0 =x]
def. = (풢f2)(x)−2x(풢f1)(x)
Eq.(51)
=
2x휇(x)+휎2(x)−2x휇(x)=휎2(x). (54)
lim
Δt→0
1
Δt핍[(xΔt −x0)|x0 =x]
def. = lim
Δt→0
1
Δt 피[(xΔt −x0 −피[xΔt −x0|x0 =x])2|x0 =x]
= lim
Δt→0
1
Δt 피[(xΔt −x0)2|x0 =x]−(피[xΔt −x0|x0 =x])2
⏟⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏟⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏞⏟
=O((Δt)2)
= lim
Δt→0
1
Δt 피[x2
Δt −x2
0 −2x0(xΔt −x0)|x0 =x]
def. = (풢f2)(x)−2x(풢f1)(x)
Eq.(51)
=
2x휇(x)+휎2(x)−2x휇(x)=휎2(x). This is a rather unhandy expression. However, we can make fur-
ther progress by assuming that selection and mutation are weak,
that is, we set s = α/N and ui = νi/N. Rewriting the equation in terms
of α and νi, expanding the equation in terms of 1/N, and neglecting
terms of order 1/N3 and higher we find 1
Δt피[xΔt −x0|x0 =x] =N
(
1+ 훼
N
)
k
(
1−휈A→B
N
)
N+ k훼
N
+N
휈B→A
N (N−k)
N+ k훼
N
−k
=k+ 훼k
N −휈A→Bk
N
+ 휈B→A(N−k)
N
−k−훼k2
N2 +O
(
1
N3
)
=훼x(1−x)−휈A→Bx+휈B→A(1−x)+O
(
1
N3
)
. This justifies that calculating the infinitesimal mean and variance
(right-hand sides in Equation 9) indeed yields the functions μ and σ2
of the diffusion. DERIVING A STOCHASTIC DIFFERENTIAL EQUATION
FROM THE WRIGHT–FISHER MODEL WITH SELECTION
AND MUTATION (58) (58) Thus, for the infinitesimal mean in the infinite population size
limit, we find In the main text, we have derived the Wright–Fisher diffusion in the
absence of selection and mutation. Here, we provide the calculation
steps when including both these processes. (59)
휇(x) = 훼x(1 −x) −휈A→Bx + 휈B→A (1 −x). (59) We say that type A alleles are beneficial (deleterious) if s > 0
(s < 0). Given that there are k type A individuals in the population, The infinitesimal variance in terms of α and νi derives to 5872 |
CZUPPON and TRAULSEN
where we used
For α = 1, we can linearize the exponential and write the scale
function as
Plugging this into Equation 65, we obtain
(60)
1
Δt 피[(Δxt)2|x0 =x] = 1
N(피[X2
t+ 1
N
−2XtXt+ 1
N +X2
t |X0 =k])
= 1
N
(
핍
[
Xt+ 1
N |X0 =k
]
+
(
피
[
Xt+ 1
N |X0 =k
]
−k
)2)
=pk(1−pk)+ 1
N휇2(x)
=x(1−x)+O
(
1
N
)
,
(61)
pk =
(
k + k훼
N −k휈A→B
N
−k훼휈A→B
N2
+ 휈B→A
N (N −k)
)
N + 훼k
N
= x + O
(
1
N
)
. (67)
S(x) =∫
x
exp −2 ∫
y
y𝛼(v+uz)dz dy
=∫
x
exp(−2𝛼vy−𝛼uy2)dy
𝛼≪1
≈x−2𝛼∫
x
vy+ 1
2uy2 dy
=x−𝛼vx2 −𝛼
3ux3. 5872 CZUPPON and TRAULSEN 5872 |
CZUPPON and TRAULSEN
where we used
For α = 1, we can linearize the exponential and write the scale
function as
Plugging this into Equation 65, we obtain
(60)
1
Δt 피[(Δxt)2|x0 =x] = 1
N(피[X2
t+ 1
N
−2XtXt+ 1
N +X2
t |X0 =k])
= 1
N
(
핍
[
Xt+ 1
N |X0 =k
]
+
(
피
[
Xt+ 1
N |X0 =k
]
−k
)2)
=pk(1−pk)+ 1
N휇2(x)
=x(1−x)+O
(
1
N
)
,
(61)
pk =
(
k + k훼
N −k휈A→B
N
−k훼휈A→B
N2
+ 휈B→A
N (N −k)
)
N + 훼k
N
= x + O
(
1
N
)
. (67)
S(x) =∫
x
exp −2 ∫
y
y𝛼(v+uz)dz dy
=∫
x
exp(−2𝛼vy−𝛼uy2)dy
𝛼≪1
≈x−2𝛼∫
x
vy+ 1
2uy2 dy
=x−𝛼vx2 −𝛼
3ux3. DERIVING A STOCHASTIC DIFFERENTIAL EQUATION
FROM THE WRIGHT–FISHER MODEL WITH SELECTION
AND MUTATION For α = 1, we can linearize the exponential and write the scale
function as (67)
S(x) =∫
x
exp −2 ∫
y
y𝛼(v+uz)dz dy
=∫
x
exp(−2𝛼vy−𝛼uy2)dy
𝛼≪1
≈x−2𝛼∫
x
vy+ 1
2uy2 dy
=x−𝛼vx2 −𝛼
3ux3. (67) where we used (61)
pk =
(
k + k훼
N −k휈A→B
N
−k훼휈A→B
N2
+ 휈B→A
N (N −k)
)
N + 훼k
N
= x + O
(
1
N
)
. Plugging this into Equation 65, we obtain (68)
S (x)−S (0)
S (1)−S (0) = S (x)
S (1) =
x
(
1−훼vx−훼
3ux2)
1−훼v−훼
3u
=x
(
1−훼vx−훼
3ux2 +훼v+ 훼
3u
)
+O
(
훼2)
=x
(
1+훼u
(
v
u (1−x)+ 1
3
(1−x2)))
+O (훼2)
. Therefore, the infinitesimal variance for N → ∞ is given by (62)
휎2 (x) = x(1 −x). (62) (68) Putting together the final results for the infinitesimal mean
and variance, we get the weak selection and mutation limit of the
Wright–Fisher model with selection and mutation, that is, In the context of evolutionary game theory, this result is a rederi-
vation of the 1/3-law (Nowak et al., 2004) (generalized by Lessard &
Ladret, 2007). It states that for an allele starting with one individual,
it is more likely to become fixed in the population than under neutral
dynamics if the deterministic fixed point is smaller than 1/3. This can
be seen by plugging in u = a − b − c + d and v = b − d, where a, b, c,
and d represent the payoffs of an evolutionary game. (63)
dxt = (훼xt (1 −xt ) −휈A→Bxt + 휈B→A (1 −xt )) dt +
√
xt (1 −xt )dWt. (63) (63) | Taking these two expressio
sults already known in the lit
Pfaffelhuber & Wakolbinger, 20
for α and x sufficiently small. (72)
∫
x
0
2(S(1)−S(x))
S(1)−S(0)
(S(y)−S(0))
휎2(y)S(y)
dy
=2S(1)−S(x)
S(1)
∫
x
0
⎡
⎢
⎢
⎢⎣
y
1−훼vy−훼
3uy2
y(1−y)(1−2훼vy−훼uy2)
⎤
⎥
⎥
⎥⎦
dy
≈2
⎛
⎜
⎜
⎜⎝
1−
x
1−훼v−훼u
3
⎞
⎟
⎟
⎟⎠
∫
x
0
⎡
⎢
⎢
⎢⎣
1−훼
vy+ u
3y2
(1+훼(2vy+uy2))
(1−y)
⎤
⎥
⎥
⎥⎦
dy
≈2
1−x
1+훼
v+ u
3
∫
x
0
⎡
⎢
⎢
⎢⎣
1−훼
vy+ u
3y2 −2vy−uy2
(1−y)
⎤
⎥
⎥
⎥⎦
dy
≈2(1−x)
⎛
⎜
⎜
⎜
⎜
⎜⎝
∫
x
0
1
1−ydy+∫
x
0
훼y
v+ 2
3y
1−y
dy
⏟⏞⏞⏞⏞⏞⏞⏞⏞⏞⏟⏞⏞⏞⏞⏞⏞⏞⏞⏞⏟
∈O(훼x2)
⎞
⎟
⎟
⎟
⎟
⎟⎠
≈2 (1−x) ln(1−(1−x)−1). 피x [휏] ≈2(1 −x)ln( (1 (72
∫
x
0
2(S(1)−S(x))
S(1)−S(0)
(S(y)−S(0))
휎2(y)S(y)
dy
=2S(1)−S(x)
S(1)
∫
x
0
⎡
⎢
⎢
⎢⎣
y
1−훼vy−훼
3uy2
y(1−y)(1−2훼vy−훼uy2)
⎤
⎥
⎥
⎥⎦
dy
≈2
⎛
⎜
⎜
⎜⎝
1−
x
1−훼v−훼u
3
⎞
⎟
⎟
⎟⎠
∫
x
0
⎡
⎢
⎢
⎢⎣
1−훼
vy+ u
3y2
(1+훼(2vy+uy2))
(1−y)
⎤
⎥
⎥
⎥⎦
dy
≈2
1−x
1+훼
v+ u
3
∫
x
0
⎡
⎢
⎢
⎢⎣
1−훼
vy+ u
3y2 −2vy−uy2
(1−y)
⎤
⎥
⎥
⎥⎦
dy
≈2(1−x)
⎛
⎜
⎜
⎜
⎜
⎜⎝
∫
x
0
1
1−ydy+∫
x
0
훼y
v+ 2
3y
1−y
dy
⏟⏞⏞⏞⏞⏞⏞⏞⏞⏞⏟⏞⏞⏞⏞⏞⏞⏞⏞⏞⏟
∈O(훼x2)
⎞
⎟
⎟
⎟
⎟
⎟⎠
≈2 (1−x) ln(1−(1−x)−1). Taking these two expressions together we rederived the re-
sults already known in the literature (Altrock & Traulsen, 2009;
Pfaffelhuber & Wakolbinger, 2018), that is, (74)
피x [휏] ≈2(1 −x)ln( (1 −x) −1 ) + 2xln(x −1 ) + 2x훼v, (74) for α and x sufficiently small. Mean time to fixation In the main text, we have exclusively considered situations with
constant selection coefficients s (or α). Here instead, we apply the
derived formulas for the fixation probability and the mean time
to fixation for the case of frequency-dependent selection. More
precisely, we consider a stochastic diffusion with linear frequency
dependence (we refer to Traulsen et al. (2006) for a physical formu-
lation of this and Pfaffelhuber and Wakolbinger (2018) for a more
general mathematical analysis). We denote the strength of selection
by α and let u, v be arbitrary real numbers. We write αx(1 − x)(ux + v)
for the linear frequency-dependent dynamics of selection. Then, the
allele frequency evolves according to the following equation The mean time to fixation is given by Equation 46 that was given as (69)
피x[휏] =∫
1
0
G(x, y)dy
=∫
x
0
2 (S(1)−S(x))
(S(1)−S(0))
(S(y)−S(0))
휎2 (y) S (y)
dy+∫
1
x
2 (S(x)−S(0))
(S(1)−S(0))
(S(1)−S(y))
휎2(y)S(y)
dy, (69) where G(x,y) is Green's function and defined as (Equation 45) (70)
G(x, y) =
⎧
⎪
⎨
⎪⎩
2 S(x)−S(0)
S(1)−S(0)(S(1)−S(y))m(y),
0≤x≤y≤1,
2 S(1)−S(x)
S(1)−S(0)(S(y)−S(0))m(y),
0≤y≤x≤1, (70) We have μ(x) = αx(1 − x)(ux + v) and σ2(x) = x(1 − x). Fixation probability
(64)
dxt = 훼xt
(1 −xt
) (uxt + v) dt +
√
xt
(1 −xt
)dWt. (64)
dxt = 훼xt
(1 −xt
) (uxt + v) dt +
√
xt
(1 −xt
)dWt. (64) Similar to the computation of the fixation probability, we will con-
sider the case of small initial frequencies and weak selection, that is,
α,x << 1. More precisely, we neglect terms of order α2 and αx2. We
recall the approximation of the scale function in this case that we
derived in Equation 67 We have μ(x) = αx(1 − x)(ux + v) and σ2(x) = x(1 − x). Fixation probability Recall the formula for the fixation probability, Equation 42 (65)
ℙx0 (x∞= 1) = S(x0 ) −S(0)
S(1) −S(0) , (65) (71)
S(x)
𝛼≪1
≈x −𝛼vx2 −𝛼
3ux3 x≪1
≈x. (71) where S(x) is the scale function given in Equation 32 and given by Employing these approximations, the first integral in Equation 69
yields (66)
S(x) = ∫
x
exp −2∫
y 휇z
휎2 z dz dy,
x ∈(0, 1). Employing these approxim
yields
(66)
S(x) = ∫
x
exp −2∫
y 휇z
휎2 z dz dy,
x ∈(0, 1). CZUPPON and TRAULSEN 5873 | Approximating the second integral in a similar way, we find Approximating the second integral in a similar way, we find ∫
1
x
2 S(x)
S(1)
(S(1)−S(y))
휎2(y)S(y) dy
=2S(x) ∫
1
x
1−S(y)
S(1)
1
y(1−y)(1−2훼vy−훼uy2)
dy
≈2S(x) ∫
1
x
⎡
⎢
⎢
⎢⎣
⎛
⎜
⎜
⎜⎝
1−
y
1−훼vy−훼
3uy2
1−훼
v+ u
3
⎞
⎟
⎟
⎟⎠
(1+훼(2vy+uy2))
y(1−y)
⎤
⎥
⎥
⎥⎦
dy
≈2S(x) ∫
1
x
1−y
1−훼vy−훼
3uy2
1+훼
v+ u
3
(1+훼y(2v+uy))
y(1−y)
dy
≈2S(x) ∫
1
x
1−y−훼y
v(1−y)−u
3(1−y2)
(1+훼y(2v+uy))
y(1−y)
dy
≈2S(x) ∫
1
x
⎡
⎢
⎢
⎢⎣
1
y +훼(2v+uy)−
훼
v(1−y)+ u
3(1−y2)
1−y
⎤
⎥
⎥
⎥⎦
dy
=2S(x) ∫
1
x
1
y +훼
2v+uy−v−u
3(1+y)
dy
≈2xln(x−1)+2x훼
v(1−x)+ u
3(1−x2)−u
3(1−x)
≈2xln(x−1)+2x훼v.
|
https://openalex.org/W4210355490
|
https://jmir.org/api/download?alt_name=pediatrics_v2i1e10814_app1.pdf&filename=a4adf152f3f706e85a4aab0fa6056397.pdf
|
English
| null |
Usability and Acceptability of a Text Message-Based Developmental Screening Tool for Young Children: Pilot Study (Preprint)
| null | 2,018
|
cc-by
| 161
|
Multimedia Appendix 1: Summary of Review of Developmental Screening Tools [6]
Tool
Parental
Report
# of
Questions
All
Domains
Sensitivity &
Specificity
Age
Range
Scoring
Time
Burden
Reading
Level
Ages &
Stages
✓ 30
✓
➢ 70%
4-60
months
Pass/
fail
15-30
minutes
3rd-12th
grade
PEDS
✓ 10
✓
➢ 70%
0-95
months
Risk
level
2-10
minutes
4th-5th
grade
PEDS:
DM
✓ 6-8
✓
➢ 70%
0-95
months
Pass/
fail
3-5
minutes
< 2nd
grade Multimedia Appendix 1: Summary of Review of Developmental Screening Tools [6]
Tool
Parental
Report
# of
Questions
All
Domains
Sensitivity &
Specificity
Age
Range
Scoring
Time
Burden
Reading
Level
Ages &
Stages
✓ 30
✓
➢ 70%
4-60
months
Pass/
fail
15-30
minutes
3rd-12th
grade
PEDS
✓ 10
✓
➢ 70%
0-95
months
Risk
level
2-10
minutes
4th-5th
grade
PEDS:
DM
✓ 6-8
✓
➢ 70%
0-95
months
Pass/
fail
3-5
minutes
< 2nd
grade ltimedia Appendix 1: Summary of Review of Developmental Screening Tools [6]
|
https://openalex.org/W2171493588
|
https://pure.eur.nl/ws/files/46826391/fulltext.pdf
|
English
| null |
Comparative Genotyping of Campylobacter jejuni Strains from Patients with Guillain-Barré Syndrome in Bangladesh
|
PloS one
| 2,009
|
cc-by
| 6,889
|
Abstract 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. Copyright: 2009 Islam 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 research was funded by Erasmus Medical Centre, Rotterdam, The Netherlands; International Centre for Diarrheal Diseases Research, Bangladesh
(ICDDR,B)and the Government of Bangladesh through Government of Bangladesh through the Improved Health for the Poor: Health Nutrition and Population
Research Project (IHP-HNPRP. This research was funded by Erasmus MC, ICDDR,B and the Government of Bangladesh through IHP-HNPRP. ICDDR,B acknowledges
with gratitude the commitment of the Government of Bangladesh to the Centre’s research efforts. ICDDR,B also gratefully acknowledges the following donors
which provide unrestricted support to the Centre’s research efforts: Australian Agency for International Development (AusAID), Government of the People’s
Republic of Bangladesh, Canadian International Development Agency (CIDA), Embassy of the Kingdom of The Netherlands (EKN), Swedish International
Development Cooperation Agency (Sida), Swiss Agency for Development and Cooperation (SDC), and Department for International Development, UK (DFID). 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. * E-mail: zislam@icddrb.org Comparative Genotyping of Campylobacter jejuni Strains
from Patients with Guillain-Barre´ Syndrome in
Bangladesh Zhahirul Islam1,2*, Alex van Belkum2, Jaap A. Wagenaar3,4, Alison J. Cody5, Albert G. de Boer3, Helen
Tabor6, Bart C. Jacobs2, Kaisar A. Talukder1, Hubert P. Endtz1,2
1 International Centre for Diarrheal Diseases Research, Dhaka, Bangladesh, 2 Erasmus MC, Rotterdam, The Netherlands, 3 Central Veterinary Institute of Wageningen UR,
Lelystad, The Netherlands, 4 Faculty of Veterinary Medicine, Utrecht University, Utrecht, The Netherlands, 5 Department of Zoology, University of Oxford, Oxford, United
Kingdom 6 National Microbiology Laboratory Canadian Science Centre for Human and Animal Health LCDC Winnipeg Canada Zhahirul Islam1,2*, Alex van Belkum2, Jaap A. Wagenaar3,4, Alison J. Cody5, Albert G. de Boer3, Helen
Tabor6, Bart C. Jacobs2, Kaisar A. Talukder1, Hubert P. Endtz1,2 1 International Centre for Diarrheal Diseases Research, Dhaka, Bangladesh, 2 Erasmus MC, Rotterdam, The Netherlands, 3 Central Veterinary Institute of Wageningen UR,
Lelystad, The Netherlands, 4 Faculty of Veterinary Medicine, Utrecht University, Utrecht, The Netherlands, 5 Department of Zoology, University of Oxford, Oxford, United
Kingdom, 6 National Microbiology Laboratory, Canadian Science Centre for Human and Animal Health, LCDC, Winnipeg, Canada Abstract Background: Campylobacter jejuni is a common cause of acute gastroenteritis and is associated with post-infectious
neuropathies such as the Guillain-Barre´ syndrome (GBS) and the Miller Fisher syndrome (MFS). We here present comparative
genotyping of 49 C. jejuni strains from Bangladesh that were recovered from patients with enteritis or GBS. All strains were
serotyped and analyzed by lipo-oligosaccharide (LOS) genotyping, amplified fragment length polymorphism (AFLP) analysis,
multilocus sequence typing (MLST), and pulsed-field gel electrophoresis (PFGE). Methodology/Principal Findings: C. jejuni HS:23 was a predominant serotype among GBS patients (50%), and no specific
serotype was significantly associated with GBS compared to enteritis. PCR screening showed that 38/49 (78%) of strains
could be assigned to LOS classes A, B, C, or E. The class A locus (4/7 vs 3/39; p,0.01) was significantly associated in the GBS-
related strains as compared to enteritis strains. All GBS/oculomotor related strains contained the class B locus; which was
also detected in 46% of control strains. Overlapping clonal groups were defined by MLST, AFLP and PFGE for strains from
patients with gastroenteritis and GBS. MLST defined 22 sequence types (STs) and 7 clonal complexes including 7 STs not
previously identified (ST-3742, ST-3741, ST-3743, ST-3748, ST-3968, ST-3969 and ST-3970). C. jejuni HS:23 strains from
patients with GBS or enteritis were clonal and all strains belonged to ST-403 complex. Concordance between LOS class B
and ST-403 complex was revealed. AFLP defined 25 different types at 90% similarity. The predominant AFLP type AF-20
coincided with the C. jejuni HS:23 and ST-403 complex. Conclusion/Significance: LOS genotyping, MLST, AFLP and PFGE helped to identify the HS:23 strains from GBS or enteritis
patients as clonal. Overall, genotypes exclusive for enteritis or for GBS-related strains were not obtained although LOS class
A was significantly associated with GBS strains. Particularly, the presence of a clonal and putative neuropathogenic C. jejuni
HS:23 serotype may contribute to the high prevalence of C. jejuni related GBS in Bangladesh. Citation: Islam Z, van Belkum A, Wagenaar JA, Cody AJ, de Boer AG, et al. (2009) Comparative Genotyping of Campylobacter jejuni Strains from Patients with
Guillain-Barre´ Syndrome in Bangladesh. PLoS ONE 4(9): e7257. doi:10.1371/journal.pone.0007257 ditor: Stefan Bereswill, Charite´-Universita¨tsmedizin Berlin, Germany Received July 29, 2009; Accepted August 12, 2009; Published September 30, 2009 eceived July 29, 2009; Accepted August 12, 2009; Published Se Copyright: 2009 Islam et al. PLoS ONE | www.plosone.org Introduction these autoimmune neuropathies after C. jejuni infection is thought
to be primarily related to sialylated lipooligosaccharides (LOS) on
the cell surface of C. jejuni. These exhibit significant molecular
mimicry
with
gangliosides
on
human
peripheral
nerves
[9,10,11,12,13]. Most patients who develop GBS after C. jejuni
enteritis have IgG autoantibodies that react with gangliosides (such
as GM1, GD1a, and GQ1b) [14]. Comparison of the LOS loci of
various C. jejuni strains has demonstrated that only the class A, B
and C LOS loci contain the genes that are necessary for the
biosynthesis of ganglioside mimics [15]. Campylobacter jejuni is the most significant bacterial cause of
human gastroenteritis [1,2,3,4]. Clinical syndromes vary from
mild to severe and from gastroenteritis to extraintestinal diseases. This latter category includes acute autoimmune neuromuscular
complications such as the Guillain-Barre´ syndrome (GBS) and
Miller-Fisher syndrome [5]. The pathogenesis of Campylobacter-
induced GBS is complex and involves host susceptibility factors as
well as bacterial virulence factors [6,7,8]. The development of PLoS ONE | www.plosone.org September 2009 | Volume 4 | Issue 9 | e7257 September 2009 | Volume 4 | Issue 9 | e7257 1 Genotyping of C. jejuni deoxyribonucleotide triphosphates (Promega Corp.), and 0.2 U
Super Taq polymerase (HT Biotechnology Ltd.). deoxyribonucleotide triphosphates (Promega Corp.), and 0.2 U
Super Taq polymerase (HT Biotechnology Ltd.). Extensive effort has been put into the identification of novel
determinants of C. jejuni associated with the development of GBS
[16,17]. In Japan, South Africa, China, and Mexico, Campylobacter
strains with specific Penner heat-stabile (HS) serotypes, including
HS:19 and HS:41, were overrepresented among strains isolated
from GBS patients [18,5,19]. C. jejuni HS:19 and HS:41 are clonal
which suggests that these serotypes may have unique and specific
virulence properties that trigger GBS [20]. However, more recent
data has shown that these neuropathogenic properties are not
restricted to specific HS serotypes as other serotypes commonly
isolated from enteritis patients (HS:1, HS:2, and HS:4 complex)
are also found in patients with GBS [21]. We recently reported
non-HS:19 and non-HS-41 C. jejuni serotypes that are overrepre-
sented among strains from GBS patients in Bangladesh [22]. Recently, we reported a high frequency of Campylobacter-related
GBS from Bangladesh (12th ASCODD). PFGE PFGE was performed as previously described [30]. In short,
samples of genomic DNA extracted from overnight cultures of the
strains were digested with SmaI (Boehringer GmbH, Mannheim,
Germany). Electrophoresis was performed in 1% SeaKem agarose
in 0.53 Tris-borate-EDTA buffer by using a Bio-Rad CHEF
Mapper programmed in the auto-algorithm mode (run time, 18 h;
switch time, 6.76 to 35.38 s). Gels were stained with ethidium
bromide for 30 min, destained in distilled water for 1 h; images of
ethidium bromide-stained gels were captured under UV illumi-
nation by a video system (Gel DOC 1000; Bio-Rad). Determination of the LOS locus class To determine the LOS class in C. jejuni strains, we used specific
primer sets for the classes A/B, C, D, and E, based on the DNA
sequence of genes unique to the respective LOS locus class(es)
described earlier [9]. To discern between classes A and B, we used
a primer set that was based on the DNA sequence of orf5-II [9]. PCR assays were performed using a Thermocycler 60 (Biomed
GmbH) with a program consisting of 40 cycles of 1 minute at
94uC, 1 minute at 52uC, and 2 minutes at 74uC. Per reaction,
approximately 50 ng of template DNA was used in a buffer system
consisting of 10 mM Tris-HCl (pH 9.0), 50 mM KCl, 1.5 mM
MgCl2, 0.01% gelatin, 0.1% Triton X-100, 0.2 mM of each of the Bacterial DNA isolation Genomic DNA was isolated with the Qiagen Genomic DNA
purification kit according to the manufacturer’s instructions
(Qiagen, Venlo, The Netherlands). Multilocus sequence typing of C. jejuni strains Nucleotide sequence analysis of internal fragments of seven
housekeeping genes (aspartase A, aspA; glutamine synthetase, glnA;
citrate synthase, gltA; serine hydroxymethyl transferase, glyA;
phosphoglucomutase, pgm; transketolase, tkt and ATP synthase a
subunit, uncA) was performed as described by Dingle et al. [25]. Where no amplification product was observed on agarose gel
electrophoresis, the reaction was repeated substituting primers
described by Miller et al. [26]. The same primers used to obtain
each amplicon were used for nucleotide sequencing, which was
carried out at least once on each DNA strand using BigDyeTM
Ready Reaction Mix (Version 3, Applied Biosystems, Foster City,
CA) at a concentration of
1/32 of that described in the
manufacturer’s instructions. Existing and new alleles, sequence
types (ST) and clonal complexes were assigned using the MLST
database located at http://pubmlst.org/campylobacter/). Se-
quence types (STs) were assigned to clonal complexes as described
by Dingle et al. [25] by identification of central genotypes and the
assignment of variants that differed at one, two, or three loci
[25,27]. The data were used to draw an unweighted pair group
mean average (UPGMA) dendrogram by using the program
START (http://outbreak.ceid.ox.ac.uk/software.htm) [28]. The aim of the present study was to investigate the genetic
heterogeneity of C. jejuni strains isolated from GBS and enteritis
patients
between
2006
and
2007
in
Bangladesh. In
this
comparative
genomic
analysis,
multi-locus
sequence
typing
(MLST), amplified fragment length polymorphism (AFLP), LOS
class PCR typing, and pulsed-field gel electrophoresis (PFGE) were
employed to define detailed strain specific genotypes. AFLP analysis and data processing A systematic hospital-based study has been carried out among
GBS patients in Dhaka, Bangladesh between 2006 and 2007. During this period, we isolated 10 C. jejuni strains from stool
specimens of GBS patients and 39 C. jejuni from enteritis patients
[22]. All GBS patients fulfilled the diagnostic of GBS criteria [23]. Bacteria were grown on blood agar plates with 5% sheep blood, at
37uC for 48 h under micro-aerobic conditions, with 6% O2, 7%
CO2, 80% N2, and 7% H2 using the Anoxomat system
(AnoxomatTM Mart II, Drachten, The Netherlands). Bacteria
were stored at 280uC in 15% glycerol in brain heart infusion
broth. All strains were serotyped with the heat-stable (HS)
serotyping schemes of Penner at the National Laboratory for
Enteric Pathogens, Canadian Science Centre for Human and
Animal Health, Winnipeg, Canada [24]. The project protocol was
reviewed and approved by the institutional review board and the
ethical committees at the Dhaka Medical College and Hospital,
Dhaka, Bangladesh. Verbal informed consent was obtained from
all patients and controls. Strains were typed by AFLP [29]. In short, chromosomal DNA
was digested with HindIII and HhaI and simultaneously ligated
with restriction site-specific adapters for 2 h at 37uC. This was
followed by a preselective PCR using adapter-specific primers with
HindIII
(59-GACTGCGTACCAGCTT)
and
HhaI
(59-GAT-
GAGTCCTGATCGC-39). Next, an aliquot was subjected to a
selective PCR using a fluorescently labelled HindIII primer that
contained an additional A nucleotide at the 39 end (59-
GACTGCGTACCAGC TTA) and a HhaI primer with an A
extension (59-GATGAGTCCTGATCGCA). The final products
were run on a 7.3% denaturing acrylamide gel for 5 h using a ABI
373A automated DNA sequencer. Fingerprints were collected by
fluorography and interpreted with ABI Genescan software (PE
Applied Biosystems). Gels were normalized using an internal
ROX-labeled size standard included in each lane. Densitometric
curves were processed with the GelCompar version 4.1 software
(Applied Maths, Kortrijk, Belgium). After normalization and
background subtraction, the levels of genetic similarity between
AFLP patterns were calculated with the Pearson product-moment
correlation coefficient (r). Congruence between typing methods After cluster analysis of the data obtained by the respective
methods and construction of a composite data set comprising the
LOS typing, MLST, PFGE and AFLP, a similar clustering of the
strains was observed. All ST-403 complex strains belonged to LOS
locus class B. The correlation between LOS class B and ST-403
complex was evident in both GBS and enteritis collections
(Table 1). Upon analysis of clustering of the sequence types by
MLST, 81% showed overlap with AFLP types (Fig. 3). Serotyping Serotyping of the 10 GBS-related strains revealed 4 different HS
serotypes [22]. C. jejuni HS:19 was encountered in 2/10 (20%)
patients. C. jejuni HS:23 was found in 5/10 (50%), a predominant
serotype in GBS patients. Serotyping of enteritis strains revealed
15 HS-serotypes (Table 1). C. jejuni HS:23 was predominant
serotype (28%) among enteritis strains. LOS locus class The results presented in Table 2 indicate that 38/49 (78%) of
the C. jejuni strains characterized in this study could be assigned to
one of the five LOS locus classes (A-E) screened by the class-
specific PCR. The class A LOS locus was significantly associated
with GBS-associated strains compared to controls strains (57%
versus 8%, p,0.01; Table 2). In contrast, the three strains isolated
in GBS patients with oculomotor symptoms contained a class B
locus. LOS class B was detected in 18/39 (46%) of control strains
(Table 2). No LOS locus classes C or D were found in GBS strains. LOS classes C and D were absent in enteritis strains with one
exception; strain CZ-32 which had class C. The class E locus was
rare in GBS and enteritis (1/10 vs 6/39 respectively). PFGE The SmaI-PFGE fingerprints contained six to nine bands and
resolved into 4 major lineages at 60% similarity [31] (data not
shown). These results correlate well with both the MLST clonal
complexes and the different sub-clusters as defined by AFLP
(Fig. 3). The 4 PFGE lineages could be subdivided in 33
subclusters at 90% similarity (Fig. 3). The majority of the strains
belonging to a given clonal complex (ST-403) were also included
in the same PFGE group (A). PFGE subdivided AFLP type AF-20
into several subtypes. PFGE analysis of 10 GBS related C. jejuni
revealed the presence of 7 distinct types. Alhough AFLP and
serotyping suggested that BD-07 and BD-39 were clonal (AF-9),
these two strains were distinguishable by PFGE (A12 and A13). Data analysis Electrophoretic patterns from PFGE were compared by means
of BioNumerics, version 4.01 (Applied Maths, Sint-Martens- PLoS ONE | www.plosone.org September 2009 | Volume 4 | Issue 9 | e7257 September 2009 | Volume 4 | Issue 9 | e7257 2 Genotyping of C. jejuni Latem, Belgium). Analysis was based on band position and derived
by the Dice coefficient with a maximum position tolerance of 1%. Strains were clustered by the unweighted pair group method using
arithmetic averages. Statistical analysis was performed with
EpiInfo (version 3.0) using 262 contingency tables. Fisher’s exact
tests were executed and 2-sided P values determined. Associations
were considered significant at P,0.05. strains (BD-10 and BD-67) into two sub-clusters (AF-22 and AF-
23). Twelve AFLP fingerprints of gastroenteritis strains (CZ-31,
CZ-32, CZ-33, CZ-36, CZ-51, CZ-54, CZ-77, CZ-81, CZ-94,
CZ-96, BD-67 and BD-74) were unique (Fig. 3). Latem, Belgium). Analysis was based on band position and derived
by the Dice coefficient with a maximum position tolerance of 1%. Strains were clustered by the unweighted pair group method using
arithmetic averages. Statistical analysis was performed with
EpiInfo (version 3.0) using 262 contingency tables. Fisher’s exact
tests were executed and 2-sided P values determined. Associations
were considered significant at P,0.05. Multilocus sequence typing of C. jejuni strains q
yp g
j j
A total of 22 different STs were found belonging to 7 clonal
complexes, and a further 18 STs remained unassigned (Table 1). Seven new STs not previously registered in the Campylobacter
pubMLST database were identified (ST-3742, ST-3741, ST-3743,
ST-3748, ST-3968, ST-3969 and ST-3970). The most prevalent
lineage was the ST-403 complex (Fig. 1), which included 5 of the
10 (50%) GBS-related strains studied and 10 of the 38 (26%)
enteritis strains. The ST-362 complex included 2 of 10 (20%)
GBS-related strains studied and 5 of 38 (13%) enteritis strains
(Fig. 1). All Penner serotypes HS:23 strains belong to the ST-403
complex. ST-22 and ST-660, which both belong to the ST-22
complex, were found only in GBS-related strains and both strains
belong to Penner serotype HS:19 (Table 1). UPGMA clustering of
MLST data for C. jejuni strains isolated from GBS and enteritis
patients yielded 4 major clonal groups (A, B, C and D) consisting
13 STs, and 8 STs were singletons (Fig. 2). In the present study, we targeted only five specific classes (A-E)
of LOS loci, despite recent increases in the number of LOS locus
classes identified [33]. LOS class A, B and C have been associated
previously with GBS (9). We identified LOS A or B in 90% of GBS
associated strains and in 46% of enteritis strains. Interestingly, we
found that the class A locus is significantly associated with GBS
without oculomotor symptoms whereas the class B locus associated
with GBS with oculomotor symptoms. Previously Nachamkin et
al. [34] reported a strong association between GBS-associated C. jejuni strains and the simultaneous presence of three LOS
biosynthesis genes, cst-II, cgtA and cgtB. Our data confirm these
findings, as the combination of cstII, cgtA and cgtB only exist in class
LOS A and B. Other studies have demonstrated that the class A, B
and C LOS loci contain the specific genes involved in the
biosynthesis of ganglioside mimics [9,15]. Molecular mimicry
between
Campylobacter
LOS
and
gangliosides
in
human Discussion We performed comparative genomics of a set of 49 C. jejuni
strains isolated from GBS and enteritis patients in Bangladesh by
MLST, AFLP, LOS typing and PFGE fingerprinting. This is the
first report on molecular characterization of GBS and enteritis
related C. jejuni strains from Bangladesh. Cluster analysis of LOS
typing, AFLP, PFGE and MLST showed significant overlaps. The
LOS class A was significantly over-represented in the GBS-
associated strains compared to the enteritis strains. Our MLST
analysis demonstrated that all of the Bangladeshi strains with
HS:23 serotype are clonal and clearly distinct from the non-HS:23
strains. The clonal complex ST-403 was overlapped by LOS
typing, AFLP and PFGE. We recently reported that C. jejuni HS:23
serotype is prevalent among GBS and enteritis-related C. jejuni
strains from Bangladesh [22]. Our comparative genotyping
analysis supported that C. jejuni HS:23 strains are clonal. However,
comparison of a worldwide non-HS:19 associated with GBS and
enteritis showed heterogeneity [32]. PLoS ONE | www.plosone.org AFLP AFLP fingerprints were identified as distinct types when band
patterns shared less than 90% similarity according to Duim et al. [29]. Among 49 C. jejuni strains, 25 different AFLP types were
found. Twelve AFLP types were encountered in more than one
strain (Fig. 3). The predominant AFLP type AF-20 was observed
in 9 (18%) strains and type AF-3 in 3 (6%) and AF-4 in 4 (8%)
strains each (Fig. 3). Seven distinct AFLP fingerprints were found
in GBS-related C. jejuni strains. The predominant AFLP type AF-
20 consisted of two GBS-related strains (BD-22 and BD-34) and 7
enteritis strains; this AFLP type correlated with Penner serotype
HS:23 and clonal complex ST-403 (Fig. 3). Strains BD-07 and
BD-39 displayed identical fingerprints (AF-9) and belong to the
same Penner serotype O:19. AFLP subdivided PFGE type A11 PLoS ONE | www.plosone.org September 2009 | Volume 4 | Issue 9 | e7257 3 Genotyping of C. jejuni Table 1. MLST analysis of the C. jejuni strains from GBS and enteritis patients from Bangladesh. Table 1. MLST analysis of the C. jejuni strains from GBS and enteritis patients from Bangladesh. September 2009 | Volume 4 | Issue 9 | e7257 PLoS ONE | www.plosone.org
4
September 2009 | Volume 4 | Issue 9 | e7257 PLoS ONE | www.plosone.org AFLP jejuni Strains
Year
Diseasea
LOSb Class
Penner type(s)c
Allele numbere
STd
aspA
glnA
gltA
glyA
pgm
Tkt
uncA
CCf
CZ-100
2007
Enteritis
B
HS:66
3748
235
2
42
62
11
9
8
UA
aGBS, Guillain-Barre´ syndrome (Islam et al. 2009). bND, not belong to LOS class A-E. cPenner heat-stable (HS) serotypes; UT, untypeable; NT, not typed. dST, Sequence type; The MLST ST first reported in this study are indicated in boldface. eNew alleles identified in this study are in boldface. fUA, unassigned. doi:10.1371/journal.pone.0007257.t001
Table 1. Cont. different STs. The most common Bangladeshi lineage was the ST-
403 complex (Fig. 2). This predominant clonal complex is
corroborated by LOS class B loci. In addition, distribution of
STs showed a good concordance between GBS and enteritis
related strains (Fig. 2). No representatives of ST-21 were present
among GBS and enteritis related strains from Bangladesh, whereas
ST-21 is the prevalent complex in the general population structure
of C. jejuni [25], it is widespread in multiple hosts and has
previously been described to be associated with infections in
humans, and with livestock and environmental sources; as in
chicken, cattle, contaminated milk and water [25,36]. Molecular
epidemiological evidence suggests that this clonal complex is
frequently
associated
with
environmental
and
food
borne
transmission [36,37]. Recently, Habib et al. [31] demonstrated
that ST-21 complex strongly correlated with class LOS C loci. Both ST-21 and LOS C appear to be rare in Bangladesh. The
GBS-associated strains were assigned to different clonal complexes Table 2. LOS biosynthesis loci in C. jejuni strains from patients
with GBS, and uncomplicated enteritis. No. of strains
associated with:
LOS locus class
GBS
(n = 7)
GBS/oculomotor
(n = 3)
Enteritis
(n = 39)
p-value
A (n = 7)
4 (57%)
0
3 (8%)
,0.01a
B (n = 23)
2 (28%)
3 (100%)
18 (46%)
0.10b
C (n = 1)
0
0
1 (2%)
-
D (n = 0)
0
0
0
-
E (n = 7)
1 (14%)
0
6 (15%)
NS
cUnknown
0
0
11 (28%)
-
aGBS vs enteritis. bGBS/oculomotor vs enteritis; GBS had oculomotor and ataxia symptom. cWe determined the LOS locus (class A to E); all the GBS related strains used in
this study were positive for one of the five identified LOS locus classes;
therefore we did not include other LOS classes in this study. NS, not significant. doi:10.1371/journal.pone.0007257.t002 Figure 2. AFLP Strains
Year
Diseasea
LOSb Class
Penner type(s)c
Allele numbere
STd
aspA
glnA
gltA
glyA
pgm
Tkt
uncA
CCf
BD-07
2006
GBS
A
HS:19
22
1
3
6
4
3
3
3
22
BD-10
2006
GBS
B
HS:23
3219
10
27
33
19
10
5
7
403
BD-22
2006
GBS
B
HS:23
3219
10
27
33
19
10
5
7
403
BD-27
2006
GBS
A
UT
587
1
2
42
4
90
25
8
362
BD-34
2006
GBS
B
HS:23
3219
10
27
33
19
10
5
7
403
BD-39
2006
GBS
A
HS:19
660
1
3
6
4
54
91
3
22
BD-67
2007
GBS
B
HS:23
985
10
27
89
19
10
132
7
403
BD-74
2007
GBS
B
HS:23
3219
10
27
33
19
10
5
7
403
BD-75
2007
GBS
A
HS:55
587
1
2
42
4
90
25
8
362
BD-94
2007
GBS
E
HS:21
2109
4
7
10
4
10
7
1
45
CZ-02
2006
Enteritis
ND
NT
3632
91
2
42
4
169
25
8
UA
CZ-5
2006
Enteritis
ND
HS:15
27
1
2
42
85
11
9
8
362
CZ-9
2006
Enteritis
ND
HS:15
27
1
2
42
85
11
9
8
362
CZ-10
2006
Enteritis
A
HS:41
587
1
2
42
4
90
25
8
362
CZ-12
2007
Enteritis
B
HS:23
3219
10
27
33
19
10
5
7
403
CZ-13
2007
Enteritis
B
HS:23
3219
10
27
33
19
10
5
7
403
CZ-14
2007
Enteritis
B
HS:23
3219
10
27
33
19
10
5
7
403
CZ-16
2007
Enteritis
B
HS:23
3219
10
27
33
19
10
5
7
403
CZ-17
2007
Enteritis
ND
HS:12
3632
91
2
42
4
169
25
8
UA
CZ-19
2007
Enteritis
B
NT
3219
10
27
33
19
10
5
7
403
CZ-20
2007
Enteritis
B
HS:23
3219
10
27
33
19
10
5
7
403
CZ-21
2007
Enteritis
B
HS:23
3219
10
27
33
19
10
5
7
403
CZ-22
2007
Enteritis
B
HS:4
1374
24
2
5
72
2
5
6
UA
CZ-23
2007
Enteritis
ND
NT
3632
91
2
42
4
169
25
8
UA
CZ-26
2007
Enteritis
E
HS:21
2109
4
7
10
4
10
7
1
45
CZ-27
2007
Enteritis
B
HS:23
3219
10
27
33
19
10
5
7
403
CZ-29
2007
Enteritis
B
HS:21
1374
24
2
5
72
2
5
6
UA
CZ-31
2007
Enteritis
B
HS:13
1374
24
2
5
72
2
5
6
UA
CZ-32
2007
Enteritis
C
HS:8
3968
8
2
52
68
11
5
7
UA
CZ-33
2007
Enteritis
E
NT
NT
NT
CZ-36
2007
Enteritis
B
HS:53
588
1
82
5
90
2
88
1
UA
CZ-37
2007
Enteritis
E
HS:3,4
3969
7
2
33
2
10
3
6
UA
CZ-39
2007
Enteritis
A
HS:10
3742
1
308
95
49
436
353
258
UA
CZ-46
2007
Enteritis
ND
HS:45
2993
1
2
42
4
11
9
8
362
CZ-51
2007
Enteritis
B
NT
3219
10
27
33
19
10
5
7
403
CZ-54
2007
Enteritis
E
NT
3970
4
7
10
249
3
7
1
UA
CZ-57
2007
Enteritis
E
NT
5
7
2
5
2
10
3
6
353
CZ-60
2007
Enteritis
A
HS:10
3742
1
308
95
49
436
353
258
UA
CZ-69
2007
Enteritis
B
HS:23
985
10
27
89
19
10
132
7
403
CZ-75
2007
Enteritis
ND
HS:45
2993
1
2
42
4
11
9
8
362
CZ-77
2007
Enteritis
ND
UT
3743
233
2
42
4
90
25
8
UA
CZ-81
2007
Enteritis
B
HS:1
1323
7
17
5
10
11
3
6
353
CZ-85
2007
Enteritis
ND
HS:53
3741
234
10
2
2
67
12
6
UA
CZ-93
2007
Enteritis
E
HS:53
3741
234
10
2
2
67
12
6
UA
CZ-94
2007
Enteritis
ND
HS:53
354
8
10
2
2
11
12
6
354
CZ-96
2007
Enteritis
B
HS:40
1377
1
2
42
4
153
9
8
42
CZ-98
2007
Enteritis
ND
HS:53
3741
234
10
2
2
67
12
6
UA
CZ-99
2007
Enteritis
B
NT
3748
235
2
42
62
11
9
8
UA PLoS ONE | www.plosone.org September 2009 | Volume 4 | Issue 9 | e7257 PLoS ONE | www.plosone.org 4 Genotyping of C. AFLP Dendrogram of Campylobacter jejuni sequence types,
including GBS and enteritis related strains from Bangladesh. The dendrogram was constructed by using UPGMA. doi:10.1371/journal.pone.0007257.g002 peripheral nerves is thought to be the mechanism involved in the
development of GBS [35]. We have used a variety of molecular techniques to demonstrate
the genomic differences or similarities among the C. jejuni strains. In this study, we identified 7 distinct clonal complexes with 22
Figure 1. Frequency distribution of C. jejuni clonal complexes
isolated from GBS and enteritis patients. doi:10.1371/journal.pone.0007257.g001
this study were positive for one of the five identified LOS locus classes;
therefore we did not include other LOS classes in this study. NS, not significant. doi:10.1371/journal.pone.0007257.t002
Figure 2. Dendrogram of Campylobacter jejuni sequence types,
including GBS and enteritis related strains from Bangladesh. The dendrogram was constructed by using UPGMA. doi:10.1371/journal.pone.0007257.g002 peripheral nerves is thought to be the mechanism involved in the
development of GBS [35]. We have used a variety of molecular techniques to demonstrate
the genomic differences or similarities among the C. jejuni strains. In this study, we identified 7 distinct clonal complexes with 22 In this study, we identified 7 distinct clonal complexes with 22
Figure 1. Frequency distribution of C. jejuni clonal complexes
isolated from GBS and enteritis patients. doi:10.1371/journal.pone.0007257.g001
Figure 2. Dendrogram of Campylobacter jejuni sequence types,
including GBS and enteritis related strains from Bangladesh. The dendrogram was constructed by using UPGMA. doi:10.1371/journal.pone.0007257.g002 Figure 1. Frequency distribution of C. jejuni clonal complexes
isolated from GBS and enteritis patients. doi:10.1371/journal.pone.0007257.g001 Figure 2. Dendrogram of Campylobacter jejuni sequence types,
including GBS and enteritis related strains from Bangladesh. The dendrogram was constructed by using UPGMA. doi:10.1371/journal.pone.0007257.g002 Figure 1. Frequency distribution of C. jejuni clonal complexes
isolated from GBS and enteritis patients. doi:10.1371/journal.pone.0007257.g001 PLoS ONE | www.plosone.org September 2009 | Volume 4 | Issue 9 | e7257 5 Genotyping of C. jejuni Figure 3. UPGMA dendrogram of AFLP fingerprints from 40 gastroenteritis and 10 strains related to pa
percentage of genetic homology between banding patterns is indicated. Serotypes, LOS type, MLST, PFGE and AFLP ty
d
d
UA
i
d NT
t t
d UT
t
bl Figure 3. UPGMA dendrogram of AFLP fingerprints from 40 gastroenteritis and 10 strains related to patients with GBS. The
percentage of genetic homology between banding patterns is indicated. Serotypes, LOS type, MLST, PFGE and AFLP types are plotted next to
dendrogram. Figure 3. UPGMA dendrogram of AFLP fingerprints from 40 gastroenteritis and 10 strains related to patients with GBS. The
percentage of genetic homology between banding patterns is indicated. Serotypes, LOS type, MLST, PFGE and AFLP types are plotted next to
dendrogram. UA, unassigned; NT not typed; UT untypeable.
doi:10.1371/journal.pone.0007257.g003 AFLP UA, unassigned; NT not typed; UT untypeable. doi:10.1371/journal.pone.0007257.g003 Figure 3. UPGMA dendrogram of AFLP fingerprints from 40 gastroenteritis and 10 strains related to patients with GBS. The
percentage of genetic homology between banding patterns is indicated. Serotypes, LOS type, MLST, PFGE and AFLP types are plotted next to
dendrogram. UA, unassigned; NT not typed; UT untypeable. doi:10.1371/journal.pone.0007257.g003 September 2009 | Volume 4 | Issue 9 | e7257 PLoS ONE | www.plosone.org 6 Genotyping of C. jejuni [22], which correlated with earlier data describing heterogeneity
among neuropathogenic C. jejuni strains [21,25]). ST-22 and ST-
660 (both ST-22 complex) belong to Penner serotype HS:19 and
were only found in GBS-related strains; ST-362 complex was the
second most prevalent complex found in both GBS and enteritis
strains; corroborated with LOS class A or B loci. A number of new
STs were identified for the first time in this study (ST-3442, ST-
3741, ST-3743, ST-3748, ST-3968, ST-3969 and ST-3970), but
were not assigned to any known complex. To date, these
unassigned STs have only been found only in enteritis strains
from Bangladesh. [22], which correlated with earlier data describing heterogeneity
among neuropathogenic C. jejuni strains [21,25]). ST-22 and ST-
660 (both ST-22 complex) belong to Penner serotype HS:19 and
were only found in GBS-related strains; ST-362 complex was the
second most prevalent complex found in both GBS and enteritis
strains; corroborated with LOS class A or B loci. A number of new
STs were identified for the first time in this study (ST-3442, ST-
3741, ST-3743, ST-3748, ST-3968, ST-3969 and ST-3970), but
were not assigned to any known complex. To date, these
unassigned STs have only been found only in enteritis strains
from Bangladesh. genetic markers by comparing the genomes of C. jejuni strains
[16,21,25,29]. Furthermore, no molecular markers specific to GBS
were detected after analyzing a highly clonal HS:41 population
from South African patients by using a high-throughput AFLP
[40]. However, the LOS class typing significantly differentiated
GBS-related strains from enteritis in Bangladesh. In conclusion, our results support C. jejuni HS:23 are over
represented among GBS related strains in Bangladesh and appear
to be clonally related; LOS class A is significantly associated with
GBS. The present study revealed a correlation between MLST
clonal
complex (ST-403)
and
certain LOS locus
class B. Particularly, putative neuropathogenic C. jejuni HS:23 serotype
may circulate at an elevated prevalence in Bangladesh. References Barre´ and Miller Fisher syndromes: neuropathogenic and enteritis-associated
strains can share high levels of genomic similarity. BMC Genomics 8: 359. 1. Allos BM (2001) Campylobacter jejuni infections: update on emerging issues and
trends. Clin Infect Dis 32: 1201–1206. 1. Allos BM (2001) Campylobacter jejuni infections: update on emerging issues and
trends. Clin Infect Dis 32: 1201–1206. 2. Butzler JP (2004) Campylobacter from obscurity to celebrity. Clin Microbiol Infect
10: 868–876. 17. Quin˜ones B, Guilhabert MR, Miller WG, Mandrell RE, Lastovica AJ, et al. (2008) Comparative genomic analysis of clinical strains of Campylobacter jejuni
from South Africa. PLoS ONE 3: e2015. 3. Anonymous (2007) The community summary report on trends and sources of
zoonoses, zoonotic agents, antimicrobial resistance and foodborne outbreaks in
the European Union in 2006. EFSA J 130: 118–145. 18. Fujimoto S, Allos BM, Misawa N, Patton CM, Blaser MJ (1997) Restriction
fragment length polymorphism analysis and random amplified polymorphic
DNA analysis of Campylobacter jejuni strains isolated from patients with Guillain-
Barre´ syndrome. J Infect Dis 176: 1105–1108. 4. Humphrey T, O’Brien S, Madsen M (2007) Campylobacters as zoonotic
pathogens: a food production perspective. Int J Food Microbiol 15: 237–257. Barre´ syndrome. J Infect Dis 176: 1105–1108. 5. Nachamkin I, Allos BM, Ho T (1998) Campylobacter species and Guillain-Barre´
syndrome. Clin Microbiol 11: 555–567. y
J
19. Wassenaar TM, Newell DG (2000) Genotyping of Campylobacter spp. Appl
Environ Microbiol 66: 1–9. 6. Yuki N, Kuwabara S (2007) Axonal Guillain-Barre´ syndrome: carbohydrate
mimicry and pathophysiology. J Peripher Nerv 12: 238–249. 20. Koga M, Gilbert M, Takahashi M, Li J, Koike S, et al. (2006) Comprehensive
analysis of bacterial risk factors for the development of Guillain-Barre’ syndrome
after Campylobacter jejuni enteritis. J Infect Dis 193: 547–555. 7. Magira EE, Papaioakim M, Nachamkin I, Asbury AK, Li CY, et al. (2003)
Differential distribution of HLA-DQ beta/DR beta epitopes in the two forms of
Guillain-Barre´ syndrome, acute motor axonal neuropathy and acute inflamma-
tory demyelinating polyneuropathy (AIDP): identification of DQ beta epitopes
associated with susceptibility to and protection from AIDP. J Immunol 170:
3074–3080. 21. Endtz HP, Ang CW, van Den Braak N, Duim B, Rigter A, et al. (2000)
Molecular characterization of Campylobacter jejuni from patients with Guillain-
Barre’ and Miller Fisher syndromes. J Clin Microbiol 38: 2297–2301. 22. Islam Z, van Belkum A, Cody A J, Tabor H, Jacobs BC, et al. References (2009) A
Campylobacter jejuni HS:23 serotype and new multilocus sequence type frequently
associated with Guillain-Barre´ syndrome in Bangladesh. Emerg Infect Dis 15:
1316–1318. 8. Hughes RA, Cornblath DR (2005) Guillain-Barre´ syndrome. Lancet 366:
1653–1666. 9. Godschalk PC, Heikema AP, Gilbert M, Komagamine T, Ang CW, et al. (2004)
The crucial role of Campylobacter jejuni genes in anti-ganglioside antibody
induction in Guillain-Barre syndrome. J Clin Invest 114: 1659–1665. 23. Asbury AK, Cornblath DR (1990) Assessment of current diagnostic criteria for
Guillain-Barre´ syndrome. Ann Neurol 27: S21–4. 24. Penner JL, Hennessy JN, Congi RV (1983) Serotyping of Campylobacter jejuni and
Campylobacter coli on the basis of thermostable antigens. Eur J Clin Microbiol 4:
378–383. 10. Godschalk PC, Kuijf ML, Li J, St Michael F, Ang CW, et al. (2007) Structural
characterization of Campylobacter jejuni lipooligosaccharide outer cores associated
with Guillain-Barre and Miller Fisher syndromes. Infect Immun 75: 1245–1254. 25. Dingle KE, Colles FM, Wareing DR, Ure R, Fox AJ, et al. (2001) Multilocus
sequence typing system for Campylobacter jejuni. J Clin Microbiol 39: 14–23. 11. van Belkum A, van den Braak N, Godschalk P, Ang W, Jacobs B, et al. (2001) A
Campylobacter jejuni gene associated with immune-mediated neuropathy. Nat Med
7: 752–753. 26. Miller WG, On SL, Wang G, Fontanoz S, Lastovica AJ, et al. (2005) Extended
multilocus sequence typing system for Campylobacter coli, C. lari, C. upsaliensis, and
C. helveticus. J Clin Microbiol 43: 2315–2329. 12. Karlyshev AV, Linton D, Gregson NA, Lastovica AJ, Wren BW (2000) Genetic
and biochemical evidence of a Campylobacter jejuni capsular polysaccharide that
accounts for Penner serotype specificity. Mol Microbiol 35: 529–541. 27. Dingle KE, Colles FM, Ure R, Wagenaar JA, Duim B, et al. (2002) Molecular
characterization of Campylobacter jejuni clones: a basis for epidemiologic
investigation. Emerg Infect Dis 8: 949–955. 13. Ang CW, Laman JD, Willison HJ, Wagner ER, Endtz HP, et al. (2002)
Structure of Campylobacter jejuni lipopolysaccharides determines antiganglioside
specificity and clinical features of Guillain-Barre´ and Miller Fisher patients. Infect Immun 70: 1202–1208. 28. Jolley KA, Feil EJ, Chan MS, Maiden MC (2001) Sequence type analysis and
recombinational tests (START). Bioinformatics 17: 1230–1231. 29. Duim B, Ang CW, van Belkum A, Rigter A, van Leeuwen WJ, et al. (2000)
Amplified fragment length polymorphism analysis of C. jejuni strains isolated
from chickens and from patients with gastroenteritis or Guillain-Barre’ or Miller
Fisher syndrome. Appl Environ Microbiol 66: 3917–3923. 14. Acknowledgments We are indebted to all the neurologists who referred their patients to us. We are grateful to Prof. Deen Mohammad and Dr. Mohammad Badrul
Islam for their support in the enrolment of patients from Dhaka Dhaka
Medical College Hospital, Bangabandhu Sheikh Mujib Medical University
and Dhaka Central Hospital in Dhaka. Author Contributions Conceived and designed the experiments: ZI AvB JW HPE. Performed the
experiments: ZI AJC AGdB HT. Analyzed the data: ZI. Contributed
reagents/materials/analysis tools: KT. Wrote the paper: ZI. Critical
revision of the manuscript for important intellectual content: AvB JW AJC
AGdB BCJ HPE. Conceived and designed the experiments: ZI AvB JW HPE. Performed the
experiments: ZI AJC AGdB HT. Analyzed the data: ZI. Contributed
reagents/materials/analysis tools: KT. Wrote the paper: ZI. Critical
revision of the manuscript for important intellectual content: AvB JW AJC
AGdB BCJ HPE. AFLP Cluster analysis of AFLP data in this study supports previous
reports that no distinct subpopulation of C. jejuni strains is
associated with GBS or enteritis [29]. AFLP analysis revealed
that HS:23 strains are clonal but substantial heterogeneity was
found among non-HS:23 strains. PFGE and AFLP analysis were
shown to have a high level of discriminatory power, although in
some cases AFLP was able to distinguish further patterns. In some
cases AFLP patterns of the strains were highly similar, whereas
PFGE patterns showed differences (Fig. 2). Our PFGE and AFLP
data also support those reported in a previous study carried out on
Finnish C. jejuni strains [38]. The genetic diversity of C. jejuni is well
recognised and is attributed to a number of distinct phenomena,
including genomic rearrangements and horizontal gene transfer
[39]. A study carried out in England by Owen et al. [39] showed
that C. jejuni strains from human strains were highly diverse by
PFGE analysis. Previous studies also described that MLST, AFLP,
PFGE and DNA microarrays could not identify GBS-specific References Willison HJ, Yuki N (2002) Peripheral neuropathies and anti-glycolipid
antibodies. Brain 125: 2591–2625. 15. Parker CT, Horn ST, Gilbert M, Miller WG, Woodward DL, et al. (2005)
Comparison of Campylobacter jejuni lipooligosaccharide biosynthesis loci from a
variety of sources. J Clin Microbiol 43: 2771–2781. 30. van Belkum A, van Leeuwen WJ, Verkooyen R, Sacilik S C, Cokmus C, et al. (1997) Dissemination of a single clone of methicillinresistant Staphylococcus aureus
among Turkish hospitals. J Clin Microbiol 35: 978–981. 16. Taboada EN, van Belkum A, Yuki N, Acedillo RR, Godschalk PC, et al. (2007)
Comparative genomic analysis of Campylobacter jejuni associated with Guillain- PLoS ONE | www.plosone.org 7 September 2009 | Volume 4 | Issue 9 | e7257 September 2009 | Volume 4 | Issue 9 | e7257 Genotyping of C. jejuni PLoS ONE | www.plosone.org Genotyping of C. jejuni 31. Habib I, Louwen R, Uyttendaele M, Houf K, Vandenberg O, et al. (2009)
Correlation between genotypic diversity, lipooligosaccharide gene locus class
variation and Caco-2 invasion potential of Campylobacter jejuni from chicken meat
and human origin: a contribution to virulotyping. Appl Environ Microbiol 75:
4277–4288. 37. Clark CG, Bryden L, Cuff WR, Johnson PL, Jamieson F, et al. (2005) Use of the
oxford multilocus sequence typing protocol and sequencing of the flagellin short
variable region to characterize isolates from a large outbreak of waterborne
Campylobacter sp. strains in Walkerton, Ontario, Canada. J Clin Microbiol 43:
2080–2091. 32. Engberg J, Nachamkin I, Fussing V, McKhann GM, Griffin JW, et al. (2001)
Absence of clonality of Campylobacter jejuni in serotypes other than HS:19
associated with Guillain-Barre´ syndrome and gastroenteritis. J Infect Dis 184:
215–220. 38. Ha¨nninen ML, Perko-Ma¨kela¨ P, Rautelin H, Duim B, Wagenaar JA (2001)
Genomic relatedness within five common Finnish Campylobacter jejuni pulsed-field
gel electrophoresis genotypes studied by amplified fragment length polymor-
phism analysis, ribotyping, and serotyping. Appl Environ Microbiol 67:
1581–1586. 33. Parker CT, Gilbert M, Yuki N, Endtz HP, Mandrell RE (2008) Characterization
of lipooligosaccharide-biosynthetic loci of Campylobacter jejuni reveals new
lipooligosaccharide classes: evidence of mosaic organizations. J Bacteriol 190:
5681–5689. 39. Owen RJ, Slater E, Telford D, Donovan T, Barnham M (1997) Subtypes of
Campylobacter jejuni from sporadic cases of diarrhoeal disease at different locations
in England are highly diverse. Eur J Epidemiol 13: 837–840. 34. Nachamkin I, Liu J, Li M, Ung H, Moran AP, et al. (2002) Campylobacter jejuni
from patients with Guillain-Barre´ syndrome preferentially expresses a GD(1a)-
like epitope. Infect Immun 70: 5299–5303. 40. Godschalk PC, van Belkum A, van den Braak N, van Netten D, Ang CW, et al. (2007) PCR-restriction fragment length polymorphism analysis of Campylobacter
jejuni genes involved in lipooligosaccharide biosynthesis identifies putative
molecular markers for Guillain-Barre´ syndrome. J Clin Microbiol 2007 45:
2316–2320. 35. Yuki N (2007) Ganglioside mimicry and peripheral nerve disease. Muscle Nerve
35: 691–711. 36. Sopwith W, Birtles A, Matthews M, Fox A, Gee S, et al. (2006) Campylobacter
jejuni multilocus sequence types in humans, northwest England, 2003–2004. Emerg Infect Dis 12: 1500–1507. PLoS ONE | www.plosone.org September 2009 | Volume 4 | Issue 9 | e7257 8
|
https://openalex.org/W3042355683
|
https://www.revistas.usp.br/rlae/article/download/183086/169814
|
Portuguese
| null |
Elaboration, validation and reliability of the safety protocol for pediatric thirst management
|
Revista latino-americana de enfermagem
| 2,020
|
cc-by
| 9,681
|
Rev. Latino-Am. Enfermagem
2020;28:e3321
DOI: 10.1590/1518-8345.3333.3321
www.eerp.usp.br/rlae Rev. Latino-Am. Enfermagem
2020;28:e3321
DOI: 10.1590/1518-8345.3333.3321
www.eerp.usp.br/rlae Artigo Original Elaboração, validação e fidedignidade do protocolo de segurança para o
manejo da sede pediátrica* Isadora Pierotti1,2
https://orcid.org/0000-0001-8050-8389
Leonel Alves do Nascimento1,3
https://orcid.org/0000-0002-9590-6360
Edilaine Giovanini Rossetto1
https://orcid.org/0000-0002-0996-5154
Rejane Kiyomi Furuya4
https://orcid.org/0000-0003-0885-5364
Lígia Fahl Fonseca1
https://orcid.org/0000-0001-7550-9141 Lígia Fahl Fonseca1 * Artigo extraído da dissertação de mestrado “Elaboração,
validação e fidedignidade do protocolo de segurança
para o manejo da sede pediátrica”, apresentada à
Universidade Estadual de Londrina, Centro de Ciências
da Saúde, Londrina, PR, Brasil. Apoio financeiro da
Fundação Araucária de Apoio ao Desenvolvimento
Científico e Tecnológico do Estado do Paraná (FA),
Convênio 176/2015, Protocolo 44.536, Brasil, com
complementação da bolsa pela Universidade Estadual de
Londrina, Brasil. 1 Universidade Estadual de Londrina, Centro de Ciências da
Saúde, Londrina, PR, Brasil. 2 Bolsista
da
Fundação
Araucária
de
Apoio
ao
Desenvolvimento Científico e Tecnológico do Estado do
Paraná (FA), Brasil. 3 Hospital Dr. Anisio Figueiredo, Zona Norte de Londrina,
Londrina, PR, Brasil. Descritores: Sede; Enfermagem de Centro Cirúrgico; Sala
de Recuperação; Pediatria; Protocolos Clínicos; Estudos de
Validação. 4 Instituto Federal do Paraná, Campus Londrina, Londrina,
PR, Brasil. Como citar este artigo
Pierotti I, Fonseca LF, Nascimento LA, Rossetto EG, Furuya RK. Elaboration, validation and reliability of the
safety protocol for pediatric thirst management. Rev. Latino-Am. Enfermagem. 2020;28:e3321. [Access ___ __ ____];
Available in: ___________________ . DOI: http://dx.doi.org/10.1590/1518-8345.3333.3321. ano
dia
mês
URL Como citar este artigo
Pierotti I, Fonseca LF, Nascimento LA, Rossetto EG, Furuya RK. Elaboration, validation and reliability of the
safety protocol for pediatric thirst management. Rev. Latino-Am. Enfermagem. 2020;28:e3321. [Access ___ __ ____];
Available in: ___________________ . DOI: http://dx.doi.org/10.1590/1518-8345.3333.3321. ano
dia
mês
URL Elaboração, validação e fidedignidade do protocolo de segurança para o
manejo da sede pediátrica* Objetivo: elaborar, validar e avaliar a fidedignidade do
Protocolo de Segurança para o Manejo da Sede Pediátrica
no pós-operatório imediato. Método: pesquisa metodológica,
quantitativa, baseada nos pressupostos para elaboração
de instrumentos de mensuração. Elaborou-se o protocolo
após revisão de literatura, entrevista com especialistas
e observação da recuperação anestésica da criança. Juízes realizaram a validação teórica por meio de análise
aparente, semântica e de conteúdo. Calculou-se o Content
Validity Index na validação de conteúdo, cuja concordância
mínima estabelecida foi de 0,80. Avaliou-se a fidedignidade
do protocolo em crianças entre três e 12 anos em sala de
recuperação anestésica. Resultados: em sua versão final,
o protocolo foi constituído por cinco critérios de avaliação:
nível de consciência, movimentação, proteção de vias áreas,
padrão respiratório e náusea e vômito. Apresentou fácil
compreensão e conteúdo pertinente e relevante, e todos os
índices superaram a concordância mínima de 0,80. Duplas de
enfermeiros aplicaram o protocolo 116 vezes em 58 crianças,
resultando em elevado índice de fidedignidade (kappa geral =
0,98) Conclusão: o protocolo inédito elaborado tem validade
e é ferramenta útil para utilização na recuperação anestésica,
visando avaliar a segurança para a redução da sede do
paciente infantil. Objetivo: elaborar, validar e avaliar a fidedignidade do
Protocolo de Segurança para o Manejo da Sede Pediátrica
no pós-operatório imediato. Método: pesquisa metodológica,
quantitativa, baseada nos pressupostos para elaboração
de instrumentos de mensuração. Elaborou-se o protocolo
após revisão de literatura, entrevista com especialistas
e observação da recuperação anestésica da criança. Juízes realizaram a validação teórica por meio de análise
aparente, semântica e de conteúdo. Calculou-se o Content
Validity Index na validação de conteúdo, cuja concordância
mínima estabelecida foi de 0,80. Avaliou-se a fidedignidade
do protocolo em crianças entre três e 12 anos em sala de
recuperação anestésica. Resultados: em sua versão final,
o protocolo foi constituído por cinco critérios de avaliação:
nível de consciência, movimentação, proteção de vias áreas,
padrão respiratório e náusea e vômito. Apresentou fácil
compreensão e conteúdo pertinente e relevante, e todos os
índices superaram a concordância mínima de 0,80. Duplas de
enfermeiros aplicaram o protocolo 116 vezes em 58 crianças,
resultando em elevado índice de fidedignidade (kappa geral =
0,98) Conclusão: o protocolo inédito elaborado tem validade
e é ferramenta útil para utilização na recuperação anestésica,
visando avaliar a segurança para a redução da sede do
paciente infantil. Isadora Pierotti1,2
https://orcid.org/0000-0001-8050-8389
Leonel Alves do Nascimento1,3
https://orcid.org/0000-0002-9590-6360
Edilaine Giovanini Rossetto1
https://orcid.org/0000-0002-0996-5154
Rejane Kiyomi Furuya4
https://orcid.org/0000-0003-0885-5364
Lígia Fahl Fonseca1
https://orcid.org/0000-0001-7550-9141 Método Pesquisa metodológica, quantitativa, realizada
entre julho de 2017 e abril de 2018. Diante da
dificuldade de encontrar metodologias específicas para
elaboração de protocolos que pressupõe a tomada de
decisão para o cuidado e visando seguir um processo
metodológico rigoroso, utilizou-se uma adaptação das
etapas do modelo de Pasquali(24). Este modelo é pautado
na psicometria que mensura fenômenos subjetivos e
foi utilizado por outro estudo de validação de protocolo
também como um guia de suas etapas(20). Este
modelo é composto por três procedimentos – teóricos,
experimentais e analíticos(24) – cujas etapas estão
resumidas na Figura 1. A recuperação anestésica é caracterizada pelo
retorno da consciência e durante o despertar, a criança
pode apresentar dor, estar confusa e agitada. A sede
também influencia o modo de a criança despertar
e se recuperar da anestesia, sendo um dos fatores
responsáveis
pela
angustia
que
vivencia
nesse
período(8-9,11-13). A criança cirúrgica apresenta alto risco para
desenvolver sede por desequilíbrio hidroeletrolítico,
entubação endotraqueal, uso de medicações, entre
outros(14-16). A equipe de enfermagem que atua em
SRA precisa, portanto, considerar a sede como objeto
de cuidado de maneira intencional, identificando,
mensurando, avaliando a segurança e utilizando
estratégias efetivas para reduzir a sede da criança(17). A
equipe, entretanto, usualmente sente-se insegura para
tratar a sede(18) na fase de recuperação anestésica, pois
não dispõe de instrumentos sistematizados que avaliem
a segurança para oferecer um método de alívio da sede
pediátrica, prolongando o sofrimento da criança e de
seus familiares(9,19). Na etapa de procedimentos teóricos, preconiza-se
a busca na literatura, agrupamento do conhecimento
de especialistas e observação extraída da experiência
prática(24). Definiu-se segurança para o manejo da
sede pediátrica no POI como sistema psicológico, e
critérios de avaliação como propriedade do sistema
psicológico (atributos), cuja avaliação é objeto deste
estudo. A elaboração do protocolo foi criteriosamente
fundamentada em literatura científica, entrevistas com
especialistas e observação sistemática da recuperação
anestésica da criança(24). Para subsidiar a equipe na decisão de utilizar
alguma estratégia de alívio da sede, elaborou-se o
Protocolo de Segurança para o Manejo da Sede (PSMS)
de pacientes adultos em SRA(20). A equipe tem utilizado
este instrumento também para o paciente infantil,
mesmo sem comprovação de que os critérios de
avaliação propostos sejam pertinentes para a criança. Introdução O processo de validação de instrumentos é
fundamental para que os resultados sejam significativos,
fidedignos, precisos e exatos(21). A validade e a
fidedignidade são um dos principais aspectos que
compõem esse processo. A validade verifica se o
instrumento mede exatamente o que se propõe a medir
e a fidedignidade representa o grau de coerência com o
qual o instrumento mede o atributo(22). O período perioperatório traz inúmeros desafios
de enfrentamento para a criança. No pré-operatório,
preparos inerentes ao procedimento como o jejum
trazem ansiedade e desconforto(1-3). O jejum é indicado
com a finalidade de evitar eventos adversos como
a broncoaspiração do conteúdo gástrico(2). Embora
reconhecida sua indicação e atualmente a literatura
preconize tempos reduzidos de jejum(1-6), identificam-se
períodos excessivos na prática(2,4). Recentes evidências
demonstram que a abreviação do jejum não aumenta a
incidência de eventos adversos(1-6). A necessidade de elaborar e validar um protocolo
de segurança para o manejo da sede na criança
em POI justifica-se por sua elevada prevalência e
intensidade(1,23). Adicionalmente, não se localizou um
instrumento que subsidie a prática dos profissionais da
SRA na avaliação de critérios adequados que permitam
utilizar com segurança estratégias efetivas para aliviar a
sede da criança neste período. O objetivo deste estudo
foi, portanto, elaborar, validar e avaliar a fidedignidade
do Protocolo de Segurança para o Manejo da Sede
Pediátrica (PSMSP) no POI. O jejum estende-se também para o pós-operatório
imediato (POI) sendo que líquidos são usualmente
liberados nas primeiras três horas para a maioria das
crianças(7). No entanto, ensaio clínico revelou que a
ingestão de líquido ainda mais precocemente em Sala
de Recuperação Anestésica (SRA) não aumentou a
incidência de náuseas e vômitos(8). Os benefícios da
liberação precoce de líquido no POI são: maior satisfação
dos pais, crianças mais felizes e menos incomodadas
com a dor, redução do uso de medicamento para náusea,
redução do tempo de permanência na SRA, e redução da
sede(8-10). www.eerp.usp.br/rlae Como citar este artigo Pierotti I, Fonseca LF, Nascimento LA, Rossetto EG, Furuya RK. Elaboration, validation and reliability of the
safety protocol for pediatric thirst management. Rev. Latino-Am. Enfermagem. 2020;28:e3321. [Access ___ __ ____];
Available in: ___________________ . DOI: http://dx.doi.org/10.1590/1518-8345.3333.3321. ano
dia
mês
URL 2 Rev. Latino-Am. Enfermagem 2020;28:e3321. Rev. Latino-Am. Enfermagem 2020;28:e3321. Método Realizou-se busca nas bases de dados: Literatura
Latino-Americana e do Caribe em Ciências da Saúde
(LILACS), Cumulative Index to Nursing and Allied
Health Literature (CINAHL), National Library of Medicine
(PubMed) e The Cochrane Library, utilizando-se os
descritores: criança, pré-escolar, escolares, criança
hospitalizada, período de recuperação da anestesia, 3 Pierotti I, Fonseca LF, Nascimento LA, Rossetto EG, Furuya RK. Pierotti I, Fonseca LF, Nascimento LA, Rossetto EG, Furuya RK. com os descritores em português, espanhol e inglês,
a partir de 1960, por tratar-se da década quando
foram encontradas as primeiras descrições sobre a
excitação da criança ao despertar da anestesia geral. Também foram consultados livros de anestesiologia,
desenvolvimento e crescimento infantil, e assistência à
criança cirúrgica(25-27). período pós-operatório, cuidado da criança, sede,
sala de recuperação, escalas, respiração, estado de
consciência, tosse, anestesia geral, náusea e vômito,
deglutição, complicações pós-operatórias, conteúdo
gastrointestinal, pneumonia aspirativa e hidratação oral. Os critérios de inclusão foram: publicações em livros
e artigos indexados nas bases de dados selecionadas Figura 1 – Diagrama sequencial da elaboração, validação e fidedignidade do Protocolo de Segurança para o Manejo
da Sede Pediátrica
09 juízes
Índice concordância 0,80 (CVI)
Novembro e dezembro 2017
Única rodada superou
concordância estabelecida 4 Rev. Latino-Am. Enfermagem 2020;28:e3321. Consultaram-se 18 especialistas sob os seguintes
critérios de inclusão: ter experiência na assistência à
criança hospitalizada ou em POI e atuar em hospitais
públicos e/ou privados de grande porte na cidade de
Londrina. O convite foi realizado por via eletrônica
e posteriormente agendaram-se as entrevistas em
locais de fácil acesso para o profissional. As entrevistas
aconteceram
presencialmente,
e
os
profissionais
responderam a um roteiro composto por seis questões
norteadoras: O que é preciso observar na emergência
da anestesia pediátrica?; Quais instrumentos devem
ser utilizados para avaliar a recuperação anestésica da
criança?; Quais os reflexos protetores mais importantes a
serem avaliados na criança?; Como deve ser a avaliação
da criança em recuperação anestésica?; O que é preciso
considerar para se administrar uma estratégia de alívio
da sede na criança que se recupera da anestesia?, e
Existe diferença de faixa etária? As respostas foram
registradas e tabuladas em planilha Excel 2010® e
analisadas de acordo com a frequência de citações. segurança para o manejo da sede. Finalmente, foi
elaborado o manual operacional, que apresenta a
fundamentação teórica do protocolo. A análise teórica foi realizada por especialistas
através da validação aparente(22), análise semântica e
validação de conteúdo(24). Método Duas enfermeiras doutoras
especialistas
em
criança
foram
convidadas
para
realizarem a validação aparente em setembro de 2017. O
critério para escolha dessas profissionais foi a expertise
na área pediátrica e em validação de instrumentos,
sendo que ambas não integram o grupo de estudo da
sede. A análise semântica(24) ocorreu em um hospital
universitário de nível terciário do norte do Paraná, em
outubro de 2017. Convidaram-se oito participantes,
divididos em dois grupos distintos. O primeiro com
quatro enfermeiras doutoras com experiência no cuidado
de criança em SRA; o segundo com quatro alunas do
último ano do curso de Enfermagem. O protocolo foi
apresentado verbalmente para os dois grupos em
encontros separados, item por item e, posteriormente,
solicitou-se
que
participantes
reproduzissem
sua
compreensão do conteúdo exposto. A pesquisadora principal fez um período de
observação sistemática da recuperação anestésica das
crianças. Durante agosto e setembro de 2017 foram
registrados os principais comportamentos apresentados
por elas aos despertarem da anestesia geral. Avaliaram-
se 17 crianças submetidas à anestesia geral e com idade
superior a três anos, selecionadas por conveniência de
acordo com a disponibilidade da pesquisadora neste
período. A validação de conteúdo aconteceu em novembro e
dezembro de 2017 por meio da técnica Delphi(28). Treze
profissionais foram convidados, dois não aceitaram
participar e dois não retornaram os instrumentos
no período determinado. Desta forma, nove juízes
participaram, incluindo enfermeiros (n = cinco),
anestesiologistas (n = três) e fonoaudiólogo (n = um). Houve a preocupação de incluir juízes de diferentes
formações acadêmicas para que as contribuições ao
instrumento contemplassem um olhar multiprofissional. Os juízes foram escolhidos segundo sua experiência
no cuidado à criança em SRA em diferentes realidades
institucionais, e um, por sua experiência em validação
de instrumentos. Os juízes atuavam profissionalmente
em Londrina (PR) e São Paulo (SP), e todos tinham
algum nível de pós-graduação, sendo o doutorado o
de maior frequência (n = quatro, 45%). O tempo de
atuação profissional era superior a cinco anos para todos
os especialistas. Os juízes que participaram desta etapa
estiveram presentes em outros momentos da elaboração
e validação do protocolo: etapa de entrevistas (n =
cinco) e validação aparente (n = dois). Os resultados da busca na literatura foram
organizados em uma tabela elencando-se as principais
complicações anestésicas cirúrgicas, escalas de avaliação
da consciência da criança e critérios para permitir a
ingestão precoce de líquido no POI. www.eerp.usp.br/rlae Método Calculou-se o CVI individual
a partir da razão do número de especialistas que
pontuaram três ou quatro para o item em uma escala
ordinal de um a quatro (não contempla a contempla),
ou em uma escala dicotômica (sim e não), pelo número
total de especialistas. O CVI total foi calculado a partir
da média dos CVIs dos itens(31). A concordância mínima
estabelecida entre os juízes foi de 0,80(24,30). Utilizou-se
o Microsoft Office Excel 2010® para os cálculos. Os
procedimentos
analíticos
consistiram
na
avaliação da fidedignidade do protocolo pela concordância
interavaliadores. Utilizou-se o coeficiente kappa para
estimar a concordância entre os avaliadores, calculado
por meio da razão da proporção de vezes que os
observadores concordaram (corrigido por concordância
devido ao acaso) pela proporção máxima de vezes
que poderiam concordar(32). A determinação da força
de concordância dos valores kappa seguiu a seguinte
recomendação: menor que zero, concordância pobre;
de zero a 0,20, concordância desprezível; de 0,21 a
0,40, concordância suave; de 0,41 a 0,60, concordância
moderada; de 0,61 a 0,80, concordância substancial, de
0,81 a um, concordância quase perfeita(33). Quatro instrumentos de avaliação foram enviados
aos juízes. No primeiro, os juízes avaliaram os critérios
de segurança segundo os requisitos: Atribuível (reflete
aspecto de qualidade para o cuidado de enfermagem),
Acessível (os dados são acessados rapidamente, com
o mínimo de esforço extra e custo), Comunicável (a
relevância da medida pode ser facilmente comunicada
e compreendida), Efetivo/preciso (mede o que se
propõe a medir), Exequível (a medida é aplicável) e
Objetivo (a medida permite ação de mensuração clara e
precisa, sem julgamento subjetivo). Os juízes indicaram
pontos com variação de um a quatro, sendo um = não
contempla a segurança para o manejo da sede; dois =
incapaz de contemplar a segurança para o manejo da
sede sem revisão; três = contempla a segurança para
o manejo da sede, mas precisa de alteração mínima;
quatro = contempla a segurança para o manejo da sede. A fidedignidade foi avaliada na SRA de um
hospital-escola de nível terciário do Estado do Paraná,
com a participação de duas duplas de enfermeiras. A primeira foi composta pela pesquisadora e uma
residente em enfermagem perioperatória; a segunda,
pela pesquisadora e uma enfermeira do setor. Escolheram-se as duplas pela disponibilidade em
participar da pesquisa e pela experiência no cuidado
à criança em SRA, sob a condição de participar de
treinamento sobre o PSMSP. Método Em segunda coluna,
foram sistematizadas as respostas dos 18 especialistas
contemplando os critérios considerados relevantes para
a liberação de líquido via oral durante a recuperação
anestésica da criança. A terceira coluna constituiu-se
dos principais comportamentos das crianças observados
ao despertarem da anestesia. Após extensiva análise por
parte das pesquisadoras principais, selecionaram-se os
critérios comuns mais relevantes entre as três etapas. A seguir, realizou-se a definição dos construtos, que
consiste na conceituação clara e precisa de cada critério
selecionado para avaliar a segurança para o manejo da
sede pediátrica(24). No protocolo, são os itens a serem
avaliados e estão descritos de forma detalhada abaixo
de cada critério. Por exemplo, o que avaliar no critério
“nível de consciência”, o que avaliar em “movimentação”
e assim por diante. Fez-se o convite por telefone, informando-se os
objetivos da pesquisa e como seria a participação. Mediante a concordância, foi-lhes solicitado o endereço
eletrônico para posterior remessa dos instrumentos de
validação. No primeiro contato via e-mail, enviou-se
uma carta com os objetivos da pesquisa, procedimentos
de validação e convite para participar como juiz. Em
anexo, o protocolo, quatro instrumentos de validação,
instrumento de caracterização do juiz e o Termo de Posteriormente, estabeleceu-se a representação
comportamental dos construtos(24) e definiram-se as
ações que o enfermeiro deve realizar para avaliar a 5 Pierotti I, Fonseca LF, Nascimento LA, Rossetto EG, Furuya RK. Pierotti I, Fonseca LF, Nascimento LA, Rossetto EG, Furuya RK. Consentimento Livre e Esclarecido (TCLE). A resposta
a esse e-mail foi considerada como aceite em participar
da pesquisa. Os instrumentos para validação foram
adaptados de outros estudos(20,29). chegada à SRA, porém se observou que era preciso um
tempo maior para início da avaliação, pois elas ainda
estavam sonolentas, com limitações para participar do
processo. Estabeleceu-se, então, a primeira avaliação 45
minutos após a chegada à SRA, e a segunda, 15 minutos
após a primeira. Não houve necessidade de alterações
no instrumento de coleta. Participantes do teste piloto
não foram incluídos na amostra. Utilizou-se o Índice de Validade de Conteúdo
(Content Validity Index - CVI), calculado com base na
proporção de juízes que consideraram o item válido(30). O CVI foi estimado para cada critério de avaliação do
protocolo, conjunto de itens, procedimentos operacionais
e manual operacional. www.eerp.usp.br/rlae Resultados Na busca da literatura encontrou-se uma escala
de avaliação específica do momento em que a criança
desperta da sedação e recupera sua consciência, com
os seguintes itens: resposta, aparência e função dos
olhos, e movimento corporal(35). Em relação às principais
complicações no POI, destacam-se a dor, náusea,
vômito e delírio de emergência (DE). Trata-se de uma
condição comum em crianças no POI, definida como
um distúrbio na consciência e atenção da criança para
com seu ambiente, com desorientação e alterações
perceptivas(12), com presença de inquietação, choro,
gemidos ou fala irritativa e gritos(36). Poucos critérios
de avaliação foram encontrados para liberação precoce
de líquido: verbalização espontânea da criança(8-9),
aparentar estar acordada o suficiente(8) e receber
pontuação maior ou igual a quatro(9) na Face, Legs,
Activity, Cry Consolability (FLACC), escala que avalia a
dor na criança. Os cinco critérios de avaliação estão descritos em
caixa alta no protocolo e identificados em cinza escuro. Abaixo de cada um deles encontram-se os itens a
serem avaliados e na coluna da direita encontram-se
os procedimentos operacionais. Os itens que denotam
aprovação estão em cinza claro. Adicionalmente,
elaborou-se o manual operacional, que contém a
fundamentação teórica do protocolo. O manual pode ser
obtido na íntegra na dissertação de mestrado da autora. Quanto à análise semântica, o grupo de alunas e o
grupo de enfermeiras doutoras não tiveram dificuldade
de compreensão dos itens. Fizeram apenas alguns
ajustes de redação e alterações nas ordens de avaliação. Uma única rodada de avaliação de conteúdo pelos
especialistas foi suficiente para superar a concordância
mínima de 0,80(24,30). Na Tabela 1, encontram-se os
valores do CVI dos critérios de avaliação e seus itens
representativos. Na etapa de entrevistas, os especialistas apontaram
os seguintes critérios de segurança: avaliação do nível
de consciência (n = 12), reflexos de proteção de via
aérea (tosse n = 17, deglutição n = 12, choro n = três),
ausência de náusea e vômito (n = três), avaliação da
movimentação (n = cinco), considerar a participação
do cuidador principal (n = quatro), vontade da criança
(n = nove), critério médico (n = dois), tempo e porte
cirúrgico (n = um). A Tabela 2 apresenta os valores de CVI dos
procedimentos operacionais e manual operacional de
cada critério. Durante a avaliação da fidedignidade, o PSMSP foi
aplicado 116 vezes em 58 crianças. A média de idade foi
de 7,2 anos (dp 2,6). Método Determinou-se que cada criança poderia ser avaliada
duas vezes: a primeira avaliação 45 minutos após
sua chegada à SRA; a segunda, 15 minutos após a
primeira. Se a criança estivesse agitada, chorosa ou
em presença de dor, esperava-se um tempo maior
para iniciar a coleta. Utilizou-se o programa Statistical
Package for Social Sciences – SPSS® (versão 20.0)
para calcular o coeficiente kappa e realizar a análise
descritiva. do tempo de emergência da anestesia, comportamentos
corporais como movimentação de membros e olhos, tipo
de verbalização e presença de choro. Baseado
na
análise
das
etapas
anteriores
selecionou-se, então, os seguintes critérios de avaliação
para comporem o PSMSP: nível de consciência,
movimentação, proteção de vias aéreas (tosse e
deglutição) e ausência de náusea e vômito. A seleção
buscou atender aos requisitos máximos de segurança,
simplicidade e facilidade de aplicação na prática clínica. Em seguida, definiu-se com os especialistas consultados
que o protocolo poderá ser utilizado em crianças com
idade entre três e 12 anos. A validação aparente resultou na inclusão do
critério de avaliação padrão respiratório, que não
havia sido proposto. Em sua versão final, o protocolo
constituiu-se de cinco critérios de avaliação, dispostos
em um algoritmo gráfico (Figura 2), em que é
necessário aprovar a criança em todos os critérios
avaliados. A identificação de qualquer condição clínica
que denote reprovação no critério avaliado representa
interrupção do uso do protocolo. Deve-se, então, iniciar
nova avaliação após um período que permita mudança
no estado clínico da criança. Método A amostra foi determinada por tempo de coleta,
totalizando quatro meses. Os critérios de inclusão foram:
crianças cirúrgicas com idade entre três e 12 anos, de
ambos os sexos, estar em recuperação anestésica na SRA,
submetidas a procedimentos de qualquer especialidade
e técnica anestésica, procedimentos eletivos ou de
urgência realizados de segunda a sexta, das 7:00 às
19:00 horas, sob a condição de disponibilidade das
duas avaliadoras. O critério de exclusão foi criança com
alterações neurológicas e transtornos mentais, pois,
poderiam não apresentar condições de expressar as
respostas necessárias para a avaliação. Escolheu-se a
idade mínima de três anos porque, a partir daí, a criança
consegue falar seu próprio nome, nomeia objetos,
apresenta habilidade de locomoção, maior precisão de
movimentos e manuseio de objetos(34). O segundo avaliou o conjunto de itens, assinalando-
se sim ou não nos seguintes requisitos: Comportamental
(permite avaliação clara e precisa), Objetividade
(permite resposta pontual), Clareza (explicitado de
forma clara, simples e inequívoca), Pertinência (avalia a
segurança para o manejo da sede), e Precisão (cada item
de avaliação é distinto dos demais, não se confundem). O terceiro avaliou os procedimentos operacionais
utilizando os mesmos requisitos do instrumento dois. O quarto instrumento avaliou a validade do manual
operacional, sinalizando sim ou não nos requisitos
Descritor (é claro e objetivo no que se propõe a
mensurar) e Fundamentação Científica (é suficiente
para evidenciar o indicador). A dupla aplicava o protocolo de forma independente
e simultânea, sem comunicação entre as avaliadoras. Enquanto uma profissional aplicava o PSMSP, a outra
apenas acompanhava e registrava as considerações;
na avaliação seguinte, as profissionais invertiam a Dentro dos procedimentos experimentais, fez-se
teste piloto com seis crianças em janeiro de 2018 para
ajuste nos procedimentos de coleta. Inicialmente, as
pesquisadoras avaliavam a criança 30 minutos após sua 6 Rev. Latino-Am. Enfermagem 2020;28:e3321. ordem. A dupla aguardava a chegada da criança à SRA
e a pesquisadora conversava com seus responsáveis,
pedindo autorização para realizar a pesquisa. Nesse
momento, informavam-lhes os objetivos do estudo e
como seria a participação da criança. Após o aceite,
os responsáveis assinavam o TCLE, as crianças eram
questionadas sobre sua vontade de participar da
pesquisa sendo que nenhuma criança se recusou. Uma
criança de 12 anos participou do estudo e assinou o
Termo de Consentimento Livre e Esclarecido. Após sua
chegada à SRA, a pesquisadora explicava os objetivos
da pesquisa e avaliava sua intenção em participar. www.eerp.usp.br/rlae 2. Observar se ela é capaz de manter a
cabeça firme e alinhada ao tronco. 2. Observar se ela é capaz de manter a
cabeça firme e alinhada ao tronco. Apresenta a cabeça pendente e/ou lateralizada. ( ) NÍVEL DE CONSCIÊNCIA 1. Observar se a criança está alerta, de
olhos abertos. 2. Perguntar à criança:
Qual é seu nome? Qual a sua idade? 3. Perguntar se tem sede e qual a sua
intensidade, utilizando a escala de faces
4. Aguardar 60 segundos sem estimular a
criança e observar se volta a dormir. 5. Perguntar ao responsável: - Você acha
que ele(a) está bem acordado(a)? 1. Solicitar à criança que movimente os
membros superiores e inferiores. 2. Observar se ela é capaz de manter a
cabeça firme e alinhada ao tronco. 1. Observar se a criança está alerta, de
olhos abertos. 1. Observar se a criança está alerta, de
olhos abertos. NÍVEL DE CONSCIÊNCIA 2. Perguntar à criança:
Qual é seu nome? Qual a sua idade? 3. Perguntar se tem sede e qual a sua
intensidade, utilizando a escala de faces. Está sonolenta: desperta com estímulo verbal; faz contato visual
e tem resposta verbal compreensível, mas volta a dormir após
término do estímulo. ( ) 4. Aguardar 60 segundos sem estimular a
criança e observar se volta a dormir. Está agitada: apresenta-se chorosa, inquieta ou inconsolável. ( ) 5. Perguntar ao responsável: - Você acha
que ele(a) está bem acordado(a)? PROTEÇÃO DE VIAS AÉREAS 1. Colocar as mãos no abdome e no tórax
da criança. 1. Colocar as mãos no abdome e no tórax
da criança. 2. Solicitar à criança que tussa forte. Resultados Participaram crianças de todas as
idades para as quais o protocolo foi elaborado: três anos
(n = sete), quatro anos (n = três), cinco anos (n = oito),
seis anos (n = sete), sete anos (n = seis), oito anos (n
= seis), nove anos (n = sete), dez anos (n = cinco), 11
anos (n = oito), e 12 anos (n = um). Durante o período de observação da recuperação da
criança, as principais constatações foram: variabilidade www.eerp.usp.br/rlae Pierotti I, Fonseca LF, Nascimento LA, Rossetto EG, Furuya RK. 7 Pierotti I, Fonseca LF, Nascimento LA, Rossetto EG, Furuya RK. segundo a ASA, a maioria foi classificada como ASA I,
49 (84%), seguido da classificação II, nove (16%). A
maioria dos procedimentos foi de caráter eletivo 50
(86%), sendo oito (14%) de urgência. Predominaram crianças do sexo masculino 42
(73%); a frequência de procedimentos pelas clínicas
cirúrgicas foi: cirurgia infantil e pediátrica 32 (55%),
otorrinolaringologia 15 (26%), ortopedia oito (14%),
oftalmologia duas (3%), cabeça e pescoço uma (2%). A técnica anestésica com maior utilização foi anestesia
geral 51 (88%). Quanto à classificação do risco cirúrgico, A Tabela 3 apresenta os valores do kappa calculados
para cada item de avaliação do PSMSP, tendo havido
concordância quase perfeita para todos os itens(33). Figura 2 – Protocolo de Segurança para o Manejo da Sede Pediátrica MOVIMENTAÇÃO 1. Solicitar à criança que movimente os
membros superiores e inferiores. 1. Solicitar à criança que movimente os
membros superiores e inferiores. Apresenta tosse ineficaz. ( ) Apresenta tosse ineficaz. ( ) 3. Solicitar à criança que engula. Não apresenta tosse ao comando verbal. ( ) Londrina, PR, Brasil, 2017 (n=9)
Critérios de Avaliação
CVI
Procedimentos Operacionais
CVI
Manual Operacional
Nível de Consciência
0,95
(1) Observar se a criança está alerta, de olhos abertos. (2) Perguntar à criança: - Qual é seu
nome? Qual a sua idade? (3) Perguntar se tem sede e qual a sua intensidade, utilizando a
escala de faces. (4) Aguardar 60 segundos sem estimular a criança e observar se volta a
dormir. (5) Perguntar ao responsável: Você acha que ele(a) está bem acordado(a)? 0,94
Movimentação
0,97
(1) Solicitar à criança que movimente os membros superiores e inferiores. (2) Observar se
ela é capaz de manter a cabeça firme e alinhada ao tronco. 0,88
Proteção de Vias Aéreas
0,91
(1) Colocar as mãos no abdome e no tórax da criança. (2) Solicitar à criança que tussa forte. (3) Solicitar à criança que engula. (4) Posicionar o dedo indicador e médio sobre o hioide e
cartilagem tireóidea para verificar a elevação laríngea durante a deglutição. (5) Verificar se
há extravasamento anormal de saliva pela boca. 0,94
Padrão Respiratório
1
(1) Observar e anotar a frequência respiratória da criança. (2) Verificar se há esforço respiratório. 1
Náusea e Vômito
0,93
(1) Perguntar e verificar se a criança está enjoada, com vontade de vomitar. (2) Observar se
há presença de vômito. 0,94
CVI total dos procedimentos
operacionais*
0,95
CVI total do manual
operacional†
0,94
*Content Validity Index (CVI) total dos procedimentos operacionais – obtido por meio da média (soma do CVI de cada conjunto de procedimentos
operacionais dos critérios de avaliação dividida pelo número total de critérios); †Content Validity Index (CVI) total do manual operacional – obtido por meio
da média (soma do CVI do manual operacional de cada critério de avaliação dividida pelo número total de critérios) Tabela 2 – Validação de conteúdo do protocolo em relação aos procedimentos operacionais e manual operacional de
cada critério de avaliação. Londrina, PR, Brasil, 2017 (n=9)
Critérios de Avaliação
CVI
Procedimentos Operacionais
CVI
Manual Operacional
Nível de Consciência
0,95
(1) Observar se a criança está alerta, de olhos abertos. (2) Perguntar à criança: - Qual é seu
nome? Qual a sua idade? (3) Perguntar se tem sede e qual a sua intensidade, utilizando a
escala de faces. (4) Aguardar 60 segundos sem estimular a criança e observar se volta a
dormir. (5) Perguntar ao responsável: Você acha que ele(a) está bem acordado(a)? NÁUSEA E VÔMITO
Tem queixa ou presença de náusea. ( )
Tem queixa ou presença de vômito. ( ) 1. Perguntar e verificar se a criança
está enjoada, com vontade de vomitar. 2. Observar se há presença de vômito. Figura 2 – Protocolo de Segurança para o Manejo da Sede Pediátrica www.eerp.usp.br/rlae Rev. Latino-Am. Enfermagem 2020;28:e3321. Rev. Latino-Am. Enfermagem 2020;28:e3321. 8 Tabela 1 – Validação de conteúdo do protocolo em relação aos critérios de avaliação e seus itens representativos. Londrina, PR, Brasil, 2017 (n=9)
Critério de Avaliação
CVI
Nível de Consciência
1
Orientada
0,91
Alerta
1
Sonolenta
1
Agitada
1
Movimentação
0,96
Movimentação espontânea e intencional
0,93
Cabeça firme e alinhada ao tronco
0,84
Não movimenta os membros
0.84
Movimentação não intencional
0,95
Cabeça pendente e/ou lateralizada
0,97
Proteção de Vias Aéreas
1
Tosse eficaz
0,97
Tosse ineficaz
1
Sem tosse
0,97
Deglutição com elevação da laringe
1
Sem extravasamento anormal de saliva pela boca
1
Deglutição ineficaz
1
Extravasamento anormal de saliva pela boca
0,97
Padrão Respiratório
1
Frequência respiratória adequada à sua faixa etária
0,97
Frequência respiratória inadequada à sua faixa etária
1
Não apresenta esforço respiratório
0,93
Apresenta esforço respiratório
0,93
Náusea e Vômito
1
Sem queixa nem presença de náusea
0,93
Com queixa ou presença de náusea
0,93
Sem queixa nem presença de vômito
0,93
Com queixa ou presença de vômito
0,95
CVI total dos critérios*
CVI total dos itens†
0,99
0,95
*CVI = Content Validity Index total dos critérios – obtido por meio da média (soma do CVI de cada critério dividida pelo número total de critérios); †Content
Validity Index (CVI) total dos itens – obtido por meio da média (soma dos valores do CVI de cada item dividida pelo número total de itens) nteúdo do protocolo em relação aos critérios de avaliação e seus itens representativos. *CVI = Content Validity Index total dos critérios – obtido por meio da média (soma do CVI de cada critério dividida pelo número total de critérios); †Content
Validity Index (CVI) total dos itens – obtido por meio da média (soma dos valores do CVI de cada item dividida pelo número total de itens) b / l
Tabela 2 – Validação de conteúdo do protocolo em relação aos procedimentos operacionais e manual operacional de
cada critério de avaliação. www.eerp.usp.br/rlae 0,94
Movimentação
0,97
(1) Solicitar à criança que movimente os membros superiores e inferiores. (2) Observar se
ela é capaz de manter a cabeça firme e alinhada ao tronco. 0,88
Proteção de Vias Aéreas
0,91
(1) Colocar as mãos no abdome e no tórax da criança. (2) Solicitar à criança que tussa forte. (3) Solicitar à criança que engula. (4) Posicionar o dedo indicador e médio sobre o hioide e
cartilagem tireóidea para verificar a elevação laríngea durante a deglutição. (5) Verificar se
há extravasamento anormal de saliva pela boca. 0,94
Padrão Respiratório
1
(1) Observar e anotar a frequência respiratória da criança. (2) Verificar se há esforço respiratório. 1
Náusea e Vômito
0,93
(1) Perguntar e verificar se a criança está enjoada, com vontade de vomitar. (2) Observar se
há presença de vômito. 0,94
CVI total dos procedimentos
operacionais*
0,95
CVI total do manual
operacional†
0,94
*Content Validity Index (CVI) total dos procedimentos operacionais – obtido por meio da média (soma do CVI de cada conjunto de procedimentos
operacionais dos critérios de avaliação dividida pelo número total de critérios); †Content Validity Index (CVI) total do manual operacional – obtido por meio
da média (soma do CVI do manual operacional de cada critério de avaliação dividida pelo número total de critérios) www.eerp.usp.br/rlae 9 Pierotti I, Fonseca LF, Nascimento LA, Rossetto EG, Furuya RK. Tabela 3 – Coeficiente kappa dos itens do Protocolo de Segurança para o Manejo da Sede Pediátrica avaliados por
enfermeiros. Kappa total† menor que zero, concordância pobre; de zero a 0,20, concordância desprezível; 0,21 a 0,40, concordância suave; 0,41 a 0,60,
da; 0,61 a 0,80, concordância substancial, 0,81 a 1, concordância quase perfeita(20); †Kappa total realizado por meio da média dos
s itens *Coeficiente kappa: menor que zero, concordância pobre; de zero a 0,20, concordância desprezível; 0,21 a 0,40, concordância suave; 0,41 a 0,60,
concordância moderada; 0,61 a 0,80, concordância substancial, 0,81 a 1, concordância quase perfeita(20); †Kappa total realizado por meio da média dos
valores individuais dos itens relatos sobre a limitação de literatura específica para
a criança, resultando em avaliações adaptadas, que
consideram critérios de pacientes adultos. Atualmente,
o anestesiologista responde pela liberação do líquido via
oral na SRA, o que explica o maior número deles na
etapa das entrevistas. www.eerp.usp.br/rlae Londrina, PR, Brasil, 2018 (n=58)
Critérios de avaliação
Percentual de
Concordância
Coeficiente kappa*
Nível de Consciência
Está orientada
99,1
0,96
Está alerta
96,6
0,89
Está sonolenta
96,6
0,89
Está agitada
100
1
Movimentação
Movimentação espontânea
100
1
Cabeça firme e alinhada ao tronco
100
1
Não movimenta os membros
100
1
Movimentação não intencional
100
1
Cabeça pendente e/ou lateralizada
100
1
Proteção de Vias Aéreas
Tosse eficaz e espontânea
100
1
Tosse ineficaz
100
1
Não apresenta tosse
100
1
Deglutição eficaz
100
1
Não há extravasamento anormal de saliva
100
1
Deglutição ineficaz
100
1
Apresenta extravasamento anormal de saliva
100
1
Padrão Respiratório
Frequência respiratória adequada
100
1
Frequência respiratória inadequada
100
1
Não apresenta esforço respiratório
100
1
Apresenta esforço respiratório
100
1
Náusea e Vômito
Não tem queixa nem presença de náusea
100
1
Tem queixa ou presença de náusea
100
1
Não tem queixa nem presença de vômito
100
1
Tem queixa ou presença de vômito
100
1
Kappa total†
0,98
*Coeficiente kappa: menor que zero, concordância pobre; de zero a 0,20, concordância desprezível; 0,21 a 0,40, concordância suave; 0,41 a 0,60,
concordância moderada; 0,61 a 0,80, concordância substancial, 0,81 a 1, concordância quase perfeita(20); †Kappa total realizado por meio da média dos
valores individuais dos itens Tabela 3 – Coeficiente kappa dos itens do Protocolo de Segurança para o Manejo da Sede Pediátrica avaliados por
enfermeiros. Londrina, PR, Brasil, 2018 (n=58)
Percentual de ciente kappa dos itens do Protocolo de Segurança para o Manejo da Sede Pediátrica avaliados por
ndrina, PR, Brasil, 2018 (n=58) Discussão A
contribuição
deste
estudo
consiste
na
disponibilização de um instrumento inédito, criterioso,
objetivo, válido e preciso que permite avaliar a segurança
para administrar estratégias de alívio da sede para o
paciente infantil no POI. Para a elaboração, validação
e avaliação da fidedignidade do protocolo, seguiu-se
elevado rigor científico(24). O critério “nível de consciência” foi um dos mais
frequentemente sugeridos pelos profissionais, considerado
item imprescindível para se determinar a emergência do
estado anestésico durante o POI. Quando questionados
sobre as escalas utilizadas para avaliação da consciência
na criança, as respostas foram variadas: escala de coma
de Glasgow(37), Comfort-Behavior(38), Índice Steward(39)
e escala de Aldrete e Kroulik(40). Todavia, as escalas de
Glasgow e Comfort-B não se aplicam à criança no POI,
porque avaliam o nível de sedação e foram validadas
para criança em unidade de terapia intensiva. Já o Índice
Steward(39) e a escala de Aldrete e Kroulik(40), embora
direcionados para pacientes em SRA, podem não ser
adequados para uso com criança(35). As
entrevistas
com
especialistas
permitiram
observar quão diversificados e subjetivos são os critérios
utilizados pelos profissionais responsáveis pela liberação
de métodos de alívio da sede no POI. Profissionais
referiram que, na maioria das vezes, olham para a
criança em SRA e avaliam se, aparentemente, está
acordada o suficiente e sem queixas, e, assim sendo,
permitem a ingestão de líquido via oral. Contudo, essa
avaliação não é padronizada nem pautada em critérios
e varia de acordo com a determinação do “estar bem
acordada” de cada profissional. Observou-se ainda
que, quando se libera ingestão de líquido, não há
consenso quanto ao tipo e volume a oferecer. Houve Encontrou-se na literatura uma escala de avaliação
da consciência da criança após a sedação(35). Trata-se 10 Rev. Latino-Am. Enfermagem 2020;28:e3321. da Vancouver Sedative Recovery Scale (VSRS), escala
composta por 12 itens que abrangem três categorias
de indicadores: resposta, aparência e função dos olhos,
e movimento corporal. Avaliou-se a confiabilidade em
82 crianças com idade entre nove meses e 17 anos. A
consistência interna medida pelo alfa de Cronbach foi
de 0,85, concordância interobservadores 0,90, e os
valores de kappa para itens individuais variaram de 0,65
a 0,89(35), valores semelhantes ao encontrados neste
estudo. Alguns itens dessa escala são semelhantes
aos do PSMSP: criança está alerta, está sonolenta,
capacidade de realizar contato visual, presença de
movimentos espontâneos e intencionais. de avaliação da consciência da criança(12,35), justificando
a escolha de manter este item no protocolo. Discussão Além disso,
a capacidade de movimentar-se com intencionalidade
pode indicar reversão dos anestésicos gerais inalatórios
e dos bloqueadores neuromusculares. A avaliação do critério “proteção de vias aéreas”
assegura
a
verificação
do
retorno
dos
reflexos
protetores de tosse e deglutição. Esses reflexos
sinalizam que o paciente é capaz de se defender
contra uma possível aspiração broncopulmonar(41). A
incidência de aspiração pulmonar perioperatória em
pacientes pediátricos apresenta variação entre um a
dez em 10.000. Adicionalmente, quando há alguma
consequência é considerada leve e até o momento não
foram encontrados relatos de mortalidade por aspiração
pulmonar em crianças(4). A avaliação dos reflexos de
proteção no PSMSP pressupõe a avaliação da tosse e
deglutição. As demais escalas encontradas na literatura
consistem em escalas de mensuração do DE. Uma das
escalas mais utilizadas para mensurar esta condição
é a Pediatric Anesthesia Emergence Delirium (PAED),
composta pelos itens: a criança faz contato visual com o
cuidador; as ações da criança são propositadas; a criança
está ciente de seu entorno; a criança está inquieta, e a
criança está inconsolável. Essa escala foi avaliada em
46 crianças com idade entre 18 meses e seis anos e
apresentou consistência interna de 0,89 e confiabilidade
de 0,84(12). Portanto, para a seleção dos itens de
avaliação do critério nível de consciência do PSMSP,
considerou-se a presença desses comportamentos. Duas especialistas apontaram na validação de
conteúdo que a avaliação dos reflexos protetores (tosse
e deglutição) poderia encontrar alguma dificuldade com
crianças menores. Contudo, consideravam esse item
de extrema relevância para determinar a segurança
para liberação de líquido via oral no POI. Recomenda-
se, portanto, uma aproximação prévia com a criança,
visando diminuir a ansiedade e medo presentes nesse
período, para haver vínculo e confiança no momento de
avaliação. Ao avaliarem o item “está orientada” no requisito
comportamental, alguns especialistas sinalizaram que
crianças com idade entre três e cinco anos poderiam,
eventualmente, não responder nome e idade por
estarem em ambiente desconhecido e recuperando
a consciência. Não houve essa dificuldade durante a
aplicação do protocolo na prática. Entretanto, a amostra
deste estudo foi por conveniência, e seria necessário
um número maior desta população para avaliar com
profundidade esta questão. Durante as entrevistas com os especialistas, foi
mencionado que o choro poderia ser considerado um
reflexo de proteção, indicando que a via aérea da criança
estaria livre. Mas o choro pode representar diversas
situações, como dor, incômodo, irritação, agitação e
DE(12,36). www.eerp.usp.br/rlae Discussão Diferenciar sua presença é difícil e subjetivo,
portanto, no protocolo, a presença de choro caracteriza
reprovação da criança para receber um método de alívio
da sede. É mais difícil avaliar o nível de consciência da
criança que o do adulto, e é desafiador identificar
a incapacidade da criança em se comunicar(35). Ao
avaliarem a fidedignidade, as avaliadoras discordaram
nos itens “está alerta” e “está sonolenta”, confirmando
a dificuldade e subjetividade na avaliação do nível de
consciência na criança. Identificou-se a necessidade de
um período de interação com a criança antes do início
da avaliação. O critério “padrão respiratório” consiste na avaliação
da frequência respiratória e esforço respiratório,
quando devem estar ausentes sinais de contração de
musculatura acessória, retração intercostal, subcostal
e de fúrcula, e batimento de asa de nariz(42). Para
alguns profissionais, a avaliação deste critério sinaliza
as principais alterações no estado clínico da criança. Ademais, eventos respiratórios perioperatórios adversos
representam um dos principais motivos de morbidade e
mortalidade em crianças(43). Dois juízes consideraram o critério “movimentação”
não pertinente na mensuração da segurança para o
manejo da sede. Já para outros (n = três), representa
um critério de avaliação complementar ao nível de
consciência,
medido
pela
capacidade
de
realizar
movimentos intencionais e manter a cabeça firme e
alinhada ao tronco. Adicionalmente, a presença de
movimentos voluntários e propositais integra as escalas A ausência de “náusea e vômito” é primordial para a
administração de métodos de alívio da sede. A presença
de vômito ainda é uma complicação temida pela equipe
devido à possibilidade de subsequente aspiração
pulmonar, embora, recentemente, sua incidência esteja
entre 25% e 30% em crianças submetidas à anestesia 11 Pierotti I, Fonseca LF, Nascimento LA, Rossetto EG, Furuya RK. Pierotti I, Fonseca LF, Nascimento LA, Rossetto EG, Furuya RK. geral(44). A ausência destas complicações indica reversão
dos agentes anestésicos. os valores de fidedignidade do PSMSP foram altos,
indicando a precisão deste instrumento. Ensaios clínicos já avaliaram se o jejum pós-operatório
reduziria a incidência de náusea e vômito em crianças. Um estudo não encontrou diferença estatisticamente
significante entre os dois grupos observados, com
incidência de 15% no grupo liberal e 22% no grupo
jejum (p=0,39)(8). Outro estudo revelou associação entre
a ingestão precoce de líquidos orais pós-operatórios e
redução na incidência de vômito, que foi de 11,4% no
grupo liberal e de 23,9% no grupo jejum(9). Discussão Em ambos os
estudos citados, considerou-se a vontade da criança em
receber líquido e alimento. Quando a criança é forçada a
ingerir líquido precocemente, há aumento na incidência
de vômito(45). Os especialistas consideraram a vontade de
ingerir líquido e a verbalização da criança como critérios
relevantes de avaliação. Portanto, ao se questionar a
presença de sede na criança, é preciso também questionar
sua vontade em receber alguma estratégica de alívio da
sede e só então iniciar a avaliação do PSMSP. Conclusão O PSMSP foi elaborado com base nos sinais e
sintomas relevantes na determinação da segurança
para administração de métodos de alívio da sede
pediátrica no POI. Os critérios de segurança e seus
itens representativos foram identificados após criteriosa
fundamentação científica, entrevistas com especialistas
e período de observação sistemática da recuperação
anestésica da criança. Este protocolo inédito propõe cinco critérios de
avaliação: nível de consciência, movimentação, proteção
de vias aéreas (tosse e deglutição), padrão respiratório
(frequência respiratória e esforço respiratório), e náusea
e vômito. Juízes fizeram análises teóricas por meio de
validade aparente, semântica e de conteúdo. O PSMSP
é de fácil compreensão, tem conteúdo pertinente e
relevante, com elevado índice de concordância entre
os juízes em todos os itens avaliados. Isso indica que
os critérios de avaliação propostos pelo protocolo
mensuram com satisfação a segurança para o manejo
da sede pediátrica. A aplicação do PSMSP por enfermeiros apresentou
elevado
valor
geral
do
coeficiente
kappa. Isso
significa que este instrumento apresenta concordância
interavaliadores, indicando que pode ser reproduzido
em outras realidades. Dessa forma, há indicação de
que este instrumento seja uma ferramenta útil para a
prática em SRA, minorando a presença de um sintoma
prevalente e intenso como a sede, especialmente para
o paciente infantil. Ao avaliar a fidedignidade do protocolo em sua
aplicação prática com crianças cirúrgicas com idade entre
3 e 12 anos no POI, foi possível observar concordância
quase perfeita entre os avaliadores. Um dos obstáculos encontrados na condução deste
estudo foi a escassez de instrumentos que avaliassem
a recuperação anestésica da criança, resultando na
dificuldade de estruturar os critérios para direcionar
a avaliação da criança nesse período em relação à
liberação de líquido via oral pelos profissionais. Este
trabalho, portanto, vem suprir uma lacuna da literatura
e subsidiar a assistência prestada à criança cirúrgica
com sede. O PSMSP é, portanto, um instrumento válido
e preciso, indicando ser uma ferramenta útil para
utilização na prática clínica em SRA, possibilitando o
manejo seguro da sede pediátrica. www.eerp.usp.br/rlae Referências Porto Alegre: Artmed; 2011. 23. Dolgun E, Yavuz M, Eroğlu M, Islamoğlu A. Investigation of Preoperative Fasting Times in Children. J Perianesth Nurs. 2017;32(2):121-4. doi: https://doi. org/10.1016/j.jopan.2014.12.005 22. Polit DF, Beck CT, Hungler BP. Fundamentos de
pesquisa em enfermagem: métodos, avaliação e
utilização. 7.ed. Porto Alegre: Artmed; 2011. 23. Dolgun E, Yavuz M, Eroğlu M, Islamoğlu A. Investigation of Preoperative Fasting Times in Children. J Perianesth Nurs. 2017;32(2):121-4. doi: https://doi. org/10.1016/j.jopan.2014.12.005 10. Carvalho CALB, Carvalho AA, Nogueira PLB, Aguilar-
Nascimento JE. Mudando paradigmas em jejum pré-
operatório: resultados de um mutirão em cirurgia
pediátrica. ABCD. 2017;30(1):7-10. doi: 10.1590/0102-
6720201700010003 J Perianesth Nurs. 2017;32(2):121-4. doi: https://doi. org/10.1016/j.jopan.2014.12.005 11. Costa LLC, Garanhani ML. Cuidado perioperatório:
percepção das crianças com mais de uma experiência
cirúrgica. Rev Min Enferm. [Internet]. 2010 [Acesso 28
abr 2017];14(3):361-8. Disponível em: http://reme. org.br/content/imagebank/pdf/v14n3a10.pdf 24. Pasquali
L. Instrumentação
psicológica:
Fundamentos e práticas. Porto Alegre: Artmed; 2010. 25. Yamashita AM, Takaoka F, Junior JOCA, Iwata NM. Anestesiologia. 5. ed. São Paulo: Atheneu; 2001. 26. Barash PG, Cullen BF, Stoelting RK. Tratado de
anestesiologia clínica - Vol. 2. [s.l.]:Manole; 1993. 27. Hockenberry MJ, Wilson D. Wong: fundamentos
de enfermagem pediátrica. 8. ed. Rio de Janeiro:
Elsevier; 2011. 24. Pasquali
L. Instrumentação
psicológica:
Fundamentos e práticas. Porto Alegre: Artmed; 2010. 25. Yamashita AM, Takaoka F, Junior JOCA, Iwata NM. Anestesiologia. 5. ed. São Paulo: Atheneu; 2001. 26. Barash PG, Cullen BF, Stoelting RK. Tratado de
anestesiologia clínica - Vol. 2. [s.l.]:Manole; 1993. 27. Hockenberry MJ, Wilson D. Wong: fundamentos
de enfermagem pediátrica. 8. ed. Rio de Janeiro:
Elsevier; 2011. 26. Barash PG, Cullen BF, Stoelting RK. Tratado de
anestesiologia clínica - Vol. 2. [s.l.]:Manole; 1993. 27. Hockenberry MJ, Wilson D. Wong: fundamentos
de enfermagem pediátrica. 8. ed. Rio de Janeiro:
Elsevier; 2011. 13. Malarbi S, Stargatt R, Howard K, Davidson A. Characterizing the behavior of children emerging
with
delirium
from
general
anesthesia. Paediatr
Anaesth. 2011;21:942-50. doi:
10.1111/j.1460-
9592.2011.03646.x 28. Giovinazzo RA. Modelo de aplicação da metodologia
Delphi
pela
internet:
vantagens
e
ressalvas. Administração On Line. [Internet]. 2001 [Acesso em
05 abr 2018];2(2). Disponível em http://ead2.fgv.br/
ls5/centro_rec/docs/modelo_aplicacao_metodologia_
delphi.doc 28. Giovinazzo RA. Modelo de aplicação da metodologia
Delphi
pela
internet:
vantagens
e
ressalvas. Administração On Line. [Internet]. 2001 [Acesso em
05 abr 2018];2(2). Disponível em http://ead2.fgv.br/
ls5/centro_rec/docs/modelo_aplicacao_metodologia_
delphi.doc 14. Benelam B, Wyness L. Hydration and health: a
review. Nutr Bull. 2010;35:3-25. doi: https://doi. org/10.1111/j.1467-3010.2009.01795.x 29. Vituri DW, Matsuda LM. Referências 1. Al-Robeye AM, Barnard AN, Bew S. Thirsty work:
Exploring children’s experiences of preoperative fasting. Pediatr
Anesth. 2020;30:43-49. doi:
https://doi. org/10.1111/pan.13759 1. Al-Robeye AM, Barnard AN, Bew S. Thirsty work:
Exploring children’s experiences of preoperative fasting. Pediatr
Anesth. 2020;30:43-49. doi:
https://doi. org/10.1111/pan.13759 1. Al-Robeye AM, Barnard AN, Bew S. Thirsty work:
Exploring children’s experiences of preoperative fasting. Pediatr
Anesth. 2020;30:43-49. doi:
https://doi. org/10.1111/pan.13759 A avaliação da segurança para o manejo da sede,
por meio dos critérios relevantes selecionados, permite ao
enfermeiro olhar com intencionalidade para um sintoma
frequente e intervir com segurança para o seu manejo. Ressalta-se que o protocolo foi elaborado para crianças
que não apresentam limitação de comunicação e criança
sem contraindicação de receber líquido via oral no POI. 2. Frykholm P, Schindler E, Sümpelmann R, Walker R,
Weiss M. Preoperative fasting in children: a review of
the existing guidelines and recent developments. Br J
Anaesth. 2018 Mar;120(3):469-74. doi: 10.1016/j. bja.2017.11.080 A limitação deste estudo centrou-se na amostra
por conveniência. Sugere-se, portanto, que o protocolo
seja aplicado com um número maior de crianças, em
outras instituições e com estratificação por idade. São necessários outros estudos que avaliam fatores
associados à aprovação no protocolo, assim como
os momentos mais adequados para sua utilização
na recuperação anestésica da criança. Ainda assim, 3. Brady M, Kinn S, Ness V, O’Rourke K, Randhawa N,
Stuart P. Preoperative fasting for preventing perioperative
complications in children. Cochrane Database Sys. Rev. 2009;4. doi: https://doi.org/10.1002/14651858. CD005285.pub2 3. Brady M, Kinn S, Ness V, O’Rourke K, Randhawa N,
Stuart P. Preoperative fasting for preventing perioperative
complications in children. Cochrane Database Sys. Rev. 2009;4. doi: https://doi.org/10.1002/14651858. CD005285.pub2 4. Andersson H, Schmitz A, Frykholm P. Preoperative
fasting guidelines in pediatric anesthesia: are we ready 4. Andersson H, Schmitz A, Frykholm P. Preoperative
fasting guidelines in pediatric anesthesia: are we ready 12 Rev. Latino-Am. Enfermagem 2020;28:e3321. 16. Ortenzi AV. Medicação pré-anestésica. In: Cangiani for a change? Curr Opin Anaesthesiol. 2018;31(3):342-
8. doi: 10.1097/ACO.0000000000000582 for a change? Curr Opin Anaesthesiol. 2018;31(3):342-
8. doi: 10.1097/ACO.0000000000000582 8. doi: 10.1097/ACO.0000000000000582 LM, Carmona MJC, Torres MLA, Bastos CO, Ferez D, Silva
ED, et al. Tratado de Anestesiologia: SAESP. 6 ed. São
Paulo: Atheneu; 2006. ED, et al. Tratado de Anestesiologia: SAESP. 6 ed. São
Paulo: Atheneu; 2006. 5. Andersson H, Zarén B, Frykholm P. Low incidence
of pulmonary aspiration in children allowed intake of
clear fluids until called to the operating suite. Pediatr
Anesth. Referências 2015;25(8):770-7.doi: https://doi.org/10.1111/
pan.12667 17. Nascimento LA, Garcia AKAG, Conchon MFC,
Aroni PA, Pierotti I, Martins PR, et al. Advances in the
Management of Perioperative Patients’ Thirst. AORN J. 2020;111(2): 165-79. doi:10.1002/aorn.12931 6. Thomas M, Morrison C, Newton R, Schindler E. Consensus statement on clear fluids fasting for
elective pediatric general anesthesia. Pediatr Anesth. 2018;28(5):411-4. doi:
https://doi.org/10.1111/
pan.13370 6. Thomas M, Morrison C, Newton R, Schindler E. Consensus statement on clear fluids fasting for
elective pediatric general anesthesia. Pediatr Anesth. 2018;28(5):411-4. doi:
https://doi.org/10.1111/
pan.13370 18. Pavani MM, Fonseca LF, Conchon MF. Sede do
paciente cirúrgico: percepções da equipe de enfermagem
nas unidades de internação. Rev Enferm UFPE On Line. 2016;10(9):3352-60. doi: 10.5205/reuol.9571-83638-
1-SM1009201621 7. Imani B, Khademi G. Perioperative Fasting and
Children: A Review Article. Journal of Fasting Health. 2014;2(4):131-5. doi: 10.22038/jfh.2014.3726 19. Campana MC, Fonseca LF, Lopes DFM, Martins
PR. Percepção dos cuidadores quanto à sede da
criança cirúrgica. Rev Rene. 2015;16(6):799-808. doi:
10.15253/2175-6783.2015000600005 8. Radke OC, Biedler A, Kolodzie K, Cakmakkaya OS,
Silomon M, Apfel CC. The effect of postoperative fasting
on vomiting in children and their assessment of pain. Paediatr Anaesth 2009;19:494-9. doi: 10.1111/j.1460-
9592.2009.02974.x 20. Nascimento LA, Fonseca LF. Development of
a safety protocol for management of thirst in the
immediate postoperative period. Rev Esc Enferm USP. 2014;48(5):834-43. doi:
http://dx.doi.org/10.1590/
S0080-6234201400005000009 20. Nascimento LA, Fonseca LF. Development of
a safety protocol for management of thirst in the
immediate postoperative period. Rev Esc Enferm USP. 2014;48(5):834-43. doi:
http://dx.doi.org/10.1590/
S0080-6234201400005000009 20. Nascimento LA, Fonseca LF. Development of
a safety protocol for management of thirst in the
immediate postoperative period. Rev Esc Enferm USP. 2014;48(5):834-43. doi:
http://dx.doi.org/10.1590/
S0080-6234201400005000009 9. Chauvin C, Schalber-Geyer AS, Lefebvre F, Bopp
C, Carrenard G, Marcoux L, et al. Early postoperative
oral fluid intake in paediatric day case surgery influences
the need for opioids and postoperative vomiting:
a controlled randomized trial. Br J Anaesth. 2017
Mar 1;118(3):407-14. doi: 10.1093/bja/aew463 9. Chauvin C, Schalber-Geyer AS, Lefebvre F, Bopp
C, Carrenard G, Marcoux L, et al. Early postoperative
oral fluid intake in paediatric day case surgery influences
the need for opioids and postoperative vomiting:
a controlled randomized trial. Br J Anaesth. 2017
Mar 1;118(3):407-14. doi: 10.1093/bja/aew463 21. Lilford RJ, Mohammed MA, Braunholtz D, Hofer
TP. The measurement of active errors: methodological
issues. Qual Saf Health Care. 2003;12:8-12. doi: http://
dx.doi.org/10.1136/qhc.12.suppl_2.ii8 22. Polit DF, Beck CT, Hungler BP. Fundamentos de
pesquisa em enfermagem: métodos, avaliação e
utilização. 7.ed. Referências Content validation of
quality indicators for nursing care evaluation. Rev
Esc Enferm USP. [Internet].2009 [Acesso em 07 maio
2017];43(2):429-37. Disponível em http://www.scielo. br/pdf/reeusp/v43n2/a24v43n2.pdf 15. Arai S, Stotts N, Puntillo K. Thirst in critically ill
patients: from physiology to sensation. Am J Crit Care. 2013;22(4):328-35. doi: 10.4037/ajcc2013533 www.eerp.usp.br/rlae 13 Pierotti I, Fonseca LF, Nascimento LA, Rossetto EG, Furuya RK. [Internet]. 1975 [Acesso em 22 maio 2017];22(1):
111-3. Disponível
em
https://link.springer.com/
article/10.1007/BF03004827 30. Rubio DM, Berg-Weger M, Tebb SS, Lee ES, Rauch
S. Objectifying content validity: conducting a content
validity study in social work research. Soc Work Res. 2003;27(2):94-104. doi:
https://doi.org/10.1093/
swr/27.2.94 40. Aldrete JA. The post-anesthesia recovery score
revisited. J Clin Anesth. [Internet]. 1995 Feb[Acesso em
10 maio 2017];7(1):89-91. Disponível em https://www. ncbi.nlm.nih.gov/pubmed/7772368 31. Polit DF, Beck CT. The Content Validity Index: Are
You Sure You Know What’s Being Reported? Critique
and Recommendations. Res Nurs Health. 2006;29(5):
489-97. doi: 10.1002/nur.20147 ncbi.nlm.nih.gov/pubmed/7772368
41. Souza TM, Carvalho R, Paldino CM. Diagnósticos,
prognósticos e intervenções de enfermagem na sala de
recuperação pós-anestésica. Rev SOBECC. [Internet]. 2012[Acesso em 10 jun 2017];17(4):33-47. Disponível
em https://revista.sobecc.org.br/sobecc/article/view/187
42. Matsuno
AK. Insuficiência
respiratória
aguda
na criança. Medicina (Ribeirão Preto). [Internet]. 2012 [Acesso em 10 maio 2017];45(2):168-84. Disponível
em
https://edisciplinas.usp.br/pluginfile. php/3637030/mod_resource/content/2/Simp2_
Insufici%C3%AAncia%20Respirat%C3%B3ria%20
Aguda%20na%20Crian%C3%A7a.pdf 32. Siegel S, Castellan HJ. Estatística não paramétrica
para ciências do comportamento. 2. ed. Porto Alegre:
Artmed; 2006. 33. Landis JR, Koch GG. The measurement of observer
agreement for categorical data. Biometrics. [Internet]. 1977
[Acesso em 23 jul 2017];33(1):159-74. Disponível em https://
www.dentalage.co.uk/wp-content/uploads/2014/09/landis_
jr__koch_gg_1977_kappa_and_observer_agreement.pdf
34. Ministério da Saúde (BR), Departamento de Atenção
Básica. Cadernos de Atenção Básica, n. 33. Saúde da
criança: Crescimento e desenvolvimento. Brasília (DF):
MS; 2012. 33. Landis JR, Koch GG. The measurement of observer
agreement for categorical data. Biometrics. [Internet]. 1977
[Acesso em 23 jul 2017];33(1):159-74. Disponível em https://
www.dentalage.co.uk/wp-content/uploads/2014/09/landis_ jr__koch_gg_1977_kappa_and_observer_agreement.pdf
34. Ministério da Saúde (BR), Departamento de Atenção
Básica. Cadernos de Atenção Básica, n. 33. Saúde da
criança: Crescimento e desenvolvimento. Brasília (DF):
MS; 2012. 43. von Ungern-Sternberg BS, Ramgolam A, Hall
GL, Sly PD, Habre W. Peri-operative adverse respiratory
events in children. Anaesthesia. 2015;70(4):440-4. doi:
10.1111/anae.12946 35. Macnab AJ, Levine M, Glick N, Susak L, Baker-
Brown GA. A research tool for measurement of recovery
from sedation: the Vancouver Sedative Recovery Scale. J Pediatr Surg. [Internet]. 1991 [Acesso em 07 jun
2017];26(11):1263-7. Disponível em https://www.ncbi. nlm.nih.gov/pubmed/1812252 35. Macnab AJ, Levine M, Glick N, Susak L, Baker-
Brown GA. Copyright © 2020 Revista Latino-Americana de Enfermagem
Este é um artigo de acesso aberto distribuído sob os termos da
Licença Creative Commons CC BY.
Esta licença permite que outros distribuam, remixem, adaptem e
criem a partir do seu trabalho, mesmo para fins comerciais, desde
que lhe atribuam o devido crédito pela criação original. É a licença
mais flexível de todas as licenças disponíveis. É recomendada para
maximizar a disseminação e uso dos materiais licenciados. Autor correspondente:
Isadora Pierotti
E-mail: isa_pierotti@hotmail.com
https://orcid.org/0000-0001-8050-8389 www.eerp.usp.br/rlae Referências A research tool for measurement of recovery
from sedation: the Vancouver Sedative Recovery Scale. J Pediatr Surg. [Internet]. 1991 [Acesso em 07 jun
2017];26(11):1263-7. Disponível em https://www.ncbi. nlm.nih.gov/pubmed/1812252 44. Bourdaud N, François C, Jacqmarcq O, Guye ML, Jean
J, Studer C, et al. Addition of droperidol to prophylactic
ondansetron and dexamethasone in children at high risk
for postoperative vomiting. A randomized, controlled,
double-blind study. Br J Anaesth. 2017;118(6):918-23. doi: https://doi.org/10.1093/bja/aex099 36. Eckenhoff
JE,
Kneale
DH,
Dripps
RD. The
incidence and etiology of postanesthetic excitement. Anesthesiology. [Internet]. 1961 [Acesso em 10 maio
2017];22:667-73. Disponível em https://www.ncbi.nlm. nih.gov/pubmed/13889092 36. Eckenhoff
JE,
Kneale
DH,
Dripps
RD. The
incidence and etiology of postanesthetic excitement. Anesthesiology. [Internet]. 1961 [Acesso em 10 maio
2017];22:667-73. Disponível em https://www.ncbi.nlm. nih.gov/pubmed/13889092 45. Tabaee A, Lin JW, Dupiton V, Jones JE. The role of
oral fluid intake following adeno-tonsillectomy. Int J
Pediatr Otorhinolaryngol. 2006;70(7):1159-64. doi:
10.1016/j.ijporl.2005.11.015 45. Tabaee A, Lin JW, Dupiton V, Jones JE. The role of
oral fluid intake following adeno-tonsillectomy. Int J
Pediatr Otorhinolaryngol. 2006;70(7):1159-64. doi:
10.1016/j.ijporl.2005.11.015 37. Reilly PL, Simpson DA, Sprod R, Thomas L. Assessing
the conscious level in infants and young children:
a paediatric version of the Glasgow Coma Scale. Childs Nerv Syst. [Internet]. 1988 [Acesso em 07 jun
2017]4(1):30-3. Disponível em https://www.ncbi.nlm. nih.gov/pubmed/3135935 37. Reilly PL, Simpson DA, Sprod R, Thomas L. Assessing
the conscious level in infants and young children:
a paediatric version of the Glasgow Coma Scale. Childs Nerv Syst. [Internet]. 1988 [Acesso em 07 jun
2017]4(1):30-3. Disponível em https://www.ncbi.nlm. nih.gov/pubmed/3135935 38. Ista E, van Dijk M, Tibboel D, de Hoog M. Assessment
of sedation levels in pediatric intensive care patients
can be improved by using the COMFORT “behavior”
scale. Pediatr Crit Care Med. 2005;6(1):58-63. doi:
10.1097/01.PCC.0000149318.40279.1A 39. Steward DJ. A simplified scoring system for the
post-operative recovery room. Can Anaesth Soc J. Recebido: 14.04.2019
Aceito: 06.04.2020 Recebido: 14.04.2019
Aceito: 06.04.2020 Editora Associada: Lucila Castanheira Nascimento Copyright © 2020 Revista Latino-Americana de Enfermagem
Este é um artigo de acesso aberto distribuído sob os termos da
Licença Creative Commons CC BY. Esta licença permite que outros distribuam, remixem, adaptem e
criem a partir do seu trabalho, mesmo para fins comerciais, desde
que lhe atribuam o devido crédito pela criação original. É a licença
mais flexível de todas as licenças disponíveis. É recomendada para
maximizar a disseminação e uso dos materiais licenciados. Esta licença permite que outros distribuam, remixem, adaptem e
criem a partir do seu trabalho, mesmo para fins comerciais, desde
que lhe atribuam o devido crédito pela criação original. É a licença
mais flexível de todas as licenças disponíveis. É recomendada para
maximizar a disseminação e uso dos materiais licenciados.
|
https://openalex.org/W4361980944
|
https://aacr.figshare.com/articles/journal_contribution/Supplementary_Table_7_from_HIF_Induces_Human_Embryonic_Stem_Cell_Markers_in_Cancer_Cells/22388225/1/files/39833702.pdf
|
English
| null |
Supplementary Table 7 from HIF Induces Human Embryonic Stem Cell Markers in Cancer Cells
| null | 2,023
|
cc-by
| 154
|
Supplemental table VII : list of antibodies used in this study The following antibodies were used for immunoblot analysis : The following antibodies were used for immunoblot analysis : -
mouse anti-HIF1α (1:500; BD Biosciences) -
mouse anti-HIF2α (1:750; Novus Biologicals, Littleton, CO) -
rabbit anti-ACTIN (1:10000; Sigma-Aldrich) was used as a control for gel loading The following antibodies were used for immunohistochemistry on prostate tumor samples: The following antibodies were used for immunohistochemistry on prostate tumor samples: -
mouse anti-HIF1α (1:100; BD Biosciences) -
mouse anti-HIF1α (1:100; BD Biosciences) -
rabbit anti-NANOG (1:100; Abcam), -
rabbit anti-NANOG (1:100; Abcam), -
goat anti-NANOG (1:1000; R&D systems) -
goat anti-OCT4 (1:500; R&D systems) The following antibodies were used for immunohistochemistry on GBM samples: The following antibodies were used for immunohistochemistry on GBM samples -
HIF1α (1:100; BD Biosciences) -
HIF1α (1:100; BD Biosciences) -
NANOG (1:500; Abcam) -
NANOG (1:500; Abcam) -
NANOG (1:500; Abcam)
|
https://openalex.org/W4392857049
|
https://www.researchsquare.com/article/rs-3796284/latest.pdf
|
English
| null |
Marine occupancy responses escalate according to species thermal bias over Early Jurassic warming
|
Research Square (Research Square)
| 2,024
|
cc-by
| 12,407
|
Carl Reddin Museum für Naturkunde, Leibniz-Institut für Evolutions- und Biodiversitätsforschung
https://orcid.org/0000-0001-5930-1164
Jan Landwehrs
Alfred Wegener Institute Helmholtz Centre for Polar and Marine Research
https://orcid.org/0000-000
6142-2237
Gregor Mathes
University of Bayreuth
Clemens Vinzenz Ullmann
University of Exeter
Georg Feulner
Potsdam Institute for Climate Impact Research
https://orcid.org/0000-0001-9215-5517
Martin Aberhan
Museum für Naturkunde Leibniz-Institut für Evolutions- und Biodiversitätsforschung
Article
Keywords: climate change, extinction, community temperature index, niche, extirpation
Posted Date: March 15th, 2024
DOI: https://doi.org/10.21203/rs.3.rs-3796284/v1
License:
This work is licensed under a Creative Commons Attribution 4.0 International
License. Read Full License
Additional Declarations: There is NO Competing Interest. Museum für Naturkunde, Leibniz-Institut für Evolutions- und Biodiversitätsforschung
https://orcid.org/0000-0001-5930-1164 Museum für Naturkunde, Leibniz-Institut für Evolutions- und Biodiversitätsforschung
https://orcid.org/0000-0001-5930-1164
Jan Landwehrs
Alfred Wegener Institute Helmholtz Centre for Polar and Marine Research
https://orcid.org/000
6142-2237
Gregor Mathes
University of Bayreuth
Clemens Vinzenz Ullmann
University of Exeter
Georg Feulner
Potsdam Institute for Climate Impact Research
https://orcid.org/0000-0001-9215-5517
Martin Aberhan
Museum für Naturkunde Leibniz-Institut für Evolutions- und Biodiversitätsforschung
Article
Keywords: climate change, extinction, community temperature index, niche, extirpation
Posted Date: March 15th, 2024
DOI: https://doi.org/10.21203/rs.3.rs-3796284/v1
License:
This work is licensed under a Creative Commons Attribution 4.0 International
Licen
Read Full License
Additional Declarations: There is NO Competing Interest. Marine occupancy responses escalate according to
species thermal bias over Early Jurassic warming Carl Reddin Carl Reddin Article License:
This work is licensed under a Creative Commons Attribution 4.0 International
License. Read Full License Additional Declarations: There is NO Competing Interest. Page 1/28 Abstract A mismatch of species thermal preferences to their environment may forewarn that some assemblages
will undergo greater reorganization, extirpation, and possibly extinction, than others under climate
change. Here, we examined the effects of regional warming on marine benthic species occupancy and
assemblage composition over one-million-year time steps during the Early Jurassic. Thermal bias, the
difference between modelled regional temperatures and species’ long-term thermal optima, predicted
species responses to warming in an escalatory order. Species that became extirpated or extinct tended to
have cooler temperature preferences than immigrating species, while regionally persisting species fell
midway. Larger regional changes in summer seawater temperatures (maximum + 10°C) strengthened the
relationship between species thermal bias and the escalatory order of responses, which was also stronger
for brachiopods than bivalves, but the relationship was overridden by severe seawater deoxygenation. At
+ 3°C seawater warming, our models estimate that around 5% of an assemblage’s pre-existing benthic
species was extirpated, and around one-fourth of the new assemblage being immigrated species. Our
results validate thermal bias as an indicator of future extinction, persistence, and immigration of marine
species under modern magnitudes of climate change. Introduction A suitable temperature is one of the most commanding habitat requirements for species, especially at
broad spatial scales 1. Human activity has set isotherms on the move globally 2,3, leading to poleward
shifts of marine species’ geographical ranges 4,5 and species departing the tropics 6, with substantial
repercussions for human well-being and ecosystems 7. Warming is projected into the coming centuries 8
when climate change is anticipated to supplant land use change as the dominant driver of species
extinction 9. However, species range shifts may leave clues to predict extinction risk 10. Range shifts are
expected to begin with an extension of the leading edge, as a species arrives into new habitat 4,11, while
trailing edge populations suffer performance decline. Marine heat waves can cause physiological stress
to trailing edge populations 12 sufficient to cause their extirpation 10,13. The proximity to a species’
thermal niche edge should therefore indicate how a given population might react to warming 14,15,
particularly for marine ectotherms, whose distributions tend to be closely associated to their thermal
tolerances 16. Additional, future observations will provide greater predictive confidence but a species is
irretrievable once extinct and climate-induced extirpations are already widespread 5. Rather than waiting
for climate-induced extinction to manifest, the rich fossil record has great potential to explore links
between climate-induced extirpations and global extinctions 17, especially given the recurring Earth
system responses to a rapid addition of atmospheric CO2 18,19. Ecological assemblage change may be the rule over long time scales, allowing the fossil record to
elucidate links between species range shifts, turnover, and extinction 20. Climate change is consistently
tied to organism latitudinal range shifts and regional turnover, covering multiple marine fossil groups and
time scales 21–23. Global warming also encourages seawater deoxygenation in both the modern and the Page 2/28 past 18,24, which can either make populations more sensitive to warming 25 or supersede the impacts of
warming completely as anoxia 26. However, it remains unclear the degree to which fossil thermal
preferences or niches can be associated during warming with the regional suitability or vulnerability of
populations, species, and assemblages. Thermal optima can be estimated for a species based on its geographical distribution (species
temperature index, STI), which can be combined to estimate assemblage-level net preferences
(community temperature index, CTI)27,28. Introduction An STI or CTI falling behind environmental change signifies a
thermal bias, the difference between species long-term median temperatures (STI) and ambient seawater
temperatures 11,28. Thermal bias can indicate more populations to be further from their respective species
thermal optimum, potentially making the assemblage more vulnerable to species turnover than others
11,28. In marine shallow-water fauna, assemblage thermal bias may even be more indicative of species
loss than regional warming rates 28. Thermal bias, STI, CTI, and thermal niches are commonly used
measures for species or community vulnerability under climate change. Although the thermal bias of fish
species has been correlated with changes in their local abundance and occupancy 11, the wider validity of
these metrics is rarely tested, especially at the assemblage level and their links to extinction risk. We expect that, (A) under warming, species’ occupancy responses are ordered with respect to, and
dependent on their thermal bias (regression: response ~ thermal_bias). This means that regional
immigrant species tend to have relatively warm thermal biases i.e., on average they have preferences for
warmer waters than the ambient conditions, while extirpated species and those going extinct tend to have
relatively cool thermal biases. Finally, persisting species tend to have relatively intermediate thermal
biases. Species originating or going extinct could be considered the climaxes of this escalatory ordering
of responses (originating = 1, immigrating = 2, persisting = 3, extirpated = 4, extinct = 5), which indicates
how well-adapted a species was to the new environment. (B) Thermal determination of species
occupancy response is stronger (hypothesis A regression slope becomes steeper) with greater regional
climate change and for climate sensitive clades (brachiopods more sensitive to warming than bivalves
e.g. 29). (C) If a region is warmer than the thermal optima of many of its species (i.e. regional assemblage
is cool-biased), further warming will summon extensive assemblage change. Conversely, a region with
little assemblage thermal bias, or occupied by species with warmer optima than ambient temperatures
(warm-biased assemblage), will change little under further warming. We test these expectations using
mixed effects models to account for nested species, regions, and time zones. To guard inferences against
changes in sampling intensity between time bins, we calculate regional rates of species immigration,
persistence or extirpation as the numbers of two-timer species (see Methods). Extinctions and, for
completeness, originations were identified by dataset-wide last or first appearance dates (LADs or FADs)
of two-timer species. Introduction Our study system consists of the bivalve, brachiopod, and gastropod species of the epicontinental seas
adjacent to the north-western Tethys during an Early Jurassic extinction event 30. We identified major
clusters of sampling and focus on these as discrete ‘regions’ (Fig. 1), being similar in area to modern Page 3/28 Page 3/28 regions used to investigate thermal bias 31. The Late Pliensbachian to Early Toarcian interval of the Early
Jurassic covers a transition from cool global temperatures, potentially with polar ice sheets 32,33, through
rapid global warming with potential modern relevance 18, to stabilisation as a greenhouse climate. This
can be generalised, at ammonite zone temporal resolution (mean = 1.1 myr), into the following phases
(Fig. 2A): little change between the two Late Pliensbachian zonal means (‘cold stasis’); warming into the
earliest Toarcian zone (‘warming phase 1’); further warming during the Toarcian Ocean Anoxic Event (T-
OAE; ‘warming phase 2’); an initial continuation of peak warm conditions before cooling slightly
(‘transitional phase’, having the highest mean temperature); a stable, warm climate (‘warm stasis’). We
used literature estimates of CO2 concentrations, or geochemical proxies to indicate target seawater
temperatures, for forcing the climate model, CLIMBER-X 34. We focus on the derived spatial variation in
summer mean temperatures because maximum temperatures may drive species extirpation 13. We apply
our models to estimate responses to + 3°C regional warming because, although there are many
complications to apply paleobiological models to modern change, this value is projected under high
emissions scenarios (RCP 8.5) by the end of the century in the North Sea 35. Thermal bias associated with escalating species responses
to warming Over the two warming phases and the transitional phase, species’ occupancy responses formed an
escalatory order in relation to their thermal bias (Table 1; Fig. 2C-E). The significance of this regression
coefficient was robust to whether origination and extinction responses were included separately, treated
respectively as immigrations and extirpations, or excluded entirely (Fig. 2, Tables S1 & S2). During these
phases, negative (cool) thermal biases prevailed; immigrating species’ thermal optima approximated
ambient water temperatures (species mean thermal bias = + 0.5°C), whereas extirpated species had much
cooler thermal biases of -4.3°C. This observed mean fell below the linear model expectation (thermal bias
expectation for extirpated species = -3.0°C, conditional mean 95% CIs = -4.1—-1.9°C), while all other
response levels approximated linear expectations. Persisting species’ thermal optima were significantly
below local temperatures during the climate warming and transition phases (mean = -1.1°C), species
going extinct had the coolest biases (mean = -5.0°C), and originating species had the warmest
preferences (mean = + 1.8°C). Thermal bias was a stronger predictor of species occupancy response than the climate model-derived
magnitude of regional warming during the warming and transitional phases (Table 1; when individually
modelled as fixed effects, R2
marginal = 0.18 vs. R2
marginal = 0.004, respectively). These results were
maintained under alternative CO2 and paleogeographical scenarios (Table S3), an alternative approach to
control for sampling variation (Fig. S1), and no evidence could be found for impacts of changes in
habitat substrate (Table S4). Changes in water depth over the first warming phase coincided with an Page 4/28 Page 4/28 Page 4/28 Page 4/28 apparent immigration event to Eastern Iberia (Tables S5 and S6) but the effect of thermal bias remained
when this was accounted for, including if this region over the first warming phase was removed from
analysis (see SM, Table S4). Sources of variation in species responses to thermal bias Sources of variation in species responses to thermal bias Support for the escalatory relationship between species occupancy and thermal bias was
spatiotemporally and taxonomically variable. Brachiopods were more affected than bivalves by the
magnitude of regional warming and marginally so for their thermal bias (Table 1). Greater regional
warming strengthened the escalatory response of species to thermal bias, expressed by a steeper
regression slope. This was best supported when sample sizes were larger (i.e. more species), representing
better sampling but also more oxic conditions (Fig. 3, S2). Specifically, in both phases of climatic stasis,
there was no significant relationship between thermal bias and occupancy response (Fig. 2). Support for
the relationship was also weak to absent in the British basins and north of Iberia during the widespread
bottom anoxia of the transitional phase, and throughout the Toarcian in the Germanic basins because of
dwindling occurrences (Fig. S3). This was despite the northern regions (Germanic and British basins and
north of Iberia) experiencing the largest warming magnitudes, with climate scenarios estimating + 7—
10°C over the two combined warming phases (up to + 14°C in a less likely CO2 scenario). Following our
climate modelling, the British and Germanic regions were initially the coolest at 19—21°C and warmed the
least in the first warming phase (+ 1.3°C and + 1°C, respectively), but experienced massive warming over
the second warming phase (+ 6—9°C and + 7.5°C, respectively, vs. +4—5°C in other regions; Fig. S3). Assemblage-level thermal bias and responses Faunal responses to climate change are often measured or projected at the level of assemblage. To
assess thermal bias at the assemblage level, we take the mean thermal bias over species regionally
present before climate change and correlate it with the proportion of a given assemblage that were
extirpated or went extinct, the proportion of species added via immigration or origination, and the overall
turnover. Over all climate phases combined, assemblages accumulated thermal bias moderately as the
ambient temperature changed, adding − 0.41°C thermal bias (95% Cis = -0.77—-0.05°C) for each degree of
warming, rather than maintaining perfect equilibrium (0°C thermal bias per degree) or not responding at
all (-1°C thermal bias per degree; calculated by a mixed effect model between regional temperature
change and thermal bias). Relationships were not different if assemblage thermal bias was weighted
towards cool- or warm-adapted members of the assemblage (Table S7). Focussing on the climate warming and transition phases, a cooler assemblage thermal bias consistently
increased the proportions of species changing, either going extinct, being extirpated, or subsequently
immigrating or originating, but was only significantly correlated with an increase in originations (+ 1.3% in
the subsequent assemblage per − 1°C assemblage thermal bias, 95% Cis = 0.6—2.0%; Fig. 4). The
magnitude of regional warming was significantly correlated with an increase in immigrating species as a
proportion of the subsequent assemblage (+ 8.5% per 1°C increase in water temperature, 95% Cis = 4.2—
12.8%; Fig. 4). The influence of regional warming magnitude on the escalating occupancy response (e.g. Figure 3) was supported at the assemblage level by the correlation between the proportion being
extirpated and the proportion going extinct increasing to R = 0.73 (P = 0.006) during the climate warming
and transition phases, up from R = 0.40 (P = 0.058) across all climatic phases (R values from mixed effect
models of standardised variables). Meanwhile, the shares in a new assemblage of immigrated or
originated species were moderately correlated both during the climate warming and transition phases (R
= 0.49, P = 0.092) and across all phases (R = 0.45, P = 0.033; mixed effect models of standardised
variables). No significant effect of changes in broad habitat substrate or water depth was found on
assemblage level responses (Fig. 4, explored further in SM). Projecting the models in Fig. Table 1 A species’ occupancy response is dependent on its thermal bias, regional temperature change,
and clade membership during the climate warming and transition (warmest) phases. Interaction terms test for differences in these relationships between bivalves and
rhynchonellid brachiopods. Here, extinction responses were treated as extirpations and
originations as immigrations but the significant coefficients remain similar whether this
treatment was removed or whether extinctions and originations were removed entirely (Tables
S1 & S2). Results from a mixed-effects model with species nested within regional cluster, and
cluster nested within time zone. Number of observations n = 431, bivalves n = 275,
brachiopods n = 146. 10 gastropods and 1 lingulid brachiopod observations removed. R2
marginal = 0.30, R2
conditional = 0.62, estimating the variance explained by the fixed effects
alone, and both fixed and random effects, respectively). Value
S.E. t
p
(Intercept)
2.97
0.11
26.04
< 0.0001
Thermal bias °C
-0.09
0.01
-10.00
< 0.0001
Regional temperature change °C
-0.03
0.03
-1.19
0.268
Clade_Rhynchonellata
-0.05
0.07
-0.74
0.458
Thermal bias:Clade Rhynchonellata
-0.03
0.02
-1.89
0.076
Regional temperature change:Clade Rhynchonellata
0.06
0.02
3.19
0.002 A species’ occupancy response is dependent on its thermal bias, regional temperature change,
and clade membership during the climate warming and transition (warmest) phases. Interaction terms test for differences in these relationships between bivalves and
rhynchonellid brachiopods. Here, extinction responses were treated as extirpations and
originations as immigrations but the significant coefficients remain similar whether this
treatment was removed or whether extinctions and originations were removed entirely (Tables
S1 & S2). Results from a mixed-effects model with species nested within regional cluster, and
cluster nested within time zone. Number of observations n = 431, bivalves n = 275,
brachiopods n = 146. 10 gastropods and 1 lingulid brachiopod observations removed. onditional = 0.62, estimating the variance explained by the fixed effects
ne, and both fixed and random effects, respectively). ,
,
p
y)
Value
S.E. t
p
(Intercept)
2.97
0.11
26.04
< 0.0001
Thermal bias °C
-0.09
0.01
-10.00
< 0.0001
Regional temperature change °C
-0.03
0.03
-1.19
0.268
Clade_Rhynchonellata
-0.05
0.07
-0.74
0.458
Thermal bias:Clade Rhynchonellata
-0.03
0.02
-1.89
0.076
Regional temperature change:Clade Rhynchonellata
0.06
0.02
3.19
0.002 Assemblage-level thermal bias and responses 4 to + 3°C seawater warming estimates that 4.74% (0.03—9.45%) of an
assemblage’s pre-existing benthic species to be extirpated and 25.5% (95% Cis = 12.5—38.4%) of a new
assemblage to be newly immigrated (see SM ‘Application of results’). Does a species thermal bias predict its removal under climate
change? Regional species loss is often correlated with climatic changes 13 but considering climate change relative
to species’ thermal niches leverages additional information to assess population vulnerability 28,31(this
study). We present empirical evidence from the fossil record that immigration, persistence, extirpation, Page 6/28 and likely the extinction of species form an escalating response gradient linked to species suitability to
regional conditions, as estimated by their thermal bias. A species’ thermal bias is thus a useful attribute
to predict its likely response to warming, though it is likely insufficient alone (e.g. here R2 = 18%), with
magnitude of regional warming and taxonomic membership explaining additional variation. Thermal
biases of individual species were highly variable across responses despite the spatiotemporal extent and
focal species being well-sampled, which supports the validity of responses such as extirpation. In some
times and regions, seawater anoxia likely overruled the importance of temperature in determining
assemblage membership. The otherwise consistent temperature–response relationship supports
cautious use of habitat suitability models based on temperature, ideally alongside additional niche
variables 31, to provide evidence on extinction risk as a statistical tendency over multiple species 38. For simplicity, especially given the large time scales, we assumed a linear relationship between a species’
thermal bias and its regional occupancy response, from immigration, through persistence, to extirpation
detailed in 10, and potentially extinction. This assumed an open thermal landscape over which species could
disperse, which was relatively well supported, though sampling was bookended between approximately
15 and 34°C (Fig. S4), with geographical barriers to the north (discussed below). Non-temperature habitat
(and sampling) heterogeneity is likely to dominate at scales beneath our effective spatial resolution of
1000s km. As climate changes, species distributions should move through a region, following shifting
isotherms according to their thermal tolerance, other habitat variables permitting (see below) 10. Though
we observed occupancy responses, these are likely to have additional dimensions that also escalate
according to thermal bias, such as larger body sized species being regionally replaced by smaller,
opportunist species 39 and being more likely to go extinct 29. The influence of thermal bias on occupancy response was more pronounced in rhynchonellid
brachiopods than bivalves, the latter having a lower mean vulnerability to extinction during rapid warming
29,39,40. Thermal performance has ecophysiological underpinnings 25,41,42, with some organisms having
more specific or limited physiological adaptations. Does a species thermal bias predict its removal under climate
change? Evidence is mounting that different ecophysiological
adaptations among taxa lead to different performance outcomes, including extinction risk 25, though
quantitative comparisons of the thermal performance of brachiopods and bivalves are scarce 43. Our
results therefore support the view that ecophysiology predisposes vulnerable taxa and traits to greater
species immigration and extirpation at multiple scales, and their extinction risk is predictable via habitat
loss 42,44,45. Groups vulnerable to warming may thus be more likely to show strong range shift responses,
where habitat permits, such as bony fish 4,25, relying on escape rather than tolerance. Other vulnerable
groups, such as reef corals, may be more restricted in their rate of habitat tracking (though see 22). Identification of vulnerable clades or traits, alongside spatial projections of their habitat loss from
physiological principles and environmental factors 42, may aid understanding of the pressures regional
warming will place on species 44–46. Linking climate-driven range shifts to extinction risk Page 7/28 Page 7/28 Species may avoid climate-induced extinction by colonising newly suitable habitat 13, hence marine
fauna are expected to consistently trace their thermal preferences during climate change 21. Therefore, an
escalating occupancy response in line with a species’ thermal bias may be a null expectation for a region
under warming 10,15, leading species with particularly cool thermal biases to be vulnerable to local and
global extinction. However, there are modern examples of how disequilibria between ambient
temperatures and a population or assemblage can be stable rather than a dispersal failure, especially
when observed at finer spatiotemporal scales than sampled here 15,28. Even at our scales, we observed an
especially large variation in thermal bias for persisting species, suggesting either that finer scale thermal
heterogeneity played a substantial role in permitting species to persist (i.e. refuges), or that many species
were temperature generalists. Nevertheless, our finding that regional warming increased the slope of the
relationships between thermal bias and response implies that greater magnitudes of warming on average
increase the cost of disequilibria between species and climate. Furthermore, the overwhelming negativity
of thermal biases across responses during warming phase 2, which coincided with the highest ratio of
extirpations and extinctions to persisting species, may also have been amplified by the warming on-top-of
warming climatic context, which increases extinction risk 47. The largely overlapping thermal bias values for species being extirpated and going extinct, as observed
here, may betray a cause of extinction. The mean thermal bias for extirpated species fell below the
expectations of our linear model and instead fell within 95% confidence intervals for species going
extinct. Meanwhile, observed thermal biases for immigrating and originating species aligned well with
linear expectations. Either the thermal bias values for extirpations were unusually high, or the thermal
bias values of the extinctions were unusually low. The first option assumes the true relationship was
linear and thus the thermal bias expectations for extinctions were valid, but anomalous values for
extirpated species alone are difficult to explain. The second option implies a non-linear true relationship,
with the thermal bias values for extirpated species being valid but there being more extinctions observed
than expected given their thermal bias. Linking climate-driven range shifts to extinction risk Given the anoxia of northern waters of the north-western Tethys,
especially during the T-OAE (discussed below) 26, we suspect the anoxia overruled temperature in habitat
suitability, leaving species going extinct with unusually low observed thermal bias values. Poor dispersal
capabilities and/or dispersal barriers can lead to a species’ failure to lessen its population thermal biases
by shifting distributions, thereby shrinking its geographical range 48, and making it vulnerable to global
extinction 45,49. Mechanisms of and limitations to habitat tracking should be explored during other
intervals with changes in climate, sea level, and geography e.g. 49. Overriding effects of anoxic waters and terrestrial runoff The well-sampled, oceanic-influenced regional clusters of north and east of Iberia best supported thermal
determination of assemblage membership, where any deoxygenation prior to the T-OAE 50 apparently did
not preclude a signal of thermal bias. Analyses of well-oxygenated environments such as outcrops from
the south-west of Europe implicate Early Toarcian warming as the main regional driver of species loss, Page 8/28 changes in bivalve-brachiopod assemblage structure, and their body size 39,40,51. During peak T-OAE
(‘warming 2’ into ‘transitional’ phases), support for thermal determination of assemblage membership
dwindled in the Germanic and British regions alongside the number of occurrences. Although aquatic
deoxygenation can amplify the influence of warming on ectotherm performance 25,52, bottom water
anoxia is likely to supersede the ecological influence of increased temperature. Several regions during the
T-OAE are characterized by black shale deposition, where hypoxic and anoxic waters have long been
associated with faunal turnover and extinctions 26. Accordingly, benthic macrofaunal recovery only began
after seafloor ventilation resumed, and remained incomplete in the British region by the end of our study
53. During the T-OAE, the northern waters may have essentially been unavailable as habitat for species
tracing their thermal niche. This may exemplify how species ranges can be compressed as they trace
thermal preferences. Although fully marine (see Table S8), the more restricted northern waters likely had
greater terrestrial influence, such that bottom-water anoxia was probably dependent on productivity, as
nutrients were delivered from warming-enhanced weathering 54, rather than simply temperature-
dependent deoxygenation. The HadCM3 model estimated slightly lower salinity in the Germanic and
British basins also 55, ranging between 33.3 and 34.6ppt across scenarios, than the other regions, while
salinity was always highest east of Iberia, ranging between 34 and 35.6ppt (see SM). The semi-enclosed
setting, especially of the Germanic and British basins, also likely increased the influence of local
processes that global models are unlikely to capture, with the reality likely being warmer and more
seasonal than estimated by our models 56. Alongside changes in sea-level-dependent seafloor ventilation
53, water density differences from freshwater input may have also encouraged stratification 55,57. Enhanced capacity to model biochemical processes and extract variables, such as oxygen levels, should
expand the ability of predictive models to account for additional niche requirements. While modern
oxygen minimum zones continue to spread 24, our results show how regional-scale processes can
complicate the predictability of assemblage responses to temperature change. Temporal and spatial scaling Temporal and spatial resolutions in our study were ~ 1 million years and ~ 2000 km respectively, which
need appreciation to compare our results with other studies. Finer scale variations were averaged out,
such as the warming at the Pliensbachian–Toarcian stage-boundary 58, although permanent ecological
changes such as extinctions from short-term pulses remain. Despite the myriad of factors influencing a
species occurrence at fine spatial scales, climate is expected to be one of the dominating factors at
broader scales 15,59. Significant effects of thermal bias have been assessed for modern assemblages at
spatial scales from surveyed sites 11 to biogeographic ‘ecoregions’, more similarly sized to our regions
28,59. At intermediate spatial scales, Flanagan et al. 31 found larger thermal biases of fish assemblages
over decadal scales than inter-annual scales, which might encourage expectations that marine
communities rapidly maintain equilibrium with temperature, despite evidence often to the contrary 31. At
much longer time scales and with spatially coarse temperature estimates, our data also supported
equilibrium between assemblage mean thermal optima (CTI) and environment temperatures (Fig. S5). However, geographical context affected observations of thermal equilibrium in a study of planktonic
foraminifera over thousands of years: mid latitude assemblages tracked climate change by turnover, but
decreasing assemblage turnover at high latitudes under warming and low latitudes under cooling
accumulated assemblage thermal bias 23. Regions of high climate velocity, such as the tropics and poles,
are likely to demand faster species’ niche-tracking than lower climate velocity regions, which is more
likely to push populations of multiple species nearer to their thermal niche edges 45. However, increasing
thermal bias may only increase extirpations and extinctions when changes exceed species recent climatic
experience 47. Temporal resolution is not a problem per se for the application of paleontological insights
to modern issues 17, but limits the mechanisms for which we can observe evidence. Future work should
be directed to understanding the mechanisms underlying observed palaeontological patterns and the
transferability of those mechanisms to modern climate change and the current biodiversity crisis 17. Based on our results for the northwestern Tethys, we expect regional species extirpations and especially
immigrations to be already considerable (~ 5% and ~ 26%, respectively) at + 3°C warming, such as
forecast under high emissions scenarios (RCP 8.5) by the end of the century for the North Sea 35. Overriding effects of anoxic waters and terrestrial runoff Besides temperature and salinity, other habitat requirements for a benthic species include suitable water
depth and substrate conditions, which also dictate the conditions under which a species can be sampled. The northern regions were the only ones dominated by siliciclastic substrates, which could have blocked
the immigration (alongside anoxia, see previous paragraph) of carbonate-affinity species. The largest and
most consistent non-temperature change occurred at the Spinatum-Tenuicostatum transition, when
substantial sea-level rise33 led to increases in the frequency of deep habitat occurrences from 20–50% to
90–96% regional share. However, species thermal bias remained highly significantly associated with its
occupancy response through different statistical treatments to explore the importance of this
spatiotemporal scenario (see Tables S4 and S5). Being 100s km across, our regions tended to cover
substantial substrate and depth variation, such that finer scale analyses may be needed to detect the
influence of non-temperature habitat variables. Our focus on two-timer species also emphasised longer-
term changes of the more common and better-preserved species, of which our analyses support
temperature change being a key driver at broad spatial scales. Page 9/28 Temporal and spatial scaling These
extirpation and immigration values are similar to projections of a paleo-validated biodiversity model for
the shelf seas of Europe by 2100 60. Although an application of our results to modern warming ignores
the very different time scales (= observed rates of change), the loss of a species’ thermally suitable
habitat can respond directly to the magnitude of warming, regardless of the rate of warming, such as
supported by empirical patterns of high latitude extinctions during hyperthermal events 45. Rates of
ancient climate changes may have been sufficiently slow for most species to track habitat availability but
the extremely rapid anthropogenic rates of change are likely to divide response severity between species
with greater and lesser dispersal abilities 45. This may be especially the case in the tropics where climate
velocities are highest 61, leaving paleobiological extrapolations most likely as underestimates. Based on our results for the northwestern Tethys, we expect regional species extirpations and especially
immigrations to be already considerable (~ 5% and ~ 26%, respectively) at + 3°C warming, such as
forecast under high emissions scenarios (RCP 8.5) by the end of the century for the North Sea 35. These
extirpation and immigration values are similar to projections of a paleo-validated biodiversity model for
60 Page 10/28 Rare species, both range-restricted or locally uncommon, are unlikely to make it into the fossil record and
thereby into our analysis. If rare species are at higher extinction and extirpation risk or tend to have
narrower thermal tolerances, the overall magnitude of assemblage change including rare species can be
expected to be higher than we predict. Again, this implies that inferences based on paleobiology will tend
to give underestimates of whole community responses. Conclusions We show a distinct relationship between the thermal suitability of Jurassic benthic species for its
occupied region and its occupancy changes in that region during warming, which aggregated to
substantial assemblage-level responses. Species thermal bias provides more information than the
magnitude of regional warming alone and thus can be a stronger predictor of species extirpation,
persistence, or immigration. Temperature-focused models may be less effective at finer (more local)
spatial scales, where additional habitat variables may become more important, and in semi-enclosed
coastal waters, which may be more inclined to anoxia. Predictions may be further refined by species-
specific modelling and using climate models that handle processes at regional or finer scales, such as
tidal mixing, where permitted by reliable, high resolution paleogeographic reconstruction. Our results
support that greater magnitudes of warming tend to increase the cost of disequilibria between species
and climate, increasing the rate of extirpation and extinction, especially if thermal habitat loss is not
replaced elsewhere. Meanwhile, ambient warming was most clearly linked to species immigrations. Given
potentially unprecedented modern rates of global warming 62,63, paleobiology likely presents conservative
warnings of future changes in marine species’ regional occupancy. Study interval and region We focus on the climate changes from the cool Late Pliensbachian to the warm Early and Middle
Toarcian (Early Jurassic), covering the hyperthermal Toarcian Ocean Anoxic Event (T-OAE), when some
ocean basins became anoxic. We used the finest regionally-consistent temporal resolution for our
occurrence data, the ammonite zone (the Serpentinum Zone was further split into Exaratum and
Falciferum subzones; Table 2; mean 1.1 myr), at which the literature on temperature proxies was used to
estimate local climates (particularly Müller et al. 64 and Ullmann et al. 65; more detail in SM Methods,
‘Climate conditions of our major time steps’). After the cool, low-CO2 Late Pliensbachian Margaritatus
and Spinatum zones, the Early Toarcian was associated with the release of greenhouse gases from the
intense volcanism of the Karoo-Ferrar magmatic province 66–68. Emplacement of the Karoo-Ferrar large
igneous province occurred over ~ 9 million years between 183.4 and 176.8 Ma, with bulk magmatism
occurring from ~ 183.4 to ~ 183.0 Ma, coinciding with the T-OAE 69. Note that we consider the T-OAE to be
equivalent in time to the well-known negative excursion of carbon isotopes (see Erba et al. 70 for
discussion and alternative definitions). Analyses of thallium isotopes suggest that global marine Page 11/28 Page 11/28 deoxygenation of ocean water started sooner 50, alongside rapid, short-lived warming across the
Pliensbachian/Toarcian boundary 66 at ~ 184 Ma71. The Tenuicostatum Zone of the earliest Toarcian
remained on average warmer than the Late Pliensbachian. Further warming in the T-OAE proper of the
Exaratum subzone, possibly as the consequence of a rapid release of thermogenic and/or biogenic
methane adding to the volcanic CO2 release, is associated with the main extinction phase 72,73. After this
peak of warming and CO2 concentrations, the Falciferum Zone represents a transitional climate, starting
warm but later cooling to a level warmer than the Tenuicostatum Zone 64, which is maintained into the
Bifrons Zone. Our regional focus follows a roughly north-south trending oceanic transect from Scotland via the western
European epicontinental sea to north-western Tethys including Morocco, Tunisia, and Algeria (Fig. 1). Terrestrial influence (nutrients, turbidity, freshwater input) was higher in northern, more restricted water
bodies, especially the Cleveland Basin 26, with less mixing and less oxygenation of bottom waters 55,74. Study interval and region This is particularly expressed during the Exaratum subzone (T-OAE proper) when sites in England and
Germany are dominated (though not completely) by hypoxic to anoxic sediments, while other basins were
less affected by deoxygenation. Seawater temperature maps CO2 scenarios per ammonite zone were either allocated directly, where CO2 estimates were available
(Tenuicostatum and Exaratum sub/zones) 33,72, or indirectly based on approximating relative temperature
change estimates, especially Müller et al. 64 and Ullmann et al. 65, which together traced relative
temperature change via oxygen isotopes over our whole temporal duration. Temperature changes output
by the CLIMBER-X climate model were then checked against proxy temperature changes at the
appropriate paleocoordinates and water depth (see SM). Secondary CO2 scenarios were based on
maximum possible temperature changes (Table 2; see SM section ‘Climate conditions of our major time
steps’ for a wider discussion of the evidence). We ran equilibrium climate simulations at fixed pCO2 scenarios using the CLIMBER-X Earth-system model We ran equilibrium climate simulations at fixed pCO2 scenarios using the C We ran equilibrium climate simulations at fixed pCO2 scenarios using the CLIMBER X Earth system model
34. CLIMBER-X is particularly useful as a fast and flexible paleoclimate model and provides simulated
temperatures in the ocean and atmosphere on a 5°x5° horizontal grid, among other parameters. Early
Jurassic boundary conditions were represented by a reduced solar constant (1340.5 W/m²). For the
model paleogeography, we used the bathymetric topography of Kocsis & Scotese 36, which matched the
coastline to marine occurrences in the Paleobiology Database (see below), primarily using the Toarcian
map (180 Ma) and secondarily using the Pliensbachian (185 Ma). Deep seafloor depth was set to
-3700m, shallow marine / continental shelf to -200m, and land to + 200m. Local shelf features are not
well represented in these reconstructions and the coarse resolution model results are not expected to be
perfect, but we expect the derived niche estimates to be better than a simple dependence on
paleolatitude. We also downloaded the sea surface temperature maps simulated with the HadCM3
model, though these were limited to CO2 scenarios of 560 and 950 ppm 75. Despite being affected by Page 12/28 Page 12/28 similar limitations, HadCM3 is a more complex and highly resolved model than CLIMBER-X, and its
outputs were used as a benchmark. This supported the upscaling of the July mean temperature maps
from CLIMBER-X to the finer spatial resolution of the HadCM3 maps via bilinear interpolation. Seawater temperature maps In general,
correlations between the two models were high (Rho ≥ 0.8) with a root mean square error (RMSE) that
increased, as expected, as the modelled CO2 scenarios deviated (see SM section ‘Climate model
(dis)agreement’, Tables S9, S10, Figs. S6, S7). While CLIMBER-X has an equilibrium climate sensitivity
close to the best estimate of 3°C per pCO2 doubling 2, the HadCM3 model is more sensitive and generally
yields higher temperatures at elevated CO2 levels. Table 2
CO2 scenarios used for modelling climates over time steps of ammonite zones, from late Pliensbachian
(Margaritatus Zone) into Middle Toarcian (Bifrons Zone). See SM for more detail on determining the CO2
scenarios. Ammonite
(sub)zone
Main CO2
scenario (ppm)
Secondary CO2
scenario (ppm)
Notes
Bifrons
750
750
Outputs should be warmer than
Tenuicostatum*
Falciferum
750
1000
Outputs should be warmer than
Tenuicostatum*
Exaratum
1000
1250, 1500
1000 as low estimate. 1500 as
peak estimate
Tenuicostatum
500
500
Secondary scenario with
Pliensbachian map
Spinatum
400
300
300 as cold estimate
Margaritatus
400
300
300 as cold estimate
*Following oxygen isotopes covering our temporal range in Müller et al. 64 or Ullmann et al. 65. S
i
d t Table 2 Species occurrence data On 24th May 2022, we downloaded marine-only occurrences of bivalves, gastropods and brachiopods
from the Paleobiology Database (PaleoDB, https://paleobiodb.org/), representing benthic assemblages,
and binned them to stratigraphic stages using R package divDyn 76. Our analyses used species-level
occurrences, but occurrences initially had to be accepted at least at the genus level. They also required
modern geographical coordinates, which were used for paleogeographical rotation and for isolating
north-west Tethys occurrences by a bounding box around modern Europe, east-west from Turkey to
Portugal, and north-south from Scotland to the Mediterranean coast of Africa. Confidently identified
species names that were taxonomically unaccepted by the PaleoDB underwent automatic checks for
spelling mistakes. Of these, persistent unaccepted species names of the Pliensbachian and Toarcian
were then taxonomically vetted by M. Aberhan to catch more accepted species occurrences and prevent
artifacts in geographic distribution patterns, such as synonymous species names. To achieve ammonite Page 13/28 Page 13/28 (sub-)zone temporal resolution, we explored PaleoDB download columns ‘early_interval’, ‘zone’, and
‘stratcomments’ for temporal resolution information, especially ammonite zone or subzone allocation. Some data-rich entered references were investigated manually for lacking temporal, paleoenvironmental
or lithological information (see R code in SM). A separate, global dataset was used to establish species’
First and Last Appearance Dates (FADs and LADs), ideally at ammonite (sub-)zone resolution, within the
Pliensbachian and Toarcian stages. Determination of species’ thermal preferences may be confounded if species have significant affinities
for particular substrate or bathymetric paleoenvironments. Substrate or bathymetric categories were
combined using the keys in divDyn, before environmental affinities were tested for using binomial tests
with alpha = 0.1 (function ‘affinity’ in divDyn) 76. Temperature estimates were sampled per taxon occurrence from modeled seawater temperature
paleogeographical maps from 180 Ma (Toarcian, primary scenario) and 185 Ma (Pliensbachian,
secondary scenario) separately. This avoided switching between maps in the same analytical time series,
which could result in a sudden, artificial shift in paleocoordinates and influencing the thermal bias. Accordingly, we reconstructed coordinates and coastlines using the rgplates interface 77 to Gplates v2.3
78 to both Toarcian and Pliensbachian rotations as separate columns, based on the PaleoMAP model 36. l l Rates of species responses As a precaution against spurious features of sampling patterns (see Fig. S8), we focus on comparing
numbers of regional two-timer species, that is, species that were observed in a region for at least two time
bins consecutively (Fig. 5) 79. These are the better-sampled species, whose observed responses may be
more reliable. The same can be done using three-timers (species must be observed in a region for three
time bins consecutively; see Supplementary Methods, Fig. S9, and Supplementary Results). However,
using two-timers has the advantage that the temporal focus of change is a single boundary between two
time bins, which fits understanding of the timing of the climatic changes investigated here, rather than
change over a central bin and both of its demarcating boundaries for three-timers. The well-sampled
nature of two-timers and high sampling completeness of the focal ammonite (sub)zones of European
regions for this interval means the observed times of extinction, extirpation, immigration or origination are
relatively reliable (e.g. against Signor-Lipps effect). Focussing on cluster two-timers (Fig. 5), immigrating species were those observed in the cluster in time i
+ 1 AND time i + 2 but not in i. Originating species were the same but also had their dataset-wide First
Appearance Date (FAD) in time i + 1. Extirpated species were those similarly observed in the cluster in
time i AND time i – 1 but not in i + 1, with those having time i as their Last Appearance Date (LAD) were
classed as going extinct. Persisting species were observed in the cluster in times i AND time i + 1. There
were fewer occurrences before the first time bin (i.e. in the Davoei zone, which preceded Margaritatus)
and after the last bin (in the Variabilis zone, which followed Bifrons), limiting the quantity of cluster two-
timer species, so their two-timers were simply required to have a presence in times i – 1 and i + 2,
respectively, regardless of spatial cluster. Species still needed a cluster occurrence around the focal
boundary, either in time i or i + 1, to be assigned a response category (e.g. extirpated), so this step did not
artificially increase numbers of species in any response category, but simply allowed more species to
pass the sampling threshold in the earliest and latest time bins. Note that in all cases, due to incomplete
sampling, extirpation and immigration are probabilistic events rather than definite. Spatial clusters Spatial clusters of sampling, or ‘regions’, were expected to be more similar in mean temperature and
species composition within than among clusters per time zone. The species recorded in each of these
clusters per time zone then became the spatiotemporally cohesive ‘assemblage’ of interest (analogous to
quantification of thermal bias for spatiotemporally cohesive sampling transects in 11). Collections were
pooled into unique spatial coordinates per time zone. Objective and non-overlapping clusters were
identified using hierarchical clustering of Euclidean distance matrices of occurrence paleocoordinates of
all time zones pooled. We expected these clusters to arise mainly from sampling patterns, given that they
use no ecological data, but separate assemblages should ideally be ecologically distinct, having more
differences between them than within them. To assess ecological similarity among the clusters defined
by Euclidean distance of coordinates, we also estimated groupings of late Pliensbachian occurrences by
hierarchical clustering of Jaccard distance matrices of species presence/’absence’ (i.e. using ecological
co-occurrence but ignoring spatial coordinates). Jaccard distance clusters with less than 14 species were
removed to balance the tendency of small samples to drive dissimilarity (via species absences) against
persistent and more relevant, larger groupings. Ecological clusters validated the use of the separately
identified spatial clusters as distinct species assemblages, such as from separate bodies of water or
habitat. Adopting ten spatial clusters maximised the agreement between the two approaches. Finally, practical requirements for spatial clusters included (1) being sampled in different time steps,
ideally throughout, and (2) having sufficient occurrences. This was the case for four of the ten spatial
clusters: the northern and most likely terrestrially influenced British basins cluster, and three clusters
surrounding the landmass of Iberia: to the west, to the north, and to the east (likely to be the most pelagic Page 14/28 Page 14/28 influenced cluster). The benthic fauna of a fifth, Germanic cluster were well-sampled in the late
Pliensbachian, but not in the early Toarcian. However, its outcrops are exposed throughout our temporal
focus, suggesting that species absences were driven by anoxic bottom waters rather than by poor
sampling, so this cluster was also used for analysis. Clusters had different thermal regimes (see Results)
and variables like terrestrial influence (see Discussion). Rates of species responses Two-timers without a LAD or FAD have occurrences in the future and past, respectively, of time i, such
that their species thermal niche is averaged over past and future distributions. Meanwhile, the thermal
niches of extinct and originating species were inherently limited to only past or only future distributions,
respectively. To address the potential criticism of extinct and originating species having a fixed thermal
niche, we focus our analysis on extirpation, immigration and persistence responses, and only secondarily
including extinctions and originations. Analysing assemblage temporal change Page 15/28 Page 15/28 Analyses were separate between species and assemblage levels. A species’ thermal bias was defined as
the difference between the cluster median temperature for a time zone and the species’ thermal median
(temperatures averaged over all zone-level occurrences of the species from the Margaritatus to Bifrons
zones, the complete interval when occurrences were matched to temperature maps). An assemblage
thermal bias, often assumed to indicate net vulnerability, was thus the difference between the median of
the constituent species’ thermal medians 11,27 and the cluster median temperature for a time zone. Analyses were separate between species and assemblage levels. A species’ thermal bias was defined as
the difference between the cluster median temperature for a time zone and the species’ thermal median
(temperatures averaged over all zone-level occurrences of the species from the Margaritatus to Bifrons
zones, the complete interval when occurrences were matched to temperature maps). An assemblage
thermal bias, often assumed to indicate net vulnerability, was thus the difference between the median of
the constituent species’ thermal medians 11,27 and the cluster median temperature for a time zone. We expected an escalatory order of occupancy responses relative to thermal bias in a warming scenario
(Fig. 5), with extinct and extirpated species at one extreme having relatively cool thermal biases,
originating or immigrating species at the other extreme having relatively warm thermal biases, and
persisting species having relatively intermediate thermal biases. Species-level regressions therefore used
species occupancy response as an ordered continuous dependent variable and species thermal bias as a
continuous independent variable, Occupancy_response ~ Thermal_bias. Mixed effects accounted for the
nested analysis structure, where necessary, with species nested within clusters and clusters nested within
time zones (i.e. a single species can have one response and thermal bias per cluster per time zone, a
single cluster can occur in multiple time zones). To guard against criticism that originating and extinct
species’ thermal niches were pre-decided (e.g. since species going extinct in time i can only have
occurrences in the past relative to time i, when climates tended to be relatively colder in our study), we
compare regression results with extinction or origination responses left out vs. included. Being at the
extremes of the regression line, species originating or going extinct also have a stronger effect on the
regression slope than persisting, extirpated (but surviving) or immigrating species (with past
occurrences). Analysing assemblage temporal change To assess how much the observed thermal bias values for the different species occupancy
responses deviated from linear expectations, the above regression equation was reversed into,
Thermal_bias ~ Occupancy_response, to calculate thermal bias confidence intervals. For assemblage-level analyses, we recorded the percentage of a current assemblage that was categorized
at the species escalatory response levels of persisting, extirpated, or extinct, and the percentage of a new
assemblage that was categorized as immigrating or originating. The turnover of the current assemblage
into the new assemblage (i.e. from time i to i + 1) was also quantified by Jaccard distance. These were
each used separately as dependent variables. Independent variables were assemblage thermal bias,
regional temperature change magnitude, or the difference in occurrence proportions of occurrences from
carbonate or offshore substrates (the most frequent substrate types). Here, mixed effect models nested
clusters within time zones, but had a low sample size (5 clusters x 5 time zones = 25 assemblage data
points maximum) and thus a weaker potential for inference. These regressions were applied in an
exploratory framework akin to a correlation matrix to weigh evidence for further research. Models using
assemblage thermal bias as an independent variable were inverse weighted for the standard deviation of
species’ thermal bias. We chose to apply these model expectations for regional species responses at a
modern-relevant level of warming (+ 3°C). All analyses were performed in R 80 with packages divDyn
v0.8.2, corrplot v0.92 to present assemblage-level analyses, nlme v3.1-162 for mixed effects models,
vegan v2.6-4 for clustering 76,81,82. Page 16/28 Declarations
Code availability Data and R code used to generate results that are reported in the paper and central to its main claims are
available at Zenodo repository XXX. Acknowledgements We are grateful for insightful discussions with Paulina S. Nätscher, Erin E. Saupe, Ádám T. Kocsis,
Wolfgang Kiessling. The authors gratefully acknowledge the European Regional Development Fund
(ERDF), the German Federal Ministry of Education and Research and the Land Brandenburg for
supporting this project by providing resources on the high-performance computer system at the Potsdam
Institute for Climate Impact Research. All references that contributed data for this study via the PaleoDB
are listed in a secondary bibliography in Table S11 and we further thank PaleoDB data enterers and
authorisers. CJR and MA were supported by German Research Foundation grant number AB 109/11-1. This work is embedded in the Research Unit TERSANE (German Research Foundation grant no. FOR
2332: Temperature-related stressors as a unifying principle in ancient extinctions). This is Paleobiology
Database publication number ###. References 1. Tittensor, D. P. et al. Global patterns and predictors of marine biodiversity across taxa. Nat. 2010
4667310 466, 1098–1101 (2010). 2. IPCC. Climate Change 2021: The Physical Science Basis. Contribution of Working Group I to the Sixth
Assessment Report of the Intergovernmental Panel on Climate Change. (Cambridge University Press,
2021). doi:10.1017/9781009157896. 3. Burrows, M. T. et al. The pace of shifting climate in marine and terrestrial ecosystems. Science 334,
652–655 (2011). 4. Poloczanska, E. S. et al. Global imprint of climate change on marine life. Nat. Clim. Chang. 3, 919–
925 (2013). 5. Bindoff, N. L. et al. Changing ocean, marine ecosystems, and dependent communities. in IPCC
special report on the ocean and cryosphere in a changing climate 477–587 (IPCC, 2019). 6. Chaudhary, C., Richardson, A. J., Schoeman, D. S. & Costello, M. J. Global warming is causing a more
pronounced dip in marine species richness around the equator. Proc. Natl. Acad. Sci. U. S. A. 118,
(2021). 7. Pecl, G. T. et al. Biodiversity redistribution under climate change: Impacts on ecosystems and human
well-being. Science 355, eaai9214 (2017). Page 17/28 Page 17/28 8. IPCC. Climate Change 2013: The Physical Science Basis. Contribution of Working Group I to the Fifth
Assessment Report of the Intergovernmental Panel on Climate Change. (Cambridge University Press,
2013). 9. Newbold, T. Future effects of climate and land-use change on terrestrial vertebrate community
diversity under different scenarios. Proc. R. Soc. B 285, (2018). 9. Newbold, T. Future effects of climate and land-use change on terrestrial vertebrate community
diversity under different scenarios. Proc. R. Soc. B 285, (2018). 10. Bates, A. E. et al. Defining and observing stages of climate-mediated range shifts in marine systems. Glob. Environ. Chang. 15, 351–389 (2014). 10. Bates, A. E. et al. Defining and observing stages of climate-mediated range shifts in marine systems. Glob. Environ. Chang. 15, 351–389 (2014). 11. Day, P. B., Graham, R. D. S. & Amanda, J. E. Species ’ thermal ranges predict changes in reef fish
community structure during 8 years of extreme temperature variation. Divers. Distrib. 24, 1036–1046
(2018). 12. Smale, D. A. & Wernberg, T. Extreme climatic event drives range contraction of a habitat-forming
species. Proc. R. Soc. B Biol. Sci. 280, (2013). 13. Román-Palacios, C. & Wiens, J. J. Recent responses to climate change reveal the drivers of species
extinction and survival. Proc. Natl. Acad. Sci. U. S. A. 117, 4211–4217 (2020). 14. References Lenoir, J. & Svenning, J. C. Climate-related range shifts - a global multidimensional synthesis and
new research directions. Ecography 38, 15–28 (2015). 15. Bonachela, J. A., Burrows, M. T. & Pinsky, M. L. Shape of species climate response curves affects
community response to climate change. Ecol. Lett. 24, 708–718 (2021). 16. Sunday, J. M., Bates, A. E. & Dulvy, N. K. Thermal tolerance and the global redistribution of animals. Nat. Clim. Chang. 2, 686–690 (2012). 17. Kiessling, W., Smith, J. A. & Raja, N. B. Improving the relevance of paleontology to climate change
policy. Proc. Natl. Acad. Sci. U. S. A. 120, e2201926119 (2023). 18. Foster, G. L., Hull, P., Lunt, D. J. & Zachos, J. C. Placing our current ‘hyperthermal’ in the context of
rapid climate change in our geological past. Philos. Trans. A. Math. Phys. Eng. Sci. 376, 20170086
(2018). 19. Song, H. et al. Thresholds of temperature change for mass extinctions. Nat. Commun. 12, 1–8
(2021). 20. Powell, M. G., Moore, B. R. & Smith, T. J. Origination, extinction, invasion, and extirpation components
of the brachiopod latitudinal biodiversity gradient through the Phanerozoic Eon. Paleobiology 41,
330–341 (2015). 21. Reddin, C. J., Kocsis, Á. T. & Kiessling, W. Marine invertebrate migrations trace climate change over
450 million years. Glob. Ecol. Biogeogr. 27, 704–713 (2018). 22. Kiessling, W., Simpson, C., Beck, B., Mewis, H. & Pandolfi, J. M. Equatorial decline of reef corals
during the last Pleistocene interglacial. Proc. Natl. Acad. Sci. U. S. A. 109, 21378–83 (2012). 22. Kiessling, W., Simpson, C., Beck, B., Mewis, H. & Pandolfi, J. M. Equatorial decline of reef corals
during the last Pleistocene interglacial. Proc. Natl. Acad. Sci. U. S. A. 109, 21378–83 (2012). 23. Mathes, G. H. et al. (in review) Fossil planktonic foraminifera responses to climate change vary by
latitude. Glob. Ecol. Biogeogr. Page 18/28 24. Breitburg, D. et al. Declining oxygen in the global ocean and coastal waters. Science 359, eaam7240
(2018). 25. Reddin, C. J., Nätscher, P. N., Kocsis, Á. T., Pörtner, H. O. & Kiessling, W. Marine clade sensitivities to
climate change conform across time scales. Nat. Clim. Chang. Chang. 10, 249–253 (2020). 26. Danise, S., Twitchett, R. J., Little, C. T. S. & Clémence, M. E. The Impact of Global Warming and
Anoxia on Marine Benthic Community Dynamics: An Example from the Toarcian (Early Jurassic). PLoS One 8, (2013). 27. References Devictor, V., Julliard, R., Couvet, D., Jiguet, F. & B, P. R. S. Birds are tracking climate warming , but not
fast enough Birds are tracking climate warming , but not fast enough. Proc. R. Soc. B Biol. Sci. 275,
2743–2748 (2008). 28. Stuart-Smith, R. D., Edgar, G. J., Barrett, N. S., Kininmonth, S. J. & Bates, A. E. Thermal biases and
vulnerability to warming in the world’s marine fauna. Nature 528, 88–92 (2015). 29. Reddin, C. J., Kocsis, Á. T., Aberhan, M. & Kiessling, W. Victims of ancient hyperthermal events herald
the fates of marine clades and traits under global warming. Glob. Chang. Biol. 27, 868–878 (2021). 30. Little, C. T. S. & Benton, M. J. Early Jurassic mass extinction: A global long-term event. Geology 23,
495–498 (1995). 31. Flanagan, P. H., Jensen, O. P., Morley, J. W. & Pinsky, M. L. Response of marine communities to local
temperature changes. Ecography 42, 214–224 (2019). 32. Ruebsam, W. & Schwark, L. Impact of a northern-hemispherical cryosphere on late pliensbachian–
early toarcian climate and environment evolution. Geol. Soc. Spec. Publ. 514, 359–385 (2021). 33. Nordt, L., Breecker, D. & White, J. Jurassic greenhouse ice-sheet fluctuations sensitive to atmospheric
CO2 dynamics. Nat. Geosci. 15, 54–59 (2022). 34. Willeit, M., Ganopolski, A., Robinson, A. & Edwards, N. R. The Earth system model CLIMBER-X v1.0 –
Part 1: Climate model description and validation. Geosci. Model Dev. 15, 5905–5948 (2022). 35. Cornes, R. C. et al. Climate change impacts on temperature around the UK and Ireland. MCCIP
Science Review 2023. (2023) doi:10.14465/2022.reu08.tem. 35. Cornes, R. C. et al. Climate change impacts on temperature around the UK and Ireland. MCCIP
Science Review 2023. (2023) doi:10.14465/2022.reu08.tem. 36. Kocsis, Á. T. & Scotese, C. R. Mapping paleocoastlines and continental flooding during the
Phanerozoic. Earth-Science Rev. 213, 103463 (2021). 36. Kocsis, Á. T. & Scotese, C. R. Mapping paleocoastlines and continental flooding during the
Phanerozoic. Earth-Science Rev. 213, 103463 (2021). 37. Ruhl, M. et al. Astronomical constraints on the duration of the Early Jurassic Pliensbachian Stage
and global climatic fluctuations. Earth Planet. Sci. Lett. 455, 149–165 (2016). 37. Ruhl, M. et al. Astronomical constraints on the duration of the Early Jurassic Pliensbachian Stage
and global climatic fluctuations. Earth Planet. Sci. Lett. 455, 149–165 (2016). 38. Zurell, D., Fritz, S. A., Rönnfeldt, A. & Steinbauer, M. J. Predicting extinctions with species distribution
models. Cambridge Prism. Extinction 1, e8 (2023). 38. References Zurell, D., Fritz, S. A., Rönnfeldt, A. & Steinbauer, M. J. Predicting extinctions with species distribution
models. Cambridge Prism. Extinction 1, e8 (2023). 39. Piazza, V., Ullmann, C. V. & Aberhan, M. Temperature-related body size change of marine benthic
macroinvertebrates across the Early Toarcian Anoxic Event. Sci. Rep. 10, 1–13 (2020). 39. Piazza, V., Ullmann, C. V. & Aberhan, M. Temperature-related body size change of marine benthic
macroinvertebrates across the Early Toarcian Anoxic Event. Sci. Rep. 10, 1–13 (2020). 40. Piazza, V., Duarte, L. V., Renaudie, J. & Aberhan, M. Reductions in body size of benthic
macroinvertebrates as a precursor of the early Toarcian (Early Jurassic) extinction event in the
Lusitanian Basin, Portugal. Paleobiology 45, 296–316 (2019). 40. Piazza, V., Duarte, L. V., Renaudie, J. & Aberhan, M. Reductions in body size of benthic
macroinvertebrates as a precursor of the early Toarcian (Early Jurassic) extinction event in the
Lusitanian Basin, Portugal. Paleobiology 45, 296–316 (2019). Page 19/28 Page 19/28 41. Pörtner, H.-O., Bock, C. & Mark, F. C. Oxygen- and capacity-limited thermal tolerance: bridging ecology
and physiology. J. Exp. Biol. 220, 2685–2696 (2017). 42. Deutsch, C., Ferrel, A., Seibel, B., Pörtner, H.-O. & Huey, R. Climate change tightens a metabolic
constraint on marine habitats. Science 348, 1132–1136 (2015). 42. Deutsch, C., Ferrel, A., Seibel, B., Pörtner, H.-O. & Huey, R. Climate change tightens a metabolic
constraint on marine habitats. Science 348, 1132–1136 (2015). 43. Clark, M. S. et al. Biodiversity in marine invertebrate responses to acute warming revealed by a
comparative multi-omics approach. Glob. Chang. Biol. 23, 318–330 (2017). 43. Clark, M. S. et al. Biodiversity in marine invertebrate responses to acute warming revealed by a
comparative multi-omics approach. Glob. Chang. Biol. 23, 318–330 (2017). 44. Penn, J. L., Deutsch, C., Payne, J. L. & Sperling, E. A. Temperature-dependent hypoxia explains
biogeography and severity of end-Permian marine mass extinction. Science 362, eaat1327 (2018). 44. Penn, J. L., Deutsch, C., Payne, J. L. & Sperling, E. A. Temperature-dependent hypoxia explains
biogeography and severity of end-Permian marine mass extinction. Science 362, eaat1327 (2018). 45. Reddin, C. J., Aberhan, M., Raja, N. B. & Kocsis, Á. T. Global warming generates predictable
extinctions of warm- and cold-water marine benthic invertebrates via thermal habitat loss. Glob. Chang. Biol. 28, 5793–5807 (2022). 45. Reddin, C. J., Aberhan, M., Raja, N. B. & Kocsis, Á. T. References Global warming generates predictable
extinctions of warm- and cold-water marine benthic invertebrates via thermal habitat loss. Glob. Chang. Biol. 28, 5793–5807 (2022). 46. Penn, J. L. & Deutsch, C. Avoiding ocean mass extinction from climate warming. Science (80-. ). 376,
524–526 (2022). 47. Mathes, G. H., van Dijk, J., Kiessling, W. & Steinbauer, M. J. Extinction risk controlled by interaction of
long-term and short-term climate change. Nat. Ecol. Evol. 5, 304–310 (2021). 47. Mathes, G. H., van Dijk, J., Kiessling, W. & Steinbauer, M. J. Extinction risk controlled by interaction of
long-term and short-term climate change. Nat. Ecol. Evol. 5, 304–310 (2021). 48. Payne, J. L. & Finnegan, S. The effect of geographic range on extinction risk during background and
mass extinction. Proc. Natl. Acad. Sci. 104, 10506–10511 (2007). 49. Saupe, E. E. et al. Extinction intensity during Ordovician and Cenozoic glaciations explained by
cooling and palaeogeography. Nat. Geosci. 13, 65–70 (2020). 49. Saupe, E. E. et al. Extinction intensity during Ordovician and Cenozoic glaciations explained by
cooling and palaeogeography. Nat. Geosci. 13, 65–70 (2020). 50. Them, T. R. et al. Thallium isotopes reveal protracted anoxia during the Toarcian (Early Jurassic)
associated with volcanism, carbon burial, and mass extinction. Proc. Natl. Acad. Sci. U. S. A. 115,
6596–6601 (2018). 51. Gómez, J. J. & Goy, A. Warming-driven mass extinction in the Early Toarcian (Early Jurassic) of
northern and central Spain. Correlation with other time-equivalent European sections. Palaeogeogr. Palaeoclimatol. Palaeoecol. 306, 176–195 (2011). 52. Götze, S. et al. Single and combined effects of the “Deadly trio” hypoxia, hypercapnia and warming
on the cellular metabolism of the great scallop Pecten maximus. Comp. Biochem. Physiol. Part - B
Biochem. Mol. Biol. 243–244, 110438 (2020). 53. Atkinson, J. W., Little, C. T. S. & Dunhill, A. M. Long duration of benthic ecological recovery from the
early Toarcian (Early Jurassic) mass extinction event in the Cleveland Basin, UK. J. Geol. Soc. London. 180, (2023). 54. Krencker, F. N. et al. Two-phased collapse of the shallow-water carbonate factory during the late
Pliensbachian–Toarcian driven by changing climate and enhanced continental weathering in the
Northwestern Gondwana Margin. Earth-Science Rev. 208, 103254 (2020). 55. Bjerrum, C. J., Surlyk, F., Callomon, J. H. & Slingerland, R. L. Numerical paleoceanographic study of
the Early Jurassic Transcontinental Laurasian Seaway. Paleoceanography 16, 390–404 (2001). Page 20/28 56. Judd, E. J., Bhattacharya, T. & Ivany, L. C. References A Dynamical Framework for Interpreting Ancient Sea
Surface Temperatures. Geophys. Res. Lett. 47, (2020). 57. Dera, G. & Donnadieu, Y. Modeling evidences for global warming, Arctic seawater freshening, and
sluggish oceanic circulation during the Early Toarcian anoxic event. Paleoceanography 27, (2012). 58. Suan, G. et al. Secular environmental precursors to Early Toarcian (Jurassic) extreme climate
changes. Earth Planet. Sci. Lett. 290, 448–458 (2010). 58. Suan, G. et al. Secular environmental precursors to Early Toarcian (Jurassic) extreme climate
changes. Earth Planet. Sci. Lett. 290, 448–458 (2010). 59. Devictor, V. et al. Differences in the climatic debts of birds and butterflies at a continental scale. Nat. Clim. Chang. 2, 121–124 (2012). 60. Beaugrand, G., Edwards, M., Raybaud, V., Goberville, E. & Kirby, R. R. Future vulnerability of marine
biodiversity compared with contemporary and past changes. Nat. Clim. Chang. 5, 695–701 (2015). 61. Garciá Molinos, J. et al. Climate velocity and the future global redistribution of marine biodiversity. Nat. Clim. Chang. 6, 83–88 (2015). 62. Hönisch, B. et al. The geological record of ocean acidification. Science 3 62. Hönisch, B. et al. The geological record of ocean acidification. Science 335, 1058–1063 (2012). 63. Foster, G. L., Royer, D. L. & Lunt, D. J. Future climate forcing potentially without precedent in the last
420 million years. Nat. Commun. 8, 1–8 (2017). 64. Müller, T. et al. Ocean acidification during the early Toarcian extinction event: Evidence from boron
isotopes in brachiopods. Geology 48, 1–5 (2020). 65. Ullmann, C. V. et al. Warm afterglow from the Toarcian Oceanic Anoxic Event drives the success of
deep-adapted brachiopods. Sci. Rep. 10, (2020). 66. Suan, G., Mattioli, E., Pittet, B., Mailliot, S. & Lécuyer, C. Evidence for major environmental perturbation
prior to and during the Toarcian (Early Jurassic) oceanic anoxic event from the Lusitanian Basin,
Portugal. Paleoceanography 23, (2008). 66. Suan, G., Mattioli, E., Pittet, B., Mailliot, S. & Lécuyer, C. Evidence for major environmental perturbation
prior to and during the Toarcian (Early Jurassic) oceanic anoxic event from the Lusitanian Basin,
Portugal. Paleoceanography 23, (2008). 67. Dera, G. et al. Climatic ups and downs in a disturbed Jurassic world. 39, 68. Pálfy, J. & Smith, P. L. Synchrony between Early Jurassic extinction, oceanic anoxic event, and the
Karoo-Ferrar flood basalt volcanism. Geology 28, 747–750 (2000). 68. Pálfy, J. & Smith, P. L. Synchrony between Early Jurassic extinction, oceanic anoxic event, and the
Karoo-Ferrar flood basalt volcanism. References rgplates: R interface for the GPlates web service and desktop application. at
https://rdrr.io/cran/rgplates/ (2021). 78. Müller, R. D. et al. GPlates: Building a Virtual Earth Through Deep Time. Geochemistry, Geophys. Geosystems 19, 2243–2261 (2018). 79. Alroy, J. Dynamics of origination and extinction in the marine fossil record. Proc. Natl. Acad. Sci. 105,
11536–11542 (2008). 80. R Development Core Team. R: A language and environment for statistical computing. (R Foundation
for Statistical Computing, 2023). 81. Pinheiro J, Bates D, DebRoy S, Sarkar D & R Core Team. nlme: Linear and Nonlinear Mixed Effects
Models. R package version 3.1-131.1. at (2018). 82. Oksanen J, Kindt R, Legendre P, O’Hara B & Stevens, M. The vegan package. Community ecology
package. at http://cran.r-project.org/package=VEGAN (2007). References Geology 28, 747–750 (2000). 69. Greber, N. D. et al. New high precision U-Pb ages and Hf isotope data from the Karoo large igneous
province; implications for pulsed magmatism and early Toarcian environmental perturbations. Results in Geochemistry 1, 100005 (2020). 69. Greber, N. D. et al. New high precision U-Pb ages and Hf isotope data from the Karoo large igneous
province; implications for pulsed magmatism and early Toarcian environmental perturbations. Results in Geochemistry 1, 100005 (2020). 70. Erba, E. et al. Carbon-and oxygen-isotope signature of the Toarcian Oceanic Anoxic Event: insights
from two Tethyan pelagic sequences (Gajum and Sogno Cores – Lombardy Basin, northern Italy). Newsletters Stratigr. 55, 451–477 (2022). 70. Erba, E. et al. Carbon-and oxygen-isotope signature of the Toarcian Oceanic Anoxic Event: insights
from two Tethyan pelagic sequences (Gajum and Sogno Cores – Lombardy Basin, northern Italy). Newsletters Stratigr. 55, 451–477 (2022). 71. Ait-Itto, F. Z., Martinez, M., Price, G. D. & Ait Addi, A. Synchronization of the astronomical time scales
in the Early Toarcian: A link between anoxia, carbon-cycle perturbation, mass extinction and
volcanism. Earth Planet. Sci. Lett. 493, 1–11 (2018). 71. Ait-Itto, F. Z., Martinez, M., Price, G. D. & Ait Addi, A. Synchronization of the astronomical time scales
in the Early Toarcian: A link between anoxia, carbon-cycle perturbation, mass extinction and
volcanism. Earth Planet. Sci. Lett. 493, 1–11 (2018). 72. McElwain, J. C., Wade-Murphy, J. & Hesselbo, S. P. Changes in carbon dioxide during an oceanic
anoxic event linked to intrusion into Gondwana coals. Nature 435, 479–482 (2005). 72. McElwain, J. C., Wade-Murphy, J. & Hesselbo, S. P. Changes in carbon dioxide during an oceanic
anoxic event linked to intrusion into Gondwana coals. Nature 435, 479–482 (2005). Page 21/28 Page 21/28 73. Hesselbo, S. P. et al. Massive dissociation of gas hydrate during a Jurassic oceanic anoxic event. Nature 406, 392–395 (2000). 74. Van De Schootbrugge, B. et al. Enhanced Arctic-Tethys connectivity ended the Toarcian Oceanic
Anoxic Event in NW Europe. Geol. Mag. 157, 1593–1611 (2020). 75. Valdes, P. J. et al. The BRIDGE HadCM3 family of climate models: HadCM3@Bristol v1.0. Geosci. Model Dev. 10, 3715–3743 (2017). 76. Kocsis, Á. T., Reddin, C. J. C. J., Alroy, J. & Kiessling, W. The R package divDyn for quantifying
diversity dynamics using fossil sampling data. Methods Ecol. Evol. 10, 735–743 (2019). 77. Kocsis, Á. T. & Raja, N. B. Supplementary Materials Supplementary Materials (Supplementary Figures, Supplementary Tables, Supplementary Methods and
Supplementary Results) are not available with this version. Figures Page 22/28 Figure 1 The solid line shows the main CO2 scenario, while the dotted
line shows more extreme estimates. The stage boundary absolute timing has an error ± 0.4 Ma37. (B-F)
Each panel shows two regressions: the solid line regressions run across immigrant, persisting, and Figure 1 Focal regions and example climate of the Early Jurassic, north-west Tethys. (A) Symbols indicate all
fossil occurrences between Margaritatus and Bifrons ammonite zones, grouped into regions (coloured,
delineated, and labelled in the legend) by hierarchical clustering based on occurrence paleocoordinates. Coordinates, maximum sea level coastlines (thin black lines), and deeper waters (dark blue, demarcated
by −1400 m contour) were reconstructed according to Pliensbachian (185 Ma) paleogeography of the
PaleoMAP model 36. The landmass of Iberia is labelled. (B) An example of the utilised CLIMBER-X
downscaled mean summer sea surface temperatures at the 185 Ma (Pliensbachian) paleoconfiguration
and 750 ppm atmospheric CO2. Global location shown as box in world map (inset top left) alongside
lines of latitude every 30 degrees including the equator. BM = Bohemian Massif; MC = Massif Central; AM
= Armorican Massif; SM = Scottish Massif; E., W. and N. Iberia are east, west, and north of Iberia. Focal regions and example climate of the Early Jurassic, north-west Tethys. (A) Symbols indicate all
fossil occurrences between Margaritatus and Bifrons ammonite zones, grouped into regions (coloured,
delineated, and labelled in the legend) by hierarchical clustering based on occurrence paleocoordinates. Coordinates, maximum sea level coastlines (thin black lines), and deeper waters (dark blue, demarcated
by −1400 m contour) were reconstructed according to Pliensbachian (185 Ma) paleogeography of the
PaleoMAP model 36. The landmass of Iberia is labelled. (B) An example of the utilised CLIMBER-X
downscaled mean summer sea surface temperatures at the 185 Ma (Pliensbachian) paleoconfiguration
and 750 ppm atmospheric CO2. Global location shown as box in world map (inset top left) alongside
lines of latitude every 30 degrees including the equator. BM = Bohemian Massif; MC = Massif Central; AM
= Armorican Massif; SM = Scottish Massif; E., W. and N. Iberia are east, west, and north of Iberia. Page 23/28 Figure 2
Species’ thermal bias is correlated with their escalating response over the two warm
phases, but not over the two stasis phases. (A) Summary of the climatic phases un
ammonite (sub)zone time bins on the x axis The solid line shows the main CO sce Page 24/28
Figure 2
Species’ thermal bias is correlated with their escalating response over the two warming and transitional
phases, but not over the two stasis phases. (A) Summary of the climatic phases under study, with
ammonite (sub)zone time bins on the x-axis. Figure 2 Page 24/28
Species’ thermal bias is correlated with their escalating response over the two warming and transitional
phases, but not over the two stasis phases. (A) Summary of the climatic phases under study, with
ammonite (sub)zone time bins on the x-axis. The solid line shows the main CO2 scenario, while the dotted
line shows more extreme estimates. The stage boundary absolute timing has an error ± 0.4 Ma37. (B-F)
Each panel shows two regressions: the solid line regressions run across immigrant, persisting, and Page 24/28 extirpated species only; the dashed line regressions run across all five ordered response levels. Regressions use regions nested within time zones. Circles show species responses with a small
horizontal jitter to avoid overplotting of points against their thermal biases per region, the numbers of
which are given along x-axis, with box plots showing the medians and interquartile ranges. extirpated species only; the dashed line regressions run across all five ordered response levels. Regressions use regions nested within time zones. Circles show species responses with a small
horizontal jitter to avoid overplotting of points against their thermal biases per region, the numbers of
which are given along x-axis, with box plots showing the medians and interquartile ranges. Figure 3 Page 25/28 Stronger thermal determination of species occupancy change (i.e. increasing slope coefficients, one per
spatiotemporal scenario) under higher magnitudes of regional temperature change. Different lines show
the relationship’s dependence on sampling intensity (slope parameters generated from more species are
more likely to support the relationship but few points meet these higher thresholds). Filled circles are
those with at least 20 species, their regression shown by the solid black line, R = -0.25, 95% Cis = -0.49
—-0.01, P = 0.04, while the slopes of the other lines were insignificant (next closest was threshold = 10
with R = -0.23, P = 0.06, see SM). Direct exploration of the effect of species number threshold on the
relationship is shown in (Fig. S2). Each point is a spatiotemporal assemblage (n = 25) with error bars
being the standard error of the y-axis slope parameter, representing species response variation within
each spatiotemporal assemblage. Standard errors were used for inverse weighted least squares
regression. Figure 2 Extinct species’ occurrences are here merged with those of extirpated species and originating
species occurrences are merged with those of immigrating species (the same result was achieved
treating these groups separately, R = -0.18, P < 0.05, with threshold = 20). Figure 5 Designation of region-specific species responses observed around a focal boundary (emboldened, with
the ammonite zone immediately preceding it being time i). We focus on the responses of regional two-
timer species, specifically the lower two-timers for extirpated or extinct species, boundary crossers for
persisting species, and upper two-timers for immigrating or originating species. These responses are
ordered with respect to expectations of thermal bias. FAD = First Appearance Date. LAD = Last
Appearance Date. Page 26/28 Assessment of whether the thermal bias of an existing assemblage is related to its future response to
environmental change, or whether direct descriptors of environmental change magnitude are more useful
Figure should be read from row to column, with the intersecting panel showing the correlation and its
significance, expressed by the legend as the associated %-change in the column variable. For example,
reading the first row: for each degree of assemblage thermal bias below ambient (during warming and
transition phases), the share of originating species in the new assemblage increases by ~1.3% (P =
0.001). The panel ellipses represent coefficients from nested random effects models by colour (see
legend) and direction of elongation. ** is P < 0.01, * is P < 0.05, dot is P < 0.2. The first two rows have a
unidirectional hypothesis between change and response; 4 regions nested in 3 time zones, n = 12
assemblages, when Germanic basins responses were unavailable. Other rows cover all five time zones
with a bi-directional hypothesis between change and response; 5 clusters nested in 5 time zones, n = 22
assemblages, with Germanic basins responses unavailable for three zones. The last two rows are %-
change of occurrences per zone and cluster that are categorised as primarily carbonate lithology or ‘deep’
depositional environment, indicating larger changes in habitat sampling within a region. Figure 5 Supplementary Files This is a list of supplementary files associated with this preprint. Click to download. Page 27/28 Page 27/28 rs.pdf rs.pdf Page 28/28
|
https://openalex.org/W4246097879
|
https://www.researchsquare.com/article/rs-856354/v1.pdf?c=1640679933000
|
English
| null |
Lung Adenocarcinoma: Next Generation Sequencing and Outcome in Regional Community Oncology Setting
|
Research Square (Research Square)
| 2,021
|
cc-by
| 8,039
|
Lung Adenocarcinoma: Next Generation Sequencing
and Outcome in Regional Community Oncology
Setting Laura Skacel
Dahl-Chase Pathology Associates
Michael Babcock
Dahl-Chase Pathology Associates
Antoine Harb
Northern Light Eastern Maine Medical Center
Adam Curtis
Northern Light Eastern Maine Medical Center
Carter Liou
Dahl-Chase Pathology Associates
Kathleen Brawn
Dahl-Chase Pathology Associates
Frantisek Sandor
Northern Light Eastern Maine Medical Center
Marek Skacel
(
mskacel@dahlchase.com
)
Dahl-Chase Pathology Associates Laura Skacel
Dahl-Chase Pathology Associates
Michael Babcock
Dahl-Chase Pathology Associates
Antoine Harb
Northern Light Eastern Maine Medical Center
Adam Curtis
Northern Light Eastern Maine Medical Center
Carter Liou
Dahl-Chase Pathology Associates
Kathleen Brawn
Dahl-Chase Pathology Associates
Frantisek Sandor
Northern Light Eastern Maine Medical Center
Marek Skacel
(
mskacel@dahlchase.com
)
Dahl-Chase Pathology Associates Abstract PURPOSE: To analyze lung adenocarcinomas (LUAD) from a geographically unique population of rural
Maine by next generation sequencing (NGS), correlate mutational findings with clinical features, patient
outcomes and published data from other populations. METHODS: 210 consecutive LUADs diagnosed in 2017-2018 were analyzed for 50 oncogene/tumor
suppressor gene hot spots by NGS. ALK, ROS-1, RET and MET were assessed by FISH, PD-L1 by
immunohistochemistry. Findings were correlated with age, gender, smoking history, stage, overall (OS)
and progression-free survival (PFS) and compared to pubished literature. RESULTS: The cohort included 113 (54%) women and 97 (46%) men, ages 33 to 91 (mean: 67.4 years),
52% active and 41% former smokers, 79 (38%) of advanced stage (stage IV). Most frequently detected
mutations included TP53 (47.6%), KRAS (38.1%), EGFR (10%), STK11 (8.6%), BRAF (4.8%), MET (3.8%),
ABL-1, ATM, CDKN2A, PIK3CA, (all 2.9%), RB-1 and NRAS (2.4%), APC, ERBB4, PTPN11, SMAD4, (all 1.9%),
CTNNB1 and ERBB2 (both 1.4%). MET amplification occurred in 3.3%, RET and ALK/ROS-1
rearrangements in 1.4% and 0.5%, high PD-L1 expression in 35.2%. Treatment included
surgery/radiation/adjuvant chemotherapy for stages I-II, definitive chemo/radiation therapy and
immunotherapy for stage III, immunotherapy, chemo-immunotherapy, targeted therapy, palliative radiation
for stage IV. At median of 26 months (minimum 21 month for surviving patients), OS/PFS were
44.3%/39.5%. Stage, male gender, TP53 mutation and KRAS/STK11 co-mutations correlated with adverse
OS. In stages I-II, KRAS/TP53 co-mutation was unfavorable. CONCLUSION: NGS testing in a regional oncology setting identified established prognostic/therapeutic
markers, as well as additional molecular features correlating with outcome. Our findings support
prognostic stratification of LUAD based on the presence of gene mutations outside of the current NCCN
guidelines: TP53, KRAS and STK11. 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 Journal of Surgery and Research on
January 1st, 2021. See the published version at https://doi.org/10.26502/jsr.10020194. Page 1/26 Introduction Lung cancer is the second most common cancer and the leading cause of cancer-related death in the U.S. 1. Non-small cell carcinoma (NCSLC) accounts for approximately 85% of cases, with lung
adenocarcinoma (LUAD) being the most common subtype, accounting for approximately 40% of NSCLC
cases 2. There is a known urban-rural disparity in lung cancer incidence within the United States, with the
most rural counties having an annual lung cancer incidence almost twice that of the largest metropolitan
areas 3. The cause for this disparity is largely attributed to higher prevalence of cigarette smoking, as the
increase in lung cancer incidence tracks closely rural smoking rates 4. Such urban/rural smoking rate
differences were found to be most significant in the New England region 5. The state of Maine with its
quintessential New England rural communities, has rates of lung cancer astonishingly 30% higher than
the national average 6. The lung cancer incidence in Maine is even higher than what would be expected
for its smoking rate, suggesting exposure to other risk factors besides smoking, such as residential radon Page 2/26 Page 2/26 exposure or air pollution 7. In fact, 12 of 16 Maine counties are classified as zones with predicted average
indoor radon levels greater than those recommended as safe by the EPA 8. Whether such potential factors
may contribute to the molecular genetic makeup of lung cancer from this region and its mutational
profiles differ from those reported in other parts of the country is unknown, as to date, no molecular
profiling studies from this geographically unique region have been published. The recent standardization of next-generation sequencing (NGS) methods allowed its gradual
implementation in molecular pathology laboratories outside of larger academic institutions 9. This trend
provides an opportunity to profile tumors diagnosed locally in more homogeneous rural populations. In
addition to markers endorsed by current clinical practice guidelines, NGS provides molecular data that
can be utilized for investigational and clinical trial-based treatment purposes 10. Routine local NGS
testing of lung cancer samples with short turn-around time can improve the efficiency of regional
oncology care by providing timely results for genomic-based therapies without delay, which often results
from sending samples to remote reference centers 11. Our single-center institution and laboratory collects
and analyzes samples and treats patients from the entire central and northern Maine region, thus
concentrating the vast majority of lung carcinomas from the rural parts of the state. Introduction As a result, the cases
in our series represent a geographically homogeneous lung cancer patient population from an area with
its prevalence ranking among the highest in the nation. Our retrospective cohort consists of consecutive LUAD cases analyzed by NGS, fluorescence in situ
hybridization (FISH) and immunohistochemistry (IHC). In addition to the standard markers endorsed by
the National Comprehensive Cancer Network (NCCN) 12, our analysis includes a panel of tumor
suppressor genes and oncogenes, as well as correlation with clinical features and outcomes. The relative
geographic isolation and ethnic uniformity of our patient population provided us with an opportunity to
compare the mutational profiles of “rural” LUAD to the data in the literature, generated predominantly by
academic centers and reflecting patients from predominantly larger metropolitan areas. Our work also
highlights the benefits of "reflexive testing" in community oncology practice. We describe the utilization of
"standing order" for molecular pathology and integration of upfront sample preparation for molecular
testing as part of routine diagnostic process, and assess their impact on tissue adequacy and turnaround
time as important contributors to efficient oncology care in a regional setting. DNA extraction and sample preparation. A pathologist confirmed the presence of sufficient tumor tissue for NGS analysis by direct microscopic
visualization of tissue on glass slides stained with hematoxylin-eosin. Ten 4-5 μm formalin-fixed,
paraffin-embedded sections were marked for manual microdissection of genomic DNA. 15 ng of DNA
was amplified, fragmented, ligated to adapters, barcoded, clonally amplified onto beads to create DNA
libraries using the Ion AmpliSeq™ Cancer HotSpot Panel v2.0 (CHPv2.0; Life Technologies, ThermoFisher,
Carlsbad, CA, USA) and subjected to NGS on the Ion Torrent Personal Genome Machine (PGM) or S5
instrument. Reflexive molecular testing utilizing a standing order. In order to perform molecular testing in a short turnaround time, avoid the need for sending individual test
requests to pathology and to preserve tissue, our institution utilizes “reflexive” molecular standing order. Updated regularly to ensure it includes all NCCN-endorsed biomarkers and meets the current standards of
care, this standing order is approved by the institutional molecular tumor board in conjunction with the
hospital medical staff and initiated automatically by the pathologist, as soon as the diagnosis of LUAD is
established. Mutational analysis by NGS. The DNA primer pool in the AmpliSeq™ CHPv2.0 panel is designed to examine 2800 mutation hotspots
previously described as somatic mutations occurring in human cancers. The genes assessed by the
Cancer Hotspot Panel v2 include: ABL1, AKT1, ALK, APC, ATM, BRAF, CDH1, CDKN2A, CSF1R, CTNNB1,
EGFR, ERBB2, ERBB4, EZH2, FBXW7, FGFR1, FGFR2, FGFR3, FLT3, GNA11, GNAQ, GNAS, HNF1A, HRAS,
IDH1, IDH2, JAK2, JAK3, KDR, KIT, KRAS, MET, MLH1, MPL, NOTCH1, NPM1, NRAS, PDGFRA, PIK3CA,
PTEN, PTPN11, RB1, RET, SMAD4, SMARCB1, SMO, SRC, STK11, TP53, and VHL. Patient selection. 210 consecutive LUAD cases from patients with available clinical follow up tested by NGS during the
period of January 2017- June 2018 were retrieved from the NGS database at Dahl-Chase Pathology
Laboratory and Northern Light Oncology Institute. This work was performed in concordance with an
Institutional Review Board approval (19-1-A-001). LUADs arising in the lung or involving metastatic sites
in patients where primary tumor was unavailable were utilized for testing. A molecular pathologist Page 3/26 Page 3/26 confirmed the diagnosis ensured minimum of 20% tumor content in each sample. Staging of patients
was performed according to the 8th edition of the tumor, node and metastasis (TNM) classification for
lung cancer 13. Additional testing. Fluorescence in situ hybridization (FISH) was performed according to an established protocol, using
probes for ALK, ROS-1, RET and MET. Immunohistochemistry (IHC) for PD-L1 was performed according
to manufacturer’s protocol using 22C3 antibody (Dako, Carpinteria, CA) and FDA-approved scoring
approach, reporting the percentage of tumor cells with membranous positivity (tumor proportion score;
TPS).15 MET Exon 14 skipping mutation was evaluated via send-out testing, since this test was not
available in-house at the time of this study period. Variant interpretation. The resulting DNA sequencing reads were aligned to the hg19 (GRCh37) reference genome and data
analysis was performed using the Ion Torrent Suite (5.8.0) and Golden Helix VarSeq (2.0.2) software. The
lower limit of detection of this assay has been established at a 5% variant allele frequency (VAF), with
normal range (mutation not detected) being a VAF <5%, and mutational status of VAF ≥ 5% indicating a
mutation present. Previously established minimum read depth cut off was set at 100X coverage with a Page 4/26 Page 4/26 minimum of 25 variant allele observations, with a 250X read depth minimum for a 5% sensitivity (based
on prior validation studies, data not shown). Previously reported false-positive mutations and other
potential artifacts due to nonspecific mispriming events were removed according to McCall et al 14. Genomic alterations were reviewed by a molecular pathologist, tiered according to their clinical relevance,
and reported with accompanying NCCN therapeutic guidelines. Statistical analysis. All statistical analyses were performed using SPSS for Windows (v19.0, IBM, Armonk, NY). Comparisons
of proportions across different groups were evaluated using Fisher’s exact test or Chi-square test where
appropriate. The presence of molecular abnormalities was correlated with patients’ age, gender, smoking
history (including pack-years) and tumor stage. Progression-free survival (PFS) was measured from the
date of diagnosis to tumor recurrence or death, while overall survival (OS) was measured from the date of
diagnosis to the date of death. Patients were censored on September 30, 2020 if alive and disease-free
for OS and PFS, respectively. A log-rank test was used to compare survival curves in Kaplan-Meier
analysis. Cox regression analysis was performed to evaluate the significance and calculate relative risks
in a time-dependent multivariate model, with risk expressed as hazard ratios (HR) with 95% confidence
intervals (CI). All statistical analyses were two-sided with p-values at significance level of 0.05. NGS Performance and mutations detected in the studied The tissue sections used for analysis contained a minimum of 500 cancer cells in a micro-dissected area
from which 10 consecutive unstained sections, which were obtained during initial sectioning of the tissue
for diagnosis. The mean tumor cell content per sample was 40% (range 20-80%). Overall, the variant
allelic frequency (VAF) of the mutations detected in this study ranged from 6% to 48% (mean: 32%). Read
depths ranged from a minimum of 350X to over 12,000X (mean 2,800X), indicating a satisfactory level of
coverage for the regions of interest (ROI). Overall frequencies of gene mutations detected in at least 1% of the studied cases were: TP53 (44.80%),
KRAS (38.1%), EGFR (10%), STK11 (8.6%), BRAF (4.8%), MET (3.8%), ABL-1, ATM, CDKN2A, PIK3CA, (all
2.9%), RB-1 and NRAS (2.4%), APC, ERBB4, PTPN11, SMAD4, (all 1.9%), CTNNB1 and ERBB2 (both 1.4%). Detailed lists of all detected mutations with numbers of patients harboring each mutation are included in
the Supplemental Table 1. Specimen types, clinical features and treatment modalities The specimens included 89 (42.3%) core needle biopsies, 68 (32.4%) excisions and 53 (25.2%) cytology
specimens with cell blocks (endobronchial ultrasound-guided fine-needle biopsies (EBUS) or pleural fluid
aspirates). 140 cases (66.7%) were samples of primary lung tumor and 70 (33.3%) were metastases
(mediastinal or distant). The patient cohort consisted of 97 (46.2%) men and 113 (53.8%) women, ages
33 to 91 years (mean: 67.4 years), living in central/eastern and northern regions of the state of Maine. 208 of the 210 patients (99%) were Caucasian, 1 (0.5%) Asian and 1 (0.5%) of native American
(Penobscot) ancestry. 14 patients (6.7%) were never smokers, 109 (51.9%) were active smokers at the Page 5/26 time of diagnosis and 87 (41.4%) former smokers (quit 1 or more years prior to diagnosis). The mean
number of pack years among the smokers was 47 (range: 1-122), with 79 (42.9%) having at least 50-pack
year history. 131 (62.4%) patients had limited stage: 71 (33.8%) stage I, 25 (11.9%) stage II and 35
(16.6%) stage III. 79 (37.6%) patients had advanced (stage IV) disease. Treatment was administered
according to the NCCN guidelines16, dictated by stage, presence of predictive/therapeutic biomarkers and
including: surgery/radiation plus/minus adjuvant chemotherapy for stages I-II, definitive chemo/radiation
therapy followed by immunotherapy for stage III, and immunotherapy, combination chemo-
immunotherapy, targeted therapy or palliative radiation for stage IV. At a median follow-up of 26 months
(range: 1-46 months, SD 13.9), with a minimum of 21 months follow-up for surviving patients, the overall
survival (OS) and progression-free survival (PFS) were 44.3% and 39.5%, respectively. TP53 mutations. TP53 mutation was the most commonly detected, occurring in 100 (47.6%) cases. The detected
mutations were highly diverse; 77% occurred only in a single case in this cohort. The most common
recurring mutations affected residue 273 (p.R273L, p.R273C or p.R273H) seen in 7% of the mutated
cases, followed by residue 179 (p.H179R or H179Y), accounting for 5.5% of cases, 248 (p.R248L or
R248W; 4.4% of cases), 154 (p.G154V; 3.3% of cases) and 282 (p.R282G; 2.2% of cases). Most missense,
frameshift, and nonsense mutations were located in known “hot spots”, annotated as functional protein Page 6/26 domains for DNA-binding (amino acid residues 100-292) and tetramerization (residues 325-356). 1718
Such functional domains mutations were seen in 94 (44.8%) cases. The remaining rare mutations were
seen outside of these functional domains, including variants located in the transactivation domain
(residues 6-29) or splice site variants. Distribution of TP53 mutations in studied cases across protein
domains is depicted in Fig. 2. EGFR mutations. EGFR mutations were seen in 21 (10%) of cases studied. The most common were exon 19
deletion/insertions and exon 21 p.L858R mutations accounting for 47.6% and 38% of the
EGFR mutations, respectively. T790M mutation in exon 20 was identified as a second mutation with a
lower allelic frequency in 3 (10.3%) of the EGFR-mutated patients that previously received EGFR
inhibitors. KRAS mutations. KRAS mutations were the second most commonly detected, seen in 80 (38.1%) cases. The vast majority
of KRAS mutations affected codon 12 (63 cases, 78.8%), with the remaining mutations occurring in
codon 13 (9 cases, 11.3%), codon 61 (6 cases, 7.5%), and codons 115 or 146 (one case, 1.3% each). The
proportion of KRAS mutations were as follows: p.G12C (28 cases, 35%), p.G12V (19 cases, 23.8%),
p.G12D (7 cases, 8.8%), p.Q61H (6 cases, 7.5%), p.G12A and p.G13C (5 cases each, 6.3%), p.G13D (4
cases, 5%), p.G12F (3 cases, 3.8%) and one case each of p.G12S, p.G155E and p.A146T (1.3% each). The
spectrum of KRAS mutations detected in the cohort overall is depicted in Fig. 3A. STK11 mutations. STK11 mutations occurred in 18 (8.6%) cases. The most prevalent mutations were p.Y60Ter (2), p.H168R
(2) and p.E256Ter (2) and splice donors (3). The remaining 9 mutations were each identified in single
cases (5.6%). PD-L1 expression and its correlation with molecular genetic
abnormalities. High PD-L1 expression (>50% TPS) was seen in 74 cases (35%), low PD-L1 expression (1-49% TPS) in
additional 59 cases (29%). The remaining 77 patients (37%) were negative for PD-L1 expression (TPS<1). High PD-L1 expression occurred more commonly in tumors with KRAS (p=0.002) or BRAF (p=0.04)
mutations, as well as in tumors with MET gene amplification (p=0.011). Both low/high and high PD-L1
expression were less common in tumors with STK11 mutation (p=0.009 and p=0.04, respectively). Overall mutational rates per tumor and co-mutation rates of
the most commonly mutated genes. The mean number of mutations per case was 1.41 (range: 0-10, 95% confidence interval: 1.27-1.56). No
mutations were detected in 31 (14.7%) cases, 94 (44.8%) had a single mutation, 63 (30%) had two
concurrent mutations, 17 (9%) had three and 5 (2.4%) had four or more mutations. TP53, KRAS and
STK11 mutations accounted for the majority of mutations, either one of them detected in 152 (72.4%) of
cases. TP53 mutation co-occurred with KRAS, STK11 or both of these mutations in 29 (13.8%), 9 (4.3%)
and 5 (2.4%) of cases, while KRAS co-occurred with STK11 mutation in 12 (5.7%) cases, respectively. Page 7/26 Page 7/26 MET amplification, ALK and ROS1 rearrangement. MET amplification, ALK and ROS1 rearrangeme MET amplification was seen in 7 cases (3%), with MET/chromosome 7 ratios ranging from 2.17 to 6.78
in these amplified cases (mean 3.8). Only one case had ratio greater than 5.0 (high-level amplification). RET rearrangements were seen in 3 cases (1.4%), ROS1 and ALK rearrangements in 1 case (0.5%) each,
respectively. Reflexive molecular standing order experience Utilizing a reflexive standing order for molecular testing ensured completion of testing within 10 working
days after the biopsy/excision date in all of the cases studied (mean: 8.5 days; range 7-10 working days
after the biopsy date). Obtaining unstained sections for molecular testing at the time of cutting the initial
hematoxylin-eosin sections for diagnosis allowed performing molecular studies on tissue from small
biopsies and cytology cell blocks, by obtaining unstained ribbons of tissue during the initial diagnostic
evaluation, avoiding “refacing” the paraffin blocks, which is necessary when the blocks need to be cut for
molecular testing at a later date. During the study period, only two cases (less than 1%) had no residual
tumor tissue at diagnosis and could thus not be included in this cohort (never progressed to molecular
testing). Prior to introducing the reflexive testing in 2017, our turn-around time exceeded this by up to 5
working days, plus not obtaining sections for molecular testing at diagnosis resulted in an approximately
8% testing failure rate due to lack of residual tissue in the paraffin blocks (data not shown). Overall survival/progression-free survival and clinical stage. The overall survival and progression-free survival rates across all stages at the mean follow up of 26
months (with a minimum of 21 months for surviving patients) were 44.3% and 39.5%, respectively. Page 8/26 Among patients with stages I, II and III disease (lower stage), 24/71 (33.8%), 8/25 (32%) and 17/34 (50%)
died of the disease within the studied time period, resulting in 62.2% overall survival rate in this lower
stage category. In contrast, 68/80 (85%) of patients in the advanced stage group (stage IV) died, resulting
in a 15% overall survival rate (p<0.001, Kaplan-Meier analysis with log rank; Fig. 4A). Similar findings
were seen for progression-free survival. In stages I, II and III, 27/71 (38%), 11/25 (44%) and 16/34 (47%)
of patients experienced disease recurrence or progression, with overall 58.5% progression-free survival
rate in the lower stage group. This contrasted with 73/80 (91.3%) of patients with stage IV disease, who
recurred/progressed, resulting in 8.7% progression-free survival rate (p<0.001, Kaplan-Meier analysis with
log rank). The clinical and molecular findings are summarized in Table 1. Table 1 Clinicopathological parameters and the four most commonly detected mutations Page 9/26 TP53 Mutation
KRAS Mutation
EGFR Mutation
STK11 Mutation
N (%)
P
N (%)
P
N (%)
P
N (%)
P
Gender
Male
40
(41%)
0.4
26
(27%)
0.003
7 (7%)
0.25
11
(11%)
0.22
Female
54
(48%)
54
(48%)
14
(12%)
7 (6%)
Age
>70 years
38
(38%)
0.09
35
(35%)
0.48
10
(10%)
1.0
8 (8%)
1.0
<70 years
56
(50%)
45
(41%)
11
(10%)
10 (9%)
Stage
I-III
61
(47%)
0.56
46
(35%)
0.31
13
(10%)
1.0
10 (8%)
0.6
IV
33
(42%)
34
(43%)
8 (10%)
8 (10%)
Smoking History
Smoker
90
(46%)
0.27
77
(39%)
0.26
14 (7%)
<0.001
18 (9%)
0.6
Never smoker
4
(29%)
3 (21%)
7 (50%)
0 (0%)
Smoking Status
Current
Smoker
58
(53%)
0.018
45
(41%)
0.39
3 (3%)
<0.001
10 (9%)
0.8
Former
Smoker
36
(36%)
35
(35%)
18
(18%)
8 (8%)
Pack Years
50 or more
35
(44%)
0.88
26
(33%)
0.22
2 (3%)
0.001
9 (11%)
0.16
Less than 50
45
(43%)
44
(42%)
18
(17%)
5 (5%)
PD-L1
Expression Page 10/26 0.25
Absent
30
(39%)
24
(31%)
10
(13%)
13
(17%)
High
33
(45%)
1.0
39
(53%)
0.002
5 (7%)
0.34
2 (3%)
0.04
Low/Absent
61
(45%)
41
(23%)
16
(12%)
16
(12%) 0.25
Absent
30
(39%)
24
(31%)
10
(13%)
13
(17%)
High
33
(45%)
1.0
39
(53%)
0.002
5 (7%)
0.34
2 (3%)
0.04
Low/Absent
61
(45%)
41
(23%)
16
(12%)
16
(12%) TP53 mutation and survival. Among the patients with TP53 mutations affecting the regions encoding the two principal functional
domains (DNA-binding and tetramerization), 44% died of disease, compared to 24% of patients without a
"hot spot” TP53 gene mutation (p=0.01). By Kaplan-Meier analysis, such TP53-mutated patients showed
significantly worse overall survival (p=0.023, Fig. 4B). Controlled for gender, age, stage and smoking
history in a multivariate analysis, a stepwise backward elimination Cox regression model showed that
clinical stage (p<0.001, HR=1.85, 95% CI 1.57-2.2), TP53 mutation status (p=0.004, HR=1.71, 95% CI 1.18-
2.47), male gender (p=0.04; HR 1.47, 95% CI 1.01-2.12) and KRAS/STK11 co-mutation (p=0.05; HR 1.92,
95% CI 1.00-3.69) independently correlated with overall survival (Table 2). Male gender was no longer
significant for overall survival when EGFR mutated cases were excluded from analysis, reflecting the
higher prevalence of the prognostically favorable EGFR mutation in non-smoking women (p=0.007). Multivariate Cox regression model showed only advanced stage as significant variable for progression-
free survival (PFS) (p<0.001, HR=2.62, 95% CI 1.66-4.11). A separate stage IV survival analysis confirmed
the adverse effect of TP53 mutation on both OS and PFS in patients with advanced disease (p=0.007
and p=0.003, respectively; Fig 4C). Results of univariate and multivariate analyses: P = P- value, HR = Hazard Risk, CI = Confidence Interval Table 2 Results of univariate and multivariate analyses: P = P- value, HR = Hazard Risk, CI = Confidence Interval Results of univariate and multivariate analyses: P = P- value, HR = Hazard R Page 11/26 UNIVARIATE ANALYSIS: Stage I (N=64)*:
KRAS/TP53 co-mutation
0.009
3.78
1.39 - 10.27
Stages I-II (N=84)*:
KRAS/TP53 co-mutation
0.03
2.6
1.11 - 6.1
Stage IV (N=71)*:
TP53 mutation
0.004
2.07
1.26 – 3.4
MULTIVARIATE ANALYSIS:
All stages (N=210):
Stage
<0.001
1.86
1.57 - 2.2
TP53 mutation
0.004
1.71
1.19 - 2.47
Male gender
0.04
1.47
1.01 - 2.12
KRAS/STK11 co-mutation
0.05
1.92
1.0 – 3.69
All stages without EGFR-mutated cases (N=189):
Stage
<0.001
1.82
1.53 – 2.16
TP53 mutation
0.009
1.67
1.13 – 2.44
KRAS/STK11 co-mutation
0.03
2.1
1.08 – 4.07
*Without EGFR-mutated cases PD-L1 status and survival. High PD-L1 expression appeared as an adverse factor in both OS and PFS on univariate analysis (p=0.03
and 0.04, respectively) but this was shown to be due to a correlation with advanced stage, where PD-L1
was more often expressed (p=0.012). A multivariate Cox regression model controlled for age, gender,
stage and smoking history, showed that PD-L1 status was not independently associated with OS or PFS. Mutually exclusive mutations. EGFR mutations were entirely mutually exclusive with BRAF mutations, as well as nearly mutually
exclusive with KRAS and NRAS mutations (in only one case, EGFR mutation co-occurred with mutation in
either KRAS or NRAS; both p=0.001). TP53/KRAS, KRAS/STK11 co-mutations and survival. KRAS/STK11 co-mutation was associated with worse OS (p=0.018; Fig. 4D). This was independent of
stage, gender, or TP53 mutation in the above multivariate model. In stage I, as well as stages I-II, after
excluding cases with favorable prognostic effect of EGFR mutation , KRAS/TP53 co-mutation was
predictive of adverse OS (p=0.005 and p=0.02; Fig. 4E). KRAS mutations and clinical features. Any KRAS mutation, codon 12 mutations (both p=0.003) and most specifically G12C mutation (p<0.001)
tended to occur in women, smokers (both p=0.04) and most prominently in women smokers (p<0.001). Page 12/26 Page 12/26 No associations of KRAS mutations with outcome were noted. No associations of KRAS mutations with outcome were noted. EGFR mutations and survival. Among the EGFR mutated cases, shortened survival was seen by Kaplan Meier analysis in advanced
stage (p=0.02) and male gender (p=0.025); both independent in multivariate Cox Regression analysis
(p=0.005 and 0.01; HR 2.9/95% CI 1.4-6.2 and 8.9, 95% CI 1.7-46.6, respectively). Discussion In the present study, we report mutational profiles and clinical outcomes of lung adenocarcinomas from
patients residing in the rural parts of the state of Maine - a region of the US with a particularly high
incidence of this disease. As could be expected from the clinical experience and established knowledge,19
clinical stage at presentation was a strong factor determining the outcome in our patients. In addition,
several mutations and co-mutations were found to strongly affect survival independently of stage, both in
the entire cohort overall, as well as in select stage subgroups. The 44.3% overall survival rate of our
cohort within the studied time frame is comparable to the approximately 40% 2-year survival rate across
all stages of LUAD in the national cancer databases. 20 TP53 mutations affecting DNA-binding and tetramerization domains are known to dysregulate the
transactivation of TP53-dependent genes and promote tumorigenesis 21-22. TP53 mutations in these two
domains occurred in 41% of our patients and showed a strong, stage-independent prognostic effect on
OS with a hazard ratio of 1.7. The stage-independent prognostic significance of these TP53 mutations
was further demonstrated in a separate analysis of stage IV tumors, showing a similar hazard ratio for
adverse OS. A high prevalence of TP53 mutations in our lung cancer population was not unexpected. TP53 mutation has been identified in a number of prior studies as consistently the most frequent
mutation in LUAD - with a prevalence reported around 45%, ranging from mid-30% range to 50% of cases
23-24. The adverse prognostic effect of TP53 mutations has been reported less consistently among
studies, but has likewise not been an infrequent finding 25. The TP53 mutations identified in our tumors
were very diverse, with the same mutation only rarely seen in more than a single patient. This is also a
common occurrence, as there is typically no consistent pattern in the spectrum of TP53 mutations, even
in cancers of the same type 26. Six point mutations (R175, G245, R248, R249, R273 and R282), seen in
14% of our cases, typically account for up to 30% of all mutations in human cancers 22. Since they are
located in the DNA binding region, these mutations disrupt the tumor suppressive activity of the p53
protein. Gene mutations and smoking. As mentioned earlier, KRAS G12C mutation was more commonly seen in smokers (p=0.04), with G12V
being second most common. In non-smokers this order was reversed (Fig. 3B). An inverse association
was seen between EGFR mutation and smoking, with 50% of non-smokers harboring an EGFR mutation,
in contrast to only 7% of smokers (p<0.001). Among patients with positive smoking history, As mentioned earlier, KRAS G12C mutation was more commonly seen in smokers (p=0.04), with G12V
being second most common. In non-smokers this order was reversed (Fig. 3B). An inverse association
was seen between EGFR mutation and smoking, with 50% of non-smokers harboring an EGFR mutation,
in contrast to only 7% of smokers (p<0.001). Among patients with positive smoking history,
EGFR mutation occurred in 18% of prior smokers, in contrast to only 2.7% of current smokers (p<0.001),
and in 17% of patients with lower than 50 pack-year history, in contrast to only 2.5% of smokers with 50
or greater pack-year history (p=0.001). Considering the positive correlation of male gender with heavy
smoking (greater than 50 pack-years; p=0.007) and a female non-smoker status with EGFR mutation
(p<0.001), a relative survival advantage of women non-smokers was seen by Kaplan-Meier survival Page 13/26 Page 13/26 analysis (p=0.05; log rank). However, unlike male gender, such “female non-smoker” status was not an
independent survival factor in a multivariate Cox Regression model with stage, TP53 mutation and
KRAS/STK11 co-mutation. PD-L1 expression, gene mutations and survival. High PD-L1 expression occurred significantly more commonly in tumors with mutations in the MAPK
pathway (KRAS, BRAF or NRAS; p<0.001) as well as those with MET gene amplification (p=0.009). Similar
trend was seen for tumors with KRAS/TP53 co-mutation, but did not reach significance (p=0.08). In
contrast, PD-L1 expression was more commonly absent in tumors with STK11 mutations (p=0.009), even
more so in those with KRAS/STK11 co-mutations (p=0.002). Discussion Finding these mutations in our study is similar to that of Zahra et al, who utilized the same NGS
platform used in our study, detecting 11% of TP53 mutations in their lung cancers in these “hotspots” 23. Page 14/26 Page 14/26 TP53 mutations at seven residues (R157, R158, R179, G245, R248, R249 and R273) known to be
susceptible to damage caused by benzopyrene diol epoxide, a potent cigarette smoke carcinogen,
occurred in 25% of our mutated patients (all smokers), similar to what has been reported in lung cancer
patients previously 27. A TP53 transversion mutation at residue 249, which is rarely seen outside of radon
exposure, only occurred in one of our patients, suggesting that radon exposure may not have played a
major role in our cohort, although other studies have questioned the sensitivity of this mutation as a
marker of radon exposure in LUAD 28. The spectrum of KRAS mutations detected in our study was similar to previously reported lung cancer
studies 29-30. The most common mutations affected codon 12 (predominantly G12C and G12V), followed
by codons 13, 61 and rarely others. The most common mutation types differed between smokers and
non-smokers, similar to what was reported previously by Yu et al 31. While by themselves, KRAS mutations didn’t show an impact on prognosis, when co-occurring with other
mutations, KRAS had a very significant prognostic impact. Co-mutation KRAS/STK11 identified an
adverse group with 18% OS at 40 months, which contrasted with a 40% OS rate seen in patients without
such co-mutation over the same timeframe. Similarly, KRAS/TP53 co-mutations delineated an adverse
disease subset within the low-stage (I-II) cancers, when excluding the prognostically positive effect of
EGFR mutation 32. This difference was marked, with 65% of low-stage patients without such co-mutation
being alive at 40 months, in contrast to only 30% of those with KRAS/TP53 co-mutation. In other words,
less than half of the patients with these co-mutations achieved the overall survival seen in patients with
the same stage of disease, who lacked these adverse mutational signatures. Prior reports have suggested
existence of such molecular LUAD subsets, defined by the presence of co-existing mutations in the tumor,
such as: the wild-type group, isolated TP53 group, KRAS group, KRAS/TP53 group and KRAS/STK11
group 33. Others however, could not confirm the effect of such genomic co-alterations on survival 34. Discussion Among the remaining mutations detected most frequently in our patients, of note is the relatively lower
prevalence of EGFR mutations, compared to the literature typically reporting it to range anywhere between
17% to 52% 35. These cumulative averages reflect data influenced by extrapolations from East Asian
data, as well as that derived from populations with larger contribution of women and non-smokers 36. In
contrast, lung cancer patient populations more similar in composition to that of rural Maine (majority
Caucasian of predominantly northern European/often German or Scandinavian ancestry, with a large
proportion of smokers), have shown the prevalence of EGFR mutations closer to 10%, similar to our study
37-38. In fact, even in The Cancer Genome Atlas (TCGA), the overall rate of EGFR mutations is only 14% 39. The prevalence of other mutations in our cohort was similar to previous reports 40. We observed that
tumors with mutations affecting the MAPK pathway (KRAS, BRAF and NRAS), as well as those with MET
gene amplification, more frequently show high expression of PD-L1, with a trend for KRAS/TP53 co-
mutated tumors to be overexpressed. In contrast, tumors with STK11 mutations, as well as with
KRAS/STK11 co-mutations were significantly less commonly PD-L1 positive in our experience. This Page 15/26 Page 15/26 supports the notion that the previously proposed co-mutation subtypes not only exist and vary in terms of
biologic aggressiveness, but may also differ in their responsiveness to immunotherapy, as has been
recently suggested 41-42. From methodological standpoint, utilizing reflexive standing order for local molecular testing, initiated by
the pathologist at the time when the diagnosis is established, resulted in the testing being completed in a
short enough turn-around time for the results to be available at the time of the patient’s first encounter
with the oncologist (generally 2 weeks after diagnosis). Such completion times are not only out of the
reach of most send-out tests, but the reflexive procedure, which also includes obtaining sections for
molecular testing during the intial sectioning, prevents loss of material typically associated with later
procurement of sections for any subsequently requested testing. This in turn leads to a very low
unsatisfactory rate for molecular testing (generally within single percentage range in our experience
across many different tumor types). Authors Contributions: All authors contributed to the study conception and design. Material preparation, data collection, formal
analysis and original draft preparation were performed by Laura Skacel, Michael Babcock and Marek
Skacel. Data curation, conceptualization and editing were performed by Antoine Harb, Adam Curtis, Carter
Liou and Kathleen Brown. Editing and supervision were performed by Frantisek Sandor. All authors read
and approved the final manuscript. Code Availability: Standard software for next generation sequencing available for review Funding: The authors did not receive any specific grant funding or financial support from funding agencies or
organizations for the submitted work Discussion expansion of the current profiles and continue our efforts of mapping the molecular lung cancer
landscape in our region. The authors have no relevant financial or non-financial interests to disclose he authors have no relevant financial or non-financial interests to disclose Discussion In conclusion, our analysis of oncogenes and tumor suppressor genes in LUAD showed a distribution of
mutations in rural Maine tumors to be similar to what has been reported from other regions of related
ancestry, supporting the recently proposed subclassification of LUAD into different co-mutational
subsets. Importantly, in this study we show such subclassification to be possible to accomplish by using
a smaller gene panel in a regional oncology care setting, with the only pre-requisite being a sufficient
coverage of the TP53, KRAS and STK11 genes. In particular, our study adds to the recently emerged data
emphasizing the importance of detecting therapeutically and prognostically significant mutations in early
stage tumors 43. The recent FDA-approval of targeted therapies such as EGFR inhibitors for lung
carcinomas of stages IB-IIIA provides a strong support for mutational testing of early stage lung tumors
44, and may constitute a tipping point for laboratories and hospitals to adopt similar reflexive molecular
testing strategies as described herein. Our results contribute to the so far elusive efforts to develop risk
stratification models for early stage lung cancer utilizing their molecular characteristics 45. In comparison
to previously published studies derived predominantly from academic institutions or large commercial
laboratories, we show that NGS performed in a regional medical center setting yields molecular genetic
information of equal value for patient risk stratification and management. While utilizing a smaller panel
can prove to be a technical advantage in a regional community oncology setting due to its lower
complexity, it also represents a limitation of our study. For example we could not assess the recently
reported KEAP1/NFE2L2 pathway alterations, predicted to associate with therapy resistance and rapid
progression 46. Despite this limitation, the results we report complement the predominantly more urban
data in the literature by providing region-specific mutational profiles from a geographically unique lung
cancer population with high disease prevalence and a strong known risk factor, addressing what is often
referred to as an “urban-rural disparity” in oncology. Identification of high-risk groups amenable to
targeted intervention available in regional setting (such as targeting the specific G12C KRAS mutation
most recently 47) is essential for achieving sustainable improvement to rural cancer survival, which is
especially true for lung cancer 48. Our future work utilizing a larger mutation panel will allow further Page 16/26 expansion of the current profiles and continue our efforts of mapping the molecular lung cancer
landscape in our region. Availability of Data and Material (Data Transparency):
All data is available per request All data is available per request Ethics approval: This study was approved by the Institutional Review Board of Northern Light Eastern Maine Medical
Center, filed under number 19-1-A-001. All work was performed in accordance with the ethical standards
as laid down by the 1964 Declaration of Helsinki and its later amendments. This study was retrospective
in nature and was conducted on already available data and biologic materials obtained for routine
diagnostic purposes. Page 17/26 References 1. Lung and Bronchus Cancer - Cancer Stat Facts. Surveillance, Epidemiology, and End Results (SEER)
Program, National Cancer Institute (NCI). Cancer stat facts: lung and bronchus cancer. Bethesda, MD:
NCI, National Institutes of Health. https://seer.cancer.gov/statfacts/html/lungb.html. Published
2016. Accessed December 9, 2018. 2. Travis WD, Brambilla E, Noguchi M, et al. International association for the study of lung
cancer/american thoracic society/european respiratory society international multidisciplinary
classification of lung adenocarcinoma. J Thorac Oncol. 2011;6(2):244–85. doi:10.1097/JTO.0b013e318206a221. 2. Travis WD, Brambilla E, Noguchi M, et al. International association for the study of lung
cancer/american thoracic society/european respiratory society international multidisciplinary
classification of lung adenocarcinoma. J Thorac Oncol. 2011;6(2):244–85. doi:10.1097/JTO.0b013e318206a221. 3. Singh GK, Siahpush M, Williams SD. Changing urbanization patterns in US lung cancer mortality,
1950–2007. J Community Health. 2012;37(2):412–20. doi:10.1007/s10900-011-9458-3. 4. Atkins GT, Kim T, Munson J. Residence in rural areas of the United States and lung cancer mortality:
Disease incidence, treatment disparities, and stage-specific survival. Ann Am Thorac Soc. 2017;14(3):403–11. doi:10.1513/AnnalsATS.201606-469OC. 4. Atkins GT, Kim T, Munson J. Residence in rural areas of the United States and lung cancer mortality:
Disease incidence, treatment disparities, and stage-specific survival. Ann Am Thorac Soc. 2017;14(3):403–11. doi:10.1513/AnnalsATS.201606-469OC. 5. Roberts ME, Doogan NJ, Kurti AN, et al. Rural tobacco use across the United States: How rural and
urban areas differ, broken down by census regions and divisions. Health Place. 2016;39:153–9. doi:10.1016/j.healthplace.2016.04.001. 5. Roberts ME, Doogan NJ, Kurti AN, et al. Rural tobacco use across the United States: How rural and
urban areas differ, broken down by census regions and divisions. Health Place. 2016;39:153–9. doi:10.1016/j.healthplace.2016.04.001. 6. State Cancer Profiles. https://statecancerprofiles.cancer.gov/quick-profiles/index.php? statename=maine. Accessed December 10, 2018. 6. State Cancer Profiles. https://statecancerprofiles.cancer.gov/quick-profiles/index.php? statename=maine. Accessed December 10, 2018. 7. Maine | American Lung Association. https://www.lung.org/our-initiatives/research/monitoring-
trends-in-lung-disease/state-of-lung-cancer/states/ME.html. Accessed December 10, 2018. 7. Maine | American Lung Association. https://www.lung.org/our-initiatives/research/monitoring-
trends-in-lung-disease/state-of-lung-cancer/states/ME.html. Accessed December 10, 2018. 8. Farah C, Beard K, Hess CT, Hock JM. Analyzing Spatial and Temporal 222Rn Trends in Maine. Health
Phys. 2012;102(2):115–23. doi:10.1097/HP.0b013e318231aa9a. 9. Ivanov M, Laktionov K, Breder V, et al. Towards standardization of next-generation sequencing of
FFPE samples for clinical oncology: intrinsic obstacles and possible solutions. J Transl Med. 2017;15(1):22. doi:10.1186/s12967-017-1125-8. 9. Ivanov M, Laktionov K, Breder V, et al. Towards standardization of next-generation sequencing of
FFPE samples for clinical oncology: intrinsic obstacles and possible solutions. J Transl Med. 2017;15(1):22. doi:10.1186/s12967-017-1125-8. 10. Sholl L. Molecular diagnostics of lung cancer in the clinic. Transl Lung Cancer Res. 2017. doi:10.21037/tlcr.2017.08.03. 10. References Sholl L. Molecular diagnostics of lung cancer in the clinic. Transl Lung Cancer Res. 2017. doi:10.21037/tlcr.2017.08.03. 11. Miller TE, Yang M, Bajor D, et al. Clinical utility of reflex testing using focused next-generation
sequencing for management of patients with advanced lung adenocarcinoma. J Clin Pathol. September 2018:jclinpath-2018-205396. doi:10.1136/jclinpath-2018-205396. 12. Saslow D, Solomon D, Lawson HW, et al. American Cancer Society, American Society for Colposcopy
and Cervical Pathology, and American Society for Clinical Pathology Screening Guidelines for the
Prevention and Early Detection of Cervical Cancer. Am J Clin Pathol. 2012;137(4):516–42. doi:10.1309/AJCPTGD94EVRSJCG. Page 18/26 13. Goldstraw P, Chansky K, Crowley J, et al. The IASLC Lung Cancer Staging Project: Proposals for
Revision of the TNM Stage Groupings in the Forthcoming (Eighth) Edition of the TNM Classification
for Lung Cancer. J Thorac Oncol. 2016;11(1):39–51. doi:10.1016/j.jtho.2015.09.009. 14. McCall CM, Mosier S, Thiess M, et al. False positives in multiplex PCR-based next-generation
sequencing have unique signatures. J Mol Diagn. 2014;16(5):541–9. doi:10.1016/j.jmoldx.2014.06.001. 15. Garon EB, Rizvi NA, Hui R, et al. Pembrolizumab for the Treatment of Non–Small-Cell Lung Cancer. N
Engl J Med. 2015;372(21):2018–28. doi:10.1056/NEJMoa1501824. 16. Org N. NCCN Clinical Practice Guidelines in Oncology (NCCN Guidelines ®) NCCN Evidence Blocks
TM Non-Small Cell Lung Cancer.; 2020. 17. Cerami E, Gao J, Dogrusoz U, et al. The cBio cancer genomics portal: an open platform for exploring
multidimensional cancer genomics data. Cancer Discov. 2012;2(5):401–4. doi:10.1158/2159-
8290.CD-12-0095. 18. Bouaoun L, Sonkin D, Ardin M, et al. TP53 Variations in Human Cancers: New Lessons from the IARC
TP53 Database and Genomics Data. Hum Mutat. 2016;37(9):865–876. doi:10.1002/humu.23035. 19. Barta JA, Powell CA, Wisnivesky JP. Global Epidemiology of Lung Cancer. Ann Glob Heal. 2019;85(1). doi:10.5334/aogh.2419. 20. SEER*Explorer Application. "https://seer.cancer.gov/explorer/application.html. Accessed February 23,
2021. 21. Joerger AC, Fersht AR. Structural Biology of the Tumor Suppressor p53. Annu Rev Biochem. 2008;77(1):557–82. doi:10.1146/annurev.biochem.77.060806.091238. 22. Pavletich NP, Chambers KA, Pabo CO. The DNA-binding domain of p53 contains the four conserved
regions and the major mutation hot spots. Genes Dev. 1993;7(12B):2556–64. doi:10.1101/gad.7.12b.2556. 23. Shajani-Yi Z, de Abreu FB, Peterson JD, Tsongalis GJ. Frequency of Somatic TP53 Mutations in
Combination with Known Pathogenic Mutations in Colon Adenocarcinoma, Non-Small Cell Lung
Carcinoma, and Gliomas as Identified by Next-Generation Sequencing. Neoplasia. 2018;20(3):256–
62. doi:10.1016/j.neo.2017.12.005. 24. Jao K, Tomasini P, Kamel-Reid S, et al. The prognostic effect of single and multiple cancer-related
somatic mutations in resected non-small-cell lung cancer. Lung Cancer. 2018;123:22–9. doi:10.1016/j.lungcan.2018.06.023. 25. References Ludovini V, Pistola L, Gregorc V, et al Plasma DNA. Microsatellite Alterations, and p53 Tumor
Mutations Are Associated with Disease-Free Survival in Radically Resected Non-small Cell Lung
Cancer Patients: A Study of the Perugia Multidisciplinary Team for Thoracic Oncology. J Thorac
Oncol. 2008;3(4):365–73. doi:10.1097/JTO.0b013e318168c7d0. 26. Olivier M, Hollstein M, Hainaut P. TP53 mutations in human cancers: origins, consequences, and
clinical use. Cold Spring Harb Perspect Biol. 2010;2(1):a001008. doi:10.1101/cshperspect.a001008. 26. Olivier M, Hollstein M, Hainaut P. TP53 mutations in human cancers: origins, consequences, and
clinical use. Cold Spring Harb Perspect Biol. 2010;2(1):a001008. doi:10.1101/cshperspect.a001008. Page 19/26 Page 19/26 27. Menzies GE, Reed SH, Brancale A, Lewis PD. Base damage, local sequence context and TP53
mutation hotspots: A molecular dynamics study of benzo[a]pyrene induced DNA distortion and
mutability. Nucleic Acids Res. 2015. doi:10.1093/nar/gkv910. 28. McDonald JW, Taylor JA, Watson MA, Saccomanno G, Devereux TR. p53 and K-ras in radon-
associated lung adenocarcinoma. Cancer Epidemiol Biomarkers Prev. 1995;4(7):791–793. http://www.ncbi.nlm.nih.gov/pubmed/8672998. Accessed October 4, 2020. 29. Román M, Baraibar I, López I, et al. KRAS oncogene in non-small cell lung cancer: clinical
perspectives on the treatment of an old target. Mol Cancer. 2018;17(1):33. doi:10.1186/s12943-018-
0789-x. 30. Yu HA, Planchard David, Lovly CM. Sequencing Therapy for Gentically Defined Subgroups of Non-
Small Cell Lung Cancer. 2020:726–739. 30. Yu HA, Planchard David, Lovly CM. Sequencing Therapy for Gentically Defined Subgroups of Non-
Small Cell Lung Cancer. 2020:726–739. 31. Yu HA, Sima CS, Shen R, et al. Prognostic impact of KRAS mutation subtypes in 677 patients with
metastatic lung adenocarcinomas. J Thorac Oncol. 2015;10(3):431. doi:10.1097/JTO.0000000000000432. 32. Stanic K, Turnsek N, Vrankar M. Incorporation of EGFR mutation status into M descriptor of new
TNM classification influences survival curves in non-small cell lung cancer patients. Radiol Oncol. 2019;53(4):453–8. doi:10.2478/raon-2019-0053. 32. Stanic K, Turnsek N, Vrankar M. Incorporation of EGFR mutation status into M descriptor of new
TNM classification influences survival curves in non-small cell lung cancer patients. Radiol Oncol. 2019;53(4):453–8. doi:10.2478/raon-2019-0053. 33. La Fleur L, Falk-Sörqvist E, Smeds P, et al. Mutation patterns in a population-based non-small cell
lung cancer cohort and prognostic impact of concomitant mutations in KRAS and TP53 or STK11. Lung Cancer. 2019;130:50–8. doi:10.1016/j.lungcan.2019.01.003. 33. La Fleur L, Falk-Sörqvist E, Smeds P, et al. Mutation patterns in a population-based non-small cell
lung cancer cohort and prognostic impact of concomitant mutations in KRAS and TP53 or STK11. Lung Cancer. 2019;130:50–8. doi:10.1016/j.lungcan.2019.01.003. 34. References Gibert J, Clavé S, Hardy-Werbin M, et al. Concomitant genomic alterations in KRAS mutant advanced
lung adenocarcinoma. Lung Cancer. 2020;140:42–5. doi:10.1016/J.LUNGCAN.2019.12.003. 34. Gibert J, Clavé S, Hardy-Werbin M, et al. Concomitant genomic alterations in KRAS mutant advanced
lung adenocarcinoma. Lung Cancer. 2020;140:42–5. doi:10.1016/J.LUNGCAN.2019.12.003. 35. Lindeman NI, Cagle PT, Beasley MB, et al. Molecular testing guideline for selection of lung cancer
patients for EGFR and ALK tyrosine kinase inhibitors: guideline from the College of American
Pathologists, International Association for the Study of Lung Cancer, and Association for Molecular
Pathology. Arch Pathol Lab Med. 2013;137(6):828–60. doi:10.5858/arpa.2012-0720-OA. 36. Shigematsu H, Lin L, Takahashi T, et al. Clinical and Biological Features Associated With Epidermal
Growth Factor Receptor Gene Mutations in Lung Cancers. JNCI J Natl Cancer Inst. 2005;97(5):339–
46. doi:10.1093/jnci/dji055. 37. Gahr S, Stoehr R, Geissinger E, et al. EGFR mutational status in a large series of Caucasian European
NSCLC patients: data from daily practice. Br J Cancer. 2013;109(7):1821–8. doi:10.1038/bjc.2013.511. 38. Helland Å, Skaug HM, Kleinberg L, et al. EGFR gene alterations in a Norwegian cohort of lung cancer
patients selected for surgery. J Thorac Oncol. 2011;6(5):947–50. doi:10.1097/JTO.0b013e31820db209. 39. Cancer Genome Atlas Research. Network JN, Weinstein JN, Collisson EA, et al. The Cancer Genome
Atlas Pan-Cancer analysis project. Nat Genet. 2013;45(10):1113–20. doi:10.1038/ng.2764. Page 20/26 Page 20/26 40. Mäki-Nevala S, Sarhadi VK, Rönty M, et al. Hot spot mutations in Finnish non-small cell lung cancers. Lung Cancer. 2016;99:102–10. doi:10.1016/j.lungcan.2016.06.024. 41. Serra P, Petat A, Maury J-M, et al. Programmed cell death-ligand 1 (PD-L1) expression is associated
with RAS/TP53 mutations in lung adenocarcinoma. Lung Cancer. 2018;118:62–8. doi:10.1016/j.lungcan.2018.02.005. 42. Bange E, Marmarelis ME, Hwang W-T, et al. Impact of KRAS and TP53 Co-Mutations on Outcomes
After First-Line Systemic Therapy Among Patients With STK11-Mutated Advanced Non-Small-Cell
Lung Cancer. JCO Precis Oncol. 2019;3. doi:10.1200/PO.18.00326. 43. Kneuertz PJ, Carbone DP, D’Souza DM, et al. Prognostic value and therapeutic implications of
expanded molecular testing for resected early stage lung adenocarcinoma. Lung Cancer. 2020;143:60–6. doi:10.1016/J.LUNGCAN.2020.03.012. 44. Herbst RS, Tsuboi M, John T, et al. Osimertinib as adjuvant therapy in patients (pts) with stage IB–
IIIA EGFR mutation positive (EGFRm) NSCLC after complete tumor resection: ADAURA. J Clin Oncol. 2020;38(18_suppl):LBA5–5. doi:10.1200/JCO.2020.38.18_suppl.LBA5. 45. Kratz JR, Haro GJ, Cook NR, et al. Incorporation of a Molecular Prognostic Classifier Improves
Conventional Non-Small Cell Lung Cancer Staging. J Thorac Oncol. 2019;14(7):1223–32. doi:10.1016/j.jtho.2019.03.015. 46. Goeman F, De Nicola F, Scalera S, et al. References Mutations in the KEAP1-NFE2L2 Pathway Define a Molecular
Subset of Rapidly Progressing Lung Adenocarcinoma. J Thorac Oncol. 2019;14(11):1924–34. doi:10.1016/j.jtho.2019.07.003. 47. Molina-Arcas M, Moore C, Rana S, et al. Development of combination therapies to maximize the
impact of KRAS-G12C inhibitors in lung cancer. Sci Transl Med. 2019;11(510). doi:10.1126/scitranslmed.aaw7999. 48. Dalwadi S, Teh BS, Bernicker E, Butler EB, Farach AM. Community-based Disparities in the Treatment
and Outcomes of Early-stage Non-small-cell Carcinoma. Cureus. 2019;11(10):e5889. doi:10.7759/cureus.5889. Figures Figures Page 21/26 Figure 1 Molecular alterations detected in the lung adenocarcinomas in this study. Mutational frequency depicted
for each gene as percentage of cases with mutation. Page 22/26 Figure 2 Distribution of TP53 mutations in the studied cases. Mutations occurred most commonly in the DNA
binding (red) and tetramerization (purple) domains of the p53 protein. The individual mutations are
depicted as a “lollipops” on the x-axis and their frequency on the y-axis. The plot was constructed using
the MutationMapper method described by Cerami et al 17. Missense mutations are depicted as green,
truncating black and splice variants pink circles. The most commonly detected mutation at residue 273 is
annotated. Page 23/26 Figure 3 Frequency of KRAS mutation types in the studied cases. A. All cases, B. Smokers compared to non-
smokers Figure 4 Kaplan-Meier survivals analysis: A. Stages I-IV (p<0.001) B. TP53 mutation, entire cohort (p=0.023) C:
TP53 mutation, stage IV only (p=0.002), D: KRAS/STK11 co-mutations, entire cohort (p=0.018), E:
KRAS/TP53 co-mutations, stage I only (p=0.021) Figure 3 Frequency of KRAS mutation types in the studied cases. A. All cases, B. Smokers compared to non-
smokers Page 24/26 Figure 4
Kaplan-Meier survivals analysis: A. Stages I-IV (p<0.001) B. TP53 mutation, entire coho SupplementalTable1.docx Supplementary Files Page 25/26 Page 25/26 This is a list of supplementary files associated with this preprint. Click to download. SupplementalTable1.docx SupplementalTable1.docx Page 26/26
|
https://openalex.org/W2839721610
|
https://dspace.mit.edu/bitstream/1721.1/117046/1/40425_2018_Article_380.pdf
|
English
| null |
A team effort: natural killer cells on the first leg of the tumor immunity relay race
|
Journal for immunotherapy of cancer
| 2,018
|
cc-by
| 2,678
|
MIT Open Access Articles
A team effort: natural killer cells on the
first leg of the tumor immunity relay race
The MIT Faculty has made this article openly available. Please share
how this access benefits you. Your story matters.
tation: Fessenden, Timothy B., et al. “A Team Effort: Natural Killer Cells on the First Leg of the
mor Immunity Relay Race.” Journal for ImmunoTherapy of Cancer, vol. 6, no. 1, Dec. 2018. ©
18 The Author(s)
Published: https://doi.org/10.1186/s40425-018-0380-4
ublisher: Biomed Central Ltd.
ersistent URL: http://hdl.handle.net/1721.1/117046
rsion: Final published version: final published article, as it appeared in a journal, conference
oceedings, or other formally published context
rms of use: Creative Commons Attribution MIT Open Access Articles
A team effort: natural killer cells on the
first leg of the tumor immunity relay race
The MIT Faculty has made this article openly available. Please share
how this access benefits you. Your story matters. Citation: Fessenden, Timothy B., et al. “A Team Effort: Natural Killer Cells on the First Leg of the
Tumor Immunity Relay Race.” Journal for ImmunoTherapy of Cancer, vol. 6, no. 1, Dec. 2018. ©
2018 The Author(s)
As Published: https://doi.org/10.1186/s40425-018-0380-4
Publisher: Biomed Central Ltd. Persistent URL: http://hdl.handle.net/1721.1/117046
Version: Final published version: final published article, as it appeared in a journal, conference
proceedings, or other formally published context
Terms of use: Creative Commons Attribution MIT Open Access Articles The MIT Faculty has made this article openly available. Please share
how this access benefits you. Your story matters. Citation: Fessenden, Timothy B., et al. “A Team Effort: Natural Killer Cells on the First Leg of the
Tumor Immunity Relay Race.” Journal for ImmunoTherapy of Cancer, vol. 6, no. 1, Dec. 2018. ©
2018 The Author(s)
As Published: https://doi.org/10.1186/s40425-018-0380-4
Publisher: Biomed Central Ltd. Persistent URL: http://hdl.handle.net/1721.1/117046
Version: Final published version: final published article, as it appeared in a journal, conference
proceedings, or other formally published context
Terms of use: Creative Commons Attribution The MIT Faculty has made this article openly available. Please share
how this access benefits you. Your story matters. Citation: Fessenden, Timothy B., et al. “A Team Effort: Natural Killer Cells on the First Leg of the
Tumor Immunity Relay Race.” Journal for ImmunoTherapy of Cancer, vol. 6, no. 1, Dec. 2018. ©
2018 The Author(s) Main text
d Sustained infiltration of CD8+ T cells into the tumor
microenvironment has been shown to generate an im-
mune suppressive microenvironment through the upregu-
lation of immune inhibitory molecules, including PD-L1
(programmed death receptor ligand 1) on tumor cells or
myeloid cells [1]. Accordingly, the majority of melanoma
patients with a T-cell inflamed tumor microenvironment
responds
to
checkpoint
blockade
therapy
targeting
immune inhibitory pathways such as PD-1:PD-L1 interac-
tions, while non-T cell-inflamed tumors tend to be refrac-
tory to this therapy [2]. Unraveling the cellular and
molecular determinants of T cell recruitment to and
retention in solid tumors is therefore a crucial step toward
improving existing immunotherapies. Böttcher et al. addressed this question using a melan-
oma tumor model previously reported to exclude T cells
and CD103+ DC through the upregulation of cyclooxy-
genase enzymes COX-1 and COX-2 (encoded by ptgs1
and ptgs2) and their catalytic product, prostaglandin E2
(PGE2) [6]. In addition to the exclusion of CD103+ DC,
they observed a stark reduction in the recruitment of
Natural Killer (NK) cells into tumors [7]. Assessing the
chemokine expression profile of tumor-residing immune
cell subsets, the authors showed that XCL1 is produced
exclusively by NK cells while CCL5 is secreted by both
NK cells and CD8+ effector T cells. Both XCL1 and
CCL5 as well as CCL4 have previously been reported to
attract CD103+ DC to inflammatory sites through binding
to XCR1/CCR5 chemokine receptors [4, 8], results that
were confirmed in this study. In contrast to observations
by Böttcher et al., however, previous studies found chemo-
kine production originated from non-immune cells, sug-
gesting that the source for chemokines might be highly
context dependent. Antigen-presenting cells, in particular dendritic cells
(DC), are known to orchestrate initial activation of T cells
in the tumor-draining lymph node [1]. In particular,
cross-presenting CD103+ DC (also known as DC1 or
Clec9a + DC) appear to be critical for priming CD8+ T
cells [3]. Recent reports have defined a distinct role for
CD103+ DC residing within the tumor microenviron-
ment, where they cooperate with CD8+ cytotoxic T cells
to recognize and clear tumor cells. Consequently, tumors
able to exclude CD103+ DC can successfully evade T-cell
mediated
immune
control
[4,
5]. However,
our Depletion of NK cells resulted in failed recruitment of
CD103+ DC and immune evasion by tumors. Fessenden et al. Journal for ImmunoTherapy of Cancer (2018) 6:67
https://doi.org/10.1186/s40425-018-0380-4 Open Access Abstract Recent work by Böttcher and colleagues defines a new role for Natural Killer cells in the anti-tumor immune response,
arriving early into the tumor microenvironment before passing the baton to DC1 dendritic cells. DC1 dendritic cells
subsequently activate CD8+ T cells resulting in effective anti-tumor immunity. This work highlights the cooperative
nature of anti-tumor immunity set in motion by Natural Killer cells, and immune evasion by tumors through their
exclusion. understanding
of
the
recruitment
and
retention
of
tumor-resident DC populations is still sparse. A team effort: natural killer cells on the first
leg of the tumor immunity relay race Timothy B. Fessenden1, Ellen Duong2 and Stefani Spranger1,2,3* Timothy B. Fessenden1, Ellen Duong2 and Stefani Spranger1,2,3* © The Author(s). 2018 Open Access This article is distributed under the terms of the Creative Commons Attribution 4.0
International License (http://creativecommons.org/licenses/by/4.0/), which permits unrestricted use, distribution, and
reproduction in any medium, provided you give appropriate credit to the original author(s) and the source, provide a link to
the Creative Commons license, and indicate if changes were made. The Creative Commons Public Domain Dedication waiver
(http://creativecommons.org/publicdomain/zero/1.0/) applies to the data made available in this article, unless otherwise stated. lymphocyte death in tumors with high levels of PG
agrees with previous reports. A study of ovarian can
found that COX-2/PGE2
signaling caused increas
expression of Fas-ligand on endothelial cells, which
turn increased apoptosis of infiltrating T cells and resul
* Correspondence: spranger@mit.edu
1Koch Institute for Integrative Cancer Research at MIT, 500 Main Street,
Cambridge, MA 02139, USA
2Massachusetts Institute of Technology, Department of Biology, Cambridge,
USA
Full list of author information is available at the end of the article
© The Author(s). 2018 Open Access This article is distributed under the terms of the Creative Commons Attribution 4.0
International License (http://creativecommons.org/licenses/by/4.0/), which permits unrestricted use, distribution, and
reproduction in any medium, provided you give appropriate credit to the original author(s) and the source, provide a link to
the Creative Commons license, and indicate if changes were made. The Creative Commons Public Domain Dedication waiver
(http://creativecommons.org/publicdomain/zero/1.0/) applies to the data made available in this article, unless otherwise stated. Main text
d In vitro ana-
lysis showed that tumor-derived PGE2 resulted in dimin-
ished secretion of CCL5 and XCL1 by NK cells and
increased NK cell death [7]. The observation of increased
lymphocyte death in tumors with high levels of PGE2
agrees with previous reports. A study of ovarian cancer
found that COX-2/PGE2
signaling caused increased
expression of Fas-ligand on endothelial cells, which in
turn increased apoptosis of infiltrating T cells and resulted lymphocyte death in tumors with high leve
agrees with previous reports. A study of ova
found that COX-2/PGE2
signaling caused
expression of Fas-ligand on endothelial cells
turn increased apoptosis of infiltrating T cells a
* Correspondence: spranger@mit.edu
1Koch Institute for Integrative Cancer Research at MIT, 500 Main Street,
Cambridge, MA 02139, USA
2Massachusetts Institute of Technology, Department of Biology, Cambridge,
USA
Full list of author information is available at the end of the article
© The Author(s). 2018 Open Access This article is distributed under the terms of the Creative Commons Attribution
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
the Creative Commons license, and indicate if changes were made. The Creative Commons Public Domain Dedicati
(http://creativecommons.org/publicdomain/zero/1.0/) applies to the data made available in this article, unless otherw * Correspondence: spranger@mit.edu
1Koch Institute for Integrative Cancer Research at MIT, 500 Main Street,
Cambridge, MA 02139, USA
2Massachusetts Institute of Technology, Department of Biology, Cambridge,
USA
F ll li
f
h
i f
i
i
il bl
h
d
f h
i l Fessenden et al. Journal for ImmunoTherapy of Cancer (2018) 6:67 Page 2 of 3 in a non-T cell-inflamed tumor microenvironment [9]. Both studies show a cell death-related phenotype, however
since NK cell death was observed ex vivo, the molecular
mechanism appear to be distinct and should be fully
elucidated. The authors then validated their findings using patient
samples and found that indeed NK cells are the domin-
ant source of XCL1/2, while CD8+ effector T cells pro-
duce high levels of CCL5. Using human RNA transcript
data, the authors provide further evidence supporting
the concept that NK cells recruit CD103+ DC, which in
turn are required for the recruitment of effector T cells. Main text
d Previous work has shown that CD103+ DC are critical
for the recruitment of effector T cells into the tumor
microenvironment through the secretion of CXCL9 and
CXCL10 [5, 6]. Likewise, these studies provided evidence
that restoration of CD103+ DC infiltration mediates
regained responsiveness to immunotherapy. Considering these observations in conjunction with
those made by Böttcher and colleagues, it is plausible to
suggest that anti-tumor immunity may operate as a relay
race in which immune cells recruit each other to pass
the tumor-reactive “baton” (See Fig. 1). Such cooperation
ensures the sequential recruitment of NK cells, CD103+
DC, and most importantly CD8+ effector T cells into the
tumor microenvironment. It is worth noting that, similar
to effector T cells, NK cells can also be recruited by
CXCL9 and CXCL10. Fig. 1 The tumor-immune relay race. Natural Killer (NK) cells are the
first to arrive in the tumor microenvironment and recruit CD103+
dendritic cells (DC) through the secretion of chemokines. Activated
DC then transport antigen from the tumor to the tumor-draining
lymph node where they prime T cells (T). DC residence in tumors is
also critical to drive effector T cell recruitment into the tumor
microenvironment. Sensing and eradication of tumors is thus the
result of collaboration of distinct cell types within the
tumor microenvironment Meanwhile, CD8+ effector T cells are also a source
of
CCL4,
CCL5
and
XCL1. This
redundancy
in
chemokine-mediated immune cell recruitment sug-
gests a strong positive feedback loop, and highlights
the importance of the recruitment and activation of
early effector cells such as NK cells. Meanwhile, CD8+ effector T cells are also a source
of
CCL4,
CCL5
and
XCL1. This
redundancy
in
chemokine-mediated immune cell recruitment sug-
gests a strong positive feedback loop, and highlights
the importance of the recruitment and activation of
early effector cells such as NK cells. CD8+ effector T cells merits further investigation. Determining the mechanism of NK cell recruitment
could potentially lead to direct targeting of NK cell
recruitment
as
a
therapeutic
target
to
start
the
tumor-immune “relay race.” This therapeutic approach
could
convert
immunotherapy-resistant,
non-T
cell-inflamed
tumors
into
checkpoint
blockade
therapy-sensitive T cell-inflamed microenvironments,
potentially
independent
of
the
tumor
type
and
molecular mechanism for exclusion of CD103+ DC
and CD8+ T cells. The canonical cytolytic role of NK cells can directly or
indirectly contribute to tumor control. However, Böttcher et al. Main text
d make several intriguing observa-
tions regarding the role of NK cells during an anti-tumor
immune response that go beyond their classically described
function. The intriguing notion that innate lymphocytes
can be recruited into the tumor at very early stages could
explain the recruitment of CD103+ DC into tumors lacking
chemokine production. In conjunction with the observation
that PGE2 inhibits NK cell function, it could therefore be
speculated that PGE2 mediates inhibition of anti-tumor im-
mune responses at early stages of tumor development. In-
deed, expression of cyclooxygenases and production of
PGE2 has been linked to malignant transformation in mul-
tiple tissues and therefore is an early event in tumor devel-
opment [10]. However,
additional
studies
will
be
needed to elucidate how NK cells are activated and
recruited into early tumor lesions. Similarly, whether
NK cell activation is required in all cancer types to
drive recruitment and retention of CD103+ DC and Funding Funding
This work was funded by NCI R00CA204595 to SS. g
This work was funded by NCI R00CA204595 to SS. Authors’ contributions
TF, ED, and SS wrote and edited the manuscript. All authors read and
approved the final manuscript. Authors’ contributions
d
d Authors’ contributions
TF, ED, and SS wrote and edited the manuscript. All authors read and
approved the final manuscript. Authors’ contributions
TF, ED, and SS wrote and edited the manuscript. All authors read and
approved the final manuscript. Authors’ contributions
TF, ED, and SS wrote and edited
approved the final manuscript. Ethics approval and consent to participate
Not Applicable Competing interests Competing interests
The authors declare that they have no competing interests. Received: 26 April 2018 Accepted: 20 June 2018 Received: 26 April 2018 Accepted: 20 June 2018 Received: 26 April 2018 Accepted: 20 June 2018 Publisher’s Note Springer Nature remains neutral with regard to jurisdictional claims in
published maps and institutional affiliations. Author details
1 1Koch Institute for Integrative Cancer Research at MIT, 500 Main Street,
Cambridge, MA 02139, USA. 2Massachusetts Institute of Technology,
Department of Biology, Cambridge, USA. 3Howard S. and Linda B. Stern
Career Development Professor, 77 Massachusetts Avenue, Cambridge, MA
02139, USA. 1Koch Institute for Integrative Cancer Research at MIT, 500 Main Street,
Cambridge, MA 02139, USA. 2Massachusetts Institute of Technology, g
gy
Department of Biology, Cambridge, USA. 3Howard S. and Linda B. Stern Career Development Professor, 77 Massachusetts Avenue, Cambridge, MA
02139, USA. Consent for publication
Not applicable Consent for publication
Not applicable Page 3 of 3 Page 3 of 3 Fessenden et al. Journal for ImmunoTherapy of Cancer (2018) 6:67 Competing interests References 1. Spranger S. Mechanisms of tumor escape in the context of the T-cell-
inflamed and the non-T-cell-inflamed tumor microenvironment. Int
Immunol. 2016;28:383–91. 1. Spranger S. Mechanisms of tumor escape in the context of the T-cell-
inflamed and the non-T-cell-inflamed tumor microenvironment. Int
Immunol. 2016;28:383–91. 2. Tumeh PC, Harview CL, Yearley JH, Shintaku IP, Taylor EJM, Robert L, et al. PD-1 blockade induces responses by inhibiting adaptive immune resistance. Nature. 2014;515:568–71. 2. Tumeh PC, Harview CL, Yearley JH, Shintaku IP, Taylor EJM, Robert L, et al. PD-1 blockade induces responses by inhibiting adaptive immune resistance. Nature. 2014;515:568–71. 3. Engelhardt JJ, Boldajipour B, Beemiller P, Pandurangi P, Sorensen C, Werb Z,
et al. Marginating dendritic cells of the tumor microenvironment cross-
present tumor antigens and stably engage tumor-specific T cells. Cancer
Cell. 2012;21:402–17. 4. Spranger S, Bao R, Gajewski TF. Melanoma-intrinsic β-catenin signalling
prevents anti-tumour immunity. Nature. 2015;523:231–5. 5. Spranger S, Dai D, Horton B, Gajewski TF. Tumor-residing Batf3 dendritic
cells are required for effector T cell trafficking and adoptive T cell therapy. Cancer Cell. 2017;31:711–723.e4. 6. Zelenay S, van der Veen AG, Böttcher JP, Snelgrove KJ, Rogers N, Acton SE,
et al. Cyclooxygenase-dependent tumor growth through evasion of
immunity. Cell. 2015;162:1257–70. 7. Böttcher JP, Bonavita E, Chakravarty P, Blees H, Cabeza-Cabrerizo M,
Sammicheli S, et al. NK cells stimulate recruitment of cDC1 into the
tumor microenvironment promoting Cancer immune control. Cell. 2018;
172:1022–1037.e14. 7. Böttcher JP, Bonavita E, Chakravarty P, Blees H, Cabeza-Cabrerizo M,
Sammicheli S, et al. NK cells stimulate recruitment of cDC1 into the
tumor microenvironment promoting Cancer immune control. Cell. 2018;
172:1022–1037.e14. 8. Alexandre YO, Ghilas S, Sanchez C, Le Bon A, Crozat K, Dalod M. XCR1
dendritic cells promote memory CD8 T cell recall upon secondary infections
with listeria monocytogenes or certain viruses. J Exp Med. 2016;213:75–92. 9. Motz GT, Santoro SP, Wang L-P, Garrabrant T, Lastra RR, Hagemann IS, et al. Tumor endothelium FasL establishes a selective immune barrier promoting
tolerance in tumors. Nat Med. 2014;20:607–15. 10. Wang D, DuBois RN. Eicosanoids and cancer. Nat Rev Cancer. 2010;10:
181–93. 10. Wang D, DuBois RN. Eicosanoids and cancer. Nat Rev Cancer. 2010;10:
181–93.
|
https://openalex.org/W4235957214
|
https://www.qeios.com/read/I1WR7O/pdf
|
English
| null |
Health Insurance Portability and Accountability Act
|
Definitions
| 2,020
|
cc-by
| 76
|
Qeios · Definition, February 7, 2020 Open Peer Review on Qeios Health Insurance Portability and
Accountability Act National Cancer Institute National Cancer Institute Qeios ID: I1WR7O · https://doi.org/10.32388/I1WR7O Source National Cancer Institute. Health Insurance Portability and Accountability Act. NCI
Thesaurus. Code C62504. National Cancer Institute. Health Insurance Portability and Accountability Act. NCI Thesaurus. Code C62504. United States legislation enacted in 1996 that aims to provide health data privacy and
security. Qeios ID: I1WR7O · https://doi.org/10.32388/I1WR7O 1/1
|
https://openalex.org/W2795396442
|
https://www.napier.ac.uk:443/~/media/worktribe/output-2749988/libversioningcompiler-an-easy-to-use-library-for-dynamic-generation-and-invocation-of.pdf
|
English
| null |
libVersioningCompiler: An easy-to-use library for dynamic generation and invocation of multiple code versions
|
SoftwareX
| 2,018
|
cc-by
| 5,580
|
v1.2
https://github.com/ElsevierSoftwareX/SOFTX-D-17-00040
LGPL v3 git
C++, cmake, LLVM, Clang. Suggested system: Ubuntu 16.04 x86_64 or version greater. Required
dependencies: dl, uuid-dev. Optional dependencies: llvm-4.0-dev,
libclang-4.0-dev. d i
h
i git
C++, cmake, LLVM, Clang. Suggested system: Ubuntu 16.04 x86_64 or version greater. Required
dependencies: dl, uuid-dev. Optional dependencies: llvm-4.0-dev,
libclang-4.0-dev. If available Link to developer documentation/manual
Support email for questions If available Link to developer documentation/manual
Support email for questions While
in general purpose scenarios profile-guided compile-
time code transformation can provide sufficient optimization, in
HPC scenarios where large data sets are employed, profiling may
be infeasible. In these cases, which are becoming more and more
common [3], dynamic approaches can prove more effective. The
practice of improving the application code at runtime through
dynamic recompilation is known as continuous program optimiza-
tion [4–6]. Although it has been studied for more than a decade,
very few people adopt it in practice since it is difficult to perform
manually, and, when performed automatically, it can compromise
software maintainability. At the same time, autotuning is used both
to tune software parameters and to search the space of compiler
optimizations for optimal solutions [7]. Autotuning frameworks
can select one of a set of different versions of the same com-
putational kernel to best fit the HPC system runtime conditions,
such as system resource partitioning, as long as such versions are
generated at compile time. Few of these frameworks are actually
able to perform continuous optimization, and those that support it S. Cherubin *, G. Agosta Dipartimento di Elettronica, Informazione e Bioingegneria, Politecnico di Milano, Via G. Ponzio 34/5, I-20133 Milano, Italy SoftwareX 7 (2018) 95–100 SoftwareX 7 (2018) 95–100 Contents lists available at ScienceDirect
SoftwareX
journal homepage: www.elsevier.com/locate/softx a r t i c l e
i n f o Article history:
Received 23 May 2017
Received in revised form 13 March 2018
Accepted 23 March 2018
Keywords:
Dynamic compilation
Versioning compiler
Continuous optimization Article history:
Received 23 May 2017
Received in revised form 13 March 2018
Accepted 23 March 2018 We present libVersioningCompiler, a C++ library designed to support the dynamic generation of multiple
versions of the same compute kernel in a HPC scenario. It can be used to provide continuous optimization,
code specialization based on the input data or on workload changes, or otherwise to dynamically adjust
the application, without the burden of a full dynamic compiler. The library supports multiple underlying
compilers but specifically targets the llvm framework. p
p
y
g
We also provide examples of use, showing the overhead of the library, and providing guidelines for its
efficient use. © 2018 The Authors. Published by Elsevier B.V. This is an open access article under the CC BY license
(http://creativecommons.org/licenses/by/4.0/). * Corresponding author.
E-mail address: stefano.cherubin@polimi.it (S. Cherubin). Original software publication libVersioningCompiler: An easy-to-use library for dynamic
generation and invocation of multiple code versions https://doi.org/10.1016/j.softx.2018.03.006
2352-7110/© 2018 The Authors. Published by Elsevier B.V. This is an open access article under the CC BY license (http://creativecommons.org/licenses/by/4.0/). ors. Published by Elsevier B.V. This is an open access article under the CC BY license (http://creativecommons.org/licenses/by/4.0/). Code metadata Current code version
Permanent link to code/repository used for this code version
Legal Code License
Code versioning system used
Software code languages, tools, and services used
Compilation requirements, operating environments & dependencies https://doi.org/10.1016/j.softx.2018.03.006
2352-7110/© 2018 The Authors. Published by Elsevier B.V. This is an open access article under the CC BY license (http://creativeco SoftwareX journal homepage: www.elsevier.com/locate/softx https://doi.org/10.1016/j.softx.2018.03.006
2352-7110/© 2018 The Authors. Published by Elsevier B.V. This is an open access article under the CC BY license (http://creativecommons.org/licenses/by/4.0/). 2.2. Software functionalities libVC provides an easy-to-use interface that can be employed to
perform the dynamic compilation of a kernel, and to load compiled
Versions as C-like function pointers. libVC itself does not provide
any automatic selection of which Version should be executed. The decision of which Version is the most suitable for a given task
is left to policies defined by the programmer or other autotuning
frameworks such as mARGOt [13] or cTuning [14]. Indeed, in general purpose code it is preferable to profile the
application to statically generate ahead of time the most efficient
versions. However, in HPC code the execution times are usually
so long that a profiling run may not be an attractive choice. On
the contrary, libVC enables the exploration and tuning of the
parameter space of the compiler at runtime, while the program is
performing useful work. libVC comes in two different flavours: with detailed low-level
APIs and with simple high-level APIs. The latter is optimized for the
most common use cases, they exploit the default system compiler
and do not support any external optimization tool, whereas low-
level APIs allow a more fine grained setup and support split-
compilation techniques [15]; hence, the resulting source code is
slightly more verbose. libVC considers as valid compute kernels any C-like procedure
or function that can be compiled to object code. There is just one
constraint that should be enforced on the compute kernel: it must
respect C linkage rules. This means that no name mangling should
be applied to the compute kernel itself. Within our model, the
Compiler is the tool used to compile the compute kernel, and the
Version is the configuration passed to the compilation task. We
assume to work with deterministic Compilers. In this scenario,
a Version produces at most one executable code. No executable
code is generated when the specified configuration is invalid. The typical usage of libVC involves different stages. The first
task must be the declaration and initialization of the Version-
independent tools, such as Compilers and Version builders,
which are helper objects designed to properly setup a Version
configuration. Low-level APIs allow the programmer to customize
one or more Compiler implementations. High-level APIs expose
a special function to transparently perform this task; it is required
to be invoked just once in the whole process lifetime. After that, it
is possible to proceed to the Version configuration. 1. Motivation and significance Designing and implementing High Performance Computing
(HPC) applications is a difficult and complex task that requires
to master several specialized languages and performance-tuning
tools; however, this prerequisite is incompatible with the current
trend that opens HPC infrastructures to a wider range of users [1,2]. The current model that sees the HPC center staff directly support-
ing the development of applications will become unsustainable
in the long term. Thus, the availability of effective APIs and pro-
gramming languages is crucial to provide migration paths towards
novel heterogeneous HPC platforms as well as to guarantee the
developers’ ability to work effectively on these platforms. S. Cherubin, G. Agosta / SoftwareX 7 (2018) 95–100 96 do so only through specific versions of a dynamic compiler [8,9] or
through cloud-based platforms [10]. the interface that allows the host application to interact with
Compiler implementations. libVC provides up to three possible
implementations for the Compiler abstract class: SystemCom-
piler, which relies on system calls to external compilers that
are already installed in the host system; SystemCompilerOp-
timizer, which is an extension of a SystemCompiler that also
supports external optimization tools (such as the LLVM optimizer
opt); and ClangLibCompiler, which exploits the compiler-as-a-
library paradigm through the Clang APIs.1 Please note that Clan-
gLibCompiler is installed only if LLVM and libClang dependen-
cies are satisfied. The last important class is the Version class,
which represents a compute kernel defined in a specific source file,
with a given compiler configuration. A Version object is compiled
with the chosen Compiler using an ordered list of Options. It
contains a unique identifier, references to Compiler and Options
used to compile it, and references to the files that are generated
by the Compiler while compiling the Version. The configuration
of a Version object is immutable throughout the lifetime of that
object. The Version class also provides APIs to control the stages
of the compilation process: it is possible to create a Version object
and postpone the execution of the selected Compiler to a later
stage. libVersioningCompiler (abbreviated libVC) can be used to
perform continuous program optimization using simple C++ APIs. libVC allows different versions of the executable code of a compu-
tational kernel to be transparently generated on the fly. 2. Software description The goal of libVC is to allow a C/C++ compute kernel to be
dynamically compiled multiple times while the program is run-
ning, so that different specialized versions of the code can be gen-
erated and invoked. This capability is especially useful when the
optimal parametrization of the compiler depends on the program
workload. In these cases, the ability to switch at runtime between
different versions of the same code can provide significant benefits,
as shown in [11,12]. 1. Motivation and significance Continuous
program optimization with libVC can be performed by dynam-
ically enabling or disabling code transformations, and changing
compile-time parameters according to the decisions of other soft-
ware tools such as a generic application autotuner. The rest of the paper is organized as follows. In Section 2 we
describe the software architecture, the internal APIs and their
functionalities. In Section 3 we introduce an example of intended
use and discuss benefits and overhead deriving from the imple-
mentation of continuous program optimization through libVC in
a generic scenario. In Section 4 we highlight the impact of libVC
in both industry and research field. Finally, we draw some conclu-
sions in Section 5. 2.2. Software functionalities The program-
mer can, by using low-level APIs, dynamically forge and arrange
Options, set the chosen Compilers, manipulate file and kernel
names to identify the code to be compiled. The Version builder is
the component which allows this low-level setup. Once the Ver-
sion builder has its fields filled up, it can be finalized to generate a
Version object. High-level APIs receive all these parameters and
produce a Version object in a single function call. High-level APIs
limit the configuration to one Version at a time while low-level
APIs allows parallel configuration of multiple Versions. Once a
Version object is finalized, it has to be compiled. The compilation
task is activated by the programmer through a dedicated API. It may trigger more than one sub-task when it involves split-
compilation techniques. In the absence of compilation errors, and
regardless of which APIs are being used, at the end of this stage
libVC generates a binary shared object. From this same shared 2.1. Software architecture The libVC source code is available under the LGPLv3 licence. It
is compliant with the C++11 standard and it comes with config-
uration files to ease the setup by using the CMake build system. The minimum required CMake version is 3.0.2. The build system
automatically checks the presence of the optional dependencies
LLVM and libClang, whose version must be greater than 4.0.0. Whenever these dependencies are not satisfied, some features are
automatically disabled during the library installation. Please see
Code metadata Table for a detailed and exhaustive list of depen-
dencies. 1 http://clang.llvm.org/docs/Tooling.html. Description of the software model Fig. 1 shows a simplified UML class diagram of this software. It
is possible to identify three main classes in the source code. The
simplest class, which is called Option, represents each of the flag
and parameters that are passed to LibVC in order to compile a
version of a computing kernel. TheCompiler abstract class defines 97 S. Cherubin, G. Agosta / SoftwareX 7 (2018) 95–100 Fig. 1. Simplified UML class diagram of libVC. Fig. 1. Simplified UML class diagram of libVC. object libVC loads a function pointer symbol, which points to the
kernel. Listing 1 reveals the several stages of the compilation flow
of libVC. In the main function, an initialization is needed before
using libVC. This is done in line 40 using a simple API invocation. From line 8 to line 20 we see how to configure a new Version
for dynamic compilation. The following lines (22–27) perform the
actual dynamic compilation. It is possible to notice in line 69 the
call to the dynamically compiled kernel, which is very similar to
the call to a statically linked kernel (line 53). The target kernel may include other files or refer to external
symbols. libVC will act just as a compiler invocation and will try
to resolve external symbols according to the given compiler and
linker options. libVC defers the resolution of the compilation parameters to
run-time. The only piece of information that is needed at design-
time is the prototype of the kernel, which has to be used for a
proper function pointer cast. As proof of concept, we tested the benefits of continuous pro-
gram optimization implemented with libVC by comparing the
time-to-solution of the statically linked kernel against a dynami-
cally compiled version of the same kernel, as shown in listing 1. We
compiled both the statically linked and the dynamically compiled
kernels using the same compiler and the same optimization level. A
full project using code from listing 1 is available on github.3 We run
this example to sort an array of 1 billion 32-bits integers. The plat-
form used to execute the experiment is a supercomputer NUMA
node that features two Intel Xeon E5-2630 V3 CPUs (@2.4 GHz)
with 128 GB of DDR4 memory (@1866 MHz) on a dual channel
memory configuration. libVC also provides hooks to enable tracking and versioning of
the compiled versions. 2 https://github.com/skeru/libVersioningCompiler. 3 https://github.com/skeru/countingsort_libVC. 3. Illustrative examples libVC can be exploited to apply a wide range of optimization
through the dynamic compilation. The official repository2
pro-
vides some examples of usage in the test files. In this section
we show and discuss a generic use case of continuous program
optimization performed through libVC. Listing 1 illustrates the
dynamic adaptation of a counting sort algorithm to the data work-
load. In particular, the counting sort implementation is specialized
through recompilation using libVC every time the min and max
value of range of the data to be sorted change. When the min and
max values of the range of the data are known at compile-time it is
possible to perform array allocation and loop optimizations more
efficiently. Table 1 shows that dynamically compiled kernels always per-
forms better with respect to the reference statically linked im-
plementation. We define as range size the difference between
max and min values of the range of the data to be sorted. We
observe an important speedup when the range size is smaller than
8192 possible values. In those cases the main part of the speedup
comes from a more efficient memory allocation of the array in the
dynamically compiled kernels. We also notice that the overhead S. Cherubin, G. Agosta / SoftwareX 7 (2018) 95–100 98 Listing 1: Benchmark of a statically linked kernel performing counting sort against a dynamically compiled version of the same kernel
using libVC high-level APIs Listing 1: Benchmark of a statically linked kernel performing counting sort against a dynamically compiled version of the same kernel
using libVC high-level APIs g
g
/ /
libVersioningCompiler High−Level
API header
f i l e
#include " versioningCompiler / Utils . hpp"
/ /
define
kernel
signature
typedef void (∗kernel_t ) ( std : : vector <int32_t > &array ) ;
vc : : version_ptr_t getDynamicVersion ( int32_t min ,
int32_t max)
{
/ /
version
configuration
using
libVC −s t a r t
const std : : string
kernel_dir = PATH_TO_KERNEL;
const std : : string
kernel_file = kernel_dir + " kernel . 3. Illustrative examples cpp" ;
const std : : string functionName = " vc_sort " ;
const vc : : o p t _ l i s t _ t
opt_list = {
vc : : make_option ( "−O3" ) ,
vc : : make_option ( "−std=c++11" ) ,
vc : : make_option ( "−I "+kernel_dir ) ,
vc : : make_option ( "−D_MIN_VALUE_RANGE="+std : : to_string (min) ) ,
vc : : make_option ( "−D_MAX_VALUE_RANGE="+std : : to_string (max) ) ,
};
vc : : version_ptr_t
version = vc : : createVersion ( kernel_file ,
functionName ,
op t_l ist ) ;
/ /
version
configuration
using
libVC −end
/ /
version
compilation −s t a r t
kernel_t
f = ( kernel_t ) vc : : compileAndGetSymbol ( version ) ;
i f
( f )
{
return version ;
}
/ /
version
compilation −end
return nullptr ;
}
int main( int argc ,
char const ∗argv [ ] )
{
const std : : vector <std : : pair <int ,
int > > data_range = {
std : : make_pair<int , int >(0 ,256) ,
std : : make_pair<int , int >(0 ,512) ,
std : : make_pair<int , int >(0 ,1024) ,
};
const size_t
data_size = 1000000000;
/ /
i n i t i a l i z e
libVersioningCompiler
vc : : v c _ u t i l s _ i n i t ( ) ;
for
( const auto range :
data_range )
{
TimeMonitor time_monitor_ref ;
TimeMonitor time_monitor_dyn ;
TimeMonitor time_monitor_ovh ;
/ /
running
reference
version −s t a t i c a l l y
linked
for
( size_t
i = 0;
i < iterations ;
i ++) {
/ /
produce workload to
process
auto wl = WorkloadProducer<int32_t >:: get_WL_with_bounds ( range . f i r s t ,
range . second ) ;
const auto meta = wl . getMetadata ( ) ;
time_monitor_ref . start ( ) ;
sort (wl . data , meta . minVal , meta . maxVal) ;
/ /
c a l l
reference
time_monitor_ref . stop ( ) ;
}
/ /
measuring overhead
of
preparing a new version −s t a r t
time_monitor_ovh . start ( ) ;
auto v = getDynamicVersion ( range . f i r s t ,
range . 3. Illustrative examples second ) ;
kernel_t my_sort = ( kernel_t ) v−>getSymbol ( ) ;
time_monitor_ovh . stop ( ) ;
/ /
measuring overhead
of
preparing a new version −end
/ /
running dynamic version −dynamically compiled
for
( size_t
i = 0;
i < iterations ;
i ++) {
/ /
produce workload to
process
auto wl = WorkloadProducer<int32_t >:: get_WL_with_bounds ( range . f i r s t ,
range . second ) ;
time_monitor_dyn . start ( ) ;
my_sort (wl . data ) ;
/ /
j u s t a
c a l l
to a function
pointer
time_monitor_dyn . stop ( ) ;
} / /
libVersioningCompiler High−Level
API header
f i l e
#include " versioningCompiler / Utils . hpp" / /
define
kernel
signature
typedef void (∗kernel_t ) ( std : : vector <int32_t > &array ) ; }
vc : : version_ptr_t
version = vc : : createVersion ( kernel_file ,
functionName ,
op t_l ist ) ;
/ /
version
configuration
using
libVC −end main( int argc ,
char const ∗argv [ ] )
{ int main( int argc ,
char const
argv [ ] )
{
const std : : vector <std : : pair <int ,
int > > data_range = { std : : make_pair<int , int >(0 ,256) , std : : make_pair<int , int >(0 ,512) , std : : make_pair<int , int >(0 ,1024) , TimeMonitor time_monitor_ovh ; / /
running
reference
version −s t a t i c a l l y
linked / /
g
f
y
for
( size_t
i = 0;
i < iterations ;
i ++) {
/ /
produce workload to
process
auto wl = WorkloadProducer<int32_t >:: get_WL_with_bounds ( range . f i r s t ,
range . second ) ;
const auto meta = wl . getMetadata ( ) ;
time_monitor_ref . start ( ) ;
sort (wl . data , meta . minVal , meta . maxVal) ;
/ /
c a l l
reference
time_monitor_ref . stop ( ) ; sort (wl . data , meta . minVal , meta . maxVal) ;
/ /
c a l l
reference time_monitor_ref . Table 1
E
i to molecular docking. This class of application is useful in the in-
silico drug-discovery process, which is an emerging application of
HPC, and consists in finding the best fitting ligand molecule with
a pocket in the target molecule [19]. This process is performed
by approximating the chemical interactions with the proximity
between atoms. Table 1
Experimental results of Time-To-Solution (TTS) averaged over 100 executions on a
Ubuntu x86_64 system. Kernels were compiled using gcc 5.4.0 with optimization
level -O3. Experimental results of Time-To-Solution (TTS) averaged over 100 executions on a
Ubuntu x86_64 system. Kernels were compiled using gcc 5.4.0 with optimization
level -O3. Range
TTS
TTS
Speedup Overhead
Payback
size
reference
libVC
[elements]
[ms]
[ms]
[%]
[ms]
[iterations]
256
2831.33
2368.12
19.56
1355.99
3
512
2822.84
2352.27
20.00
1345.25
3
1024
2820.67
2347.28
20.17
1356.86
3
2048
2831.92
2351.99
20.41
1361.37
3
4096
2914.13
2440.47
19.41
1353.05
3
8192
3967.59
3966.21
0.03
1354.12
982
16384
5168.64
5163.51
0.10
1370.82
268
32768
6459.75
6430.77
0.45
1358.26
47 We processed a database of 113161 ligand molecule–pocket
pairs on the same test platform we describe in Section 3. The
evaluation of every ligand molecule–pocket pair is independent
with respect to the other pairs. Therefore, we implemented an MPI-
based version of the same miniapp. The input dataset is partitioned
among the slave processes. The initial code base was not developed by the authors, it was
developed by another team at Politecnico di Milano. We integrated
the code which is executed by each slave process with libVC, as
for the serial version. It took one hour of work to integrate the
miniapp source code with the libVC. The integration required to
add or modify a total of 60 lines of code over an original code size
of 1300 lines of code, which is less than 5% of the code size. of dynamically compiling a new Version is not related with the
range size. This overhead can be absorbed within 3 iterations when
the range size is small, and within less than one thousand iterations
in the worst case. The baseline miniapp took 4354.95 s before the integration. After the integration the miniapp took 1783.93 s – including the
overhead for dynamic compilation – for a speedup of 2.44× with
respect to the baseline. The speedup is achieved by exploiting code
specialization on geometrical functions. Table 1
E
i It is also possible to use libVC to dynamically compile and run
several functions or the same function with different options. A
more complex example of usage of libVC which exploits these
features can be found on github4 where we dynamically compile
and run the full PolyBench/C [16] benchmark suite within the same
C++ program. Although the overhead of performing dynamic compilation on
every parallel process slows down the running time, the speedup
we obtained in the serial version of the miniapp is confirmed also
in the parallel case. We run the MPI-based miniapp using 4, 8, 16,
and 32 parallel processes. We obtained a speedup of 2.39×, 2.24×,
1.99×, and 1.63× respectively. Case study: OpenModelica compiler The
application functionality is expressed through C/C++ code (possi-
bly including legacy code), whereas the non-functional aspects of
the application, including parallelization, mapping, and adaptivity
strategies are expressed through the DSL developed in the project. The baseline code took 374.25 s before the integration. After the
integration the simulation took 295.00 s – including the overhead
for dynamic compilation – for a speedup of 1.27× with respect
to the baseline. The speedup is achieved by recompiling the C
code which implements the model description by using a deeper
optimization level (-O3) with respect to the default one (-O0). In
this case, the compilation time that it is spent on optimizations is
widely paid back by a faster execution time. 4 https://github.com/skeru/polybench_libVC. 4. Impact libVC is a software tool that supports the generation and exe-
cution of multiple versions of C++ kernels. This means that libVC
allows a wider range of users to adopt continuous optimization
practices by generating workload-dependent specializations of
one or more kernels. Accordingly, libVC enables the development
of autotuning techniques, as well as the comparison of different
autotuning algorithms within a neutral platform with any desired
compiler. By providing the option to select multiple compilers,
libVC can be easily adopted by industrial users, such as supercom-
puting centers, as they are often constrained to vendor-specific
compilers. 3. Illustrative examples stop ( ) ; p ( )
/ /
measuring overhead
of
preparing a new version −end / /
running dynamic version −dynamically compiled / /
running dynamic version −dynamically compiled
for
( size_t
i = 0;
i < iterations ;
i ++) {
/ /
produce workload to
process
auto wl = WorkloadProducer<int32_t >:: get_WL_with_bounds ( range . f i r s t ,
range . second ) ;
time_monitor_dyn . start ( ) ;
my_sort (wl . data ) ;
/ /
j u s t a
c a l l
to a function
pointer
time_monitor_dyn . stop ( ) ; for
( size_t
i = 0;
i < iterations ;
i ++) { / /
produce workload to
process / /
p
p
auto wl = WorkloadProducer<int32_t >:: get_WL_with_bounds ( range . f i r s t ,
range . second ) ;
time_monitor_dyn . start ( ) ; my_sort (wl . data ) ;
/ /
j u s t a
c a l l
to a function
pointer
i
i
d
( ) / /
consider
average time−to−solution
std : : cout << range . second << "␣" << time_monitor_ref . getAvg ( ) ) << "␣" << time_monitor_dyn . getAvg ( ) ) << "␣" <<
time_monitor_ovh . getAvg ( ) ) << std : : endl ;
} } } S. Cherubin, G. Agosta / SoftwareX 7 (2018) 95–100 99 Case study: OpenModelica compiler To assess the impact of the proposed tools on a legacy code
we employ the C code which is automatically generated by a
state-of-the-art compiler for Modelica. Modelica is a widely-used
object-oriented language for modeling and simulation of complex
systems. OpenModelica [20] is an open source compiler for the
Modelica language. It translates Modelica code into C code, which
is later compiled with clang and linked against an external equa-
tion solver library. p
libVC is used within the European project ANTAREX [17,18],
which aims at expressing the capability of applications to self-
adapt to runtime conditions (we call this practice autotuning)
through a Domain Specific Language (DSL) and at providing run-
time management and autotuning support for applications that
target green and heterogeneous HPC systems up to Exascale. The
application functionality is expressed through C/C++ code (possi-
bly including legacy code), whereas the non-functional aspects of
the application, including parallelization, mapping, and adaptivity
strategies are expressed through the DSL developed in the project. The application autotuning is delayed to the runtime phase, where
the software knobs (application parameters, code transformations
and code variants) are configured according to the runtime infor-
mation that is retrieved from the execution environment. libVC
serves to dynamically provide code transformations and code vari-
ants in the ANTAREX tool flow. The ANTAREX consortium includes
two major European supercomputing centers, as well as industrial
users in the automotive and bioinformatics application domains. As test case, we simulated a transmission line model [21] of
1000 elements. We modified the C and Makefile code automat-
ically generated by the OpenModelica compiler to integrate the
simulation C source code with libVC and properly compile it. It
took two hours of work to integrate the automatically generated
code with the libVC. The integration required to add or modify a
total of 65 lines of C code and 5 lines of Makefile code over an
original code size of 633 390 lines of code, which is less than 0.015%
of the code size. libVC is used within the European project ANTAREX [17,18],
which aims at expressing the capability of applications to self-
adapt to runtime conditions (we call this practice autotuning)
through a Domain Specific Language (DSL) and at providing run-
time management and autotuning support for applications that
target green and heterogeneous HPC systems up to Exascale. References [1] Ziegler W, D’Ippolito R, D’Auria M, Berends J, Nelissen M, Diaz R. Implementing
a one-stop-shop providing SMEs with integrated HPC simulation resources
using fortissimo resources. In: eChallenges e-2014 conference proceedings;
2014. p. 1–11. [14] Fursin G, Lokhmotov A, Plowman E. Collective knowledge: Towards R&D
sustainability. In: Proceedings of the conference on design, automation and
test in Europe (DATE’16); 2016. p. 864–69. [15] Cohen A, Rohou E. Processor virtualization and split compilation for heteroge-
neous multicore embedded systems. In: Design automation conference; 2010. p. 102–107. http://dx.doi.org/10.1145/1837274.1837303. [2] Koller B, Struckmann N, Buchholz J, Gienger M. Towards an environment
to deliver high performance computing to small and medium enterprises. In: Sustained simulation performance 2015. Springer; 2015. p. 41–50. p
p
g
p
[3] Reed DA, Dongarra J. Exascale computing and big data. Commun ACM
2015;58(7):56–68. http://dx.doi.org/10.1145/2699414. [16] Yuki T. Understanding PolyBench/C 3.2 kernels. In: International workshop on
polyhedral compilation techniques (IMPACT); 2014. [4] Kistler T, Franz M. Continuous program optimization: A case study. ACM Trans
Program Lang Syst 2003;25(4):500–48. http://dx.doi.org/10.1145/778559. 778562. [17] Silvano C, Agosta G, Cherubin S, Gadioli D, Palermo G, Bartolini A, et al. The
ANTAREX approach to autotuning and adaptivity for energy efficient HPC
systems. In: Proceedings of the ACM international conference on computing
frontiers, CF ’16. New York, NY, USA: ACM; 2016. p. 288–93. http://dx.doi.org/
10.1145/2903150.2903470. [5] Nuzman D, Eres R, Dyshel S, Zalmanovici M, Castanos J. JIT technology with
C/C++: Feedback-directed dynamic recompilation for statically compiled lan-
guages. ACM Trans Archit Code Optim 2013;10(4):59:1–25. http://dx.doi.org/
10.1145/2541228.2555315. [18] Silvano C, Agosta G, Bartolini A, Beccari AR, Benini L, Bispo J. et al., Auto-
tuning and adaptivity approach for energy efficient exascale HPC systems:
The ANTAREX approach. In: Proceedings of the 2016 conference on design,
automation & test in Europe. DATE ’16; 2016. p. 708–13. [6] Fahs B, Rafacz T, Patel SJ, Lumetta SS. Continuous optimization. In: Proceedings
of the 32nd annual international symposium on computer architecture, ISCA
’05. Washington, DC, USA: IEEE Computer Society; 2005. p. 86–97. http://dx. doi.org/10.1109/ISCA.2005.19. [19] Beccari AR, Cavazzoni C, Beato C, Costantino G. Ligen: A high performance
workflow for chemistry driven de novo design. ACS Publications; 2013. [7] Benkner S, Franchetti F, Gerndt HM, Hollingsworth JK. Automatic applica-
tion tuning for HPC architectures (Dagstuhl Seminar 13401). Dagstuhl Rep
2014;3(9):214–44. http://dx.doi.org/10.4230/DagRep.3.9.214. [20] Fritzson P, Aronsson P, Pop A, Lundvall H, Nystrom K, Saldamli L. Case study: Geometrical docking miniapp We have presented libVC, a lightweight library to support con-
tinuous optimization in HPC environments. The tool is employed
within the context of the ANTAREX project to optimize the ex-
ecution of computationally intensive kernels that are repeatedly
called within large scale applications with long execution times. While the library is designed to be integrated with other tools in
the ANTAREX workflow, it can also be used as a standalone tool
with minimal effort by application developers. To assess the impact of the proposed tools on a real-world
application we employ a miniapp developed within the ANTAREX
project [17] to emulate the workload of the geometric approach S. Cherubin, G. Agosta / SoftwareX 7 (2018) 95–100 100 Acknowledgments [10] Cohen J, Rayna T, Darlington J. Understanding resource selection requirements
for computationally intensive tasks on heterogeneous computing infrastruc-
ture. In: Bañares JÁ, Tserpes K, Altmann J, editors. Economics of grids, clouds,
systems, and services. Cham: Springer International Publishing; 2017. p. 250–
62. http://dx.doi.org/10.1007/978-3-319-61920-0__18. This work is partially supported by the European Union’s Hori-
zon 2020 research and innovation programme, under grant agree-
ment No 671623, FET-HPC ANTAREX. [11] Chen Y, Huang Y, Eeckhout L, Fursin G, Peng L, Temam O, et al. Evaluating
iterative optimization across 1000 datasets. In: Proceedings of the 31st ACM
SIGPLAN conference on programming language design and implementation,
PLDI ’10. New York, NY, USA: ACM; 2010. p. 448–59. http://dx.doi.org/10.1145/
1806596.1806647. The authors wish to thank Danilo Labanca, Valentina Ionata, and
Diego Gaboardi from Politecnico di Milano for providing the source
code of the miniapp employed in Section 4. The authors wish to thank Emanuele Baldino, and Francesco
Casella from Politecnico di Milano for providing the Modelica
source code of the Transmission Line example employed in Sec-
tion 4. [12] Tartara M, Crespi Reghizzi S. Continuous learning of compiler heuristics. ACM Trans Archit Code Optim 2013;9(4):46:1–25. http://dx.doi.org/10.1145/
2400682.2400705. [13] Gadioli D, Palermo G, Silvano C. Application autotuning to support runtime
adaptivity in multicore architectures. In: Embedded computer systems: Ar-
chitectures, modeling, and simulation (SAMOS), 2015 international confer-
ence on. IEEE; 2015. p. 173–80. References Open-
modelica - a free open-source environment for system modeling, simulation,
and teaching. In: 2006 IEEE conference on computer aided control system
design, 2006 IEEE international conference on control applications, 2006 IEEE
international symposium on intelligent control; 2006. p. 1588–95. http://dx. doi.org/10.1109/CACSD-CCA-ISIC.2006.4776878. [8] Chen H, Lu J, Hsu W-C, Yew P-C. Continuous adaptive object-code re-
optimization framework. In: Yew P-C, Xue J, editors. Advances in computer
systems architecture. Berlin, Heidelberg: Springer Berlin Heidelberg; 2004. p. 241–55. http://dx.doi.org/10.1007/978-3-540-30102-8__20. [9] Basu P, Williams S, Straalen BV, Oliker L, Colella P, Hall M. Compiler-based
code generation and autotuning for geometric multigrid on GPU-accelerated
supercomputers. Parallel Comput 2017;64(Suppl. C):50–64. http://dx.doi.org/
10.1016/j.parco.2017.04.002. High-end computing for next-generation scien-
tific discovery. [21] Casella F, Simulation of large-scale models in modelica: State of the art and
future perspectives. In: Linköping electronic conference proceedings; 2015. p. 459–468.
|
https://openalex.org/W4200249269
|
https://www.frontiersin.org/articles/10.3389/fimmu.2021.792746/pdf
|
English
| null |
Image_1.tif
| null | 2,021
|
cc-by
| 10,087
|
Citation: Fang X, Yue M, Wei J, Wang Y,
Hong D, Wang B, Zhou X and Chen T
(2021) Evaluation of the Anti-Aging
Effects of a Probiotic Combination
Isolated From Centenarians in a
SAMP8 Mouse Model. Front. Immunol. 12:792746. doi: 10.3389/fimmu.2021.792746 Evaluation of the Anti-Aging Effects
of a Probiotic Combination Isolated
From Centenarians in a SAMP8
Mouse Model Xin Fang 1, Mengyun Yue 1, Jing Wei 2, Yun Wang 1, Daojun Hong 1, Bo Wang 1,
Xiaoting Zhou 1* and Tingtao Chen 1,2* 1 Department of Neurology, The First Affiliated Hospital of Nanchang University, Nanchang, China, 2 National Engineering
Research Center for Bioengineering Drugs and the Technologies, Institute of Translational Medicine, Nanchang University,
Nanchang, China Keywords: aging, SAMP8 mice, TLR4/NFkB, neuroinflammation, probiotic combination Reviewed by: Reviewed by:
Zhenxing Wang,
Southwest Forestry University, China
Menghao Huang,
Indiana University School of Medicine,
United States
Ming Li,
Dalian Medical University, China Reviewed by:
Zhenxing Wang,
Southwest Forestry University, China
Menghao Huang,
Indiana University School of Medicine,
United States
Ming Li,
Dalian Medical University, China *Correspondence:
Tingtao Chen
chentingtao1984@163.com
Xiaoting Zhou
914113072@qq.com *Correspondence:
Tingtao Chen
chentingtao1984@163.com
Xiaoting Zhou
914113072@qq.com Specialty section:
This article was submitted to
Nutritional Immunology,
a section of the journal
Frontiers in Immunology Received: 11 October 2021
Accepted: 16 November 2021
Published: 02 December 2021 ORIGINAL RESEARCH
published: 02 December 2021
doi: 10.3389/fimmu.2021.792746 Population aging is a prominent global problem in today’s society. However, there are
currently no good methods to treat or prevent aging, so anti-aging research has crucial
implications. In this research, we screened bacteria from centenarians, and finally selected
four probiotics (Lactobacillus fermentum SX-0718, L. casei SX-1107, Bifidobacterium
longum SX-1326, and B. animalis SX-0582) to form a probiotic combination. By using the
senescence accelerated mouse prone 8 (SAMP8) model, the anti-aging effects of the
probiotic combination were evaluated by using behavioural testing, neuroinflammation,
intestinal inflammation, and intestinal microbiota. The results showed that probiotic
combination improved the impaired spatial memory, motor dysfunction, and decreased
exploratory behavior in aging mice. The probiotic combination inhibited Toll-like receptor 4
(TLR4)/nuclear factor kappa B (NFkB)-induced neuroinflammation and up-regulated the
expression of Sirt 1 to protect hippocampal neurons. At the same time, the probiotic
combination regulated the intestinal microbiota, reduced the relative abundance of
Alistipes and Prevotella in SAMP8 mice, inhibited TLR4/NFkB-induced intestinal
inflammation, and increased the expression of intestinal permeability related proteins
zonula occludens-1 (ZO-1) and Occuldin. The anti-aging effects of the probiotic
combination may be through the regulating intestinal microbiota and inhibiting TLR4/
NFkB-induced inflammation. This research provides the basis and technical support for
the future production and application of the probiotic combination. Edited by:
Qixiao Zhai,
Jiangnan University, China INTRODUCTION Aging is a process that almost all living organisms go through, characterised by the gradual decline
of in the body’s cell, tissue, and organ functions over time, as well as reduced cognitive and memory
functions (1). Globally, the population over the age of 65 is 617 million (8.5%), and this number may
reach 1.6 billion by 2050 (2). With the aging of China’s population, the incidence of aging-related December 2021 | Volume 12 | Article 792746 Frontiers in Immunology | www.frontiersin.org Anti-Aging Effects of a Probiotic Combination Fang et al. diseases - Parkinson’s disease (PD), Alzheimer’s disease (AD),
malignant tumours, and others – continues to rise, causing a
heavy financial burden on the country and the families of
patients (3, 4). Although many drugs such as metformin,
resveratrol, and rapamycin have been proven to have anti-
aging effects, they have not been promoted widely due to high
cost, difficulty in extraction, and serious side effects (5). Therefore, finding or developing anti-aging active substances
and exploring their mechanisms of action has become a current
research hotspot in response to the reality of population aging. diseases - Parkinson’s disease (PD), Alzheimer’s disease (AD),
malignant tumours, and others – continues to rise, causing a
heavy financial burden on the country and the families of
patients (3, 4). Although many drugs such as metformin,
resveratrol, and rapamycin have been proven to have anti-
aging effects, they have not been promoted widely due to high
cost, difficulty in extraction, and serious side effects (5). Therefore, finding or developing anti-aging active substances
and exploring their mechanisms of action has become a current
research hotspot in response to the reality of population aging. enriched; these findings are consistent with the mouse model
of progeria (15). When the researchers transplanted the
intestinal microbiota of normal mice into progeria mice, the
average lifespan increased (15). These results indicate that
regulating and maintaining the balance of the intestinal
microbiota of the elderly may be a means of preventing and
treating aging-related diseases and delaying aging. Hence, this
topic deserves further discussion and research. As active microorganisms that are beneficial to human body,
probiotics play a great part in maintaining the balance of
microorganisms in the intestinal tract. In Vitro Experiments
Bacterial Strains The research team screened the faeces of seven centenarians of
the Centenarian Village in Ganzhou, Jiangxi province, China;
their ages were 103, 107, 102, 105, 100, 101, and 100, respectively. First, the faecal microorganisms were extracted and subjected to
serial dilutions. The various dilutions were spread aseptically on
the selected culture medium and cultivated in aerobic and
anaerobic environments for 24–48 h. According to the colony
shape, size, colour, edge, gloss, and texture, 20–40 single colonies
were picked and then activated and cultured on the
corresponding liquid medium for 24–48 h. The genomic DNA
of the activated bacteria was extracted and then sequenced to
identify the types of bacteria by using the NCBI database. A total
of more than 1,500 strains were screened, and four probiotics
were selected to form a probiotic combination (all from Jiangxi
Shanxing Biotechnology Co., Ltd, Nanchang, Jiangxi, PR China):
L. fermentum SX-0718, L. casei SX-1107, B. longum SX-1326, and
B. animalis SX-0582. The bacteria were cultivated in De Man-
Rogosa-Sharpe (MRS) medium at 37°C under anaerobic
conditions with a bacterial density of 1 × 109 colony-forming
units (CFU)/mL. According to recent research reports that there is an
important relationship the between intestinal microbiota and
inflammatory aging, Inflammation may be caused by decreased
in the autoimmune tolerance and the composition of the
intestinal microbiota caused by aging, leading to its abnormal
immune activation (12). Increased release of gram-negative
bacteria and lipopolysaccharide in the intestine leads to
chronic inflammation throughout the body, which in turn
induces the occurrence of various neurological diseases such as
AD, PD, and amyotrophic lateral sclerosis (ALS) (12). The
intestinal microbiota can also regulate host behaviour through
the brain-gut axis, affect the host’s blood-brain barrier function
and basic neurodevelopmental processes such as the maturation
of microglia, and participate in the regulation of brain functions
(13). The intestinal microbiota participates in the process of
aging mainly through regulating oxidative stress, the immune
response, and metabolism (13, 14). Aging people have disorders
of the intestinal microbiota. Studies have compared the fecal
microbes of patients with progeria with their respective healthy
siblings. There is a marked decline in the relative abundance of
the family Ruminococcaceae in patients with progeria, while the
families Erysipelotrichaceaceae and Lachnospiraceae are INTRODUCTION Supplementing probiotics
can facilitate the production of immunologically active factors and
different types of immunoglobulins by regulating cellular and
humoral immunity, participating in inflammation, improving
the immune response, and promoting the proliferation of spleen
cells (16). Therefore, our group screened probiotics from the
faeces of seven centenarians of the Centenarian Village in
Ganzhou, Jiangxi province, China. Based on this screening, we
chose Lactobacillus fermentum SX-0718, L. casei SX-1107,
Bifidobacterium longum SX-1326, and B. animalis SX-0582 to
prepare a probiotic combination. Then we evaluated the anti-
aging effects of this probiotic combination by using the senescence
accelerated mouse prone 8 (SAMP8) mice model. Our findings
provide a basis for the development of an anti-aging probiotic
dietary supplement for elderly people. p
p
y
p p
g
g
In recent years, inflammatory aging has become a new topic in
aging research (6). These studies have shown that inflammatory
aging is closely related to the occurrence and development of many
senile diseasessuchasAD,atherosclerosis,PDandosteoporosis(7). Inflammatoryagingreferstothechronicandprogressiveincreasein
the pro-inflammatory state of the body during the natural aging
process. The main reason is the imbalance between pro-
inflammatory and anti-inflammatory cytokines in the body,
which ultimately leads to an increase in the pro-inflammatory
response (8). Pro-inflammatory cytokines can induce stem cell
senescence, which is the cellular basis for the aging of tissues and
organs. Senescent cells secrete cytokines, growth factors, proteases,
and other substances that cause inflammation and destroy the
cellular microenvironment, leading to reduced cell survival. It
affects the proliferation and differentiation of cells and induces
stem cell senescence and aging-related diseases (9). Research has
shown that in the elderly, increased levels of serum inflammatory
factors such as tumour necrosis factor-a (TNF-a), interleukin-6
(IL-6)andC-reactiveprotein(CRP)areconsideredtoberiskfactors
of cardiovascular and degenerative diseases (10). Bruunsgaard et al. (11) found that the increased of TNF-a is correlated positively with
the all-cause mortality of elderly men in a follow-up study of 333
relatively healthy elderly people over 80 years of age, indicating that
TNF-a has a certain predictive effect on death. Frontiers in Immunology | www.frontiersin.org Aging Score Animals in each group were scored objectively for 11 indicators
including fur gloss, fur roughness, the degree of hair loss, skin
ulcers, eye damage, corneal turbidity, corneal ulcers, cataracts,
kyphosis, reactivity, and the passive escape response. Each index
is divided into 4-5 grades, and the score is calibrated. The higher
the score an animal gets, the higher its degree of aging (19). Experimental Design and Processing Experimental Design and Processing
The mice used in this experiment – SAMP8, a rapidly aging
mouse model, and SAMR1, the corresponding normal aging
model – were purchased from the Peking University Health
Science Center. The 3-month-old male mice were maintained in
a standard environment for 2 weeks before beginning the
experiments. The standard environment for mouse breeding
comprised a 12-h photoperiod, a temperature of 22 ± 3°C,
relative humidity of 50% ± 15%, and free access to food and
water. Then, the mice were divided into four groups: (i) the
control (C) group (n = 10), SAMR1 mice, daily gavage of normal
saline (the same volume as used for the probiotic combination);
(ii) the model (M) group (n = 9), daily gavage of normal saline
daily (the same volume as used for the probiotic combination);
(iii) the low-dose probiotic (L) group (n = 10), daily gavage of 1 ×
107 CFU/mL L. fermentum SX-0718 + 1 × 107 CFU/mL L. casei
SX-1107 + 1 × 107 CFU/mL B. longum SX-1326 + 1 × 107 CFU/
mL B. animalis SX-0582 for 18 weeks; (iv) the high-dose
probiotic (H) group (n = 10), daily gavage of 1 × 109 CFU/mL
L. fermentum SX-0718 + 1 × 109 CFU/mL L. casei SX-1107 + 1 ×
109 CFU/mL B. longum SX-1326 + 1 × 109 CFU/mL B. animalis
SX-0582, for 18 weeks. After the probiotic treatment, all
mice underwent behavioural testing. They were then
anaesthetised and the brain and colon were collected
(Supplementary Figure 1A). Western Blot One gram of tissue was homogenised in radioimmunoprecipitation
assay (RIPA) buffer containing protease inhibitor cocktail and
phenylmethylsulphonyl fluoride (PMSF) with electric
homogeniser. The sample was centrifuged at 12000 g for 10 min
a 4°C. The supernatant was removed and the protein concentration
was determined with a BCA protein assay kit. The samples were
then subjected to sodium dodecyl sulphate–polyacrylamide gel
electrophoresis (SDS-PAGE) to separate protein. The wet transfer
method was used to transfer the separated protein to a
polyvinylidene fluoride membrane (PVDF). After the transfer, the
membrane was blocked and then incubated with the appropriate
primary and secondary antibodies according to the manufacturer’s
instructions. Finally, the membrane was incubated with a
chemiluminescent substrate and the protein bands were visualised
with an automatic gel imaging analyser. The primary antibodies
used included: rabbit anti-b-actin (b-actin; 1:1000; Cell Signaling
Technology; Cat# 4970S), rabbit anti-Bcl-2 associated X Protein
(Bax, 1:1000; Cell Signaling Technology, Cat# 14796S), rabbit anti-
B-cell lymphoma-2 (Bcl-2, 1:1000; Cell Signaling Technology, Cat#
3498S), rabbit anti- phosphorylated-AKT (p-AKT; 1:1000; Sangon
Biotech, Cat# D151499), rabbit anti- AKT (1:1000; Sangon Biotech,
Cat# D151621), rabbit anti- silent information regulator 1 (Sirt 1;
1:1000; Cell Signaling Technology, Cat#9475), mouse anti-Toll-like
receptor 4 (TLR4; 1:1000; Santa Cruz Biotechnology, Cat# sc-
293072), rabbit anti-myeloid differentiation primary response gene
88 (MyD88; 1:1000; Proteintech; Cat# 23230-1-AP), rabbit anti-
phosphorylated-p65 (p-p65; 1:1000; Abcam; Cat# ab86299), rabbit Probiotic Evaluation of Isolates For the acid resistance test, after activation, bacteria were
centrifuged at 4500 g for 10 min at 4°C, and the cell pellet was
resuspended in phosphate buffered saline (PBS). The cell December 2021 | Volume 12 | Article 792746 Frontiers in Immunology | www.frontiersin.org 2 Anti-Aging Effects of a Probiotic Combination Fang et al. suspension was diluted in PBS with different pH (3, 5, 7 and 9)
and incubated at 37°C, for 4 h. For the bile salt tolerance test,
bacteria were inoculated in MRS medium containing different
bile salts concentrations (0.0%-0.5% wt/wt) at 37°C for 4 h. After
incubation, all bacteria were counted by the plate number
method (17). was placed in a cage. The mouse was placed face down on the top
of the pole, and the latency for the moue to fall freely to the cage
(hind limbs touch the bottom of the cage) was recorded. Each
mouse was tested three times, 15 min apart, and the average
value was calculated. The open field test was used to evaluate the changes in
exploratory behaviour and anxiety of each mouse when
exposed to a new environment. The apparatus is a square
divided into 25 squares of equal area; the edge area and the
central area are defined. The free movement of mice was
recorded for 10 min. After each experiment, the experimental
area was cleaned to remove any odour left by the previous
mouse so that it would not affect the behaviour of the
subsequent mouse. For antimicrobial testing, pathogenic microorganisms were
selected, including Salmonella typhimurium ATCC 13311,
Shigella flexneri ATCC 12022, Propionibacterium acnes ATCC
11827, Sh. dysenteriae 301, Enterohemorrhagic coli O157, S. enteritidis ATCC 13076, Listeria monocytogenes ATCC 19111,
Staphylococcus aureus Cowan1 and Candida albicans SC531. They were cultured overnight and spread on the lysosomal
broth (LB) (Hopbio, Hb0384-1, Qingdao) agar plate surface. Then, an Oxford cup was placed on the surface of the agar, and
the bacterial supernatant (200 mL) was added. The size of the
inhibition zone around the Oxford Cup was measured (18). q
The Barnes maze was used to test the spatial memory ability. The animals were placed individually in the target box of the
target hole and allowed to adapt to the apparatus for 2 min the
day before the start of the test. Probiotic Evaluation of Isolates On day 1 of testing, a transfer
device was used to place the animal in the centre of the maze. Then, each mouse was guided to the target hole, and the animals
were permitted to stay in the box for 2 min. Each animal was
observed for a maximum of 3 min at a time. During this period, if
the animal could not find the target box, it was guided to the
target box and allowed to stay there for 2 min. The animals were
trained each day for 9 days. On the last day of probe test, count
the incubation period of each group of mice, the stay time in the
target area, the stay time in the reverse target area, and the
correct number of holes. Statistical Analysis anti-p65 (p65 1:1000; Cell Signaling Technology; Cat# 8242S),
rabbit anti-tight junction protein 1 (zona occludens 1, ZO-1;
1:5000; Proteintech; Cat# 21773-1-AP), and rabbit anti-Occludin
(Occludin 1:1000; Proteintech; Cat# 13409-1-AP). anti-p65 (p65 1:1000; Cell Signaling Technology; Cat# 8242S),
rabbit anti-tight junction protein 1 (zona occludens 1, ZO-1;
1:5000; Proteintech; Cat# 21773-1-AP), and rabbit anti-Occludin
(Occludin 1:1000; Proteintech; Cat# 13409-1-AP). GraphPad Prism 7 was used for statistical analysis. The data were
expressed as the mean ± standard deviation (SD). One-way
analysis of variance (ANOVA) was used to determine a
statistically significant difference (p < 0.05) The Probiotic Combination Improved
Behaviour in SAMP8 Mice For microbiota analysis, the faeces of each group of mice (n=8)
were collected. A genomic DNA kit (Qiagen, Cat#51804) was
used to extract fecal genomic DNA, following the product
instructions. Then the NanoDrop spectrophotometer was used
to determine the concentration and quality of the extracted
DNA. Genomic DNA was re-extracted for samples that did
not meet the quality requirements. The 16S ribosomal DNA
(rDNA) V4 region was amplified by using the following primers:
515F, 5’-GTG CCA GCMGCC GCG GTAA-3’; 806R, 5’-GGA
CTA CVSGGG TAT CTAAT-3’. The IlluminaHiSeq2000
platform was used for sequencing. The sequencing results have
been deposited in GenBank (accession number PRJNA768326). The Barnes maze test was used to evaluate the effect of the
probiotic combination on the spatial learning and memory
abilities. Compared with C group, in daily training, mice in
group M took significantly longer time to find the platform,
while probiotic combination (group L and H) greatly reduced the
escape latency, the latency period of searching for right foramen. On the probe test, the latency of the probiotic combination
treatment was significantly shorter than that of the M group (L
vs. M = 27.4 s vs. 48.19 s; p < 0.001; H vs. M = 20.34 s vs. 48.19 s;
p < 0.001), and there was no significant difference between low-
dose and high-dose probiotics (Figure 2A). Immunofluorescence and Inflammatory
Factor Detection Brains were fixed in paraformaldehyde and then subjected to
dehydration, clearing, wax immersion, and embedding. The
embedded tissue was sliced continuously at a thickness of 5
mm. The sections were deparaffinised and equilibrated to water,
subjected to antigen retrieval, and incubated in 5% bovine serum
albumin (BSA) for 30 min. The sections were then incubated
with the appropriate primary and secondary antibodies. The
nuclei were then stained with DAPI. After mounting the sections,
they were viewed under an upright fluorescence microscope and
images were captured. The number of NeuN-positive cells was
counted by using the ImageJ software (National Institutes of
Health). The average cell number/field of view was used for
statistical analysis. Behavioural Experiments The pole test was used to detect motor dysfunction in mice. The
apparatus is a metal rod with a diameter of 1 cm and a length of
50 cm. To prevent the mice from slipping, the metal rod was
wrapped with bandage gauze, and the bottom of the metal rod December 2021 | Volume 12 | Article 792746 Frontiers in Immunology | www.frontiersin.org 3 Anti-Aging Effects of a Probiotic Combination Fang et al. Probiotic Properties First, we conducted acid tolerance, bile salt tolerance and
antibacterial experiments to evaluate the probiotic
characteristics of the selected strains. The four selected
probiotics were tolerant to medium strong acid (Figure 1A)
and survived in different bile salt concentrations (Figure 1B). As
shown in Figure 1A, after 4 h in pH 3 PBS, the survival rates of L. fermentum SX-0718, L. casei SX-1107, B. longum SX-1326, and
B. animalis SX-0582 were 80.2%, 92.4%, 99.0%, and 99.5%,
respectively. As shown in Figure 1B, L. fermentum SX-0718
had low tolerance to bile salt. B. longum SX-1326 showed
excellent bile salt tolerance: at a concentration of 0.5%, the
survival rate was still 85.4%. In addition, the selected probiotics
significantly inhibited the growth of the pathogens S. typhimurium ATCC 13311, Sh. flexneri ATCC 12022, P. acnes
ATCC 11827, Sh. dysenteriae 301, E. coli O157, S. enteritidis
ATCC 13076, L. monocytogenes ATCC 19111, Staph. aureus
Cowan1 and C. albicans SC531, with a suppression area from
15.25 mm to 22.5 mm (Figure 1C). To detect inflammatory factors, protein was extracted from
the brainss following the same method described for western
blot. The following kits were used to evaluate the levels of
inflammatory factors in the hippocampus of mice, following
the manufacturer’s instructions: IL-1b (Proteintech, Cat#
KE10003), TNF-a (Proteintech, Cat# KE10002) and IL-6
(Proteintech, Cat# KE10007). High-Throughput Sequencing A
B FIGURE 1 | Evaluation of the probiotic characteristics of L. fermentum SX-0718, L. casei SX-1107, Bifidobacterium SX-1326, and B animalis SX-0582. (A) The acid
tolerance of L. fermentum SX-0718, L. casei SX-1107, B longum SX-1326 and B animalis SX-0582. (B) The cholate tolerance of L. fermentum SX-0718, L. casei
SX-1107, B longum SX-1326 and B animalis SX-0582. (C) Antibacterial activities of L. fermentum SX-0718, L. casei SX-1107, B longum SX-1326 and B animalis
SX-0582 on Salmonella typhimurium ATCC 13311, Shigella flexneri ATCC 12022, P ropionibacterium acnes ATCC 11827, Sh. dysenteriae 301, Escherichia coli
O157, S. enteritidis ATCC 13076, Listeria monocytogenes ATCC 19111, Staphylococcus aureus Cowan1 and Candida albicans SC531. 5505 cm, distance = 5474 cm, distance = 5313 cm; C vs M, P <
0.05; L vs M, p < 0.05; H vs M, p < 0.05), more times to enter the
central area (number = 59.33, number = 91.56, number = 104.8;
C vs M, p < 0.05; L vs M, p < 0.05; H vs M, p < 0.05) and longer
central movement distance (distance = 1379 cm, distance =
1187 cm, distance = 1416 cm; C vs M, p < 0.05; L vs M, p <
0.05; H vs M, p < 0.05). In addition, there was no dose-dependent
in probiotics treatment. evaluated the expression of Bax, Bcl-2, and p-AKT in the
hippocampus of mice by using western blot. The results
showed that the expression of pro-apoptotic protein Bax in
group M mice was significantly higher than that in C mice,
and the expression of anti-apoptotic protein Bcl-2 and p-AKT
was significantly lower than that of the M group, while the pro-
apoptotic protein expression in the L and H groups was
significantly lower than that in M group, and the expression of
apoptotic protein was notably higher than that of the M group. In addition, the expression of Sirt 1 in the C, L and H groups was
prominently higher than that in the M group, indicated that
probiotic combination could inhibit the decrease of Sirt 1
expression in aging mice. High-Throughput Sequencing The pole test was conducted to observe the effect of the probiotic
combination on the motor dysfunction of SAMP8 mice. As shown
in Figure 2, compared with the C group, the M group showed
significant motor retardation (M vs. C = 19.46 s vs. 8.877 s; p <
0.001), and treatment with either low or high concentrations of the
probiotic combination significantly alleviated the motor
dysfunction of SAMP8 mice (L vs. M = 13.78 s vs. 19.46 s; p <
0.001; H vs. M = 10.73 s vs. 19.46 s; p < 0.001). The data were subjected to sequence denoising or operational
taxonomic unit (OTU) clustering by using the analysis process of
the Vsearch software or QIIME2 DADA2 analysis. The Vsearch
method (20) mainly includes de-priming, splicing, quality
filtering, de-duplication, de-chimerism, clustering and other
steps to obtain OTU. The DADA2 method mainly carries out
the steps of depriming, quality filtering, de-noising, splicing and
de-chimerism. Each deduplicated sequence generated after
DADA2 quality control is called an amplicon sequence variant
(ASV), or feature sequence (corresponding to a representative
sequences of OTU). ASV and OTU were then used to analyse the
species composition, alpha diversity, beta diversity, species
difference analysis and symbol species, etc. The open field test was used to detect the behavioral and
mental changes of mice to the new environment, such as
exploratory behavior and anxiety. Experimental parameters
showed that compared with mice in group M (distance =
4384 cm, number = 109, distance = 574.6), mice in groups C,
L, and H had a longer total movement distance (distance = December 2021 | Volume 12 | Article 792746 Frontiers in Immunology | www.frontiersin.org 4 Fang et al. Anti-Aging Effects of a Probiotic Combination A
B
C
FIGURE 1 | Evaluation of the probiotic characteristics of L. fermentum SX-0718, L. casei SX-1107, Bifidobacterium SX-1326, and B animalis SX-0582. (A) The acid
tolerance of L. fermentum SX-0718, L. casei SX-1107, B longum SX-1326 and B animalis SX-0582. (B) The cholate tolerance of L. fermentum SX-0718, L. casei
SX-1107, B longum SX-1326 and B animalis SX-0582. (C) Antibacterial activities of L. fermentum SX-0718, L. casei SX-1107, B longum SX-1326 and B animalis
SX-0582 on Salmonella typhimurium ATCC 13311, Shigella flexneri ATCC 12022, P ropionibacterium acnes ATCC 11827, Sh. dysenteriae 301, Escherichia coli
O157, S. enteritidis ATCC 13076, Listeria monocytogenes ATCC 19111, Staphylococcus aureus Cowan1 and Candida albicans SC531. The Probiotic Combination Reduced
Neuronal Death and Prevented the
Decrease of Sirt 1 Expression in the
Hippocampus of SAMP8 Mice The reduction in the number of hippocampal neurons in SAMP8
mice is closely related to the learning and memory declines. Therefore, we detected the number of neurons in the
hippocampus of SAMP8 mice through NeuN immunostaining. Compared with C group, the M group had fewer hippocampal
neurons; the probiotic combination protected hippocampal
neurons compared with the M group (Figure 3A). Neuronal
loss due to apoptosis – regulated by Bax and Bcl-2 – plays an
important part in the occurrence and development of aging. The
p-AKT can modulate apoptosis by regulating Bcl-2/Bax. We The Probiotic Combination Altered the Gut
Microbiota Composition of SAMP8 Mice The intestinal microbiota is closely related to the occurrence and
development of senescence. We collected the faeces of mice and
analysed their intestinal microbiota changes by using high-
throughput sequencing. A total of 1,138,968 valid tags and
10,202 OTUs were obtained, with an average of 2550.25 per
group (data not shown). To analyse the influence of the probiotic
combination on the intestinal microbiota of SAMP8 mice, we
carried out a diversity analysis of the microbiota. The
Observed_species index represented the actual observed
number of OTU, and the Chao1 index indicates the diversity
of the microbiota. As shown in the Figure 5, the
Observed_species index and Chao1 indexes of the M group of
mice were reduced, while the probiotic combination increased
the abundance and diversity of intestinal microbiota, although
the changes were not significant (Figures 5A, B). The Venn
diagram shows 441 common OTU among all the groups, with
47, 42, 69, and 57 unique OUT for the C, M, L, and H groups,
respectively (Figure 5C). In addition, the principal co-ordinates
analysis (PCoA) used to study the similarity of microbial
communities showed that the points of the C group are The Probiotic Combination Inhibited TLR4/
NF-kB Signaling Pathway and
Hi
l I fl
i
i
SAMP8 Mi C: control group (n = 10), M: model
group (n = 9), L: low-dose probiotic group (n = 8), H: high-dose probiotic group (n = 9). Data are presented as the means ± SD. *p < 0.05 **p < 0.01. MyD88 and p-p65/p65 expression (Figure 4A, p < 0.01). In
addition, the detection of inflammatory factor protein levels
showed that probiotic combination significantly reduced the
relative expression of the pro-inflammatory cytokine IL-1b, IL-
6 and TNF-a compared with the M group, (Figure 4B; p<0.01). These results suggest that the probiotic combination modulates
the upregulation of TLR4/NFkB signalling pathway components
to reduce inflammation in SAMP8 mice. clustered together, the points of the M group are relatively
scattered, and the samples of the C, L, and H groups have high
similarity. These findings indicate that the probiotic combination
alters the intestinal microbiota of aging mice to a pattern like that
of normal mice (Figure 5D). We analysed the relative abundance
of the top 20 bacterial genera among the different groups. There
was notably increased the relative abundance of Alisipes,
Prevotella, Odoribacter, Lactobacillus and Oscillibacter, and
decreased the relative abundance of Alloprevotella, Barnesiella
and Akkermansia. Compared with the M group, the probiotic
combination reduced the relative abundance of Alistipes and
Prevotella, and increased the relative abundance of Alloprevotella,
Acetatifactor, and Clostridium XIVa (Figure 5E). The Probiotic Combination Inhibited TLR4/
NF-kB Signaling Pathway and
Hi
l I fl
i
i
SAMP8 Mi The Probiotic Combination Inhibited TLR4/
NF-kB Signaling Pathway and
Hippocampal Inflammation in SAMP8 Mice
Inflammation plays an important role in maintaining and
promoting aging, and the TLR4/NFkB pathway is closely
related to inflammation. Hence, we evaluated the expression of
proteins involved in the TLR4/NFkB signalling pathway in the
hippocampus by using western blot. Compared with the M
group, the probiotic combination significantly reduced TLR4, December 2021 | Volume 12 | Article 792746 Frontiers in Immunology | www.frontiersin.org 5 Anti-Aging Effects of a Probiotic Combination Fang et al. A
B
D
E
F
C
FIGURE 2 | The probiotic combination improved spatial memory, motor dysfunction, and exploratory behaviour in SAMP8 mice. (A) The time to reach the target exit
during the training test (the Barnes maze). (B) The probiotic combination reduced time it took SAMP8 mice to reach the target exit during the probe test of the
Barnes maze. (C) The probiotic combination improved the motor dysfunction in SAMP8 mice (the pole test). (D) The probiotic combination increased the total
distance in SAMP8 mice moved in the open-field test. (E) The probiotic combination increased the number of entries SAMP8 mice made in central area of the open-
field test. (F) The probiotic combination increased the distance SAMP8 mice moved in the central area of the open-field test. C: control group (n = 10), M: model
group (n = 9), L: low-dose probiotic group (n = 8), H: high-dose probiotic group (n = 9). Data are presented as the means ± SD. *p < 0.05 **p < 0.01. B A D E
F E E FIGURE 2 | The probiotic combination improved spatial memory, motor dysfunction, and exploratory behaviour in SAMP8 mice. (A) The time to reach the target exit
during the training test (the Barnes maze). (B) The probiotic combination reduced time it took SAMP8 mice to reach the target exit during the probe test of the
Barnes maze. (C) The probiotic combination improved the motor dysfunction in SAMP8 mice (the pole test). (D) The probiotic combination increased the total
distance in SAMP8 mice moved in the open-field test. (E) The probiotic combination increased the number of entries SAMP8 mice made in central area of the open-
field test. (F) The probiotic combination increased the distance SAMP8 mice moved in the central area of the open-field test. The Probiotic Combination Alleviated
Colonic Inflammation and Decreased
Tight Junction Protein Expression in
SAMP8 Mice Intestinal microbiota imbalance and intestinal inflammation can
be causally related to each other. Therefore, haematoxylin and
eosin (H&E) staining was used to detect the pathological changes
in the mice colon, and the western blot were applied to detect the
expression of key proteins in the TLR4/NFkB inflammatory
pathway and intestinal permeability-related proteins in mouse
colon tissue. As shown in Figure 6, mucosal epithelial cells were
shed and a small amount of the intestinal gland structure was
destroyed in the colon of mice in the M group, while no mucosal
epithelial cells were shed and the intestinal gland structure was
maintained in the intestinal tissues of the C, L and H groups. In
addition, we used western blot to examine the expression of key
proteins in the TLR4/NFkB inflammatory pathway as well as December 2021 | Volume 12 | Article 792746 Frontiers in Immunology | www.frontiersin.org 6 Anti-Aging Effects of a Probiotic Combination Fang et al. A
B
C
FIGURE 3 | The probiotic combination reduced neuronal death and prevented the decrease in Sirt 1 expression in the hippocampus of SAMP8 mice. (A)
Photomicrographs and quantitative analysis of the number of neurons in the hippocampus, analysed by NeuN immunostaining. (B) The effect of the probiotic
combination on the expression levels of Bax, Bcl-2, p-AKT and AKT in the hippocampus. (C) The effect of the probiotic combination on the expression level of Sirt 1
in the hippocampus. C: control group (n = 4), M: model group (n = 4), L: low-dose probiotics group (n = 4), H: high-dose probiotics group (n = 4). Data are
presented as the means ± SD. *p < 0.05. A C C FIGURE 3 | The probiotic combination reduced neuronal death and prevented the decrease in Sirt 1 expression in the hippocampus of SAMP8 mice. (A)
Photomicrographs and quantitative analysis of the number of neurons in the hippocampus, analysed by NeuN immunostaining. (B) The effect of the probiotic
combination on the expression levels of Bax, Bcl-2, p-AKT and AKT in the hippocampus. (C) The effect of the probiotic combination on the expression level of Sirt 1
in the hippocampus. C: control group (n = 4), M: model group (n = 4), L: low-dose probiotics group (n = 4), H: high-dose probiotics group (n = 4). Data are
presented as the means ± SD. *p < 0.05. by reduced learning and memory, cognitive impairment and
neurodegenerative changes. The Probiotic Combination Alleviated
Colonic Inflammation and Decreased
Tight Junction Protein Expression in
SAMP8 Mice It is a common natural pathogenesis
model to study dementia and aging (22). proteins related to intestinal permeability. Compared with the C
group, ZO-1 and Occuldin expression decreased and TLR4,
MyD88, and p-p65 expression increased in the M group. The
probiotic combination significantly increased the expression of
ZO-1 and Occuldin – indicating increased integrity of the
intestinal barrier – and reduced the expression of TLR4,
MyD88, and p-p65 – indicating a modulation of intestinal
inflammation (Figures 6B, C). In this research, the SAMP8 mice were used to evaluate the
effects of a probiotic combination. First, we identified four
probiotics (L. fermentum SX-0718, L. casei SX-1107, B. longum
SX-1326, and B. animalis SX-0582; Jiangxi Shanxing
Biotechnology Co., Ltd, Nanchang, Jiangxi, PR China) from
the faeces of centenarians. In vitro experiments verified that
they had good acid resistance, bile salt resistance and
antibacterial properties (Figure 1). In addition, the probiotic
combination could alleviate weight loss and reduce the aging
score of SAMP8 mice (Supplementary Figures 1B, C). In
behavioural tests, aging mice showed impaired spatial memory,
motor dysfunction and decreased exploratory behaviour
(Figure 2). The probiotic combination was able to ameliorate
these changes, indicating that it may exert anti-aging effects. Frontiers in Immunology | www.frontiersin.org DISCUSSION The aging of the population is a prominent global problem in
today’s society. Aging can lead to a series of physical changes and
abnormal behaviours, such as hair loss, sagging skin, reduced
mental ability, decreased memory and even dementia (21). The
health problems caused by the aging are major challenges in the
field of health care (12). There is currently no good way to
prevent or treat aging. Therefore, research related to anti-aging
treatments and aging-related diseases is needed urgently. The SAMP8 mouse exhibits rapid aging that is consistent
with what happens in humans. It is mainly characterised Given the promising behavioural data, we studied the possible
anti-aging mechanism of the probiotic combination. The
hippocampus is involved in learning and memory and damage
to this brain region can cause learning and memory impairment
and spatial positioning disorders (23). Compared with the C December 2021 | Volume 12 | Article 792746 Frontiers in Immunology | www.frontiersin.org 7 Anti-Aging Effects of a Probiotic Combination Fang et al. A
B
FIGURE 4 | The probiotic combination modulated the TLR4/NFkB signalling pathway and hippocampal inflammation in SAMP8 mice. (A) The effect of the probiotic
combination on the expression levels of TLR4, MyD88, p-p65 and p65 in the hippocampus. (B) The probiotic combination reduced the levels of the pro-inflammatory
cytokines IL-1b, IL-6 and TNF-a. C: control group (n = 4), M: model group (n = 4), L: low-dose probiotics group (n = 4), H: high-dose probiotics group (n = 4). Data
are presented as the means ± SD. *p < 0.05. A B B FIGURE 4 | The probiotic combination modulated the TLR4/NFkB signalling pathway and hippocampal inflammation in SAMP8 mice. (A) The effect of the probiotic
combination on the expression levels of TLR4, MyD88, p-p65 and p65 in the hippocampus. (B) The probiotic combination reduced the levels of the pro-inflammatory
cytokines IL-1b, IL-6 and TNF-a. C: control group (n = 4), M: model group (n = 4), L: low-dose probiotics group (n = 4), H: high-dose probiotics group (n = 4). Data
are presented as the means ± SD. *p < 0.05. A
B
D
E
C
FIGURE 5 | The probiotic combination altered the gut microbiota composition of SAMP8 mice. (A) The Chao1 index. (B) The Observed_species index. (C) The
Venn diagram. (D) The PCoA analysis. (E) Species abundance analysis at the genus level. DISCUSSION C, control group (n = 8); M, model group (n = 8); L, low-dose probiotics
group (n = 8); H, high-dose probiotics group (n = 8). Data are presented as the means ± SD. A
B
C B
C D E D E FIGURE 5 | The probiotic combination altered the gut microbiota composition of SAMP8 mice. (A) The Chao1 index. (B) The Observed_species index. (C) The
Venn diagram. (D) The PCoA analysis. (E) Species abundance analysis at the genus level. C, control group (n = 8); M, model group (n = 8); L, low-dose probiotics
group (n = 8); H, high-dose probiotics group (n = 8). Data are presented as the means ± SD. pathway improves cell survival by regulating forkhead
transcription factor (FKHR), as well as mammalian target of
rapamycin (mTOR) to increase protein synthesis and affect
nerves. The growth of synapses and the development of
synaptic plasticity ultimately affect learning and memory group, there were fewer neurons in the hippocampus of the M
group. The probiotic combination could alleviate the loss of
neurons in SAMP8 mice (Figure 3A). Many studies have shown
that the AKT signalling pathway plays a significant role in the
apoptosis and metabolism of neurons. The AKT signalling December 2021 | Volume 12 | Article 792746 Frontiers in Immunology | www.frontiersin.org 8 Anti-Aging Effects of a Probiotic Combination Fang et al. A
B
C
FIGURE 6 | The probiotic combination alleviated colonic inflammation and decreased tight junction protein expression in SAMP8 mice. (A) HE staining of the colon. (B) The effect of the probiotic combination on the expression levels of TLR4, MyD88, p-p65 and p65 in the colon. (C) The effect of the probiotic combination on the
expression levels of ZO-1 and Occuldin in the colon. C, control group (n = 4); M, model group (n = 4); L, low-dose probiotics group (n = 4); H, high-dose probiotics
group (n = 4). Data are presented as the means ± SD. *p < 0.05. B FIGURE 6 | The probiotic combination alleviated colonic inflammation and decreased tight junction protein expression in SAMP8 mice. (A) HE staining of the colon. (B) The effect of the probiotic combination on the expression levels of TLR4, MyD88, p-p65 and p65 in the colon. (C) The effect of the probiotic combination on the
expression levels of ZO-1 and Occuldin in the colon. DISCUSSION C, control group (n = 4); M, model group (n = 4); L, low-dose probiotics group (n = 4); H, high-dose probiotics
group (n = 4). Data are presented as the means ± SD. *p < 0.05. Neuroinflammation plays an important part in aging-related
neurological diseases such as AD and PD (32). In these diseases,
various inflammatory factors (food antigens, lipopolysaccharides,
free fatty acids, reactive oxygen species, etc.) bind to TLR and
activate NFkB, an important factor in the immune system and
the inflammatory process, after signal transduction. This
phenomenon leads to the release of many pro-inflammatory
factors (IL-1b, IL-6, TNF-a, etc.), causing neuroinflammation,
damage to the brain, and neuronal death (32, 33). Some drugs can
alleviate the progression of neurodegenerative diseases such as AD
and PD by modulating neuroinflammation (34, 35). In this study,
compared with the M group, the levels of TLR4, MyD88, p-p65/
p65, IL-1b, TNF-a and IL-6 were significantly reduced in the L
and H groups (Figure 4), indicating that the probiotic
combination can inhibit neuroinflammation in aging mice and
protect neurons. functions (24, 25). The p-AKT can directly regulate formation of
the Bcl-2/Bax heterodimer through phosphoinositide 3-kinase
(PI3K)-1 (26). Sirt 1 plays a significant role in the development of
the brain and neurons as well as the pathogenesis of AD. Neurodegeneration and cognitive function are significantly
improved after injection of a virus encoding Sirt 1 into the
hippocampus (27). Research by Zhou et al. (28) also showed that
blocking Sirt 1 with small interfering RNA (siRNA) can
accelerate AD pathology and cognitive impairment. Moreover,
there is an interaction between Sirt 1 and AKT. Histone
acetyltransferase (HAT) can inhibit AKT phosphorylation,
while Sirt 1 is a histone deacetylase (HDAC) that uses NAD to
deacetylate AKT on lysine residues targeted by HAT (29). Sirt 6
is another NAD+ dependent deacetylase, Kawahara et al. (30)
found that Sirt 6 can be recruited to the promoters of NFkB
downstream genes, reducing the level of promoter acetylation
and inhibiting the expression of downstream genes related to
apoptosis and cellular senescence. Studies have shown that
overexpression of Sirt 6 can increase the healthy lifespan of
mice by an average of 30% (31), so Sirt 6 may be another
mechanism by which probiotics exert anti-aging effects,
although this eventuality requires further study. Frontiers in Immunology | www.frontiersin.org DISCUSSION However, studies have shown that Prevotellaceae bacteria increase
inthe intestinal microbiotaofpatients withschizophrenia (39).The
abundance ofPrevotella in the intestinal microbiotaofpatientswith
cerebral palsy and children with cerebral palsy and epilepsy
increases significantly (40). The increased abundance of Prevotella
may be related to diseases such as periodontitis, bacterial vaginosis,
rheumatoid arthritis, metabolic disorders and low-grade
systemic inflammation (41–43). This may be due to the intestinal
colonisation of Prevotella leading to changes in the metabolism of
the microbiota, reducing the production of IL-18, which intensifies
intestinal inflammation and may lead to systemic
autoimmunity (44). FIGURE 7 | Graphical summary of this study. The probiotic combination,
determined by screening the faeces of centenarians, can increase the expression
of intestinal permeability-related proteins ZO-1 and Occuldin by regulating the
intestinal microbiota. It also inhibits TLR4/NFkB-induced intestinal inflammation
and then inhibits TLR4/NFkB-induced neuroinflammation through the gut-brain
axis and up-regulates the expression of Sirt 1 to protect hippocampal neurons. These changes underlie the improved spatial memory, motor function, and
exploratory behaviour of aging mice. FIGURE 7 | Graphical summary of this study. The probiotic combination,
determined by screening the faeces of centenarians, can increase the expression
of intestinal permeability-related proteins ZO-1 and Occuldin by regulating the
intestinal microbiota. It also inhibits TLR4/NFkB-induced intestinal inflammation
and then inhibits TLR4/NFkB-induced neuroinflammation through the gut-brain
axis and up-regulates the expression of Sirt 1 to protect hippocampal neurons. These changes underlie the improved spatial memory, motor function, and
exploratory behaviour of aging mice. the expression of ZO-1 and Occuldin decreased significantly
(Figure 6C). Treatment with the probiotic combination relieved
the intestinal inflammation and increased the integrity of the
intestinal barrier. In summary, we have shown that the probiotic combination,
developed by screening the faeces of centenarians, increases the
expression of intestinal permeability-related proteins ZO-1 and
Occuldin by regulating the intestinal microbiota. It also inhibits
TLR4/NFkB-induced intestinal inflammation and consequently,
neuroinflammation through the gut-brain axis and upregulates
the expression of Sirt 1 to protect hippocampal neurons
(Figure 7). These changes underlie improved spatial memory,
motor function and exploratory behaviour of aging mice. Our
research provides the basis for the probiotic combination to
become a dietary supplement for anti-aging. Studies have shown that intestinal barrier dysfunction, and
thus chronic inflammation from the intestine, plays an
important role in aging (45). DISCUSSION The detection
of NeuN-positive cells, apoptosis, proliferation-related proteins,
and Sirt 1 in the hippocampus demonstrated that the probiotic
combination can prevent hippocampal neuronal loss (Figure 3). The neuroprotective effect of the probiotic combination on
hippocampal neurons may be through the regulation of the
AKT signalling pathway and Sirt 1. The intestinal microbiota is closely related to human health. Under normal physiological conditions, the host and the
intestinal microbiota maintain an ecological balance through
synergistic antagonism. Local and continuous abnormal
activities of intestinal microbes can cause inflammation of the
intestinal mucosa. However, local inflammatory reactions often
lead to the occurrence of chronic low-grade inflammation
throughout the body. Chronic low-grade inflammation in the
intestinal mucosa will result in the destruction of the intestinal
barrier, and many harmful factors (lipopolysaccharides,
pathogenic bacteria, etc.) will enter the body to induce
neuroinflammation (14, 16, 32). We detected changes in the December 2021 | Volume 12 | Article 792746 Frontiers in Immunology | www.frontiersin.org 9 Anti-Aging Effects of a Probiotic Combination Fang et al. intestinal microbes of mice by using high-throughput
sequencing. Compared with the C group, the diversity and
richness of the intestinal microbiota in the M group was
decreased. The probiotic combination counteracted these
changes in the intestinal microbiota and promoted the
restoration of intestinal homeostasis (Figures 5A, B). Based on
PCoA, we found that after treatment with the probiotic
combination, the intestinal microbiota of the aging mice
aggregated with the intestinal microbiota of the C group
(Figure 5D), which indicates that the probiotic combination
restores the intestinal microbiota of the aging mice to the
composition of normal mice. Consistently with the findings of
others, the abundance of Akkermansia muciniphila was
decreased and the abundance of Prevotella was increased in
aging mice (15). Moreover, the probiotic combination reduced
the relative abundance of Alistipes and Prevotella (Figure 5E). Akkermansia can improve metabolism, exerts anti-inflammatory
activity, and augments the efficacy of immunotherapy; it is also
closely related to the intestinal barrier function. The decline in
Akkermansia may cause damage to the intestinal barrier and lead
to inflammation in the body (36). Alistipes is a gram-negative
anaerobe and a facultative pathogen. The abundance of Alistipes
increases in patients with depression (37). In the gut microbes of
patients with intestinal irritability syndrome, Alistipes tends to
increase, and this change may be one of the underlying causes of
depression in such patients (38). DISCUSSION Therefore, we examined the
pathological changes of colon in mice and detected the
expression of components of the TLR4/NFkB inflammatory
pathway (TLR4, MyD88 and p-p65) and tight junction
proteins (ZO-1 and Occuldin) in the colon. The mucosal
epithelial cells in the colon of aging mice were shed and a
small amount of intestinal gland structure was destroyed. The
probiotic combination counteracted these changes (Figure 6A). Compared with the C group, the TLR4/NFkB signalling pathway
was activated in the M group, with increased the expression of
the inflammation-related proteins TLR4 and MyD88, which in
turn increased the level of p-p65 (Figure 6B). At the same time, DATA AVAILABILITY STATEMENT The data presented in the study are deposited in the GenBank
repository, accession number PRJNA768326. Frontiers in Immunology | www.frontiersin.org DISCUSSION Researchers have found that
Alistipes can affect the use of tryptophan, impairing the balance of
the serotonergic system in the intestine, and then inhibiting brain
electrical activity, which may lead to cognitive dysfunction (37). Prevotellaisagenusofessentialbacteriainahealthyintestinalbiota. However, studies have shown that Prevotellaceae bacteria increase
inthe intestinal microbiotaofpatients withschizophrenia (39).The
abundance ofPrevotella in the intestinal microbiotaofpatientswith
cerebral palsy and children with cerebral palsy and epilepsy
increases significantly (40). The increased abundance of Prevotella
may be related to diseases such as periodontitis, bacterial vaginosis,
rheumatoid arthritis, metabolic disorders and low-grade
systemic inflammation (41–43). This may be due to the intestinal
colonisation of Prevotella leading to changes in the metabolism of
the microbiota, reducing the production of IL-18, which intensifies
intestinal inflammation and may lead to systemic
autoimmunity (44). Studies have shown that intestinal barrier dysfunction and intestinal microbes of mice by using high-throughput
sequencing. Compared with the C group, the diversity and
richness of the intestinal microbiota in the M group was
decreased. The probiotic combination counteracted these
changes in the intestinal microbiota and promoted the
restoration of intestinal homeostasis (Figures 5A, B). Based on
PCoA, we found that after treatment with the probiotic
combination, the intestinal microbiota of the aging mice
aggregated with the intestinal microbiota of the C group
(Figure 5D), which indicates that the probiotic combination
restores the intestinal microbiota of the aging mice to the
composition of normal mice. Consistently with the findings of
others, the abundance of Akkermansia muciniphila was
decreased and the abundance of Prevotella was increased in
aging mice (15). Moreover, the probiotic combination reduced
the relative abundance of Alistipes and Prevotella (Figure 5E). Akkermansia can improve metabolism, exerts anti-inflammatory
activity, and augments the efficacy of immunotherapy; it is also
closely related to the intestinal barrier function. The decline in
Akkermansia may cause damage to the intestinal barrier and lead
to inflammation in the body (36). Alistipes is a gram-negative
anaerobe and a facultative pathogen. The abundance of Alistipes
increases in patients with depression (37). In the gut microbes of
patients with intestinal irritability syndrome, Alistipes tends to
increase, and this change may be one of the underlying causes of
depression in such patients (38). Researchers have found that
Alistipes can affect the use of tryptophan, impairing the balance of
the serotonergic system in the intestine, and then inhibiting brain
electrical activity, which may lead to cognitive dysfunction (37). Prevotellaisagenusofessentialbacteriainahealthyintestinalbiota. REFERENCES 15. Bárcena C, Valdés-Mas R, Mayoral P, Garabaya C, Durand S, Rodrı́guez F, et al. Healthspan and Lifespan Extension by Fecal Microbiota Transplantation Into
Progeroid Mice. Nat Med (2019) 25:1234–42. doi: 10.1038/s41591-019-0504-5 1. Cano M, Guerrero-Castilla A, Nabavi SM, Ayala A, Argüelles S. Targeting
Pro-Senescence Mitogen Activated Protein Kinase (Mapk) Enzymes With
Bioactive Natural Compounds. Food Chem Toxicol an Int J Published Br Ind
Biol Res Assoc (2019) 131:110544. doi: 10.1016/j.fct.2019.05.052 16. Białecka-Dębek A, Granda D, Szmidt MK, Zielińska D. Gut Microbiota,
Probiotic Interventions, and Cognitive Function in the Elderly: A Review of
Current Knowledge. Nutrients (2021) 13:2514. doi: 10.3390/nu13082514 17. Deng K, Chen T, Wu Q, Xin H, Wei Q, Hu P, et al. In Vitro and In Vivo
Examination of Anticolonization of Pathogens by Lactobacillus Paracasei
FJ861111.1. J Dairy Sci (2015) 98:6759–66. doi: 10.3168/jds.2015-9761 2. Morelli N, Barello S, Mayan M, Graffigna G. Supporting Family Caregiver
Engagement in the Care of Old Persons Living in Hard to Reach
Communities: A Scoping Review. Health Soc Care Commun (2019)
27:1363–74. doi: 10.1111/hsc.12826 18. Xia C, Cao X, Cui L, Liu H, Wang S, Chen T. Anti-Aging Effect of the
Combination of Bifidobacterium Longum and B. Animalis in a D-Galactose-
Treated Mice. J Funct Foods (2020) 69:103938. doi: 10.1016/j.jff.2020.103938 3. McHughD,Gil J.SenescenceandAging:Causes,Consequences,andTherapeutic
Avenues. J Cell Biol (2018) 217:65–77. doi: 10.1083/jcb.201708092 4. Mattson MP, Arumugam TV. Hallmarks of Brain Aging: Adaptive and
Pathological Modification by Metabolic States. Cell Metab (2018) 27:1176–
99. doi: 10.1016/j.cmet.2018.05.011 19. Hosokawa M, Kasai R, Higuchi K, Takeshita S, Shimizu K, Hamamoto H,
et al. Grading Score System: A Method for Evaluation of the Degree of
Senescence in Senescence Accelerated Mouse (SAM). Mech Ageing Dev (1984)
26:91–102. doi: 10.1016/0047-6374(84)90168-4 5. Nie X, Chen Y, Li W, Lu Y. Anti-Aging Properties of Dendrobium
Nobile Lindl.: From Molecular Mechanisms to Potential Treatments. J Ethnopharmacol (2020) 257:112839. doi: 10.1016/j.jep.2020.112839 20. Rognes T, Flouri T, Nichols B, Quince C, Mahé F. VSEARCH: A Versatile Open
Source Tool for Metagenomics. PeerJ (2016) 4:e2584. doi: 10.7717/peerj.2584 21. da Costa JP, Vitorino R, Silva GM, Vogel C, Duarte AC. Rocha-Santos T. A
Synopsis on Aging-Theories, Mechanisms and Future Prospects. Ageing Res
Rev (2016) 29:90–112. doi: 10.1016/j.arr.2016.06.005 6. Guedj A, Volman Y, Geiger-Maor A, Bolik J, Schumacher N, Künzel S, et al. Gut Microbiota Shape 'Inflamm-Ageing' Cytokines and Account for Age-
Dependent Decline in DNA Damage Repair. Gut (2020) 69:1064–75. doi: 10.1136/gutjnl-2019-318491 22. REFERENCES Liu B, Liu J, Shi JS. SAMP8 Mice as a Model of Age-Related Cognition Decline
With Underlying Mechanisms in Alzheimer's Disease. J Alzheimer's Dis JAD
(2020) 75:385–95. doi: 10.3233/jad-200063 7. Michaud M, Balardy L, Moulis G, Gaudin C, Peyrot C, Vellas B, et al. Proinflammatory Cytokines, Aging, and Age-Related Diseases. J Am Med
Directors Assoc (2013) 14:877–82. doi: 10.1016/j.jamda.2013.05.009 23. Lazarov O, Hollands C. Hippocampal Neurogenesis: Learning to Remember. Prog Neurobiol (2016) 138-140:1–18. doi: 10.1016/j.pneurobio.2015.12.006 8. Morshedi M, Hashemi R, Moazzen S, Sahebkar A, Hosseinifard ES. Immunomodulatory and Anti-Inflammatory Effects of Probiotics in
Multiple Sclerosis: A Systematic Review. J Neuroinflamm (2019) 16:231. doi: 10.1186/s12974-019-1611-4 24. Jo H, Mondal S, Tan D, Nagata E, Takizawa S, Sharma AK, et al. Small
Molecule-Induced Cytosolic Activation of Protein Kinase Akt Rescues
Ischemia-Elicited Neuronal Death. Proc Natl Acad Sci USA (2012)
109:10581–6. doi: 10.1073/pnas.1202810109 9. López-Otı́n C, Blasco MA, Partridge L, Serrano M, Kroemer G. The
Hallmarks of Aging. Cell (2013) 153:1194–217. doi: 10.1016/j.cell.2013.05.039 25. Fournier NM, Lee B, Banasr M, Elsayed M, Duman RS. Vascular Endothelial
Growth Factor Regulates Adult Hippocampal Cell Proliferation Through
MEK/ERK- and PI3K/Akt-Dependent Signaling. Neuropharmacol (2012)
63:642–52. doi: 10.1016/j.neuropharm.2012.04.033 10. Kalogeropoulos A, Georgiopoulou V, Psaty BM, Rodondi N, Smith AL,
Harrison DG, et al. Inflammatory Markers and Incident Heart Failure Risk
in Older Adults: The Health ABC (Health, Aging, and Body Composition)
Study. J Am Coll Cardiol (2010) 55:2129–37. doi: 10.1016/j.jacc.2009.12.045 26. Li H, Tang Z, Chu P, Song Y, Yang Y, Sun B, et al. Neuroprotective Effect of
Phosphocreatine on Oxidative Stress and Mitochondrial Dysfunction Induced
Apoptosis In Vitro and In Vivo: Involvement of Dual PI3K/Akt and Nrf2/HO-
1 Pathways. Free Radical Biol Med (2018) 120:228–38. doi: 10.1016/
j.freeradbiomed.2018.03.014 11. Bruunsgaard H, Ladelund S, Pedersen AN, Schroll M, Jørgensen T, Pedersen
BK. Predicting Death From Tumour Necrosis Factor-Alpha and Interleukin-6
in 80-Year-Old People. Clin Exp Immunol (2003) 132:24–31. doi: 10.1046/
j.1365-2249.2003.02137.x 12. Haran JP, McCormick BA. Aging, Frailty, and the Microbiome-How
Dysbiosis Influences Human Aging and Disease. Gastroenterol (2021)
160:507–23. doi: 10.1053/j.gastro.2020.09.060 27. Kim D, Nguyen MD, Dobbin MM, Fischer A, Sananbenesi F, Rodgers JT, et al. SIRT1 Deacetylase Protects Against Neurodegeneration in Models for
Alzheimer's Disease and Amyotrophic Lateral Sclerosis. EMBO J (2007)
26:3169–79. doi: 10.1038/sj.emboj.7601758 13. Quigley EMM. Microbiota-Brain-Gut Axis and Neurodegenerative Diseases. Curr Neurol Neurosci Rep (2017) 17:94. doi: 10.1007/s11910-017-0802-6 28. Zhou Y, Zhu F, Liu Y, Zheng M, Wang Y, Zhang D, et al. FUNDING Supplementary Figure 1 | The probiotic combination delayed the decrease in
body weight and the increase in the aging score of SAMP8 mice. (A) The
experimental design of this study. (B) Weekly body weight changes of SAMP8 mice
during gavage of the probiotic combination. (C) The aging degree scores of SAMP8
mice after gavage of the probiotic combination. C: control group (n = 10), M: model
group (n = 9), L: how-dose probiotics group (n = 8), H: high-dose probiotics group
(n = 9). Data are presented as the means ± SD. *p < 0.05 **p < 0.0. Supplementary Figure 1 | The probiotic combination delayed the decrease in
body weight and the increase in the aging score of SAMP8 mice. (A) The
experimental design of this study. (B) Weekly body weight changes of SAMP8 mice
during gavage of the probiotic combination. (C) The aging degree scores of SAMP8
mice after gavage of the probiotic combination. C: control group (n = 10), M: model
group (n = 9), L: how-dose probiotics group (n = 8), H: high-dose probiotics group
(n = 9). Data are presented as the means ± SD. *p < 0.05 **p < 0.0. This work was supported by grants from the National Natural
Science Foundation of China (Nos. 82060638, 82060222),
Science and Technology Plan of Jiangxi Health Planning
Committee (Nos. 20195092), the Science and Technology
Project of Jiangxi (Nos. 20194BCJ22032, 20192BBG70031), This work was supported by grants from the National Natural
Science Foundation of China (Nos. 82060638, 82060222),
Science and Technology Plan of Jiangxi Health Planning
Committee (Nos. 20195092), the Science and Technology
Project of Jiangxi (Nos. 20194BCJ22032, 20192BBG70031), ETHICS STATEMENT The animal study was reviewed and approved by the Laboratory
Animal Ethics Committee of Nanchang Royo Biotech Co., Ltd
(license No. RYE2020051401) on May 14, 2020. December 2021 | Volume 12 | Article 792746 Frontiers in Immunology | www.frontiersin.org 10 Anti-Aging Effects of a Probiotic Combination Fang et al. AUTHOR CONTRIBUTIONS Nanchang Hongcheng Project to TC, and dou-ble 10-thousand
plan of Jiangxi Province (innovation and technology
professionals as the high-end talent). XF and TC contributed to conception and design of the study. XZ, MY, and JW performed the experiments. YW, DH, and BW
carried out data analysis. All authors participated in drafting of
the manuscript and critical revision of the draft and contributed
to the article and approved the submitted version. SUPPLEMENTARY MATERIAL The Supplementary Material for this article can be found online at:
https://www.frontiersin.org/articles/10.3389/fimmu.2021.792746/
full#supplementary-material REFERENCES Blood-Brain Barrier-
Penetrating siRNA Nanomedicine for Alzheimer's Disease Therapy. Sci
Advances (2020) 6:7031. doi: 10.1126/sciadv.abc7031 14. Wang HX, Wang YP. Gut Microbiota-Brain Axis. Chin Med J (2016)
129:2373–80. doi: 10.4103/0366-6999.190667 December 2021 | Volume 12 | Article 792746 Frontiers in Immunology | www.frontiersin.org 11 Anti-Aging Effects of a Probiotic Combination Fang et al. 29. Lin JY, Kuo WW, Baskaran R, Kuo CH, Chen YA, Chen WS, et al. Swimming
Exercise Stimulates IGF1/ PI3K/Akt and AMPK/Sirt1/Pgc1a Survival
Signaling to Suppress Apoptosis and Inflammation in Aging Hippocampus. Aging (2020) 12:6852–64. doi: 10.18632/aging.103046 40. Huang C, Li Y, Feng X, Li D, Li X, Ouyang Q, et al. Distinct Gut
Microbiota Composition and Functional Category in Children With
Cerebral Palsy and Epilepsy. Front Pediatr (2019) 7:394. doi: 10.3389/
fped.2019.00394 30. Kawahara TL, Michishita E, Adler AS, Damian M, Berber E, Lin M, et al. SIRT6 Links Histone H3 Lysine 9 Deacetylation to NF-kappaB-Dependent
Gene Expression and Organismal Life Span. Cell (2009) 136:62–74. doi: 10.1016/j.cell.2008.10.052 41. Kovatcheva-Datchary P, Nilsson A, Akrami R, Lee YS, De Vadder F, Arora T,
et al. Dietary Fiber-Induced Improvement in Glucose Metabolism Is
Associated With Increased Abundance of Prevotella. Cell Metab (2015)
22:971–82. doi: 10.1016/j.cmet.2015.10.001 31. Roichman A, Elhanati S, Aon MA, Abramovich I, Di Francesco A, Shahar Y,
et al. Restoration of Energy Homeostasis by SIRT6 Extends Healthy Lifespan. Nat Commun (2021) 12:3208. doi: 10.1038/s41467-021-23545-7 42. Randis TM, Ratner AJ. Gardnerella and Prevotella: Co-Conspirators in the
Pathogenesis of Bacterial Vaginosis. J Infect Dis (2019) 220:1085–8. doi: 10.1093/infdis/jiy705 32. Sampson TR, Debelius JW, Thron T, Janssen S, Shastri GG, Ilhan ZE, et al. Gut
Microbiota Regulate Motor Deficits and Neuroinflammation in a Model of
Parkinson's Disease. Cell (2016) 167:1469–80.e12. doi: 10.1016/j.cell.2016.11.018 43. Arweiler NB, Netuschil L. The Oral Microbiota. Adv Exp Med Biol (2016)
902:45–60. doi: 10.1007/978-3-319-31248-4_4 44. Iljazovic A, Roy U, Gálvez EJC, Lesker TR, Zhao B, Gronow A, et al. Perturbation of the Gut Microbiome by Prevotella Spp. Enhances Host
Susceptibility to Mucosal Inflammation. Mucosal Immunol (2021) 14:113–
24. doi: 10.1038/s41385-020-0296-4 33. Megur A, Baltriukienė D, Bukelskienė V, Burokas A. The Microbiota-Gut-
Brain Axis and Alzheimer's Disease: Neuroinflammation Is to Blame? Nutrients (2020) 13:37. doi: 10.3390/nu13010037 34. Yang Q, Luo L, Sun T, Yang L, Cheng LF, Wang Y, et al. Chronic Minocycline
Treatment Exerts Antidepressant Effect, Inhibits Neuroinflammation, and
Modulates Gut Microbiota in Mice. Psychopharmacol (2020) 237:3201–13. doi: 10.1007/s00213-020-05604-x 45. December 2021 | Volume 12 | Article 792746 REFERENCES Kühn F, Adiliaghdam F, Cavallaro PM, Hamarneh SR, Tsurumi A, Hoda RS,
et al. Intestinal Alkaline Phosphatase Targets the Gut Barrier to Prevent
Aging. JCI Insight (2020) 5:134049. doi: 10.1172/jci.insight.134049 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. 35. Dong Y, Li X, Cheng J, Hou L. Drug Development for Alzheimer's Disease:
Microglia Induced Neuroinflammation as a Target? Int J Mol Sci (2019)
20:558. doi: 10.3390/ijms20030558 36. Geerlings SY, Kostopoulos I, de Vos WM, Belzer C. Akkermansia Muciniphila
in the Human Gastrointestinal Tract: When, Where, and How? Microorganisms (2018) 6:75. doi: 10.3390/microorganisms6030075 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. 37. Ait-Belgnaoui A, Colom A, Braniste V, Ramalho L, Marrot A, Cartier C, et al. Probiotic Gut Effect Prevents the Chronic Psychological Stress-Induced Brain
Activity Abnormality in Mice. Neurogastroenterol Motil Off J Eur
Gastrointestinal Motil Soc (2014) 26:510–20. doi: 10.1111/nmo.12295 38. Hsiao EY, McBride SW, Hsien S, Sharon G, Hyde ER, McCue T, et al. Microbiota Modulate Behavioral and Physiological Abnormalities Associated
With Neurodevelopmental Disorders. Cell (2013) 155:1451–63. doi: 10.1016/
j.cell.2013.11.024 Copyright © 2021 Fang, Yue, Wei, Wang, Hong, Wang, Zhou and Chen. 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. 39. Grochowska M, Wojnar M, Radkowski M. The Gut Microbiota in
Neuropsychiatric Disorders. Acta Neurobiologiae Exp (2018) 78:69–81. doi:
10.21307/ane-2018-008 December 2021 | Volume 12 | Article 792746 Frontiers in Immunology | www.frontiersin.org 12
|
https://openalex.org/W2069799382
|
https://link.springer.com/content/pdf/10.1007/s00401-014-1378-8.pdf
|
English
| null |
Autophagy induction halts axonal degeneration in a mouse model of X-adrenoleukodystrophy
|
Acta neuropathologica
| 2,014
|
cc-by
| 13,267
|
Autophagy induction halts axonal degeneration in a mouse model
of X‑adrenoleukodystrophy Nathalie Launay · Carmen Aguado · Stéphane Fourcade · Montserrat Ruiz ·
Laia Grau · Jordi Riera · Cristina Guilera · Marisa Giròs · Isidre Ferrer ·
Erwin Knecht · Aurora Pujol Nathalie Launay · Carmen Aguado · Stéphane Fourcade · Montserrat Ruiz ·
Laia Grau · Jordi Riera · Cristina Guilera · Marisa Giròs · Isidre Ferrer ·
Erwin Knecht · Aurora Pujol Received: 19 September 2014 / Revised: 11 December 2014 / Accepted: 19 December 2014 / Published online: 31 December 2014
© The Author(s) 2014. This article is published with open access at Springerlink.com Abstract X-linked adrenoleukodystrophy (X-ALD) is
a rare neurometabolic disease characterized by the accu-
mulation of very long chain fatty acids (VLCFAs) due to
a loss of function of the peroxisomal transporter ABCD1. Here, using in vivo and in vitro models, we demonstrate
that autophagic flux was impaired due to elevated mam-
malian target of rapamycin (mTOR) signaling, which con-
tributed to X-ALD pathogenesis. We also show that excess
VLCFAs downregulated autophagy in human fibroblasts. Furthermore, mTOR inhibition by a rapamycin derivative
(temsirolimus) restored autophagic flux and inhibited the
axonal degenerative process as well as the associated loco-
motor impairment in the Abcd1−/Abcd2−/− mouse model. This process was mediated through the restoration of proteasome function and redox as well as metabolic home-
ostasis. These findings provide the first evidence that links
impaired autophagy to X-ALD, which may yield a therapy
based on autophagy activators for adrenomyeloneuropathy
patients. Keywords X-ALD · Autophagy · mTOR · Temsirolimus ·
VLCFA Acta Neuropathol (2015) 129:399–415
DOI 10.1007/s00401-014-1378-8 Acta Neuropathol (2015) 129:399–415
DOI 10.1007/s00401-014-1378-8 ORIGINAL PAPER ORIGINAL PAPER Introduction In addition to the ubiquitin–proteasome pathway, macro-
autophagy (autophagy, herein) is the major cellular process
responsible for protein turnover in eukaryotic cells [30, 37,
55]. Autophagy is initiated by a double-membrane structure
that closes to form an autophagosome, which contains cyto-
plasmic material, including organelles, protein aggregates
and lipids. Next, the autophagosome fuses with endosomes/ N. Launay and C. Aguado contributed equally to this work. Electronic supplementary material The online version of this
article (doi:10.1007/s00401-014-1378-8) contains supplementary
material, which is available to authorized users. C. Aguado · E. Knecht
Laboratory of Cellular Biology, Centro de Investigación Príncipe
Felipe, 46012 Valencia, Spain N. Launay · S. Fourcade · M. Ruiz · L. Grau · J. Riera ·
C. Guilera · A. Pujol (*)
Neurometabolic Diseases Laboratory, Bellvitge Biomedical
Research Institute (IDIBELL), L’ Hospitalet de Llobregat,
08908 Barcelona, Catalonia, Spain
e-mail: apujol@idibell.cat C. Guilera A. Pujol (*)
Neurometabolic Diseases Laboratory, Bellvitge Biomedical
Research Institute (IDIBELL), L’ Hospitalet de Llobregat,
08908 Barcelona, Catalonia, Spain
e-mail: apujol@idibell.cat M. Giròs
Institut de Bioquímica Clínica, Corporació Sanitària Clinic,
08028 Barcelona, Catalonia, Spain N. Launay · S. Fourcade · M. Ruiz · L. Grau · J. Riera ·
C. Guilera · I. Ferrer · A. Pujol
Institut of Neuropathology, Pathologic Anatomy Service,
Bellvitge Biomedical Research Institute, IDIBELL-Hospital
Universitari de Bellvitge, L’Hospitalet de Llobregat,
08908 Barcelona, Catalonia, Spain I. Ferrer
Center for Biomedical Research on Neurodegenerative Diseases
(CIBERNED), ISCIII, Madrid, Spain A. Pujol
Catalan Institution of Research and Advanced Studies (ICREA),
08010 Barcelona, Catalonia, Spain N. Launay · C. Aguado · S. Fourcade · M. Ruiz · L. Grau ·
J. Riera · C. Guilera · M. Giròs · E. Knecht · A. Pujol
Center for Biomedical Research on Rare Diseases (CIBERER),
ISCIII, Madrid, Spain 1 3 400 Acta Neuropathol (2015) 129:399–415 lysosomes to form a single-membrane autolysosome that
degrades the sequestered material [42, 53, 59, 77]. although, these therapies can only be applied to a subset of
patients upon demyelination onset within a narrow window
of opportunity. A satisfactory pharmacological treatment
has not yet been identified [4]. Autophagy occurs at low basal levels in almost all cells,
but it increases rapidly and strongly under certain condi-
tions such as starvation, high energy demands [42, 53], oxi-
dative stress and protein aggregate accumulation [28, 75]. Introduction Here, we used biochemical, morphological and func-
tional assays to directly analyze the autophagic system sta-
tus in X-ALD fibroblasts, patient brains and X-ALD mouse
models (Abcd1− and Abcd1−/Abcd2−/−). We report aber-
rant mTOR signaling that causes autophagy impairment as
a mechanistic and pivotal component of X-ALD pathogen-
esis. Based on preclinical test results from a mouse model
using the rapamycin analog temsirolimus, we propose
using rapamycin-related mTOR inhibitors as a potential
therapeutic approach for X-ALD. A growing body of evidence indicates that constitutive
autophagy is indispensable for maintaining neural tissue
homeostasis and normal function. Dysfunctional autophagy
has been observed during neurodegeneration in both in
vivo animal models [10, 33, 62, 86, 87, 92] and in vitro pri-
mary neuronal cultures [6, 38, 70]. Insufficient autophagy
is characterized by the accumulation of autophagic struc-
tures and has been observed in the brains of patients with
neurodegenerative diseases, particularly those associated
with protein aggregates such as Alzheimer’s (AD), Parkin-
son’s and Huntington’s diseases (HD) [58]. Antibodies and reagents The following antibodies were used for Western blots:
γ-tubulin and DNP (2,4-dinitrophenylhydrazone) (Sigma);
LC3 (Nanotools), phospho-p70S6 kinase (Thr389), phos-
pho-ULK1 (Ser757), p70S6 kinase and ULK1 (Cell Sign-
aling Technology); polyUbiquitin (Dako) and K48-linked
polyUbiquitin (Cell Signaling); amyloid precursor protein
(Boehringer); p62 and 8-oxodG (Abcam); Iba-1 (Wako); and
GFAP, synaptophysin, goat anti-rabbit and anti-mouse IgG
linked to horseradish peroxidase (DakoCytomation). The
fluorogenic peptides Suc-Leu-Leu-Val-Tyr-7-amido-4-methyl-
coumarin (Suc-LLVT-AMC) and 7-amino-4-methylcoumarin
(AMC) were obtained from Calbiochem. Hexacosanoic acid
(C26:0) and bafilomycin A1 were purchased from Sigma. Materials and methods In this study, following previous observations of poly-
ubiquitinated protein accumulation in X-linked adrenoleu-
kodystrophy models [39] (X-ALD: McKusick no. 300100),
we investigated whether autophagy is altered in X-ALD
and the extent to which this impairment contributes to the
axonal degeneration pathophysiology observed in this dis-
ease. X-ALD is a severe and often lethal inherited neuro-
metabolic disorder characterized by progressive demyeli-
nation in the central nervous system, axonopathy in the
spinal cord and adrenal insufficiency [13, 15, 57]. X-ALD
results from a loss of function by the peroxisomal ABCD1
fatty acid transporter, resulting in VLCFAs accumula-
tion in the target organs and plasma caused by impaired
VLCFAs import into the peroxisome, which decreases the
peroxisomal beta-oxidation enzyme substrate [19, 83, 85,
88]. Three major disease variants have been described. One variant is a late-onset form that affects adults and is
referred to as adrenomyeloneuropathy (AMN), which is
characterized by peripheral neuropathy and distal axonopa-
thy in corticospinal tracts of spinal cords undergoing spas-
tic paraparesis as a major symptom without brain inflam-
matory demyelination. Two ultimately lethal forms include
cerebral demyelination and neuroinflammation; one is an
adult form referred to as cerebral adrenomyeloneuropa-
thy (cAMN), and the other is a childhood form referred
to as cerebral childhood adrenoleukodystrophy (cCALD). All clinical phenotypes can occur within the same family;
thus, the phenotype and genotype do not correlate [13, 15,
57]. In recent years, we and others have shown that excess
VLCFAs generate reactive oxygen species (ROS) and this
together with energetic imbalances underlie disease patho-
genesis [18, 22, 63, 76]. However, the method by which
excess VLCFAs result in adrenal and spinal cord patholo-
gies remains elusive, including whether or not they trigger
central demyelination. Therapeutic advances include allo-
geneic bone marrow transplant [2] and gene therapy [9]; Human brain samples Brain tissue (frontal lobe unaffected white matter for patients
and controls, plus affected white matter of parietal and
occipital lobes) was obtained from patients with cerebral
adrenoleukodystrophy (cCALD), cerebral adrenomyeloneu-
ropathy (cAMN) and healthy age-matched male control
subjects from the Brain and Tissue Bank for Developmen-
tal Disorders at the University of Maryland, Baltimore [74]
(Supplemental Table 1). There was no available tissue from
pure AMN patients in this Bank, which prevented us from
comparisons to this phenotype. Informed written consent
was obtained from all patients or their legal representatives;
the local ethics committee approved the studies. Treatments and locomotor experiments Skin biopsies were used to prepare fibroblasts and were
collected in accordance with the institutional guidelines
for sampling, including informed consent from the per-
sons involved or their representatives (12/062). Fibroblasts
were obtained from pure AMN patients and healthy age-
matched male control subjects with an age ranging from
31 to 52 years. Primary human fibroblasts were cultured
in DMEM (containing 10 % fetal bovine serum, 100 U/ml
penicillin and 100 µg streptomycin) at 37 °C in humidified,
5 % CO2/95 % air. Unless otherwise stated, the experiments
were performed with cells at 80 % confluence. Control and
X-ALD human fibroblasts were treated in medium con-
taining fetal bovine serum (10 %) for 24 h with ethanol as
control or C26:0 (50 μM). For starvation conditions, after
washing, the cells were changed from a full growth medium
(low proteolysis medium, L) to Krebs–Henseleit medium
(118.4 mM NaCl, 4.75 mM KCl, 1.19 mM KH2PO4,
2.54 mM MgSO4, 2.44 mM CaCl2·2H2O, 28.6 mM
NaHCO3, and 10 mM glucose) containing 10 mM HEPES,
pH 7.4 (high proteolysis medium, H) and incubated for 4 h
or less at 37 °C. Two X-ALD mouse models were used in this study. The
first model was Abcd1− mice that exhibit biochemical
signs of pathology, including oxidative stress [17] and
altered energy homeostasis [23]; however, the first clini-
cal signs of AMN (axonopathy and locomotor impairment)
appear at 20 months [64, 65]. We characterized the bio-
chemical signs of adult AMN in these mice. The second
model was mice with a double gene knockout of both the
Abcd1 and Abcd2 transporters (Abcd1−/Abcd2−/−). Com-
pared with the Abcd1− mice, the Abcd1−/Abcd2−/− mice
display enhanced VLCFAs accumulation in the spinal cord
[64], higher levels of oxidative damage to proteins [20],
and a more severe AMN-like pathology with an earlier
onset at 12 months of age [16, 64, 65]; therefore, this is
the preferred model for assaying therapeutic strategies. Notably, no disease-causative role for ABCD2 has been
demonstrated; however, its absence induces a partially
overlapping fatty acid pattern compared with the Abcd1−
dependent biochemical phenotype [19, 43]. We assessed
the clinical signs of AMN in these double Abcd1−/
Abcd2−/− mice. The mice used for the experiments herein
were produced using a pure C57BL/6 J background. Gen-
eration and genotyping for Abcd1− and Abcd1−/Abcd2−/−
mice have been previously described [46, 64]. Mouse colonies The methods in this study were employed in accord-
ance with the Guide for the Care and Use of Laboratory 1 3 3 401 Acta Neuropathol (2015) 129:399–415 Animals published by the US National Institutes of
Health (NIH publication No. 85-23, revised 1996) as well
as the ethical committees of IDIBELL and the Generalitat
de Catalunya (DAAM 3546). The generation and geno-
typing of Abcd1− (Abcd1Tm1Kds) and Abcd2−/− (Abcd2T-
m1Apuj) mice have been previously described [16, 46, 64,
65]. The Abcd1− mice in a 129sv background were a
kind gift of Dr Kirby Smith (KKI, Baltimore, MD) [46]. The Abcd1- and Abcd1−/Abcd2−/− mice were kept at
22 °C with equal periods of darkness and light and had
free access to water and food. All mice used for experi-
ments were on a pure C57BL/6 J background. Animals
were killed and tissues were recovered and conserved at
−80 °C. starting treatment at 12 months and being killed after loco-
motor tests at 17 months of age. Under these conditions,
no significant weight loss was observed, indicating that
the protocol with resting periods was more suitable. We
provided the control mice with a mock injection that con-
tained buffer at the same frequency. The treadmill experi-
ment was performed exactly as previously described [44,
56]. We measured the latency to falling off the belt (shock
time) and number of shocks received. The bar cross exper-
iment was performed as previously described [16, 44, 56]. Mock- and drug-treated mice in each litter were simulta-
neously tested using the treadmill and bar cross for both
genotype and treatment in a blind study. Treatments and locomotor experiments For the
temsirolimus treatments, the Abcd1−, Abcd1−/Abcd2−/−
and wild-type littermate mice were separated into control
and treated groups. Temsirolimus (LC Laboratories) was
administered through intraperitoneal injections of 20 mg/
kg three times a week [52, 67]. We first tested different
dosages to minimize unwanted effects. Continuous tem-
sirolimus administration over 3 months at 20 mg/kg pro-
duced substantial weight loss, between 15 and 20 % of the
body weight (data not shown), which is consistent with
previous observations in rodents [84]. Thus, we alternated
3-week rest periods between each month of the 3 months
of treatment to a total period of 4.5 months, with mice Electrophoresis and Western blotting Total RNA was isolated from homogenized spinal cords
using the RNeasy Mini Kit (Qiagen) in accordance with the
manufacturer’s instructions. Next, the first-strand cDNA
was synthesized for each RNA sample using Superscript
II reverse transcriptase (Invitrogen) and oligo-dT. Expres-
sion levels of the candidate proteasome genes were ana-
lyzed through RT-PCR using TaqMan® Gene Expression
Assays (Applied Biosystems). The expression levels were
relatively quantified using the ‘Delta–Delta Ct’ (ΔΔCt)
method with RPL0 as an endogenous control. Transcript
quantification was performed in duplicate for each sample
[39]. Tissues were removed from euthanized mice and flash-
frozen using liquid nitrogen. The frozen tissue and human
fibroblasts samples were homogenized in RIPA buffer
(150 mM NaCl, 1 % Nonidet P40, 0.5 % sodium deoxycho-
late, 0.1 % SDS, 50 mM Tris, pH 8.0) containing 0.1 mM
leupeptin and 1 mM PMSF) using a motor-driven grinder
(Sigma-Aldrich) and then sonicated for 2 min at 4 °C in an
Ultrasonic processor UP50H (Hielscher-Ultrasound Tech-
nology). We used polyacrylamide (10 % acrylamide) gel
electrophoresis for 60 min at 120 V to analyze the samples. The resolved proteins were transferred onto nitrocellulose
membranes and the proteins were detected using an ECL
Western blotting analysis system followed by exposure to
CL-XPosure Film (Thermo Scientific). Autoradiographs
were scanned and quantified using a GS800 Densitometer
(Bio-Rad). Autophagy analysis in cultured cells For pulse-chase experiments, human control and X-ALD
patients’ fibroblasts were incubated for 48 h in fresh full
medium with 1 µCi/ml [3H]valine (Hartmann Analytic
GmbH) followed by a 24 h chase in fresh full medium
containing 10 mM l-valine to degrade short-lived proteins
[21]. Next, all cultures were incubated for the indicated
times in Krebs–Henseleit medium with 10 mM HEPES,
pH 7.4, 10 mM valine and the additional components indi-
cated. Protein degradation was analyzed 1 h thereafter to
ensure the maximum effects of the various added compo-
nents and for only 3 h to avoid possible secondary effects. We calculated protein degradation at two 1.5-h intervals by
measuring the net release of trichloroacetic acid-soluble 1 3 402 Acta Neuropathol (2015) 129:399–415 radioactivity from the labeled cells into the culture medium,
which is expressed as a percentage of the protein degraded. The contribution of lysosomal degradation to total protein
degradation was calculated using 20 mM NH4Cl (Sigma-
Aldrich) and 100 µM leupeptin (Peptide Institute), as previ-
ously described [21]. abnormal specific profiles was quantified, and the results
are expressed as the mean ± standard deviation. Reverse transcription (RT)‑PCR analysis Reverse transcription (RT)‑PCR analysis Electron microscopy L1–L2 sections of mouse spinal cords were perfused
with 3 % glutaraldehyde/4 % PFA in phosphate buffer
(100 mM phosphate buffer, pH 7.4) at 4 °C for 24 h. Vibratome Sections (50–100-μm thick) were post-fixed
in 1 % osmium tetroxide, suspended in 2 % (w/v) aque-
ous uranyl acetate for 1 h, washed three times in dis-
tilled water, dehydrated through a graded acetone series
at 30, 50 70, 90 and 100 % and embedded in Durcupan
ACM (Electron Microscopy Sciences) using standard
procedures. To select the area of interest, semi-thin sec-
tions (1.5 µm) were first obtained using a diamond knife
and stained with 1 % toluidine blue. Ultrathin sections
were then cut, stained with Reynold’s lead citrate and
observed using a Philips CM-10 electron microscope at
60 kV. Lysosomal dense bodies were identified by mor-
phological criteria previously described [32] and counts
were performed for each genotype using more than thirty
electron micrographs (final magnification, 7,000×) col-
lected at random from four different mice. Autophagic flux was assessed by measuring endogenous
LC3-II levels relative to the γ-tubulin levels after 4 h in the
presence of 400 nM bafilomycin A1 using specific antibod-
ies. This assay was previously established using various
autophagy modulators [31, 69, 72]. Autophagy was also
assessed by transfecting human fibroblasts with a pEGFP-
LC3 (a generous gift of Noboru Mizushima, Tokyo Medi-
cal and Dental University) and after 48 h, the cells were
incubated in high proteolysis medium for 2 h and the num-
ber of fluorescent dots per transfected cells were counted
using a fluorescence microscope as previously described
[1]. In addition, to assess autophagosome maturation,
human fibroblasts were also transfected for 24 h with
mRFP-GFP-LC3 (Addgene) and incubated as above. Fluo-
rescence preparations with EGFP-LC3 and RFP-GFP-LC3
were observed and images acquired as previously described
[24]. Reverse transcription (RT)‑PCR analysis ATP levels and chymotrypsin‑like activity decrease indicates either impaired autophagy or increased
autophagosome–endosome/lysosome fusion. Therefore,
we measured the levels of the multifunctional protein p62
(also referred to as SQSTM1), which is a protein involved
in aggresome formation that can be degraded by autophagy
[5]. We found that p62 levels were elevated in unaffected
areas and, more prominently, in the affected zones of both
cCALD and cAMN patients (Fig. 1a, b). These results
support the notion that autophagy is impaired in X-ALD
patients. ATP levels were quantified as previously described [23]. For proteasome activity assays, the tissue was homogenized
in an ice-cold buffer (50 mM Tris–HCl pH 7.5, 1 mM dithi-
othreitol, 0.25 M sucrose, 5 mM MgCl2, 0.5 mM EDTA
and 2 mM ATP) using a Teflon-on-glass homogenizer and
centrifuged at 12,000×g for 10 min. Chymotrypsin-like
activity was determined as described [39] using Suc-LLVY-
AMC as substrate. Equal extract levels were incubated with
the substrate (100 µM) in 100 µl of proteasome activity
assay buffer (0.5 mM Tris–HCl, pH 7.8, 10 mM MgCl2 and
1 mM dithiothreitol with or without 5 mM ATP) for 30 min
at 37 °C. The reactions were quenched by adding 0.9 ml
of cold ethanol. The free AMC fluorescence was quantified
using a fluorescence multi-plate FLUOstar OPTIMA FL
reader (BMG) with excitation and emission wavelengths at
380 and 460 nm, respectively. Lactacystin (5 µM, 2 h) was
employed to ensure assay specificity. All reactions were
performed in duplicate and the readings were calibrated
using standard fluorophore solutions. Next, we studied both autophagy markers in an X-ALD
mouse model at different stages of the disease. The X-ALD
mouse model is a classic Abcd1 gene knockout model
(Abcd1− mice), which exhibits late-onset axonopathy in
the spinal cord without overt inflammation or demyelina-
tion; thus, it resembles adult onset adrenomyeloneuropa-
thy in humans [65]. Abcd1− mice present overt locomo-
tor disabilities and axonopathy at 20–22 months of age;
however, oxidative damage appears very early, at approxi-
mately 3 months of age [17]. We also observed impaired
autophagy in 12-month-old Abcd1− mouse spinal cords, as
evidenced by lower LC3-II levels and elevated p62 levels
compared with wild-type mice (Fig. 1c). These differences
were not significant in 3-month-old Abcd1− mice compared
with wild-type mice (Fig. 1c), which indicates an accumu-
lative phenotype over time. Immunohistochemistry Spinal cords were harvested from 20-month-old wild-type,
Abcd1−/Abcd2−/− and Abcd1−/Abcd2−/− mice treated with
temsirolimus after perfusion using 4 % paraformalde-
hyde (PFA) as previously described [16, 44, 56, 64]. The
spinal cords were embedded in paraffin, and serial sec-
tions (5 μm thick) were cut in a transversal or longitudinal
(1-cm-long) plane. The number of abnormal specific pro-
files was counted every 10 sections for each stain. At least
three sections of the spinal cord were analyzed per animal
and per stain. The sections were stained with Sudan black
or processed through immunohistochemistry for GFAP,
Iba-1, APP, synaptophysin, and 8-oxodG. The number of To detect protein carbonyls, the proteins were trans-
ferred to nitrocellulose membranes and derivatized with
DNPH as previously described [68]. After derivatization,
the membranes were blocked with 5 % free fatty acid milk
and incubated with a monoclonal anti-DNP antibody (dilu-
tion: 1/1,000, ref D8406, Sigma-Aldrich) for 36 h at room
temperature. Goat anti-mouse IgG linked to horseradish
peroxidase (dilution: 1/10,000, ref 2015-08, Dako, Den-
mark) was used as a secondary antibody. The protein was
detected as described above. 1 3 3 403 Acta Neuropathol (2015) 129:399–415 Statistical analyses Statistical significance was assessed using Student’s t test
when two groups were compared. In analyzing multiple
groups, we used ANOVA and Tukey’s hsd post hoc test
to determine the significance. The data are presented as
the mean ± SD, and p < 0.05 was considered significant
(*p < 0.05; **p < 0.01; ***p < 0.001). Most lysosomes in neurons and other cell types are of
the dense body type. They are easily identified by con-
ventional electron microscopy and we observed fewer (by
approximately 50 %) motor neuron lysosomes of this type
in the Abcd1− mouse spinal cord (as shown in Fig. 2 for
20-month-old mice). Since dense bodies in neurons mainly
derive from the cellular autophagic activity, these results
are consistent with a decrease in autophagy. Results Autophagy is impaired in X‑ALD patients and mouse
models Autophagy is impaired in X‑ALD patients and mouse
models Autophagic flux is impaired in X‑ALD patient fibroblasts The
histograms below (a and b) and
on the right (c) show the LC3-II
levels and the p62 levels relative
to CTL. Values are expressed
as mean ± SD (n = 4 samples
by condition in a and b; n = 6
samples by genotype and age
in c; *p < 0.05 and **p < 0.01,
one-way ANOVA followed by
Tukey’s hsd post hoc test for a
and b, Student’s t test for c) Fig. 1 Autophagy is downregu-
lated in brain areas of X-ALD
patients and in spinal cords of
Abcd1− mice. a, b Representa-
tive immunoblots for p62 and
LC3-II in control (CTL) and in
non-affected (NA) and affected
(A) white matter from cCALD
(a) and cAMN patients (b). c
Representative immunoblots for
p62 and LC3-II in spinal cord
from WT and Abcd1− mice at
3 and 12 months (m) of age. Protein levels are normalized
respect to γ-tubulin (γ-tub). The
histograms below (a and b) and
on the right (c) show the LC3-II
levels and the p62 levels relative
to CTL. Values are expressed
as mean ± SD (n = 4 samples
by condition in a and b; n = 6
samples by genotype and age
in c; *p < 0.05 and **p < 0.01,
one-way ANOVA followed by
Tukey’s hsd post hoc test for a
and b, Student’s t test for c) VLCFAs impair autophagy in human fibroblasts patients’ fibroblasts also exhibited lower LC3-II levels
compared with control cells in both complete (L) and
starvation (H) media (Fig. 3b). As expected, the differ-
ences in p62 levels observed in the absence of lysosomal
inhibitors in Fig. 3a were normalized in the presence of
bafilomycin A1 (Fig. 3b). The decrease in autophago-
somes was further confirmed by a lower (approximately
50 % lower compared with the controls) number of flu-
orescent puncta in X-ALD fibroblasts that transiently
expressed EGFP-LC3 (Fig. 3c). Overall, these results
support the notion that autophagic flux is impaired in
X-ALD fibroblasts. To further reinforce this conclusion,
we used an mRFP-GFP-LC3 tandem reporter that has
been found useful to trace autophagosome maturation
[29] because, in contrast to mRFP that is more stable,
GFP is quenched in lysosomes due to the sensitivity of
GFP to acid environments. Since in X-ALD fibroblasts
yellow fluorescence could be detected, and we found a
decrease in both yellow and red fluorescence (Fig. Autophagic flux is impaired in X‑ALD patient fibroblasts We examined the expression patterns of two molecular
autophagy indicators in patients who suffered from the cer-
ebral forms of X-ALD: cCALD and cAMN. First, we used
the classical autophagosome marker LC3. During macro-
autophagy activation, the cytosolic protein LC3-I is con-
verted into LC3-II by lipidation, and it specifically associ-
ates with both sides of the limiting membranes that form
the autophagosome. LC3-II does not bind other organelles
and is degraded in lysosomes in an autophagy-dependent
manner. We assessed the LC3-II levels in the unaffected
and affected brain areas of cCALD and cAMN patients as
well as in control samples (Fig. 1a, b) and found that they
were consistently lower in both the patients’ unaffected and
affected brain areas. Because LC3-II levels depend on the
rates of both autophagosome formation and conversion into
autolysosomes (in the absence of lysosomal inhibitors), this To monitor autophagy and autophagic flux in X-ALD
fibroblasts, cells were cultured as previously described
[21] either in a serum- and amino acid-free medium
(Krebs–Henseleit medium) to stimulate autophagy via
the well-described starvation response (high proteolysis,
H) or in complete medium to assess basal autophagy (low
proteolysis, L). The fibroblasts from X-ALD patients
exhibited lower LC3-II levels and higher p62 levels
compared with the controls, especially in H medium
(Fig. 3a). Because the observed variations in LC3-II
levels (Figs. 1, 3a) can be due to either a change in its
synthesis or degradation, human fibroblasts were treated
with the lysosomal inhibitor bafilomycin A1 to inhibit
LC3-II degradation. Under these conditions, LC3-II lev-
els correlated with the number of autophagosomes in the
cells [31]. In the presence of bafilomycin A1, X-ALD 1 3 1 3 404 Acta Neuropathol (2015) 129:399–415 bited lower LC3-II levels
in both complete (L) and
VLCFAs impair autophagy in human fibroblasts ti
t ’ fib
bl
t
l
hibit d l
LC3 II l
l
VLCFA i
i
t
h
i h
fib
bl
t
Fig. 1 Autophagy is downregu-
lated in brain areas of X-ALD
patients and in spinal cords of
Abcd1− mice. a, b Representa-
tive immunoblots for p62 and
LC3-II in control (CTL) and in
non-affected (NA) and affected
(A) white matter from cCALD
(a) and cAMN patients (b). c
Representative immunoblots for
p62 and LC3-II in spinal cord
from WT and Abcd1− mice at
3 and 12 months (m) of age. Protein levels are normalized
respect to γ-tubulin (γ-tub). Autophagic flux is impaired in X‑ALD patient fibroblasts 3d),
these results underscore that reduced autophagosome for-
mation and not increased maturation [54] may be respon-
sible for the autophagic defect in these cells. patients’ fibroblasts also exhibited lower LC3-II levels
compared with control cells in both complete (L) and
starvation (H) media (Fig. 3b). As expected, the differ-
ences in p62 levels observed in the absence of lysosomal
inhibitors in Fig. 3a were normalized in the presence of
bafilomycin A1 (Fig. 3b). The decrease in autophago-
somes was further confirmed by a lower (approximately
50 % lower compared with the controls) number of flu-
orescent puncta in X-ALD fibroblasts that transiently
expressed EGFP-LC3 (Fig. 3c). Overall, these results
support the notion that autophagic flux is impaired in
X-ALD fibroblasts. To further reinforce this conclusion,
we used an mRFP-GFP-LC3 tandem reporter that has
been found useful to trace autophagosome maturation
[29] because, in contrast to mRFP that is more stable,
GFP is quenched in lysosomes due to the sensitivity of
GFP to acid environments. Since in X-ALD fibroblasts
yellow fluorescence could be detected, and we found a
decrease in both yellow and red fluorescence (Fig. 3d),
these results underscore that reduced autophagosome for-
mation and not increased maturation [54] may be respon-
sible for the autophagic defect in these cells. In X-ALD, VLCFAs accumulate due to impaired trans-
port and subsequent degradation in peroxisomes [19, 83,
85, 88]. Thus, we sought to determine the putative effect
of excess hexacosanoic acid when added to primary fibro-
blasts isolated from controls and X-ALD patients. First, we examined whether intracellular protein degra-
dation was altered upon adding excess VLCFAs by analyz-
ing the degradation of long-lived proteins under starvation
(high proteolysis) conditions in pulse-chase experiments. We estimated the total level of protein degradation and,
separately, lysosomal protein degradation using previously
described procedures [21]. As shown in Fig. 3e, the total
degradation of long-lived proteins was lower (approxi-
mately 35 %) in X-ALD fibroblasts compared with control
fibroblasts. Similarly, lysosomal degradation, which mainly
corresponds to macroautophagy under these high proteoly-
sis conditions [21], was markedly lower (approximately
50 %). Through alternative methods, these results confirm
the impaired X-ALD autophagy detected above and the
causal role of excess hexacosanoic acid. Adding excess 1 3 3 3 405
Acta Neuropathol (2015) 129:399–415
Fig. 2 The number of lys-
osomes decreases in spinal
cords of Abcd1− mice. Autophagic flux is impaired in X‑ALD patient fibroblasts Repre-
sentative transmission electron
microscopic areas of the cell
bodies of motor neurons from
ventral horns of lumbar sections
from spinal cords in 20-month-
old WT (a, c) and Abcd1− (b,
d) mice fixed and stained by
conventional procedures as
described in “Materials and
methods”. The areas shown in c
and d are larger magnifications
of the fields marked with a rec-
tangle in a and b, respectively. Notice in d the presence of
lipid droplets (LD) close to lys-
osomes of the dense body type
(DB). Bar 2 µm. e The number
of dense bodies per µm2 motor
neuron cell area was counted in
more than 30 randomly selected
areas from four different mice
per genotype. Final counts are
shown as mean ± SD relative
to WT (**p < 0.01, Student’s
t test) Acta Neuropathol (2015) 129:399–415 405 Fig. 2 The number of lys-
osomes decreases in spinal
cords of Abcd1− mice. Repre-
sentative transmission electron
microscopic areas of the cell
bodies of motor neurons from
ventral horns of lumbar sections
from spinal cords in 20-month-
old WT (a, c) and Abcd1− (b,
d) mice fixed and stained by
conventional procedures as
described in “Materials and
methods”. The areas shown in c
and d are larger magnifications
of the fields marked with a rec-
tangle in a and b, respectively. Notice in d the presence of
lipid droplets (LD) close to lys-
osomes of the dense body type
(DB). Bar 2 µm. e The number
of dense bodies per µm2 motor
neuron cell area was counted in
more than 30 randomly selected
areas from four different mice
per genotype. Final counts are
shown as mean ± SD relative
to WT (**p < 0.01, Student’s
t test) Fig. 2 The number of lys-
osomes decreases in spinal
cords of Abcd1− mice. Repre-
sentative transmission electron
microscopic areas of the cell
bodies of motor neurons from
ventral horns of lumbar sections
from spinal cords in 20-month-
old WT (a, c) and Abcd1− (b,
d) mice fixed and stained by
conventional procedures as
described in “Materials and
methods”. The areas shown in c
and d are larger magnifications
of the fields marked with a rec-
tangle in a and b, respectively. Notice in d the presence of
lipid droplets (LD) close to lys-
osomes of the dense body type
(DB). Bar 2 µm. Autophagic flux is impaired in X‑ALD patient fibroblasts e The number
of dense bodies per µm2 motor
neuron cell area was counted in
more than 30 randomly selected
areas from four different mice
per genotype. Final counts are
shown as mean ± SD relative
to WT (**p < 0.01, Student’s
t test) Notice in d the presence of
lipid droplets (LD) close to lys-
osomes of the dense body type
(DB). Bar 2 µm. e The number
of dense bodies per µm2 motor
neuron cell area was counted in
more than 30 randomly selected
areas from four different mice
per genotype. Final counts are
shown as mean ± SD relative
to WT (**p < 0.01, Student’s
t test) Notice in d the presence of
lipid droplets (LD) close to lys-
osomes of the dense body type
(DB). Bar 2 µm. e The number
of dense bodies per µm2 motor
neuron cell area was counted in
more than 30 randomly selected
areas from four different mice
per genotype. Final counts are
shown as mean ± SD relative
to WT (**p < 0.01, Student’s
t test) C26:0 inhibited the total protein and lysosomal degradation
levels by approximately 15 and 40 %, respectively, in con-
trol fibroblasts; however, no significant additive inhibition
was observed in X-ALD fibroblasts (Fig. 3e). the pulse-chase experiments and, thus, suggest a causal
effect between the excess VLCFAs and the impaired
autophagy in X-ALD patients. mTOR activity is enhanced in Abcd1− mice Next, we used immunoblot analyses to determine the
LC3-II and p62 levels in cell extracts from control and
X-ALD fibroblasts in the presence or absence of excess
VLCFAs. In the control fibroblasts, excess VLCFAs
induced a marked decrease in the LC3-II levels and an
increase in the p62 levels; however, we did not observe
a significant difference upon adding excess VLCFAs to
X-ALD fibroblasts with previously altered basal LC3-II
and p62 levels (Fig. 3f). These results are consistent with Next, we investigated the mechanism underlying the
impaired autophagy during X-ALD progression. The class
III PI3 kinase complex includes BECLIN-1 and controls
pre-autophagosome generation. Because previous studies
have shown that lower BECLIN-1 expression may be asso-
ciated with reduced autophagic vacuole formation [66, 91],
we first analyzed BECLIN-1 levels in the X-ALD mouse 1 Acta Neuropathol (2015) 129:399–415 406 406
Acta Neuropathol (2015) 129:399 415 1 3 3 3 407 Acta Neuropathol (2015) 129:399–415 Fig. 3 Autophagy is downregulated in fibroblasts from X-ALD
patients. a, b Representative immunoblots for LC3 and p62 in
extracts from control (CTL) and patients’ (X-ALD) fibroblasts incu-
bated under high (H) and low (L) proteolysis conditions and incu-
bated without (a) or with (b) the lysosomal inhibitor bafilomycin
A1 (see the “Materials and methods” section for details). The his-
tograms below show the LC3-II levels and the p62 levels relative to
the CTL value under high proteolysis conditions. c Representative
fluorescence images of control (CTL) and X-ALD patients’ (X-ALD)
fibroblasts transfected with the EGFP-LC3 plasmid for 48 h and incu-
bated 2 h under high proteolysis conditions. Bar 20 µm. The num-
ber of fluorescent dots per transfected cell is shown on the histogram
below (at least 50 transfected cells were counted). d Representative
fluorescence images of fibroblasts from control (CTL) and X-ALD
patients (X-ALD) transfected with the mRFP-GFP-LC3 plasmid for
24 h. The cells were either non incubated (low proteolysis, 0 h) or
incubated for 2 h in Krebs–Henseleit medium (high proteolysis, 2 h)
as indicated (two first columns of images). Bar 20 µm. The third col-
umn corresponds to higher magnification images of the square areas
in the images of the second column. Bar 5 µm. The number of both
yellow, which correspond to autophagosomes, and red, which cor-
respond to autolysosomes, puncta are reduced in X-ALD, indicating
decreased autophagic flux in these cells. mTOR activity is enhanced in Abcd1− mice The fourth column shows the
frequency distribution of intensities in a 2D scatter plot derived from
the transfected cells, confirming this conclusion. e Control (CTL) and
X-ALD fibroblasts (X-ALD) were treated with 50 μM of C26:0 for
24 h. The cells were then labeled with [3H]valine in low proteolysis
medium and total and lysosomal degradation of long-lived proteins
were quantified in high proteolysis medium as described in “Mate-
rials and methods”. Results are presented as the percentage of the
labeled protein degraded in 1.5 h. f Representative immunoblots for
p62 and LC3-II in control (CTL) and X-ALD fibroblasts (X-ALD)
treated with C26:0 as in e. The histograms below show the LC3-II
levels and the p62 levels relative to untreated control fibroblasts. Pro-
tein levels in a, b and f were always normalized respect to γ-tub. All
values are expressed as mean ± SD (n = 4 by genotype and condition
in a, b, e and f; n = 3 by genotype in c; **p < 0.01 and ***p < 0.001,
one-way ANOVA followed by Tukey’s hsd post hoc test for a, b, e
and f, and Student’s t test for c)
◂ Because mTOR inhibits autophagy [71], these results
suggest that the autophagy defect observed in X-ALD is
mTOR dependent. Temsirolimus promotes autophagy in Abcd1− mice Because the mTOR inhibitor rapamycin is a well-known
autophagy inducer, we sought to test its potential therapeutic
effect on X-ALD pathogenesis in vivo. Since rapamycin has
poor water solubility and stability in aqueous solutions, we
used the rapamycin ester temsirolimus. This drug has more
favorable pharmaceutical properties and only induces mild
side effects in humans, and it is undergoing evaluation through
phase II and phase III clinical trials for treating certain types
of cancer [79, 81] (NCT01026792, NCT00827684). Thus,
we treated 10-month-old Abcd1− mice with temsirolimus
or a vehicle (control) administered through intraperitoneal
injection over a 4.5-month period as described above (see the
“Materials and methods” section) [52, 67]. Before assessing the effect of temsirolimus in X-ALD,
we confirmed that the mTOR pathway was inhibited in the
treated mouse spinal cords. As anticipated, mice treated
with temsirolimus exhibited lower levels of phosphoryl-
ated p70S6 K, but the total p70S6 K immunoreactivity did
not change (Fig. 4c). Autophagy was also assessed through
measuring the LC3-II and p62 levels using Western blots,
which were, respectively, up- and downregulated by tem-
sirolimus in Abcd1− mouse spinal cords (Fig. 4d, e), as
expected from mTOR inhibition. Temsirolimus prevents oxidized protein accumulation,
energetic failure and proteasome malfunction in Abcd1−
mice Temsirolimus prevents oxidized protein accumulation,
energetic failure and proteasome malfunction in Abcd1−
mice Representa-
tive immunoblots for p70S6 K and P-p70S6 K (c), LC3-II (d)
p62 (e) in spinal cords of 14-month-old WT mice untreated (WT
treated with temsirolimus (WT + Tems) and Abcd1− mice untrea
(Abcd1−) or treated with temsirolimus (Abcd1− + Tems). In c an
the histograms on the right show, respectively, P-p70S6 K/p70S
ratios relative to WT values and the LC3-II levels normalized resp
to γ-tub. In e, the histogram on the right shows the levels of p62 n
malized respect to γ-tub and relative to untreated WT mice. All
ues are expressed as mean ± SD (n = 4 samples per genotype
condition in b; n = 6 samples per genotype and condition in a
c–e; *p < 0.05, **p < 0.01 and ***p < 0.001, one-way ANOVA
lowed by Tukey’s hsd post hoc test) tive immunoblots for p70S6 K and P-p70S6 K (c), LC3-II (d) and
p62 (e) in spinal cords of 14-month-old WT mice untreated (WT) or
treated with temsirolimus (WT + Tems) and Abcd1− mice untreated
(Abcd1−) or treated with temsirolimus (Abcd1− + Tems). In c and d,
the histograms on the right show, respectively, P-p70S6 K/p70S6 K
ratios relative to WT values and the LC3-II levels normalized respect
to γ-tub. In e, the histogram on the right shows the levels of p62 nor-
malized respect to γ-tub and relative to untreated WT mice. All val-
ues are expressed as mean ± SD (n = 4 samples per genotype and
condition in b; n = 6 samples per genotype and condition in a and
c–e; *p < 0.05, **p < 0.01 and ***p < 0.001, one-way ANOVA fol-
lowed by Tukey’s hsd post hoc test) Fig. 4 Temsirolimus inhibits mTOR and restores autophagy in spinal
cord from Abcd1− mice. a Representative immunoblots for Beclin-1
and total p70S6 K and its phosphorylated form (P-p70S6 K) in spi-
nal cords from 3- and 12-month-old WT and Abcd1− mice. The his-
tograms on the right show the Beclin-1 levels normalized respect to
γ-tub and the P-p70S6 K/p70S6 K ratios relative to their respective
WT values. b Representative immunoblots for p70S6 K and ULK1
and their phosphorylated forms (P-p70S6 K and P-ULK1) in extracts
from control (CTL) and patients´ (X-ALD) fibroblasts incubated
under high (H) and low (L) proteolysis conditions. Temsirolimus prevents oxidized protein accumulation,
energetic failure and proteasome malfunction in Abcd1−
mice model. We did not observe significant differences at 3 or
12 months in Abcd1− mouse spinal cords compared with
wild-type mice (Fig. 4a). We also determined the activa-
tion state of mTOR, which is a major negative regulator of
macroautophagy. This kinase inhibits autophagy under the
nutrient-rich conditions of a high-fat diet [61, 71]. We ana-
lyzed p70S6 K, a well-known mTOR substrate, and showed
increased p70S6 K phosphorylation in the spinal cords of
12-month-old but not of 3-month-old Abcd1− mice com-
pared with control mice (Fig. 4a), which is consistent with
the results in Fig. 1c. Similarly, we analyzed p70S6 K and
the phosphorylation status of ULK1 at Ser 757 (another
downstream target of mTOR) in X-ALD fibroblasts, which
showed a significant increase under basal conditions (L
medium) compared with control fibroblasts (Fig. 4b). As
expected, we did not detect p70S6 K phosphorylation in
the fibroblasts under starvation conditions (H medium), but
the increase in ULK1 phosphorylation (at Ser 757) detected
under basal conditions could be also observed, albeit to a
lower extent, under starvation. Former studies from our laboratory demonstrated that oxida-
tive stress is a major contributor to X-ALD progression. The
data showed signs of oxidative damage in spinal cords from
the X-ALD mouse model and in fibroblasts from X-ALD
patients with direct oxidative, glycoxidative and lipoxidative
damage to proteins, as well as altered enzymatic antioxidant
defenses [17]. In addition, we showed that oxidative damage
specifically affects ATP levels, which are significantly lower in
Abcd1− mice and X-ALD fibroblasts, implying that VLCFA-
induced oxidative stress impairs energy metabolism [23]. Although researchers have speculated that autophagy reacti-
vation decreases the oxidative damage propagation in neural
tissue, most studies have analyzed whether accumulation of
aggregation-prone proteins and cell death decrease without
directly examining cellular redox status or oxidative damage
[8, 52, 67]. Here, we show that temsirolimus treatment consid-
erably reduced the oxidized protein levels in Abcd1− mouse
spinal cords (Fig. 5a) and prevented the associated bioener-
getic failure [23], which normalized ATP levels (Fig. 5d). 1 3 08
Acta Neuropathol (2015) 129:399–41
Finally, our previous studies showed that the ubiquitin–
[39]. Indeed, the UPS is pivotal in the rapid clearance o
ig. 4 Temsirolimus inhibits mTOR and restores autophagy in spinal
ord from Abcd1− mice. Temsirolimus prevents oxidized protein accumulation,
energetic failure and proteasome malfunction in Abcd1−
mice a Representative immunoblots for Beclin-1
nd total p70S6 K and its phosphorylated form (P-p70S6 K) in spi-
al cords from 3- and 12-month-old WT and Abcd1− mice. The his-
ograms on the right show the Beclin-1 levels normalized respect to
-tub and the P-p70S6 K/p70S6 K ratios relative to their respective
WT values. b Representative immunoblots for p70S6 K and ULK1
nd their phosphorylated forms (P-p70S6 K and P-ULK1) in extracts
om control (CTL) and patients´ (X-ALD) fibroblasts incubated
nder high (H) and low (L) proteolysis conditions. The histograms on
he right show P-p70s6 K/p70S6 K and P-ULK1/ULK1 ratios rela-
ve to CTL fibroblasts under low proteolysis conditions. Representa-
tive immunoblots for p70S6 K and P-p70S6 K (c), LC3-II (d) an
p62 (e) in spinal cords of 14-month-old WT mice untreated (WT) o
treated with temsirolimus (WT + Tems) and Abcd1− mice untreate
(Abcd1−) or treated with temsirolimus (Abcd1− + Tems). In c and d
the histograms on the right show, respectively, P-p70S6 K/p70S6 K
ratios relative to WT values and the LC3-II levels normalized respec
to γ-tub. In e, the histogram on the right shows the levels of p62 nor
malized respect to γ-tub and relative to untreated WT mice. All val
ues are expressed as mean ± SD (n = 4 samples per genotype an
condition in b; n = 6 samples per genotype and condition in a an
c–e; *p < 0.05, **p < 0.01 and ***p < 0.001, one-way ANOVA fol
lowed by Tukey’s hsd post hoc test) Acta Neuropathol (2015) 129:399–415 408 408
Acta Neuropathol (2015) 129:399–
Fig. 4 Temsirolimus inhibits mTOR and restores autophagy in spinal
cord from Abcd1− mice. a Representative immunoblots for Beclin-1
and total p70S6 K and its phosphorylated form (P-p70S6 K) in spi-
nal cords from 3- and 12-month-old WT and Abcd1− mice. The his-
tograms on the right show the Beclin-1 levels normalized respect to
γ-tub and the P-p70S6 K/p70S6 K ratios relative to their respective
WT values. b Representative immunoblots for p70S6 K and ULK1
and their phosphorylated forms (P-p70S6 K and P-ULK1) in extracts
from control (CTL) and patients´ (X-ALD) fibroblasts incubated
under high (H) and low (L) proteolysis conditions. The histograms on
the right show P-p70s6 K/p70S6 K and P-ULK1/ULK1 ratios rela-
tive to CTL fibroblasts under low proteolysis conditions. Temsirolimus prevents oxidized protein accumulation,
energetic failure and proteasome malfunction in Abcd1−
mice In a–c the histograms on the right,
show, respectively, the levels of oxidized proteins (a), total poly-ubiq-
uitinated (Poly-ub) proteins (b) and K-48 linked poly-ubiquitinated Fig. 5 Temsirolimus reduces the accumulation of oxidized pro-
teins, normalizes energetic failure and restores proteasome altera-
tions in spinal cord from Abcd1− mice. Representative immunoblots
for oxidized proteins (carbonylated proteins) (a), for total (b) and
for K-48 linked (c), poly-ubiquitinated proteins in spinal cords of
14-month-old WT mice untreated (WT) or treated with temsirolimus
(WT + Tems) and Abcd1− mice untreated (Abcd1−) or treated with
temsirolimus (Abcd1− + Tems). In a–c the histograms on the right,
show, respectively, the levels of oxidized proteins (a), total poly-ubiq-
uitinated (Poly-ub) proteins (b) and K-48 linked poly-ubiquitinated proteins (K48-ub) (c) relative to untreated WT mice and always nor-
malized respect to the γ-tub. ATP levels (d), chymotrypsin-like (CTL)
proteasome activities in the presence or not of ATP (e) and relative
gene expression of 20S (β2, β1) and i-20S (β5i, β1i) proteasome
subunits analyzed by quantitative RT-PCR (f) expressed relative to
untreated WT mice. All values are as mean ± SD (n = 4 samples per
genotype and condition in (e); n = 6 samples per genotype and condi-
tion in a–c and f; n = 8 per genotype and condition in d. *p < 0.05,
**p < 0.01 and ***p < 0.001, one-way ANOVA followed by Tukey’s
hsd post hoc test) 12 months of age; therefore, Abcd1−/Abcd2−/− mice are
the preferred model for examining the clinical benefits
of a given therapy [44, 50, 56] (see the “Materials and
methods” section for details). The double mutants exhibit
a neuropathological phenotype characterized by the fol-
lowing: (1) increased labeling with 8-oxo-7,8-dihydro-2′-
deoxyguanosine (8-oxodG), which is a marker of oxidative
DNA damage, in spinal motor neurons; (2) microglio-
sis and astrocytosis, as demonstrated by Iba-1 and glial
fibrillary acidic protein (GFAP) staining, respectively; (3)
axonal damage, as demonstrated by amyloid precursor
protein (APP) and synaptophysin accumulation in axonal
swellings; and (4) scattered myelin debris, as demonstrated
by Sudan black staining [44, 56, 64]. Along with proteasomal degradation, autophagy constitutes
the major route for degradation of misfolded or modified
intracellular proteins [48]. We therefore hypothesized that
induction of autophagy could compensate for both the pro-
teasome and immunoproteasome malfunction by increasing
the clearance of oxidized proteins. Temsirolimus prevents oxidized protein accumulation,
energetic failure and proteasome malfunction in Abcd1−
mice The histograms on
the right show P-p70s6 K/p70S6 K and P-ULK1/ULK1 ratios rela-
tive to CTL fibroblasts under low proteolysis conditions. Representa- [39]. Indeed, the UPS is pivotal in the rapid clearance of
damaged, misfolded or aggregated proteins in both healthy
and diseased states, and has been shown to play a role in
the degradation of oxidized proteins as well [12, 26, 57]. Finally, our previous studies showed that the ubiquitin–
proteasome system (UPS) and immunoproteasome induc-
tion malfunctioned as a consequence of and as an adaptive
response to oxidative stress during X-ALD pathogenesis 3 1 3 Acta Neuropathol (2015) 129:399–415 409 Fig. 5 Temsirolimus reduces the accumulation of oxidized pro-
teins, normalizes energetic failure and restores proteasome altera-
tions in spinal cord from Abcd1− mice. Representative immunoblots
for oxidized proteins (carbonylated proteins) (a), for total (b) and
for K-48 linked (c), poly-ubiquitinated proteins in spinal cords of
14-month-old WT mice untreated (WT) or treated with temsirolimus
(WT + Tems) and Abcd1− mice untreated (Abcd1−) or treated with
temsirolimus (Abcd1− + Tems). In a–c the histograms on the right,
show, respectively, the levels of oxidized proteins (a), total poly-ubiq-
uitinated (Poly-ub) proteins (b) and K-48 linked poly-ubiquitinated
proteins (K48-ub) (c) relative to untreated WT mice and always nor-
malized respect to the γ-tub. ATP levels (d), chymotrypsin-like (CTL)
proteasome activities in the presence or not of ATP (e) and relative
gene expression of 20S (β2, β1) and i-20S (β5i, β1i) proteasome
subunits analyzed by quantitative RT-PCR (f) expressed relative to
untreated WT mice. All values are as mean ± SD (n = 4 samples per
genotype and condition in (e); n = 6 samples per genotype and condi-
tion in a–c and f; n = 8 per genotype and condition in d. *p < 0.05,
**p < 0.01 and ***p < 0.001, one-way ANOVA followed by Tukey’s
hsd post hoc test) Fig. 5 Temsirolimus reduces the accumulation of oxidized pro-
teins, normalizes energetic failure and restores proteasome altera-
tions in spinal cord from Abcd1− mice. Representative immunoblots
for oxidized proteins (carbonylated proteins) (a), for total (b) and
for K-48 linked (c), poly-ubiquitinated proteins in spinal cords of
14-month-old WT mice untreated (WT) or treated with temsirolimus
(WT + Tems) and Abcd1− mice untreated (Abcd1−) or treated with
temsirolimus (Abcd1− + Tems). ***p < 0.001, one-way ANOVA
followed by Tukey’s hsd post
hoc test) Fig. 6 Temsirolimus prevents
oxidative stress and myelin and
axonal pathologies in spinal
cords of 17-month-old Abcd1−/
Abcd2−/− mice. Temsirolimus
rescues locomotor deficits in
Abcd1−/Abcd2−/− mice. a–s
Immunohistological analysis of
axonal pathologies performed
in 17-month-old WT, Abcd1−/
Abcd2−/− and Abcd1−/Abcd2−/−
mice treated with temsirolimus
(Abcd1−/Abcd2−/− + Tems).
Spinal cord immunohistological
sections were processed for a–c
8-oxodG, d–f Iba-1, g–i GFAP,
j–l synaptophysin, m–o APP
and p–r Sudan black. Repre-
sentative images a, d, g, j, m
and p for WT, b, e, h, k, n, and
q for Abcd1−/Abcd2−/−, and
c, f, i, l, o and r for Abcd1−/
Abcd2−/− + Tems mice are
shown. Bars 25 µm. Small star
indicates the motor neurons
in a, b and c. s Quantification
of synaptophysin and APP
accumulation in spinal cord
immunohistological sections
of WT, Abcd1−/Abcd2−/− and
Abcd1−/Abcd2−/− + Tems
mice. t Treadmill test and u bar
cross test have been carried out
in 17-month-old WT Abcd1−/
Abcd2−/− and Abcd1−/Abcd2−/−
mice treated with temsirolimus
(Abcd1−/Abcd2−/− + Tems).
t The latency to falling off the
belt (time of shocks) and the
number of shocks received
were computed after 5 min. u
The time spent to cross the bar
and the numbers of slips were
quantified. Values are expressed
as mean ± SD (n = 5 per condi-
tion in a–s; n = 12 in t and
u; *p < 0.05, **p < 0.01 and
***p < 0.001, one-way ANOVA
followed by Tukey’s hsd post
hoc test) Discussion Autophagy dysfunction has been directly associated with a
growing number of neurodegenerative disorders [1, 48, 58,
89]. Importantly, in previous studies, rapamycin treatment
decreased plaques and tangles as well as ameliorated cog-
nitive defects in an AD mouse model, prevented dopamin-
ergic neurodegeneration in parkinsonian mice and reduced
the levels of mutant ataxin-3 or mutant huntingtin as well as
ameliorated their toxicity in vivo, which confirms previous
evidence showing that autophagy induction is beneficial in
models of neurodegeneration associated with protein aggre-
gates [11, 47, 52, 67, 71]. Here, we support the notion that
impaired autophagy plays a pivotal role in pathogenesis of
a neurodegenerative disease unrelated to protein aggregates,
X-ALD. In cCALD and cAMN patients, Abcd1− mice and
human X-ALD fibroblasts, we show less autophagosome
formation as assessed by LC3-II blotting in the presence and
absence of a lysosomal inhibitor and other well-established
procedures. These experiments could not be performed in
human pure AMN samples, due to sample unavailability,
although most of the experiments have been carried out in
the mouse model for AMN, and the fibroblasts were from
AMN patients. Thus, we believe the encountered defects
are common to all X-ALD phenotypes, in a similar man-
ner as the accumulation of VLCFA or the oxidative damage
is. This decrease of autophagosome formation was associ-
ated with an increase in the endogenous autophagy sub-
strate p62 and is likely related to poly-ubiquitinated protein VLCFAs accumulate in X-ALD, and most cells respond
to a moderate lipid influx by increasing macroautophagic
flow [78]. Similarly, Baarine et al. [3] showed in 2012 that
acute VLCFAs exposure could induce autophagy activation,
lysosomal membrane destabilization and lysosomal localiza-
tion changes in wild-type 158 N murine oligodendrocytes. Moreover, upregulated autophagy in response to an acute
increase in free saturated fatty acids (e.g., palmitate) was
demonstrated in pancreatic beta cell lines (INS-1), neuro-
blastoma (SK-N-SH), myoblasts (C2C12), and hepatocytes
(HepG2) [36]. Furthermore, acute oleic, but not palmitic
acid, exposure induces autophagy in HepG2 cells through a
mechanism that depends on oxidative stress [51]; however,
another group demonstrated that acute exposure to pal-
mitic, but not oleic acid, increases autophagy independent of
mTOR in mouse embryonic fibroblasts [80]. Together, these
data suggest that free fatty acids regulate autophagy in spe-
cific cell types and under particular conditions (acute expo-
sure to free fatty acids). Temsirolimus prevents oxidized protein accumulation,
energetic failure and proteasome malfunction in Abcd1−
mice Thereby, we examined
the temsirolimus-mediated effects from these alterations,
which showed that the treatment normalized the accumula-
tion of total poly-ubiquitinated proteins (Fig. 5b), and K-48
linked poly-ubiquitinated proteins, which are known to
be more specifically targeted for proteasomal degradation
(Fig. 5c). The results are, in accordance with the decrease
of oxidized proteins (Fig. 5a). Moreover, the treatment also
normalized chymotrypsin-like proteasome activity (Fig. 5e)
and prevented induction of the immunoproteasome subu-
nits β1i/LMP2 and β5i/LMP7 (Fig. 5f). Thus, we treated Abcd1−/Abcd2−/− mice begin-
ning at disease onset, 12 months of age, for 4.5 months
as described (see the “Materials and methods” section). As shown in Fig. 6a–s, treating Abcd1−/Abcd2−/− mice
decreased the accumulation of axonal damage markers
as well as the number of reactive astrocytes and reactive
microglia to control levels. This treatment also restored the
levels of DNA oxidation in spinal motor neurons, which Temsirolimus prevents axonal degeneration in Abcd1−/
Abcd2−/− mice Temsirolimus prevents axonal degeneration in Abcd1−/
/ p
Abcd2−/− mice Abcd1−/Abcd2−/− mice exhibit earlier, more severe
axonopathy compared with Abcd1− mice, beginning at 1 410 Acta Neuropathol (2015) 129:399–415 ***p < 0.001, one-way ANOVA
followed by Tukey’s hsd post
hoc test) 1 3 3 411 Acta Neuropathol (2015) 129:399–415 accumulation, which has previously been demonstrated [39]. Impaired autophagy in X-ALD may be due to greater activ-
ity by the autophagy negative regulator mTOR. Consistent
with these data, we demonstrated that treating the mouse
model with temsirolimus, a rapamycin analog that inhib-
its mTOR, induced autophagy, which enhanced autophagy
substrate clearance. In addition, temsirolimus restored pro-
teasome activity, prevented immunoproteasome induction,
and, more importantly, inhibited axonopathy progression
as well as clinical manifestations. This activity was medi-
ated by normalized signs of oxidative damage and oxida-
tive lesions in protein and DNA as well as the associated
energetic homeostasis. Figure 7 summarizes these effects,
which indicates that normalizing autophagic function is key
for disease progression and, thus, highlights autophagy as a
prime therapeutic target. The characteristics seen with the
autophagy failure during pathogenesis of X-ALD have both
similarities and differences when compared with those found
in certain forms of lysosomal storage diseases and other neu-
rodegenerative diseases such as AD and HD. In these cases,
autophagic flux was impaired, the number of autophagic
vacuoles increased and autophagic substrates accumulated in
the affected tissues [49, 89]. Temsirolimus prevents oxidized protein accumulation,
energetic failure and proteasome malfunction in Abcd1−
mice However, in Duchenne’s mus-
cular dystrophy, impaired autophagolysosome formation has
been observed and is characterized by increased p62 as well
as decreased LC3-II and mTOR activation, as we observed
in X-ALD. This effect is due to chronic oxidative stress pro-
duced by NADPH oxidase in mdx mice [60]. demonstrated cellular specificity for the antioxidant effects
found for the whole spinal cords extracts in Fig. 5a. demonstrated cellular specificity for the antioxidant effects
found for the whole spinal cords extracts in Fig. 5a. Temsirolimus inhibits locomotor deficit progression
in Abcd1−/Abcd2−/− mice Locomotor deficits in Abcd1−/Abcd2−/− mice were evalu-
ated using treadmill and bar cross experiments after tem-
sirolimus treatment. In the treadmill experiment, the dou-
ble-knockout mice exhibited longer shock times and more
shocks compared with wild-type mice, which indicate loco-
motor disability. Interestingly, temsirolimus treatment nor-
malized these parameters. In the bar cross experiments, double-knockout mutants
often failed to maintain their balance and displayed a
greater tendency to slip off the bar as well as longer laten-
cies for reaching the platform at the opposite end of the
bar [16, 44, 56]. The number of slips and time necessary
to cross the bar were normalized following temsirolimus
treatment (Fig. 6t, u). Overall, these data indicate that tem-
sirolimus treatment arrests disease progression in Abcd1−/
Abcd2−/− mice. Discussion In this study, we provide the first
evidence that autophagy is impaired by VLCFAs in control
fibroblasts under basal conditions. We did not observe signif-
icant changes in X-ALD fibroblasts, which may be explained
by the strong inhibition of autophagy already present, most
likely due to the increased basal levels of VLCFAs in these
cells that may mitigate any exacerbated or adaptive response. 1 3 3 412 Acta Neuropathol (2015) 129:399–415 Fig. 7 Model illustrating the
role of autophagy in the eti-
opathogenesis of axonal degen-
eration in X-adrenoleukodystro-
phy. In X-ALD, VLCFA excess
induces production of ROS
and accumulation of oxidized
proteins and damaged orga-
nelles in spinal cord. VLCFA
also produce impairment of
autophagic flux by inhibition
of autophagosome formation. All these alterations (red lines)
and others result in axonal
degeneration. The mTOR
inhibitor temsirolimus (green
lines) restores autophagic flux,
prevents oxidized proteins
accumulation and bioenergetic
failure, leading to protection
against axonal degeneration and
associated locomotor disability
in the Abcd1−/Abcd2−/− mouse
model Koga et al. [34] observed a reduction in autophagy after
acute exposure to a high lipid concentration, or a particular
type of lipid or after chronic lipid stimulation (high-fat diet). Mechanism-based studies implicate an inhibitory effect by
free fatty acids on autophagy in cells or animals exposed to
either high concentrations of free fatty acids (palmitate and
oleate) or a prolonged high-fat diet. These observations indi-
cate that there is a primary defect in the fusion of autophago-
somes and lysosomes, which is secondary to changes in the
lipid composition of those vesicles [34]. These observations
are particularly relevant for X-ALD because VLCFAs accu-
mulation has been shown to destabilize and increase the
viscosity in model membranes [27]. We recently proposed
that excess VLCFAs, either as free fatty acids or part of a
lipid complex, interfere with mitochondria membranes and
produce ROS through the mitochondrial oxidative phospho-
rylation system (OXPHOS) [18, 45]. Thus, we posit a simi-
lar mechanism by which excess VLCFAs affect lysosomal
membranes and inhibit autophagic flux.i a recent study showed that rapamycin directly controls
mitochondrial function through promoting aerobic glyco-
lysis over mitochondrial respiration, which reduces oxygen
consumption and generates fewer ROS [41]. Furthermore,
previous data showed that TOR1 gene deletion extends the
chronological life span in Saccharomyces cerevisiae by
increasing mitochondrial respiration via enhanced trans-
lation of the mtDNA-encoded oxidative phosphorylation
complex subunits [7]. 1 3 Discussion Simultaneous restoration of ener-
getic and redox homeostasis through enhanced autophagy
induced by temsirolimus is most likely a key factor in
arresting disease progression. Accumulating evidence shows that autophagy stimula-
tion and ROS accumulation are linked to multiple patho-
logical processes, including cancer, neurodegenerative
diseases, type-II diabetes, immune diseases and aging [14,
40]. It is tempting to speculate that the impaired autophagy
observed in X-ALD may exacerbate oxidative stress and
mitochondrial damage, playing a pivotal role in disease
progression. Autophagy inhibition produces neurodegen-
eration in vivo through ubiquitinated protein accumula-
tion, increased ROS and dysfunctional mitochondria [35, Our results highlight autophagy as an efficient, alterna-
tive antioxidant defense mechanism that removes oxidized
products, not free radicals, as suggested [25]. In addition, 1 3 1 3 Acta Neuropathol (2015) 129:399–415 413 4. Berger J, Pujol A, Aubourg P, Forss-Petter S (2010) Current and
future pharmacological treatment strategies in X-linked adreno-
leukodystrophy. Brain Pathol 20:845–856 48, 90]. In turn, low mitochondrial ROS levels, which are
produced during starvation for example, are necessary for
regulating (through posttranslational oxidative modifica-
tion) Atg4 activity when autophagy activation is part of a
survival pathway [73]. These observations are supported
by results from wild-type mice subjected to starvation
combined with the antioxidant NAC, in which autophagy
induction was inhibited, further demonstrating crosstalk
between these pathways [82]. 5. Bjorkoy G, Lamark T, Brech A, Outzen H, Perander M, Overvatn
A, Stenmark H, Johansen T (2005) p62/SQSTM1 forms protein
aggregates degraded by autophagy and has a protective effect on
huntingtin-induced cell death. J Cell Biol 171:603–614 6. Boland B, Kumar A, Lee S, Platt FM, Wegiel J, Yu WH, Nixon
RA (2008) Autophagy induction and autophagosome clearance in
neurons: relationship to autophagic pathology in Alzheimer’s dis-
ease. J Neurosci 28:6926–6937 7. Bonawitz ND, Chatenay-Lapointe M, Pan Y, Shadel GS (2007)
Reduced TOR signaling extends chronological life span via
increased respiration and upregulation of mitochondrial gene
expression. Cell Metab 5:265–277 Our successful experiments using the rapamycin analog
temsirolimus in the Abcd1− and the Abcd1−/Abcd2−/−
mouse model suggest that the therapeutic potential of
autophagy induction merits serious consideration. Mice
treated with temsirolimus exhibited reduced oxidative
damage and improved energetic homeostasis, protea-
some activity, neuropathology and scores from two clini-
cal experiments that demonstrate axonopathy. Our results
demonstrate a neuroprotective role by temsirolimus in
vivo, which suggests a mechanism that attenuates oxida-
tive stress levels. Discussion Taken together, our findings strongly sug-
gest that temsirolimus treatment is an attractive therapeutic
option for X-adrenomyeloneuropathy patients. 8. Caccamo A, De Pinto V, Messina A, Branca C, Oddo S (2014) Genetic
reduction of mammalian target of rapamycin ameliorates Alzhei-
mer’s disease-like cognitive and pathological deficits by restoring
hippocampal gene expression signature. J Neurosci 34:7988–7998 9. Cartier N, Hacein-Bey-Abina S, Bartholomae CC, Veres G,
Schmidt M, Kutschera I, Vidaud M, Abel U, Dal-Cortivo L, Cac-
cavelli L et al (2009) Hematopoietic stem cell gene therapy with
a lentiviral vector in X-linked adrenoleukodystrophy. Science
326:818–823 10. Chakrabarti L, Eng J, Ivanov N, Garden GA, La Spada AR
(2009) Autophagy activation and enhanced mitophagy character-
ize the Purkinje cells of pcd mice prior to neuronal death. Mol
Brain 2:24 11. Dehay B, Bove J, Rodriguez-Muela N, Perier C, Recasens A,
Boya P, Vila M (2010) Pathogenic lysosomal depletion in Parkin-
son’s disease. J Neurosci 30:12535–12544 Acknowledgments We express our gratitude to Ann Moser for sci-
entific discussion and to Robert Johnson at the Brain and Tissue Bank
for Developmental Disorders at the University of Maryland for supply-
ing the case material used in the human studies. This study was sup-
ported by grants from the European Commission [FP7-241622], the
European Leukodystrophy Association [ELA2012-033C1], the Span-
ish Institute for Health Carlos III [FIS PI11/01043], the Autonomous
Government of Catalonia [2009SGR85; 2014SGR1430] and the Hes-
peria Foundation to A. P., the Spanish Institute for Health Carlos III
[Miguel Servet program CP11/00080] to S. F. and the Spanish Minis-
terio de Economía y Competitividad [BFU2011-22630] to E. K. The
CIBER on Rare Diseases (CIBERER) is an initiative of the ISCIII. 12. Dennissen FJ, Kholod N, van Leeuwen FW (2012) The ubiqui-
tin proteasome system in neurodegenerative diseases: culprit,
accomplice or victim? Prog Neurobiol 96:190–207 13. Engelen M, Kemp S, de Visser M, van Geel BM, Wanders RJ,
Aubourg P, Poll-The BT (2012) X-linked adrenoleukodystrophy
(X-ALD): clinical presentation and guidelines for diagnosis, fol-
low-up and management. Orphanet J Rare Dis 7:51 14. Essick EE, Sam F (2010) Oxidative stress and autophagy in car-
diac disease, neurological disorders, aging and cancer. Oxid Med
Cell Longev 3:168–177 15. Ferrer I, Aubourg P, Pujol A (2010) General aspects and neu-
ropathology of X-linked adrenoleukodystrophy. Discussion Brain Pathol
20:817–830 Open Access This article is distributed under the terms of the Crea-
tive Commons Attribution License which permits any use, distribu-
tion, and reproduction in any medium, provided the original author(s)
and the source are credited. 16. Ferrer I, Kapfhammer JP, Hindelang C, Kemp S, Troffer-Char-
lier N, Broccoli V, Callyzot N, Mooyer P, Selhorst J, Vreken P
et al (2005) Inactivation of the peroxisomal ABCD2 transporter
in the mouse leads to late-onset ataxia involving mitochondria,
Golgi and endoplasmic reticulum damage. Hum Mol Genet
14:3565–3577 References 17. Fourcade S, Lopez-Erauskin J, Galino J, Duval C, Naudi A, Jove
M, Kemp S, Villarroya F, Ferrer I, Pamplona R et al (2008) Early
oxidative damage underlying neurodegeneration in X-adrenoleu-
kodystrophy. Hum Mol Genet 17:1762–1773 1. Aguado C, Sarkar S, Korolchuk VI, Criado O, Vernia S, Boya
P, Sanz P, de Cordoba SR, Knecht E, Rubinsztein DC (2010)
Laforin, the most common protein mutated in Lafora disease,
regulates autophagy. Hum Mol Genet 19:2867–2876 18. Fourcade S, Lopez-Erauskin J, Ruiz M, Ferrer I, Pujol A (2014)
Mitochondrial dysfunction and oxidative damage cooperatively
fuel axonal degeneration in X-linked adrenoleukodystrophy. Bio-
chimie 98:143–149 2. Aubourg P, Blanche S, Jambaque I, Rocchiccioli F, Kalifa G,
Naud-Saudreau C, Rolland MO, Debre M, Chaussain JL, Gris-
celli C et al (1990) Reversal of early neurologic and neuroradio-
logic manifestations of X-linked adrenoleukodystrophy by bone
marrow transplantation. N Engl J Med 322:1860–1866 19. Fourcade S, Ruiz M, Camps C, Schluter A, Houten SM, Mooyer
PA, Pampols T, Dacremont G, Wanders RJ, Giros M et al (2009)
A key role for the peroxisomal ABCD2 transporter in fatty acid
homeostasis. Am J Physiol Endocrinol Metab 296:E211–E221 3. Baarine M, Ragot K, Athias A, Nury T, Kattan Z, Genin EC,
Andreoletti P, Menetrier F, Riedinger JM, Bardou M et al (2012)
Incidence of Abcd1 level on the induction of cell death and orga-
nelle dysfunctions triggered by very long chain fatty acids and
TNF-alpha on oligodendrocytes and astrocytes. Neurotoxicology
33:212–228 20. Fourcade S, Ruiz M, Guilera C, Hahnen E, Brichta L, Naudi A,
Portero-Otin M, Dacremont G, Cartier N, Wanders R et al (2010)
Valproic acid induces antioxidant effects in X-linked adrenoleu-
kodystrophy. Hum Mol Genet 19:2005–2014 1 3 3 414 Acta Neuropathol (2015) 129:399–415 40. Lee J, Giordano S, Zhang J (2012) Autophagy, mitochondria
and oxidative stress: cross-talk and redox signalling. Biochem J
441:523–540 21. Fuertes G, Martin De Llano JJ, Villarroya A, Rivett AJ, Knecht E
(2003) Changes in the proteolytic activities of proteasomes and
lysosomes in human fibroblasts produced by serum withdrawal,
amino-acid deprivation and confluent conditions. Biochem J
375:75–86 41. Lerner C, Bitto A, Pulliam D, Nacarelli T, Konigsberg M, Van
Remmen H, Torres C, Sell C (2013) Reduced mammalian target
of rapamycin activity facilitates mitochondrial retrograde signal-
ing and increases life span in normal human fibroblasts. Aging
Cell 12:966–977 22. References Galea E, Launay N, Portero-Otin M, Ruiz M, Pamplona R,
Aubourg P, Ferrer I, Pujol A (2012) Oxidative stress underly-
ing axonal degeneration in adrenoleukodystrophy: a paradigm
for multifactorial neurodegenerative diseases? Biochim Biophys
Acta 1822:1475–1488 42. Levine B, Klionsky DJ (2004) Development by self-digestion:
molecular mechanisms and biological functions of autophagy. Dev Cell 6:463–477 23. Galino J, Ruiz M, Fourcade S, Schluter A, Lopez-Erauskin J,
Guilera C, Jove M, Naudi A, Garcia-Arumi E, Andreu AL et al
(2011) Oxidative damage compromises energy metabolism in the
axonal degeneration mouse model of x-adrenoleukodystrophy. Antioxid Redox Signal 15:2095–2107 43. Liu J, Sabeva NS, Bhatnagar S, Li XA, Pujol A, Graf GA (2010)
ABCD2 is abundant in adipose tissue and opposes the accumula-
tion of dietary erucic acid (C22:1) in fat. J Lipid Res 51:162–168 44. Lopez-Erauskin J, Fourcade S, Galino J, Ruiz M, Schluter A,
Naudi A, Jove M, Portero-Otin M, Pamplona R, Ferrer I et al
(2011) Antioxidants halt axonal degeneration in a mouse model
of X-adrenoleukodystrophy. Ann Neurol 70:84–92 g
24. Ghislat G, Aguado C, Knecht E (2012) Annexin A5 stimulates
autophagy and inhibits endocytosis. J Cell Sci 125:92–107 25. Giordano S, Darley-Usmar V, Zhang J (2013) Autophagy as an
essential cellular antioxidant pathway in neurodegenerative dis-
ease. Redox Biol 2:82–90 45. Lopez-Erauskin J, Galino J, Ruiz M, Cuezva JM, Fabregat I,
Cacabelos D, Boada J, Martinez J, Ferrer I, Pamplona R et al
(2013) Impaired mitochondrial oxidative phosphorylation in the
peroxisomal disease X-linked adrenoleukodystrophy. Hum Mol
Genet 22:3296–3305 26. Goldberg AL (2003) Protein degradation and protection against
misfolded or damaged proteins. Nature 426:895–899 27. Ho JK, Moser H, Kishimoto Y, Hamilton JA (1995) Interactions
of a very long chain fatty acid with model membranes and serum
albumin. Implications for the pathogenesis of adrenoleukodystro-
phy. J Clin Invest 96:1455–1463 46. Lu JF, Lawler AM, Watkins PA, Powers JM, Moser AB, Moser
HW, Smith KD (1997) A mouse model for X-linked adrenoleu-
kodystrophy. Proc Natl Acad Sci USA 94:9366–9371 p y
28. Huang J, Lam GY, Brumell JH (2011) Autophagy signal-
ing through reactive oxygen species. Antioxid Redox Signal
14:2215–2231 47. Majumder S, Richardson A, Strong R, Oddo S (2011) Inducing
autophagy by rapamycin before, but not after, the formation of
plaques and tangles ameliorates cognitive deficits. PLoS One
6:e25416 29. Kimura S, Noda T, Yoshimori T (2007) Dissection of the
autophagosome maturation process by a novel reporter protein,
tandem fluorescent-tagged LC3. References Autophagy 3:452–460 48. Martinez-Vicente M, Cuervo AM (2007) Autophagy and neu-
rodegeneration: when the cleaning crew goes on strike. Lancet
Neurol 6:352–361 30. Klionsky DJ, Codogno P (2013) The mechanism and physiologi-
cal function of macroautophagy. J Innate Immun 5:427–433 49. Martinez A, Portero-Otin M, Pamplona R, Ferrer I (2010) Protein
targets of oxidative damage in human neurodegenerative diseases
with abnormal protein aggregates. Brain Pathol 20:281–297 31. Klionsky DJ, Elazar Z, Seglen PO, Rubinsztein DC (2008) Does
bafilomycin A1 block the fusion of autophagosomes with lys-
osomes? Autophagy 4:849–950 50. Mastroeni R, Bensadoun JC, Charvin D, Aebischer P, Pujol A,
Raoul C (2009) Insulin-like growth factor-1 and neurotrophin-3
gene therapy prevents motor decline in an X-linked adrenoleu-
kodystrophy mouse model. Ann Neurol 66:117–122 32. Knecht E, Hernandez-Yago J, Grisolia S (1984) Regulation
of lysosomal autophagy in transformed and non-transformed
mouse fibroblasts under several growth conditions. Exp Cell Res
154:224–232 51. Mei S, Ni HM, Manley S, Bockus A, Kassel KM, Luyendyk JP,
Copple BL, Ding WX (2011) Differential roles of unsaturated
and saturated fatty acids on autophagy and apoptosis in hepato-
cytes. J Pharmacol Exp Ther 339:487–498 33. Knoferle J, Koch JC, Ostendorf T, Michel U, Planchamp V,
Vutova P, Tonges L, Stadelmann C, Bruck W, Bahr M et al (2010)
Mechanisms of acute axonal degeneration in the optic nerve in
vivo. Proc Natl Acad Sci USA 107:6064–6069 52. Menzies FM, Huebener J, Renna M, Bonin M, Riess O, Rubin-
sztein DC (2010) Autophagy induction reduces mutant ataxin-3
levels and toxicity in a mouse model of spinocerebellar ataxia
type 3. Brain 133:93–104 34. Koga H, Kaushik S, Cuervo AM (2010) Altered lipid content
inhibits autophagic vesicular fusion. Faseb J 24:3052–3065 35. Komatsu M, Waguri S, Chiba T, Murata S, Iwata J, Tanida I,
Ueno T, Koike M, Uchiyama Y, Kominami E et al (2006) Loss of
autophagy in the central nervous system causes neurodegenera-
tion in mice. Nature 441:880–884 53. Mizushima N, Klionsky DJ (2007) Protein turnover via
autophagy: implications for metabolism. Annu Rev Nutr
27:19–40 36. Komiya K, Uchida T, Ueno T, Koike M, Abe H, Hirose T,
Kawamori R, Uchiyama Y, Kominami E, Fujitani Y et al
(2010) Free fatty acids stimulate autophagy in pancreatic
beta-cells via JNK pathway. Biochem Biophys Res Commun
401:561–567 54. Mizushima N, Yoshimori T, Levine B (2010) Methods in mam-
malian autophagy research. Cell 140:313–326 55. 58. Nixon RA (2013) The role of autophagy in neurodegenerative
disease. Nat Med 19:983–997 References Mizushima N, Yoshimori T, Ohsumi Y (2011) The role of Atg
proteins in autophagosome formation. Annu Rev Cell Dev Biol
27:107–132 56. Morato L, Galino J, Ruiz M, Calingasan NY, Starkov AA,
Dumont M, Naudi A, Martinez JJ, Aubourg P, Portero-Otin M
et al (2013) Pioglitazone halts axonal degeneration in a mouse
model of X-linked adrenoleukodystrophy. Brain 136:2432–2443 37. Kroemer G, Marino G, Levine B (2010) Autophagy and the inte-
grated stress response. Mol Cell 40:280–293 38. Larsen KE, Fon EA, Hastings TG, Edwards RH, Sulzer D (2002)
Methamphetamine-induced degeneration of dopaminergic neu-
rons involves autophagy and upregulation of dopamine synthesis. J Neurosci 22:8951–8960 57. Moser H, Smith KD, Watkins PA, Powers J, Moser AB (2001)
X-linked adrenoleukodystrophy. In: Scriver C (ed) The metabolic
and molecular bases of inherited disease, 8th edn. McGraw-Hill,
NY, pp 3257–3301 39. Launay N, Ruiz M, Fourcade S, Schluter A, Guilera C, Ferrer I,
Knecht E, Pujol A (2013) Oxidative stress regulates the ubiqui-
tin-proteasome system and immunoproteasome functioning in a
mouse model of X-adrenoleukodystrophy. Brain 136:891–904 58. Nixon RA (2013) The role of autophagy in neurodegenerative
disease. Nat Med 19:983–997 1 3 Acta Neuropathol (2015) 129:399–415 415 59. Noda T, Fujita N, Yoshimori T (2009) The late stages of
autophagy: how does the end begin? Cell Death Differ 16:984–990 78. Singh R, Kaushik S, Wang Y, Xiang Y, Novak I, Komatsu M, Tan-
aka K, Cuervo AM, Czaja MJ (2009) Autophagy regulates lipid
metabolism. Nature 458:1131–1135 p
gy
g
60. Pal R, Palmieri M, Loehr JA, Li S, Abo-Zahrah R, Monroe TO,
Thakur PB, Sardiello M, Rodney GG (2014) Src-dependent
impairment of autophagy by oxidative stress in a mouse model of
Duchenne muscular dystrophy. Nat Commun 5:4425 79. Spindler KL, Sorensen MM, Pallisgaard N, Andersen RF, Have-
lund BM, Ploen J, Lassen U, Jakobsen AK (2013) Phase II trial
of temsirolimus alone and in combination with irinotecan for
KRAS mutant metastatic colorectal cancer: outcome and results
of KRAS mutational analysis in plasma. Acta Oncol 52:963–970 y
p y
61. Pattingre S, Espert L, Biard-Piechaczyk M, Codogno P (2008)
Regulation of macroautophagy by mTOR and Beclin 1 com-
plexes. Biochimie 90:313–323 AS mutational analysis in plasma. Acta Oncol 52:963–970 80. Tan SH, Shui G, Zhou J, Li JJ, Bay BH, Wenk MR, Shen HM
(2012) Induction of autophagy by palmitic acid via protein kinase
C-mediated signaling pathway independent of mTOR (mamma-
lian target of rapamycin). References J Biol Chem 287:14364–14376 62. Penas C, Font-Nieves M, Fores J, Petegnief V, Planas A, Navarro
X, Casas C (2011) Autophagy, and BiP level decrease are early
key events in retrograde degeneration of motoneurons. Cell Death
Differ 18:1617–1627 81. Tinker AV, Ellard S, Welch S, Moens F, Allo G, Tsao MS, Squire J, Tu
D, Eisenhauer EA, MacKay H (2013) Phase II study of temsirolimus
(CCI-779) in women with recurrent, unresectable, locally advanced
or metastatic carcinoma of the cervix. A trial of the NCIC Clinical
Trials Group (NCIC CTG IND 199). Gynecol Oncol 130:269–274 63. Powers JM, Pei Z, Heinzer AK, Deering R, Moser AB, Moser HW,
Watkins PA, Smith KD (2005) Adreno-leukodystrophy: oxidative
stress of mice and men. J Neuropathol Exp Neurol 64:1067–1079 64. Pujol A, Ferrer I, Camps C, Metzger E, Hindelang C, Callizot N,
Ruiz M, Pampols T, Giros M, Mandel JL (2004) Functional over-
lap between ABCD1 (ALD) and ABCD2 (ALDR) transporters: a
therapeutic target for X-adrenoleukodystrophy. Hum Mol Genet
13:2997–3006 82. Underwood BR, Imarisio S, Fleming A, Rose C, Krishna G,
Heard P, Quick M, Korolchuk VI, Renna M, Sarkar S et al (2010)
Antioxidants can inhibit basal autophagy and enhance neurode-
generation in models of polyglutamine disease. Hum Mol Genet
19:3413–3429 65. Pujol A, Hindelang C, Callizot N, Bartsch U, Schachner M, Man-
del JL (2002) Late onset neurological phenotype of the X-ALD
gene inactivation in mice: a mouse model for adrenomyeloneu-
ropathy. Hum Mol Genet 11:499–505 83. van Roermund CW, Visser WF, Ijlst L, van Cruchten A, Boek M,
Kulik W, Waterham HR, Wanders RJ (2008) The human peroxi-
somal ABC half transporter ALDP functions as a homodimer and
accepts acyl-CoA esters. Faseb J 22:4201–4208 66. Qu X, Yu J, Bhagat G, Furuya N, Hibshoosh H, Troxel A, Rosen
J, Eskelinen EL, Mizushima N, Ohsumi Y et al (2003) Promo-
tion of tumorigenesis by heterozygous disruption of the beclin 1
autophagy gene. J Clin Invest 112:1809–1820 84. Walpoth BH, Pavlicek M, Celik B, Nicolaus B, Schaffner T,
Althaus U, Hess OM, Carrel T, Morris RE (2001) Prevention of
neointimal proliferation by immunosuppression in synthetic vas-
cular grafts. Eur J Cardiothorac Surg 19:487–492 67. References Ravikumar B, Vacher C, Berger Z, Davies JE, Luo S, Oroz LG,
Scaravilli F, Easton DF, Duden R, O’Kane CJ et al (2004) Inhibi-
tion of mTOR induces autophagy and reduces toxicity of poly-
glutamine expansions in fly and mouse models of Huntington dis-
ease. Nat Genet 36:585–595 85. Wanders RJ, van Roermund CW, van Wijland MJ, Nijenhuis
AA, Tromp A, Schutgens RB, Brouwer-Kelder EM, Schram AW,
Tager JM, van den Bosch H et al (1987) X-linked adrenoleukod-
ystrophy: defective peroxisomal oxidation of very long chain
fatty acids but not of very long chain fatty acyl-CoA esters. Clin
Chim Acta 165:321–329 68. Robinson CE, Keshavarzian A, Pasco DS, Frommel TO, Win-
ship DH, Holmes EW (1999) Determination of protein carbonyl
groups by immunoblotting. Anal Biochem 266:48–57 86. Wang QJ, Ding Y, Kohtz DS, Mizushima N, Cristea IM, Rout
MP, Chait BT, Zhong Y, Heintz N, Yue Z (2006) Induction of
autophagy in axonal dystrophy and degeneration. J Neurosci
26:8057–8068 69. Rubinsztein DC, Cuervo AM, Ravikumar B, Sarkar S, Korolchuk
V, Kaushik S, Klionsky DJ (2009) In search of an “autophago-
mometer”. Autophagy 5:585–589 87. White KE, Davies VJ, Hogan VE, Piechota MJ, Nichols PP, Turn-
bull DM, Votruba M (2009) OPA1 deficiency associated with
increased autophagy in retinal ganglion cells in a murine model of
dominant optic atrophy. Invest Ophthalmol Vis Sci 50:2567–2571 70. Sadasivan S, Zhang Z, Larner SF, Liu MC, Zheng W, Kobeissy FH,
Hayes RL, Wang KK (2010) Acute NMDA toxicity in cultured rat
cerebellar granule neurons is accompanied by autophagy induction
and late onset autophagic cell death phenotype. BMC Neurosci 11:21 71. Sarkar S (2013) Regulation of autophagy by mTOR-depend-
ent and mTOR-independent pathways: autophagy dysfunction
in neurodegenerative diseases and therapeutic application of
autophagy enhancers. Biochem Soc Trans 41:1103–1130 88. Wiesinger C, Kunze M, Regelsberger G, Forss-Petter S, Berger
J (2013) Impaired very long-chain acyl-CoA beta-oxidation in
human X-linked adrenoleukodystrophy fibroblasts is a direct
consequence of ABCD1 transporter dysfunction. J Biol Chem
288:19269–19279 72. Sarkar S, Korolchuk V, Renna M, Winslow A, Rubinsztein DC
(2009) Methodological considerations for assessing autophagy
modulators: a study with calcium phosphate precipitates. Autophagy 5:307–313 89. Wong E, Cuervo AM (2010) Autophagy gone awry in neurode-
generative diseases. Nat Neurosci 13:805–811 90. References Wu JJ, Quijano C, Chen E, Liu H, Cao L, Fergusson MM, Rovira
II, Gutkind S, Daniels MP, Komatsu M et al (2009) Mitochon-
drial dysfunction and oxidative stress mediate the physiologi-
cal impairment induced by the disruption of autophagy. Aging
(Albany NY) 1:425–437 73. Scherz-Shouval R, Shvets E, Fass E, Shorer H, Gil L, Elazar Z
(2007) Reactive oxygen species are essential for autophagy and
specifically regulate the activity of Atg4. EMBO J 26:1749–1760 74. Schluter A, Espinosa L, Fourcade S, Galino J, Lopez E, Ilieva
E, Morato L, Asheuer M, Cook T, McLaren A et al (2012) Func-
tional genomic analysis unravels a metabolic-inflammatory inter-
play in adrenoleukodystrophy. Hum Mol Genet 21:1062–1077 91. Yue Z, Jin S, Yang C, Levine AJ, Heintz N (2003) Beclin 1, an
autophagy gene essential for early embryonic development, is
a haploinsufficient tumor suppressor. Proc Natl Acad Sci USA
100:15077–15082 75. Schwartz AL, Brandt RA, Geuze H, Ciechanover A (1992)
Stress-induced alterations in autophagic pathway: relationship to
ubiquitin system. Am J Physiol 262:C1031–C1038 92. Zhang X, Li L, Chen S, Yang D, Wang Y, Zhang X, Wang Z, Le
W (2011) Rapamycin treatment augments motor neuron degener-
ation in SOD1(G93A) mouse model of amyotrophic lateral scle-
rosis. Autophagy 7:412–425 76. Singh I, Pujol A (2010) Pathomechanisms underlying X-adreno-
leukodystrophy: a three-hit hypothesis. Brain Pathol 20:838–844 77. Singh R, Cuervo AM (2012) Lipophagy: connecting autophagy
and lipid metabolism. Int J Cell Biol 2012:282041 1 3
|
https://openalex.org/W4214732072
|
https://www.frontiersin.org/articles/10.3389/fpls.2022.809377/pdf
|
English
| null |
Agrometeorological and Agronomic Characterization of Megathyrsus Grasses Cultivated in Tropical Humid and Semi-Arid Conditions: A Multivariate Approach
|
Frontiers in plant science
| 2,022
|
cc-by
| 11,572
|
ORIGINAL RESEARCH
published: 25 February 2022
doi: 10.3389/fpls.2022.809377 Keywords: agrometeorology, growing conditions, Megathyrsus, multivariate analysis, pasture ecosystems,
semi-arid, tropical humid Agrometeorological and Agronomic
Characterization of Megathyrsus
Grasses Cultivated in Tropical Humid
and Semi-Arid Conditions: A
Multivariate Approach Vitor Hugo Maués Macedo 1*, Nauara Moura Lage Filho 2, Antônio Marcos Quadros Cunha 2,
Marcos Neves Lopes 3, Rodrigo Gregório da Silva 4, José Antônio Alves Cutrim Junior 5,
Cristian Faturi 1, Magno José Duarte Cândido 6 and Aníbal Coutinho do Rêgo 1* Vitor Hugo Maués Macedo 1*, Nauara Moura Lage Filho 2, Antônio Marcos Quadros Cunha 2,
Marcos Neves Lopes 3, Rodrigo Gregório da Silva 4, José Antônio Alves Cutrim Junior 5,
Cristian Faturi 1, Magno José Duarte Cândido 6 and Aníbal Coutinho do Rêgo 1* Therefore, in this study,
we characterized different growing conditions for grasses of the Megathyrsus genus
through studies conducted in tropical humid and semi-arid conditions. We applied principal
component, canonical correlation, and discriminant function analyses to the measurements
of agronomic and agrometeorological variables in six studies with Guinea and Massai
grasses. The principal component analysis, through the climatic characterization by the
first principal component, reflects the contrast between water availability and nitrogen
variables and energy supply. Agronomic characterization occurred through the distinction
between the density of tillers, forage accumulation, and increase in height, versus the
accumulation of stems and dead material. The canonical correlation analysis generated
a correlation coefficient of 0.84 between the agronomic and agrometeorological variables. *Correspondence:
Vitor Hugo Maués Macedo
hmmvitor@gmail.com
Aníbal Coutinho do Rêgo
anibalcr@gmail.com Specialty section:
This article was submitted to
Plant Biophysics and Modeling,
a section of the journal
Frontiers in Plant Science Specialty section:
This article was submitted to
Plant Biophysics and Modeling,
a section of the journal
Frontiers in Plant Science Specialty section:
This article was submitted to
Plant Biophysics and Modeling,
a section of the journal
Frontiers in Plant Science
Received: 04 November 2021
Accepted: 03 February 2022
Published: 25 February 2022 Received: 04 November 2021
Accepted: 03 February 2022
Published: 25 February 2022 There was a contrast between the dead material accumulation and the other agronomic
variables, while the agrometeorological variables showed characteristics similar to the
first principal component. Discriminant function 1, with 70.36% separation power,
distinguished the cultivation conditions based on the study locations. Grass cultivars were
differentiated by discriminant function 2, with a 19.20% separation power. From a
multivariate variability analysis, despite the similarities of radiation and temperature in the
regions studied, the availability of water and nutrients and measurements of agronomic
variables can aid in future modeling studies on forage production. Edited by:
Hartmut Stützel,
Leibniz University Hannover,
Germany 1 Institute of Health and Animal Production, Federal Rural University of Amazon, Belém, Brazil, 2 Nucleus of Agricultural
Sciences and Rural Development, Federal University of Pará, Castanhal, Brazil, 3 Federal Institute of Education, Science and
Technology of Piauí, Valença, Brazil, 4 Federal Institute of Education, Science and Technology of Ceará, Limoeiro do Norte,
Brazil, 5 Federal Institute of Education, Science and Technology of Maranhão, Maracanã, Brazil, 6 Department of Animal
Science, Federal University of Ceará, Fortaleza, Brazil Reviewed by:
Vijaya Gopal Kakani,
Oklahoma State University,
United States
Juan De La Cruz Jiménez,
Nagoya University, Japan Reviewed by:
Vijaya Gopal Kakani,
Oklahoma State University,
United States
Juan De La Cruz Jiménez,
Nagoya University, Japan Variability in climatic conditions of low-latitude tropical grass cultivation can affect forage
production dynamics. Pasture ecosystems are complex and preferably studied from a
multifactorial point of view through multivariate approaches. Therefore, in this study,
we characterized different growing conditions for grasses of the Megathyrsus genus
through studies conducted in tropical humid and semi-arid conditions. We applied principal
component, canonical correlation, and discriminant function analyses to the measurements
of agronomic and agrometeorological variables in six studies with Guinea and Massai
grasses. The principal component analysis, through the climatic characterization by the
first principal component, reflects the contrast between water availability and nitrogen
variables and energy supply. Agronomic characterization occurred through the distinction
between the density of tillers, forage accumulation, and increase in height, versus the
accumulation of stems and dead material. The canonical correlation analysis generated
a correlation coefficient of 0.84 between the agronomic and agrometeorological variables. There was a contrast between the dead material accumulation and the other agronomic
variables, while the agrometeorological variables showed characteristics similar to the
first principal component. Discriminant function 1, with 70.36% separation power,
distinguished the cultivation conditions based on the study locations. Grass cultivars were
differentiated by discriminant function 2, with a 19.20% separation power. From a
multivariate variability analysis, despite the similarities of radiation and temperature in the
regions studied, the availability of water and nutrients and measurements of agronomic
variables can aid in future modeling studies on forage production. Variability in climatic conditions of low-latitude tropical grass cultivation can affect forage
production dynamics. Pasture ecosystems are complex and preferably studied from a
multifactorial point of view through multivariate approaches. INTRODUCTION to research with direct modeling applied to plant growth
(Qiu et al., 2016), although little research has been previously
conducted on the prediction of forage accumulation in
tropical conditions. Pasture ecosystems at low latitudes (<10°) show little variation
in photoperiod and temperature but exhibit important differences
in other climatic factors, such as rainfall. In these areas,
depending on the climate in which they are located, tropical
forages have limited growth from a climatic point of view,
usually due to water availability (Santos et al., 2013). Therefore,
close to the equator, the water regime dictates plant growth
both in a humid tropical climate and a semi-arid climate. Such weather types are present at lower latitudes on four of
the seven continents. Humid tropical climates are observed in
South American countries, such as those of the Amazon region,
as well as in the central region of the Congo in Africa, and
the Indonesian islands of Asia, all of which have humid tropical
forests constituting the main biome. A semi-arid climate can
be observed in northeastern Brazil, some African countries
such as Ethiopia, Kenya, Somalia, and Tanzânia, and in northern
Australia (Peel et al., 2007). Regions located close to the equator, such as humid and
semi-arid tropical regions, may have climatic factors that can
distinguish them, such as variables related to humidity and
the water regime (Alvares et al., 2013). Production systems
in these drier places use technologies such as irrigation (Araújo
Júnior et al., 2021), which is often not required in humid
tropical regions. Thus, agrometeorological characterization and
analysis of agronomic variables of forage plants grown in
different regions can provide valuable information on how
different growing conditions interact with their environment,
and how these conditions can be distinguished. Conducting
trials under different climates helps in understanding the climatic
influences on the growth and development of forage crops,
and contributes to modeling studies involving climate action
in tropical forage grasses that are highly responsive to change,
such as those of the genus Megathyrsus.h Forage plant growth and consequently, canopy productivity
are the result of the genotype and its related environment
(Durand et al., 1991; Simeão et al., 2021). Environmental factors
refer to the edaphoclimatic conditions of plant cultivation,
including aspects related to soil (texture, density, and fertility)
and climate (temperature, humidity, and photoperiod). INTRODUCTION The
water demand of plants depends mainly on their metabolic
requirements, which are linked to characteristics such as stomatal
conductance, transpiration rate, and leaf area. These characteristics
vary according to the stage of development (Tardieu, 2013). Water demand is also determined by factors such as leaf surface
evapotranspiration, which is dependent on radiation, temperature,
air humidity, wind speed, and leaf surface properties (Rind
et al., 1990). In tropical pastures, evapotranspiration, mean
temperature, and solar radiation influence total forage
accumulation, leaf accumulation, tiller population density, and
nutritional value (Lage Filho et al., 2021; Macedo et al., 2021;
Tapia et al., 2021). As for aspects related to the soil, nitrogen
(N) is the most important nutrient in tissue flow, and its
assimilation may be limited by a water deficit (Onillon et al.,
1995). Therefore, when climate conditions are favorable and
nitrogen supply is adequate, studies in the literature support
that the growth of tropical grasses, especially of the genus
Megathyrsus, will be rapid, as there will be an increase in
regrowth vigor and a reduction in the interval between grazing
(Oliveira et al., 2020). This study aimed to understand the growth dynamics of
grasses of the genus Megathyrsus under different growing
conditions in humid and semi-arid tropical regions, and to
answer the following questions: How are the different growing
conditions characterized in relation to the indices that group
agronomic
and
agrometeorological
variables? How
do
agrometeorological variables relate to the agronomic variables
measured under these growing conditions?, and How can
discriminant functions be described that can distinguish
cultivation conditions regarding forage species evaluated in the
humid and semi-arid tropical regions of Brazil? Citation: Citation:
Macedo VHM, Lage Filho NM,
Cunha AMQ, Lopes MN,
da Silva RG, Cutrim Junior JAA,
Faturi C, Cândido MJD and
do Rêgo AC (2022)
Agrometeorological and Agronomic
Characterization of Megathyrsus
Grasses Cultivated in Tropical Humid
and Semi-Arid Conditions: A
Multivariate Approach. Front. Plant Sci. 13:809377. doi: 10.3389/fpls.2022.809377 February 2022 | Volume 13 | Article 809377 1 Frontiers in Plant Science | www.frontiersin.org Multivariate Analysis in Megathyrsus Grasses Macedo et al. Frontiers in Plant Science | www.frontiersin.org Experimental Sites (A) Representation of the delimitation of the humid tropical region of the Amazon and the semi-arid region in Brazil. (B) Location of the Igarapé-Açu experimental site. (C) Location of the experimental sites of Fortaleza and Pentecoste. on fixed days (14, 21, 28, 35, 42, and 49 days) of the rest
period. Thus, the cuts and collection of biomass were carried
out after each period of days established by the treatments. The forage was harvested using a hedge trimmer. The area
was divided into 30 plots of 12 m2 (3 m × 4 m), with corridors
spaced 1 m apart. The experimental design was a randomized
block with five replicates per treatment. We used data collected
between March 14, 2015, and January 2, 2016, which covered
collections in both the rainy and dry seasons of 2015. Irrigation
was not used in this trial; therefore, during the rainy season,
nitrogen fertilizers were applied at a rate of 200 kg N ha−1 year−1
in the form of urea (45% N). The plots with 14, 21, 28, 35,
42, and 49 days of the rest period received doses equivalent
to 17, 25, 34, 42, 51, and 59 kg N ha−1 cycle−1, respectively. For
more details on this study, see Macedo et al. (2021).h named GG.IGA.15 (Guinea grass in Igarapé-Açu during the
year 2015), GG.IGA.17-18 (Guinea grass in Igarapé-Açu during
2017 and 2018), GG.PEN.03 (Guinea grass in Pentecost during
the year 2003), GG.PEN.05-06 (Guinea grass in Pentecost during
2005 and 2006), MG.IGA.15 (Massai grass in Igarapé-Açu
during the year 2015), and MG.FOR.09 (Massai grass in Fortaleza
during the year 2009). The agrometeorological characteristics
and the details of the growing conditions of grasses of the
genus Megathyrsus are presented in Table 1. Experimental Sites p
Data were retrieved from four experimental trials with Guinea
grass (Megathyrsus maximus (syn. Panicum maximum; Jacq.)
B.K. Simon & S.W.L. Jacobs “Guinea”). Two trials were conducted
in the municipality of Igarapé-Açu (01°07′ S, 47°36′ W, 47 m
altitude), state of Pará, and two in Pentecoste (03°48′ S, 49°19′
W, 71 m altitude), state of Ceará. Two other experiments with
Massai grass (Megathyrsus maximus × Megathyrsus infestus
(Peters) B.K. Simon & S.W.L. Jacobs “Massai”) were performed
in Igarapé-Açu and Fortaleza (03°44′ S, 38°34′ W, 20 m altitude)
in the states of Pará and Ceará, respectively. The town of
Igarapé-Açu is located in the eastern region of the Amazon
biome, has a rainy climate with a short dry season, and is
classified as type Am using the Köppen classification (Alvares
et al., 2013) tropical humid monsoon. The Pentecoste
experimental field is located in the Brazilian semi-arid region,
with climate type “BSwh” according to the Köppen classification,
indicating a dry climate with a short wet season. Fortaleza is
a coastal city in northeastern Brazil located near the Brazilian
semi-arid region. According to the Köppen classification,
Fortaleza has a tropical savanna climate of the Aw’ type with
dry-winter characteristics. (Figure 1). The experiments were Cultivated tropical pasture ecosystems represent the main
food source for many herds worldwide (Silva et al., 2013). Understanding the relationship between the agronomic
characteristics of the grasses that make up such systems, and
the agrometeorological conditions of these regions would increase
the knowledge of the interactions between these factors in
pasture ecosystems. Therefore, multivariate analyses of the
factors related to climatic influences exerted on plants and
the dynamics of growth and biomass production can provide
important information through a systemic view of the ecosystem
(Yeater et al., 2014; Araújo Júnior et al., 2021). In addition,
the exploration of data using multivariate analysis can contribute February 2022 | Volume 13 | Article 809377 2 Multivariate Analysis in Megathyrsus Grasses Macedo et al. A
B
C
FIGURE 1 | Location map of experimental sites. (A) Representation of the delimitation of the humid tropical region of the Amazon and the semi-arid region in Brazil. (B) Location of the Igarapé-Açu experimental site. (C) Location of the experimental sites of Fortaleza and Pentecoste. B
C B
C A B A C C FIGURE 1 | Location map of experimental sites. Experiments With Mechanized Forage Harvesting
Without the Use of Irrigationh TABLE 1 | Means and standard deviations (SD) of agrometeorological and cultivation conditions during data collection for experimental trials. IDa
Grass
Place
Weather
condition
Soilb
Photoc
SRd
Tmeane
Etof
Precg
WAh
AWCi
ETaj
GG.IGA.15
Guinea Grass
Igarapé-Açu
Humid
Yellow Oxisol
12.00 ± 0.02
461.93 ± 76.08
27.21 ± 1.33
8.40 ± 1.37
4.95 ± 8.86
4.95 ± 8.86
100
3.78 ± 3.45
GG.IGA.17-18
Guinea Grass
Igarapé-Açu
Humid
Yellow Oxisol
12.00 ± 0.02
443.57 ± 90.32
26.56 ± 1.24
8.01 ± 1.59
6.40 ± 13.88
6.40 ± 13.88
100
4.26 ± 3.14
GG.PEN.03
Guinea Grass
Pentecoste
Semi-Arid
Fluvisol
12.00 ± 0.05
215.26 ± 25.60
26.78 ± 0.79
4.51 ± 0.53
0.04 ± 0.40
12.60 ± 20.46
56
4.18 ± 0.57
GG.PEN.05-06
Guinea Grass
Pentecoste
Semi-Arid
Fluvisol
12.08 ± 0.02
200.53 ± 34.04
30.30 ± 1.11
5.15 ± 0.98
0.93 ± 4.08
12.50 ± 20.80
56
4.69 ± 0.89
MG.IGA.15
Massai Grass
Igarapé-Açu
Humid
Yellow Oxisol
11.98 ± 0.01
433.61 ± 89.16
26.00 ± 0.85
7.79 ± 1.56
10.02 ± 11.76
10.02 ± 11.76
100
6.81 ± 1.53
MG.FOR.09
Massai Grass
Fortaleza
Semi-Arid
Yellow Ultisol
11.97 ± 0.04
284.60 ± 40.39
26.76 ± 0.82
5.82 ± 0.89
1.89 ± 7.26
8.82 ± 12.56
32
5.22 ± 0.88i block with six replicates per treatment. The data from this
study were collected from September 2, 2017 to September
12, 2018 and included collections during the dry and rainy
seasons. For more details about this study, see Lage Filho
et al. (2021). In both GG.IGA.15 and GG.IGA.17-18, nitrogen
fertilizers were applied during the rainy season at a rate of
200 kg N ha−1 year−1 in the form of urea (45% N), and defoliations
were performed using mechanical cutting. In the experimental trial MG.IGA.15, the grass was sown
by hand on May 20, 2014, with a sowing rate equivalent to
45 pure seeds m−2 after tillage. The Massai grass was subjected
to six treatments: five doses of nitrogen fertilization (100, 200,
300, 400, and 500 kg ha−1 year−1), in six fixed applications
throughout the experimental period, and a control treatment
(no nitrogen), with five replications in a completely randomized
design. The area was divided into 30 plots of 12 m2 (3 m × 4 m),
with corridors spaced 1 m apart. Defoliation was performed
using mechanized cutting when light interception reached 95%,
as measured using an AccuPAR LP-80 canopy analyzer
(Decagon®). Experiments With Mechanized Forage Harvesting
Without the Use of Irrigationh The GG.IGA.17-18 test used the same experimental units
as the GG.IGA.15 test. This study evaluated the effect of different
defoliation intensities based on the residue height (15, 25, 35,
45, and 55 cm) when the Guinea grass canopy reached 95%
light interception, measured using an AccuPAR LP-80 canopy
analyzer (Decagon®). The experimental design was a randomized The GG.IGA.15 experimental trial was conducted at the
Experimental Farm of Igarapé-Açu (FEIGA) of the Federal
Rural University of Amazônia (UFRA). The grass was sown
by hand on March 6, 2014, with a sowing rate equivalent to
40 pure seeds m−2 after tillage. In this trial, treatments with
different harvest frequencies were tested in Guinea grass based February 2022 | Volume 13 | Article 809377 Frontiers in Plant Science | www.frontiersin.org 3 Multivariate Analysis in Megathyrsus Grasses Macedo et al. TABLE 1 | Means and standard deviations (SD) of agrometeorological and cultivation conditions during data collection for experimental trials. IDa
Grass
Place
Weather
condition
Soilb
Photoc
SRd
Tmeane
Etof
Precg
WAh
AWCi
ETaj
GG.IGA.15
Guinea Grass
Igarapé-Açu
Humid
Yellow Oxisol
12.00 ± 0.02
461.93 ± 76.08
27.21 ± 1.33
8.40 ± 1.37
4.95 ± 8.86
4.95 ± 8.86
100
3.78 ± 3.45
GG.IGA.17-18
Guinea Grass
Igarapé-Açu
Humid
Yellow Oxisol
12.00 ± 0.02
443.57 ± 90.32
26.56 ± 1.24
8.01 ± 1.59
6.40 ± 13.88
6.40 ± 13.88
100
4.26 ± 3.14
GG.PEN.03
Guinea Grass
Pentecoste
Semi-Arid
Fluvisol
12.00 ± 0.05
215.26 ± 25.60
26.78 ± 0.79
4.51 ± 0.53
0.04 ± 0.40
12.60 ± 20.46
56
4.18 ± 0.57
GG.PEN.05-06
Guinea Grass
Pentecoste
Semi-Arid
Fluvisol
12.08 ± 0.02
200.53 ± 34.04
30.30 ± 1.11
5.15 ± 0.98
0.93 ± 4.08
12.50 ± 20.80
56
4.69 ± 0.89
MG.IGA.15
Massai Grass
Igarapé-Açu
Humid
Yellow Oxisol
11.98 ± 0.01
433.61 ± 89.16
26.00 ± 0.85
7.79 ± 1.56
10.02 ± 11.76
10.02 ± 11.76
100
6.81 ± 1.53
MG.FOR.09
Massai Grass
Fortaleza
Semi-Arid
Yellow Ultisol
11.97 ± 0.04
284.60 ± 40.39
26.76 ± 0.82
5.82 ± 0.89
1.89 ± 7.26
8.82 ± 12.56
32
5.22 ± 0.88
aIdentification of the experimental trial. bSoil classification according to IUSS Working Group WRB (2015). cAverage photoperiod (hours day−1). dAverage of daily solar radiation (W m−2). eMean daily temperature (°C). fAverage of reference evapotranspiration (mm day−1). gPrecipitation (rainfall; mm day−1). hWater applied from rain and/or irrigation (mm day−1). iAvailable water capacity (mm). jAverage of actual evapotranspiration (mm). Frontiers in Plant Science | www.frontiersin.org Experiments With Mechanized Forage Harvesting
Without the Use of Irrigationh The experiment was conducted at FEIGA from
February 14, 2015, to August 5, 2015. For more details on
this study, refer to Cunha et al. (in press). Sheep Grazing Experiments Using Irrigation
The experimental trial GG.PEN.03 was conducted in the advanced
Teaching and Research Unit in Forage (NEEF) in Pentecoste-CE. The grass was sown manually in January 2003. Guinea grass
was subjected to three rest periods, defined as a function of
the time needed for expansion of 1.5, 2.5, and 3.5 new sheets
per tiller, with two repetitions per treatment. Therefore, the area
was divided into six rotating stocking systems, two for each rest
period, for evaluation. The data from this study included collections
from August 3, 2003, to November 8, 2003 and covered the
dry period in the region. Harvesting was performed by sheep
in an area under sprinkler irrigation with a water depth of
approximately 11.4 mm day−1 and a four-day watering shift. Nitrogen
fertilizers were applied at a rate of 160 kg N ha−1 year−1 in the
form of urea (45% N). The design was completely randomized. For more details on this study, see Silva et al. (2007).h y
The experimental trial GG.PEN.05–06 was performed at
NEEF in Pentecoste-CE in the same area as the trial GG.PEN.03. Guinea grass was subjected to three rest periods based on the
time required for the canopy to reach 85, 95, and 97% light
interception, in combination with two post-grazing residues
based on a residual leaf area index of 1.0 or 1.8 for a total
of six treatments. Light interception and leaf area index were
measured using an AccuPAR LP-80 canopy analyzer (Decagon®). The design was completely randomized with four replicates,
totaling 24 experimental units divided into 24 paddocks. The
data from this study were collected from October 25, 2005,
to March 7, 2006. Harvesting was performed by sheep in an
area under fixed sprinkler irrigation with a water depth of
approximately 11.4 mm day−1 and a four-day watering shift. Nitrogen fertilizers were applied at a rate of 220 kg N ha−1 year−1
in the form of urea (45% N). For more details about this
study, see Cutrim Junior et al. (2011). February 2022 | Volume 13 | Article 809377 4 Multivariate Analysis in Megathyrsus Grasses Macedo et al. TABLE 2 | Characterization of the experimental and management conditions of each experimental trial. Experiments With Mechanized Forage Harvesting
Without the Use of Irrigationh IDa
Planting date
Trial period
Experimental
design
Treatments
Nitrogen
fertilization
Type of
harvest
Use of
irrigation
GG.IGA.15
March 6, 2014
March 14, 2015 to
January 2, 2016
Randomized block
design
Harvest frequencies based
on fixed days (14, 21, 28,
35, 42, and 49 days) of the
rest period
200 kg of N
ha−1 year−1 in the form
of urea (45% N)
Mechanical
cutting
No
GG.IGA.17-18
March 6, 2014
September 2, 2017
to September 12,
2018
Randomized block
design
Harvest intensities based on
the residue height (15, 25,
35, 45, and 55 cm)
200 kg of N
ha−1 year−1 in the form
of urea (45% N)
Mechanical
cutting
No
GG.PEN.03
January 2003
August 3, 2003 to
November 8, 2003
Completely
randomized design
Harvest frequencies based
on time needed for
expansion of 1.5, 2.5, and
3.5 new sheets per tiller
160 kg of N
ha−1 year−1 in the form
of urea (45% N)
Grazed by
sheep
Yes
GG.PEN.05–06
January 2003
October 25, 2005 to
March 7, 2006
Completely
randomized design
Harvest frequencies in
combination with post-
grazing residues
220 kg of N
ha−1 year−1 in the form
of urea (45% N). Grazed by
sheep
Yes
MG.IGA.15
May 20, 2014
February 14, 2015 to
August 5, 2015
Completely
randomized design
Nitrogen fertilization (control,
100, 200, 300, 400, and
500 kg ha−1 year−1)
Same as treatments
Mechanical
cutting
No
MG.FOR.09
September 2008
July 14, 2009 to
October 18, 2009
Completely
randomized design
Nitrogen fertilization (control,
400, 800, and
1,200 kg ha−1 year−1)
Same as treatments
Grazed by
sheep
Yes TABLE 2 | Characterization of the experimental and management conditions of each experimental trial. The experimental test MG.FOR.09 was performed in the
experimental field of NEEF in Fortaleza, CE. The grass was
sown by hand in September 2008, with a sowing rate equivalent
to 2 kg of pure seeds ha−1 after tillage. Massai grass was subjected
to increasing doses of nitrogen (0-control; 400, 800, and
1,200 kg ha−1 year−1) under a fixed sprinkler irrigated area with
a liquid depth of 7.0 mm day−1 and watering shift of 3 days,
in an intermittent stocking system grazed by sheep. The
experimental design was completely randomized with two
repetitions and evaluations at each regrowth cycle lasting 22,
18, 16, and 13 days for the control treatments (without
fertilization), and 400, 800, and 1,200 kg of nitrogen fertilization,
respectively. Frontiers in Plant Science | www.frontiersin.org Experiments With Mechanized Forage Harvesting
Without the Use of Irrigationh The experiment was conducted at FEIGA from
July 14, 2009, to October 18, 2009. For more details on this
study, see Lopes et al. (2016). frame (1.0 m × 1.0 m). In the MG.FOR.09 trial, the collection
was performed using two samplings in a frame of 0.0625 m2
(0.25 m × 0.25 m). From biomass collection, the total forage accumulation (FA)
and the morphological composition were determined through
the separation of its plant components, obtaining the leaf blade
accumulation (LBA), stem accumulation (stem + sheath; SA),
and dead material accumulation (DMA). Each sample was
placed in a forced ventilation oven (55°C to constant weight)
to determine biomass accumulation in terms of dry matter. The CHI was obtained by the difference in canopy height
before and after defoliation, measured with the aid of a ruler
graduated in centimeters (Barthram, 1986). The TPD was
estimated by counting the live tillers within a known area
frame and converting to the number of tillers per square meter. A summary of the experimental and management conditions
of each trial is presented in Table 2. Agrometeorological Variablesh The mean temperature (Tmean) and precipitation (Prec) data
for the municipality of Igarapé-Açu were obtained through
the conventional meteorological station of Brazilian Agricultural
Research Corporation (Embrapa), 900 m from the experiments. The same meteorological data, along with air humidity and
wind speed, were obtained by the UFC automatic meteorological
station at 800 and 550 m from the experimental area in the
municipalities of Pentecoste and Fortaleza, respectively. Due
to the absence of radiation measurements at some stations,
global solar radiation (SR) data for the three sites were retrieved
from the National Solar Radiation Database (NSRDB).h aIdentification of the experimental trial. Measured Agronomic Variables In all trials, the common variables measured prior to defoliation
were biomass accumulation and its morphological components,
tiller population density (TPD), and canopy height increment
(CHI). The number of days of the rest period (RP) between
pastures was also determined.h The accumulation of biomass was measured by destructive
collections with the use of known area frames used in each
experimental trial, which were converted to hectares, considering
the forage above the height of a particular residue in each
trial. In the GG.IGA.15, GG.IGA.17-18, and MG.IGA.15 trials,
forage collection was performed using two samplings in a
0.5 m2 frame (1.0 m 0.5 m). In the GG.PEN.03 and GG.PEN.05–06
trials, collection was performed using two samplings in a 1.0 m2 The reference evapotranspiration (ETo) of the cities of
Fortaleza and Pentecoste was provided by the Penman-
Monteith
FAO
56
(FAO,
1998),
according
to
the
following equation: February 2022 | Volume 13 | Article 809377 5 Multivariate Analysis in Megathyrsus Grasses Macedo et al. ETo
R
G
T
u
e
e
u
n
s
a
0 408
900
273
1
0 34
mean
2
2
. .
To analyze how agronomic and agrometeorological variables
are related, the data were subjected to canonical correlation
analysis, whereby the participation of each variable in the
generation of canonical indices was determined by the correlation
of the canonical and the original variable. where ∆ is the slope vapor pressure curve as a function of
temperature (kPa°C−1), and Rn is the net radiation at the crop
surface (MJ.m−2 day−1); G is the soil heat flux density
(MJ m−2 day−1); γ is the psychometric constant (kPa °C−1);
Tmean is the mean between maximum and minimum temperature
(°C); u2 is the wind speed (m s−1); and (es-ea) is the saturation
vapor pressure deficit (kPa).h Agrometeorological and agronomic variables were used
in a discriminant function analysis to verify the functions
responsible for maximizing the difference between the trials,
based on the grass cultivar and the location of the experiment. To determine which variables were responsible for the
separation, the generated discriminant functions were
correlated with the original variables, and the Pearson
correlation coefficients were described in a biplot graph. To
verify how the assays differed, the new variables (discriminating
functions) generated were subjected to the F test for mean
differences and Tukey’s test for mean comparisons, both at
a significance level of 0.05. RESULTS How Are the Different Cultivation
Conditions Characterized in Relation to
the Indices That Group Agronomic and
Agrometeorological Variables? Measured Agronomic Variables The studentized residues of the
model were subjected to the identification of outliers (values
above 3.0 and below −3.0) and normality using the Shapiro–
Wilk test. The homoscedasticity of variances test was performed,
and the tests that showed heterogeneous variances were
grouped to the model using the restricted maximum
likelihood method. The absence of wind speed and humidity data at the
Igarapé-Açu meteorological station required that the ETo
be calculated according to the method of Turc (1961), which
represents an adequate estimate of the ETo for the region
(Silva Júnior et al., 2017; Farias et al., 2019): ETo
T
T
Rs
0 013
15 23 9
50
mean
mean
. . where Tmean is the mean between the maximum and minimum
temperatures (°C) and Rs is the solar global radiation
(MJ m−2 day−1).h The water index (WI) was obtained from the relationship
between the actual evapotranspiration (ETa) and reference (ETo): The vectors that describe the variables in the biplot graphs
generated in the principal component and discriminant analyses
were multiplied by factors 10 and 20, respectively. Such
adjustments were made to improve the scaling of vectors in
the graph. In all the analyses described, R software (R Core
Team, 2019) was used as a tool for data processing. How Are the Different Cultivation
Conditions Characterized in Relation to
the Indices That Group Agronomic and
Agrometeorological Variables? Water from irrigation and/or precipitation was the applied
water variable (WA). The supplied nitrogen (SN) was the
agrometeorological variable for plant nitrogen availability in
the form of fertilization. g
g
Choosing the PC number using the Kaiser criterion allowed
the selection of the first two components for characterization
based on agrometeorological variables and the first three
components based on agronomic variables, as observed in the
scree plot graphs (Figure 2). Frontiers in Plant Science | www.frontiersin.org WI
=
actual evapotranspiration
reference evapotranspiration ETa was calculated from the preparation of the sequential
water balance on a daily scale according to Thornthwaite and
Mather (1955), based on the available water capacity (AWC),
which was different for each location (Table 1). The AWC of
the soil was calculated as the difference between the field
capacity (FC) and the permanent wilting point (PWP). FC
and PWP were obtained from undeformed soil samples saturated
with water and subjected to tension of 10 and 1,500 kPA,
respectively, in a Richards chamber. Statistical Analysish The mean and/or some of the values of the agrometeorological
(Tmean, SR, ETo, ETa, WI, WA, and SN) and agronomic (TPD,
CHI, RP, FA, LBA, SA, and DMA) variables related to the
regrowth period of each forage production cycle were used
to form two groups (the group of agrometeorological variables
and the group of agronomic variables).h The characterization of the six trials, through the
agrometeorological variables, was influenced by the first main
component (PC1; Figure 3), which accounted for 65.33% of
the data variation. PC1 (Figure 3) demonstrated a contrast
between variables related to water availability (ETa, WA, and
WI) and SN versus variables related to energy supply (SR and
Tmean) that result in potential evapotranspiration (ETo). There
was a greater variability in the tests that used Guinea grass
in the municipality of Igarapé-Açu (GG.IGA.15 and GG.IGA.17-
18) than the other tests (Figure 3). The characterization of the observations from each trial
was verified using principal component analysis (PC) through
the generation of indices summarizing the agrometeorological
and agronomic variables and represented in biplot graphs. The
eigenvalues and eigenvectors were calculated from the correlation
matrix to ensure that the results were not biased by large
numerical variables. The choice of the number of components
was based on the PC that obtained eigenvalues greater than
1, according to the Kaiser criterion (Kaiser, 1958). g
Principal component 2 (PC2, Figure 3) explained 18.49%
of the data variation and was related to a greater variability
of the humid tropical climate tests of the Amazon region,
both for Massai grass and Guinea grass in relation to those
in the Northeast region. With the exception of WA, the other February 2022 | Volume 13 | Article 809377 6 Multivariate Analysis in Megathyrsus Grasses Macedo et al. A
B A
B
FIGURE 2 | Variance explained by each principal component, through their respective eigenvalues. (A) Eigenvalues of the principal components referring to
agrometeorological variables. (B) Eigenvalues of the principal components referring to agronomic variables. FIGURE 3 | Biplot representation of the first two main components obtained from the agrometeorological variables, with observations from the six types of trials
with cultivars of the species Megathyrsus maximus. ETa, Actual Evapotranspiration; ETo, Reference Evapotranspiration; SN, Supplied nitrogen; SR, Solar radiation;
Tmean, Mean temperature; WA, Water applied; and WI, Water index. A
B
FIGURE 2 | Variance explained by each principal component, through their respective eigenvalues. Statistical Analysish (A) Eigenvalues of the principal components referring to
agrometeorological variables. (B) Eigenvalues of the principal components referring to agronomic variables. A
B B A FIGURE 2 | Variance explained by each principal component, through their respective eigenvalues. (A) Eigenvalues of the principal components referring to
agrometeorological variables. (B) Eigenvalues of the principal components referring to agronomic variables. FIGURE 3 | Biplot representation of the first two main components obtained from the agrometeorological variables, with observations from the six types of trials
with cultivars of the species Megathyrsus maximus. ETa, Actual Evapotranspiration; ETo, Reference Evapotranspiration; SN, Supplied nitrogen; SR, Solar radiation;
Tmean, Mean temperature; WA, Water applied; and WI, Water index. FIGURE 3 | Biplot representation of the first two main components obtained from the agrometeorological variables, with observations from the six types of trials FIGURE 3 | Biplot representation of the first two main components obtained from the agrometeorological variables, with observations from the six types of trials
with cultivars of the species Megathyrsus maximus. ETa, Actual Evapotranspiration; ETo, Reference Evapotranspiration; SN, Supplied nitrogen; SR, Solar radiation;
Tmean, Mean temperature; WA, Water applied; and WI, Water index. The biplot graph provides information related to the
correlation between variables, where arrows in the same
direction but opposite senses represent strong negative agrometeorological variables showed positive coefficients for
this component. There was also high participation for SR, SN,
ETo, and ETa (Figure 3). agrometeorological variables showed positive coefficients for
this component. There was also high participation for SR, SN,
ETo, and ETa (Figure 3). February 2022 | Volume 13 | Article 809377 Frontiers in Plant Science | www.frontiersin.org 7 Multivariate Analysis in Megathyrsus Grasses Macedo et al. correlations between the variables. The ETo and Tmean showed
strong negative correlations with WI and WA (Figure 3). In contrast, the arrows that show close directions, forming
a small angle between them, are more positively correlated. This can be observed between the energy supply variables
(SR, ETo, and Tmean) and the water availability variables
(WI and WA) for ETa and SN. correlations between the variables. The ETo and Tmean showed
strong negative correlations with WI and WA (Figure 3). In contrast, the arrows that show close directions, forming
a small angle between them, are more positively correlated. This can be observed between the energy supply variables
(SR, ETo, and Tmean) and the water availability variables
(WI and WA) for ETa and SN. How Do Agrometeorological Variables
Relate to Agronomic Variables?h The first three main components of the agronomic variables
accounted for 76.92% of the data variability. Principal
component 1 (PC1, Figure 4), responsible for 42.14% of the
variation, represents the growth of grasses, through an index
that considers all agronomic variables, with low participation
of RP. All trials were characterized by alterations in the high
and low agronomic variable values (Figures 4A,B).h g
The correlation between the canonical agrometeorological
variables and their original counterparts showed a contrast
between variables related to water availability (WA, ETa, and
WI) with SN versus the variables related to energy supply
in terms of temperature and radiation (ETo, SR, and Tmean;
Figure 5). Through the correlation between the canonical
agronomic variable and their original counterparts, it appears
that former represented a contrast between DMA and the
other variables (FA, LBA, TPD, and CHI), mainly with respect
to the increase in height (Figure 5). SA and days of regrowth
showed little participation in this canonical variable. Based The second principal component (PC2, Figure 4), which
held 20.50% of the data variability, was related to a contrast
mainly between SA and DMA versus CHI, FA, and TPD, with
a low participation of LBA. In this component, there was
greater variability in the data from the Guinea grass trial in
2015 (Figures 4A,C). Principal component 3 (PC3, Figure 4) A A
B
C
FIGURE 4 | Biplot representation of the first three main components obtained from the agrometeorological variables, with observations from the six types of
trials with cultivars of the species Megathyrsus maximus. (A) Bidirectional relationship of principal component 1 with principal component 2. (B) Bidirectional
relationship of principal component 1 with principal component 3. (C) Bidirectional relationship of principal component 2 with principal component 3. CHI,
Canopy height increment; DMA, Dead material accumulation; FA, Forage accumulation; LBA, Leaf blade accumulation; SA, Stem accumulation; and TPD, Tiller
population density. B A B C C FIGURE 4 | Biplot representation of the first three main components obtained from the agrometeorological variables, with observations from the six types of
trials with cultivars of the species Megathyrsus maximus. (A) Bidirectional relationship of principal component 1 with principal component 2. (B) Bidirectional
relationship of principal component 1 with principal component 3. (C) Bidirectional relationship of principal component 2 with principal component 3. Statistical Analysish highlighted the importance of grass regrowth days. It accounted
for 14.29% of the data variability and showed that this variation
in the regrowth period between trials did not change substantially,
except for some observations in the Guinea grass study in
Igarapé-Açu during 2017 and 2018 (Figures 4B,C). How Do Agrometeorological Variables
Relate to Agronomic Variables?h CHI,
Canopy height increment; DMA, Dead material accumulation; FA, Forage accumulation; LBA, Leaf blade accumulation; SA, Stem accumulation; and TPD, Tiller
population density February 2022 | Volume 13 | Article 809377 8 Frontiers in Plant Science | www.frontiersin.org Multivariate Analysis in Megathyrsus Grasses Macedo et al. FIGURE 5 | Graphic representation of the canonical correlation between the group of agrometeorological variables (Agrometeorological canonical variable) with the
agronomical variables (Agronomic canonical variable). The bar graphs to the left and below the agronomic and agrometeorological variables, respectively, represent
the influence of each original variable in the generation of the canonical variable through the value of their correlation coefficient. ETa, Actual evapotranspiration; ETo,
Reference evapotranspiration; SN, Supplied nitrogen; SR, Solar radiation; Tmean, Mean temperature; WA, Water applied; WI, Water index; CHI, Canopy height
increment; DMA, Dead material accumulation; FA, Forage accumulation; LBA, Leaf blade accumulation; SA, Stem accumulation; and TPD, Tiller population density. FIGURE 5 | Graphic representation of the canonical correlation between the group of agrometeorological variables (Agrometeorological canonical variable) with the
agronomical variables (Agronomic canonical variable). The bar graphs to the left and below the agronomic and agrometeorological variables, respectively, represent
the influence of each original variable in the generation of the canonical variable through the value of their correlation coefficient. ETa, Actual evapotranspiration; ETo,
Reference evapotranspiration; SN, Supplied nitrogen; SR, Solar radiation; Tmean, Mean temperature; WA, Water applied; WI, Water index; CHI, Canopy height
increment; DMA, Dead material accumulation; FA, Forage accumulation; LBA, Leaf blade accumulation; SA, Stem accumulation; and TPD, Tiller population density. variable, but with more homogeneous results for the canonical
agronomic variable (Figure 5). on this relationship, environments with high Tmean, low
water availability, and low nitrogen supply promote low plant
growth, mainly in terms of lower FA and CHI, while
accelerating the death of plant material characterized by
high DMA. Frontiers in Plant Science | www.frontiersin.org How Can Discriminating Functions That
Separate Experiments With Guinea and
Massai Grasses Conducted in Distinct
Regions, but at Similar Latitudes,
Be Described?h The correlation coefficient between the agrometeorological
and agronomic canonical variables was 0.84, which represents
76.94% of the variation explained by the first pair of canonical
variables. The data from the trial with Guinea grass in Igarapé-Açu
during 2015 were the most heterogeneous of all trials in terms
of both the canonical agrometeorological and agronomic variables. The trial with Guinea grass in Igarapé-Açu between 2017 and
2018 showed some variability in the canonical agrometeorological The separation between the groups of experiments can be seen
by the influence of two discriminant functions, which together
represent 89.56% of the variation responsible for the maximum
separation of the groups (Figure 6). Discriminant function 1 February 2022 | Volume 13 | Article 809377 9 Multivariate Analysis in Megathyrsus Grasses Macedo et al. FIGURE 6 | Biplot representation of the first two discriminant functions with observations from six types of trials with cultivars of the species Megathyrsus maximus. The red and blue arrows show the participation of each agrometeorological and agronomic variable, respectively, in the formation of the discriminant function. ETa,
Actual evapotranspiration; ETo, Reference evapotranspiration; SN, Supplied nitrogen; SR, Solar radiation; Tmean, Mean temperature; WA, Water applied; WI, Water
index; CHI, Canopy height increment; DMA, Dead material accumulation; FA, Forage accumulation; LBA, Leaf blade accumulation; SA, Stem accumulation; and
TPD, Tiller population density. FIGURE 6 | Biplot representation of the first two discriminant functions with observations from six types of trials with cultivars of the species Megathyrsus maximus. The red and blue arrows show the participation of each agrometeorological and agronomic variable, respectively, in the formation of the discriminant function. ETa,
Actual evapotranspiration; ETo, Reference evapotranspiration; SN, Supplied nitrogen; SR, Solar radiation; Tmean, Mean temperature; WA, Water applied; WI, Water
index; CHI, Canopy height increment; DMA, Dead material accumulation; FA, Forage accumulation; LBA, Leaf blade accumulation; SA, Stem accumulation; and
TPD, Tiller population density. (DF1) revealed a contrast between the rest period and LBA
versus FA, DMA, and SA. This discriminant function mainly
separates the tests by region. The left side represents Igarapé-Açu,
and the right denotes Fortaleza, and the extremes are the
Pentecoste region. The data from semi-arid region were
characterized by greater production of biomass and its
components of the stalk and dead material, than those in the
Amazon region, with emphasis on the tests with Guinea grass. How Can Discriminating Functions That
Separate Experiments With Guinea and
Massai Grasses Conducted in Distinct
Regions, but at Similar Latitudes,
Be Described?h For the agrometeorological variables, the separation of regions
occurred through a contrast mainly between ETa, ETo, and
SR on one side and between Tmean and WI on the other
(Figure 6). DF1 had the highest mean for GG.PEN.05–06,
followed by GG.PEN.03, and MG.FOR.09, for positive values
on the axis. Regarding negative values, the MG.IGA.15 and
GG.IGA.15 assays were equal, and the lowest values were found
for the GG.IGA.17-18 study (Table 3). the highest mean for the MG.FOR.09 study, followed by
MG.IGA.15 with the positive values on the axis. The GG.PEN.03
assay had the highest mean negative value, followed by the
GG.IGA.15, GG.IGA.17-18, and GG.PEN.05–06 studies, which
were equal (Table 3). Frontiers in Plant Science | www.frontiersin.org DISCUSSION The relationship between agrometeorological and agronomic
variables in tropical grasses has been little explored using
multivariate approaches. A correct understanding of these
interactions will help identify the most efficient use for
tropical grass management according to region as will direct-to-
research studies on grazing management and tropical grass
growth modeling. The importance of this knowledge was
confirmed in our study by the formation of indices that
summarize the variable information into two groups based
on agrometeorological variables, both by principal component
and canonical correlation analysis. One group included
variables related to energy supply in terms of radiation and
temperature, and the other by water and nitrogen availability
factors. The Megathyrsus sp. in different climatic conditions Discriminant function 2 (DF2) separated the grass cultivars. This function separates the tests that used Massai grass,
characterized by higher TPD, biomass accumulation, and its
morphological components, from the tests that evaluated Guinea
grass, which had a greater increase in height and regrowth
days. The agrometeorological variables were influenced by
Tmean, SR, and ETo, in contrast to WI (Figure 6). DF2 had February 2022 | Volume 13 | Article 809377 10 Multivariate Analysis in Megathyrsus Grasses Macedo et al. TABLE 3 | Difference between studies based on the comparison of the mean of
the generated discriminant functions. Studies
Discriminant functions
DF1a
DF2b
MG.IGA.15
−4.64 d
2.24 b
GG.IGA.15
−4.76 d
−2.82 d
GG.IGA.17-18
−5.67 e
−2.58 d
MG.FOR.09
1.78 c
10.50 a
GG.PEN.03
9.79 b
−0.96 c
GG.PEN.05-06
19.39 a
−2.69 d
value of p
<0.0001
<0.0001
aDiscriminant function 1. bDiscriminant function 2. Means followed by the same letter in the column do not differ by Tukey’s test at 0.05. TABLE 3 | Difference between studies based on the comparison of the mean of
the generated discriminant functions. variables, soil properties, and plant characteristics to the spatial
variability of the net exchange of CO2 between land and
atmosphere, using data from croplands, pastures, and forests
in different regions. Dispersion of observations in the Amazon
region was observed in the second principal component (PC2,
Figure 3), in which there was greater participation of the
Massai grass trial (MG.IGA.15). In this trial, no evaluations
were conducted during the dry season; therefore, the component
was generated with most of the variables from only the positive
side of the axis (Figure 3). DISCUSSION For empirical modeling purposes,
the variability in growing conditions of the GG.IGA.15 and
GG.IGA.17-18 trials are important for obtaining models that
can be generalized in prediction processes (Andrade et al., 2015). We obtained three main components for the agronomic
variables. All experimental tests showed some variability in
the first principal component (PC1; Figures 4A,B). This is
because the variation in observations is due to the treatments
adopted in the trials, whether using different doses of nitrogen
fertilization (trials with Massai grass) or different management
techniques (trials with Guinea grass). In pasture production
systems, it is common to adopt different management techniques
based on grazing goals, which will depend on the technological
level, production system, and possible edaphoclimatic variation
in the region (Silva et al., 2019b,c; Macedo et al., 2021). These
factors are indispensable when considering the changeability
of response variables that are relevant for monitoring the
structure and productivity of pastures. was distinguished mainly by the availability of water. This
corroborates our hypothesis that even in regions located
close to the equator, such as the Amazon and semi-arid
regions of Brazil, there are climatic factors capable of
discriminating them in terms of productive potential (Silva
et al., 2019a). PC1 (Figure 3) shows that the cultivation conditions with
Guinea grass in Igarapé-Açu (GG.IGA.15 and GG.IGA.17-18)
had greater data dispersion than the other trials. Climatic
variability during the trials may explain the main cause of
this difference. The tests in the semi-arid region involved a
greater control of climatic conditions through water supply
irrigation. In this region, radiation and temperature variability
were not as pronounced; water supply through irrigation ensures
continuous water availability, and there is no significant variability
in actual evapotranspiration (Graham et al., 2016). Not only agrometeorological conditions are important in
understanding and predicting productive variables in pastures. Other factors such as management of mechanistic models that
estimate biomass production, such as CROPGRO (Bosi et al.,
2020b; Brunetti et al., 2021) and APSIM (Bosi et al., 2020a;
Gomes et al., 2020), are also relevant.h Similar to the town of the semi-arid region, Igarapé-Açu
is located close to the equator (Figure 1). Consequently, the
photoperiod, solar radiation, and temperature data did not
vary substantially over the experimental period (Table 1). DISCUSSION However, the variability observed in ETa, particularly in the
GG.IGA.15 and GG.IGA.17-18 studies (Table 1), can
be attributed to the cultivation conditions that included
evaluations in both the rainy and the dry periods (Lage Filho
et al., 2021; Macedo et al., 2021). In the MG.IGA.15 trial, the
evaluations covered only the rainy season and the rainy-dry
transition period. The second principal component (PC2; Figures 4A,C) mainly
showed the larger variability in relation to the GG.IGA.15
trial, because the data from this trial reflected canopies with
high and low values of agronomic variables due to use of rest
days ranging from 14 to 49 (Macedo et al., 2021). The low
participation of LBA in this study is linked to the small
variability of this factor in the observed data. It is likely that
the accumulation of leaf blades between canopies with different
intervals between defoliations did not vary substantially because
of TPD and the number of leaves per tiller. Canopies with
higher RP had more leaves per tiller and wider and larger
leaves, but lower TPD. Canopies with lower RP had fewer
leaves per tiller and thinner leaves, but higher TPD. In general,
compensation for the number of tillers did not modify the
LBA (Sbrissia et al., 2010). PC1 also considered supply nitrogen, along with the water
variables (Figure 3). The SN in Guinea grass trials in Igarapé-Açu
showed greater variability due to the absence of nitrogen
fertilization during the dry period, which was not required
because of the lack of soil moisture (Kunrathm et al., 2018). The contrast observed by PC1 (Figure 3) was related to a
greater dispersion of the variables related to water availability
and SN than the energy supply and potential water loss variables,
mainly in Igarapé-Açu. Based on this, we consider that statistical
methods, such as principal component regression, can
be
potential
alternatives
for
modeling
studies
with
agrometeorological variables and soil properties, as observed
in other studies, such as those by Zhou et al. (2021). These
authors used principal component regression to relate climatic The third principal component (PC3; Figures 4B,C)
highlighted the effect of regrowth days. Except for some data
for the GG.IGA.17-18 trial, the trials presented a similar
distribution of observations for this component. Frontiers in Plant Science | www.frontiersin.org DISCUSSION Therefore, the high
canonical correlation (0.84) between the agrometeorological
and agronomic variables demonstrates the close interaction
between these two groups. This influence is related to the fact
that water availability and SN contrast with factors related to
potential water loss (ETo, SR, and Tmean). Thus, this directly
affects the set of agronomic variables linked to forage canopy
growth (FA, LBA, TPD, and CHI), which are important factors
in herbivore production systems. These important factors contrast
with DMA (Figure 5), which is the result of plant tissue death
and is viewed negatively in intensive production systems
(Carnevalli et al., 2006). (
,
)
Multiple regression analysis is a particular case of canonical
correlation
that
can
be
used
to
understand
which
agrometeorological variables are important in the composition
of empirical models for estimating productive variables, such
as biomass production and tiller density (Qiu et al., 2016;
Mathieu and Aires, 2018). In this case, these productive variables
would be more related to data on water availability, particularly
ETo, WI, and SN. High temperature is an important growth
factor for C4 cycle grasses that is related to the increased
metabolic activity of plants; however, water stress can be a
harmful factor for plant development (Prasad et al., 2011;
Mathieu and Aires, 2018). In forage plants, this may be linked
to increased plant material death in contrast to biomass
accumulation, as observed in the canonical agronomic variable. This was mainly due to the greater variability of the data in
the environmental conditions during the conduct of the tests,
reflecting the lack of control of the water supply of the crop
in the GG.IGA.15 and GG.IGA.17-18 tests (Figure 5). The
aspects related to the management of the GG.IGA.15 study,
considering regrowth periods that ranged from 14 to 49 days,
caused this cultivation condition to present high variability in
the canonical agronomic variable which leads to the high
variability of forage canopy structural conditions (Macedo
et al., 2021).h g
The discrimination of the trials regarding the forage
cultivar was based on the discriminant function 2. This
function accounted for only 19.20% of the variation in the
separation power of the studies. It is possible to observe
the strong influence of agronomic variables on this
discriminant function, mainly regarding the effects of TPD,
FA, DMA, and LBA. DISCUSSION Fixed regrowth
periods were not considered, and evaluations occurred during
the dry period; therefore, the time for the canopy to reach
95% light interception (experiment goal) was high in some
cycles of the GG.IGA.17-18 trial (Lage Filho et al., 2021). This may be related to the increased variability of observations February 2022 | Volume 13 | Article 809377 11 Multivariate Analysis in Megathyrsus Grasses Macedo et al. in this trial for this component. Using management goals based
on light interception in periods in which there are no favorable
conditions for plant growth can be challenging, which has
been described in other studies (Carnevalli et al., 2006).h in this trial for this component. Using management goals based
on light interception in periods in which there are no favorable
conditions for plant growth can be challenging, which has
been described in other studies (Carnevalli et al., 2006).h It is possible to visualize the difference between experiments
GG.PEN.03 and GG.PEN.05–06 (Table 3) despite having the
same locations. This was likely due to climatic differences
between the times the tests were conducted, mainly with
regard to temperature, which was 3.52°C higher in the period
from 2005 to 2006 compared to the experimental period in
2003 (Table 1). Regarding the tests in Igarapé-Açu, the
temperature difference was only 0.65°C between GG.IGA.15
and GG.IGA.17-18. There was a difference between these
two studies regarding DF1, which did not occur between
GG.IGA.15 and MG.IGA.15 (Table 3), which that took place
in the same year. Thus, the importance of climate-related
variables in the composition of DF1 is evident. As both
Pentecoste trials were adequately supplied with water through
irrigation, the effect of temperature change may have been
the main factor in discriminating these trials (Table 2). Temperature influences the acceleration of the physiological
processes of the plant, resulting in greater forage accumulation,
stem elongation, and dead material (Ivory and Whiteman,
1978). DF1 was more clearly observed by the greater effect
of Tmean and SA, since the effect of temperature on stem
elongation is well evidenced in grasses (Liu et al., 1998;
Pierre et al., 2011; Yang et al., 2014). The existing linear relationships between the set of agronomic
and agrometeorological variables can be represented by canonical
variables, whereby the maximum possible canonical correlation
is desired (Araújo Júnior et al., 2021). February 2022 | Volume 13 | Article 809377 REFERENCES doi: 10.1016/j.fcr.2018.02.031 Lage Filho, N. M., Lopes, A. R., Rêgo, A. C., Domingues, F. N., Faturi, C.,
Silva, T. C., et al. (2021). Effects of stubble height and season of the year
on morphogenetic, structural and quantitative traits of Guinea grass. Trop. Grassl. - Forrajes Trop. 9, 256–267. doi: 10.17138/tgft(9)256-267 Bosi, C., Sentelhas, P. C., Pezzopane, J. R. M., and Santos, P. M. (2020b). CROPGRO-perennial forage model parameterization for simulating Piatã
palisade grass growth in monoculture and in a silvopastoral system. Agric. Syst. 177:102724. doi: 10.1016/j.agsy.2019.102724 rassl. - Forrajes Trop. 9, 256–267. doi: 10.17138/tgft(9)256-267 Liu, D. L., Kingston, G., and Bull, T. A. (1998). A new technique for determining
the thermal parameters of phenological development in sugarcane, including
suboptimum and supra-optimum temperature regimes. Agric. For. Meteorol. 90, 119–139. doi: 10.1016/S0168-1923(97)00087-7 Brunetti, H. B., Boote, K. J., Santos, P. M., Pezzopane, J. R. M., Pedreira, C. G. S., Lara, M. A. S., et al. (2021). Improving the CROPGRO perennial forage
model for simulating growth and biomass partitioning of guineagrass. Agron. J. 113, 3299–3314. doi: 10.1002/agj2.20766 Lopes, M. N., Cândido, M. J. D., Pompeu, R. C. F. F., Silva, R. G., Morais
Neto, L. B., Carneiro, M. D. S., et al. (2016). Tillering dynamics in massai
grass fertilized with nitrogen and grazed by sheep. Biosci. J. 32, 446–454. doi: 10.14393/BJ-v32n2a2016-26106 Carnevalli, R. A., Silva, S. C., Bueno, A. A. O., Uebele, M. C., Bueno, F. O.,
Hodgson, J., et al. (2006). Herbage production and grazing losses in Panicum
maximum cv. Mombaça under four grazing managements. Trop. Grassl. 40,
165–176. Macedo, V. H. M., Cunha, A. M. Q., Cândido, E. P., Domingues, F. N.,
Silva, W. L., Lara, M. A. S., et al. (2021). Canopy structural variations affect
the relationship between height and light interception in Guinea grass. Field
Crop Res. 271:108249. doi: 10.1016/j.fcr.2021.108249 Cutrim Junior, J. A. A., Cândido, M. J. D., Valente, B. S. M., Carneiro, M. S. D., and Carneiro, H. A. V. (2011). Características estruturais do dossel de
capim-tanzânia submetido a três frequências de desfolhação e dois resíduos
pós-pastejo. R. Bras. de
Zootec. 40,
489–497. doi:
10.1590/
S1516-35982011000300005 Mathieu, J. A., and Aires, F. (2018). Assessment of the agro-climatic indices
to improve crop yield forecasting. Agric. For. Meteorol. 253, 15–30. doi:
10.1016/j.agrformet.2018.01.031 Durand, J. L., Grancher, C. V., Lemaire, G., Gastal, F., and Moulia, B. (1991). Carbon partitioning in forage crops. Acta Biotheor. 39, 213–224. REFERENCES Farias, V. D. S., Costa, D. L. P., Pinto, J. V. N., Souza, P. J. O. P., Souzs, E. B.,
and Farias, S. O. (2019). Calibration of reference evapotranspiration
models in Pará. Acta Sci. Agron. 42:e42475. doi: 10.4025/actasciagron. v42i1.42475 Alvares, C. A., Stape, J. L., Sentelhas, P. C., Gonçalves, J. L. M., and Sparovek, G. (2013). Köppen’s climate classification map for Brazil. Meteorol. Z. 22, 711–728. doi: 10.1127/0941-2948/2013/0507 Gomes, F. J., Bosi, C., Pedreira, B. C., Santos, P. M., and Pedreira, C. G. S. (2020). Parameterization of the APSIM model for simulating palisadegrass
growth under continuous stocking in monoculture and in a silvopastoral
system. Agric. Syst. 184:102876. doi: 10.1016/j.agsy.2020.102876 Andrade, A. S., Santos, P. M., Pezzopane, J. R. M., Araújo, L. C., Pedreira, B. C.,
Pedreira, C. G. S., et al. (2015). Simulating tropical forage growth and
biomassaccumulation: an overview of model developmentand application. Grass Forage Sci. 71, 54–65. doi: 10.1111/gfs.12177 Graham, S. L., Kochendorfer, J., Mcmillan, A. M. S., Duncan, M. J., Srinivasan, M. S.,
and Hertzog, G. (2016). Effects of agricultural management on measurements,
prediction, and partitioning of evapotranspiration in irrigated grasslands. Agric. Water Manag. 177, 340–347. doi: 10.1016/j.agwat.2016.08.015fi Araújo Júnior, G. N., Jardim, A. M. R. F., Silva, M. J., Alves, C. P., Souza, C. A. A., Costa, S. A. T., et al. (2021). Growth dynamics and accumulation
of forage mass of forage cactus clones as affected by meteorological
variables and water regime. Eur. J. Agrom. 131:126375. doi: 10.1016/j. eja.2021.126375 Ivory, D., and Whiteman, P. (1978). Effect of temperature on growth of five
subtropical grasses. I. Effect of day and night temperature on growth and
morphological development. Aust. J. Plant Physiol. 5, 131–148. doi: 10.1071/
PP9780131 Barthram, G. T. (1986). Experimental Techniques: the HFRO Sward Stick. In:
Alcock, M.M. (Ed.), The Hill Farming Research Organisation – Biennial
Report (1984–1985), Midlothian, 29–30. Kaiser, H. F. (1958). The varimax criteria for analytical rotation in factor analysis. Psychom. Theory 23, 187–200. doi: 10.1007/BF02289233 Bosi, C., Sentelhas, P. C., Huth, N. I., Pezzopane, J. R. M., Andreucci, M. P.,
and Santos, P. M. (2020a). APSIM-tropical pasture: a model for simulating
perennial tropical grass growth and its parameterisation for palisade grass
(Brachiaria
brizantha). Agric. Syst. 184:102917. doi:
10.1016/j. agsy.2020.102917 Kunrathm, T. R., Lemaire, G., Sadras, V. O., and Gastal, F. (2018). Water use
efficiency in perennial forage species: interactions betweennitrogen nutrition
and water déficit. Field Crop Res. 222:31. DISCUSSION Massai grass dominated for these
variables because it presented higher TPD and biomass
production compared to Guinea grass (Veras et al., 2020). In contrast, Guinea grass presented greater values in height
increment, as this cultivar is larger than Massai grass. It is
possible to see here the negative relationship between canopy
height and TPD for tropical grasses observed in recent
studies (Macedo et al., 2021; Xiliang et al., 2021), in which
canopies with greater height tend to have lower TPD. Unlike
DF1, DF2 did not differ in the Guinea grass trials in
Igarapé-Açu at different times (Table 3). The highest values
for the MG.FOR.09 study showed the strong production
capacity of the Massai grass cultivated under conditions of
high temperature and radiation in low-latitude regions
(Table 1). Associated with this, the high availability of water
explained the stronger positive correlation of WI with DF2
than the other variables (Figure 6).h The variability of observations from these assays, both by
principal component and canonical correlation analysis, is
related to the response characteristics of grasses to environmental
conditions. Unlike many other species, such as those of the
genus Urochloa (syn. Brachiaria), grasses of the genus Megathyrsus
are more responsive to edaphoclimatic conditions and highly
productive when these conditions are favorable, so they are
used in intensive production systems under grazing (Pontes
et al., 2016). Discriminant function 1, which had the greatest
power to separate the studies, discriminated the trials mainly
by location (Figure 6). In other words, the difference between
the climatic regions (humid tropical and semi-arid) promotes
a greater power of distinction than the studied cultivars (Guinea
and Massai grass). Through a multivariate approach with experimental test data,
we show that in production systems based on the cultivation
of grasses of the genus Megathyrsus in regions located near
the equator, despite the similarities in energy supply in terms
of radiation and temperature, water availability, and nutrient
supply are the determining factors for biomass accumulation. Therefore, these factors should be prioritized in future studies
modeling forage biomass accumulation. However, in tropical
pastoral ecosystems, forage plant management also had a
determining effect on the accumulation of total biomass and
its components, which should be considered in studies of February 2022 | Volume 13 | Article 809377 Frontiers in Plant Science | www.frontiersin.org 12 Multivariate Analysis in Megathyrsus Grasses Macedo et al. relationships
between
productive
variables
and
pasture characterization. DISCUSSION conceptualization, resources, writing—review and editing,
supervision, and project administration. All authors contributed
to the article and approved the submitted version. relationships
between
pasture characterization. FUNDING The data analyzed in this study is subject to the following
licenses/restrictions: Dataset will be used in future modeling
research by the team. Requests to access these datasets should
be directed to anibal.cr@ufra.edu.br This study was financed in part by the Coordenação de
Aperfeiçoamento de Pessoal de Nível Superior—Brazil (CAPES;
Finance Code 001). This study was financed in part by the Coordenação de
Aperfeiçoamento de Pessoal de Nível Superior—Brazil (CAPES;
Finance Code 001). ACKNOWLEDGMENTS VM:
conceptualization,
methodology,
formal
analysis,
investigation, data curation, and writing—original draft. NL,
AC, ML, RS, and JC: investigation, resources, data curation,
and writing—review and editing. CF, MC, and AR: We would like to thank the Study Group on Ruminants and
Forage Production of the Amazon (GERFAM—www.gerfam. com.br) and Teaching and Research Unit in Forage (NEEF—www. neef.ufc.br) for their support in conducting the experiments. We would like to thank the Study Group on Ruminants and
Forage Production of the Amazon (GERFAM—www.gerfam. com.br) and Teaching and Research Unit in Forage (NEEF—www. neef.ufc.br) for their support in conducting the experiments. VM:
conceptualization,
methodology,
formal
analysis,
investigation, data curation, and writing—original draft. NL,
AC, ML, RS, and JC: investigation, resources, data curation, REFERENCES Independent
and combined effects of high temperature and drought stress during grain
filling on plant yield and chloroplast EF-Tu expression in spring wheat. J. Agron. Crop Sci. 197, 430–441. doi: 10.1111/j.1439-037X.2011.00477.x Turc, L. (1961). Water requirements assessment of irrigation, potential
evapotranspiration: simplified and updated climatic formula. Ann. Agron. 12, 13–49. Qiu, Q., Shi, K., Qiao, X. J., and Jiang, K. (2016). Determining the dominant
environmental parameters for greenhouse tomato seedling growth modeling using
canonical correlation analysis. IFAC 49, 387–391. doi: 10.1016/j.ifacol.2016.10.071 Veras, E. L. L., Difante, G. S., Gurgel, A. L. C., Costa, A. B. G., Rodrigues, J. G.,
Costa, C. M., et al. (2020). Tillering and structural characteristics of Panicum
cultivars in the Brazilian semiarid region. Susteinability. 12:3849. doi: 10.3390/
su12093849 R Core Team (2019). R: A Language and Environment for Statistical Computing. R Foundation for Statistical Computing. Available at: https://www.R-project. org (Acessed July 15, 2021). Xiliang, L., Png, G. K., Li, Y., Jimoh, S. O., Ding, Y., Li, F., et al. (2021). Leaf
plasticity contributes to plant anti-herbivore defenses and indicates selective
foraging: implications for sustainable grazing. Ecol. Indic. 122:107273. doi:
10.1016/j.ecolind.2020.107273 Rind, D., Goldberg, R., Hansen, J., Rosenzweig, C., and Ruedt, R. (1990). Potential evapotrnspration and the likelihook of future drough. J. Geophys. Res. 95, 9983–10004. doi: 10.1029/JD095iD07p09983 Yang, Y., Massa, G. D., and Mitchell, C. A. (2014). Temperature DIP at the
beginning of the photoperiod reduces plant height but not seed yield of
maize grown in controlled environments. Ind. Crop. Prod. 53, 120–127. doi:
10.1016/j.indcrop.2013.12.002 Santos, P. M., Cruz, P. G., Araújo, L. C., Pezzopane, J. R. M., Valle, C. B.,
and Pezzopane, C. G. (2013). Response mechanisms of Brachiaria cultivars
to water déficit stress. R. Bras. Zootec. 42, 767–773. doi: 10.1590/
S1516-35982013001100001 Yeater, K. M., Duke, S. E., and Riedell, W. E. (2014). Multivariate analysis:
greater insights into complex systems. Agron. J. 107, 799–810. doi: 10.2134/
agronj14.0017 Sbrissia, A. F., Silva, S. C., Sarmento, D. O. L., Molan, L. K., Andrade, F. M. E., Gonçalves, A. C., et al. (2010). Tillering dynamics in palisadegrass swards
continuously stocked by cattle. Plant Ecol. 206, 349–359. doi: 10.1007/
s11258-009-9647-7 Zhou, H., Shao, J., Liu, H., Du, Z., Zhou, L., Liu, R., et al. (2021). Relative
importance of climatic variables, soil properties and plant traits to
spatial variability in net CO2 exchange across global forests and
grasslands. Agric. For. Meteorol. 307:108506. doi:
10.1016/j. agrformet.2021.108506 Silva, S. C., Bueno, A. REFERENCES doi: 10.1007/
BF00114177 Oliveira, J. K. S., Corrêa, D. C. C., Cunha, A. M. Q., Rêgo, A. C., Faturi, C.,
Silva, W. L., et al. (2020). Effect of nitrogen fertilization on production,
chemical composition and morphogenesis of Guinea grass in the humid
tropics. Agronomy 10:1840. doi: 10.3390/agronomy10111840 FAO (1998). Crop evapotranspiration-Guidelines for computing crop water
requirements-FAO Irrigation and Drainage Paper 56, Rome, Italy. February 2022 | Volume 13 | Article 809377 Frontiers in Plant Science | www.frontiersin.org 13 Multivariate Analysis in Megathyrsus Grasses Macedo et al. Onillon, B., Durand, J. L., Gastal, F., and Tournebize, R. (1995). Drought effects
on growth and carbon partitioning in a tall fescue sward grown at different
rates of nitrogen fertilization. Eur. J, Agrom. 4, 91–99. doi: 10.1016/
S1161-0301(14)80020-8 Silva, P. E., Silva, C. M. S., Spyrides, M. H. C., and Andrade, L. M. B. (2019a). Precipitation and air temperature extremes in the Amazon and northeast
Brazil. Int. J. Climatol. 39, 579–595. doi: 10.1002/joc.5829 Simeão, R. M., Resende, M. D., Alves, R. S., Pessoa-Filho, M., Azevedo,
A. L. S., Jones, C. S., et al. (2021). Genomic selecion in tropical forage
grasses: current status and future applications. Flont. Plant Sci. 12:665195. doi: 10.3389/fpls.2021.665195 Peel, M. C., Finlayson, B. L., and Mcmahon, T. A. (2007). Updated world
map of the Köppen-Geiger climate classification. Hydrol. Earth Syst. Sci. 11, 1633–1644. doi: 10.5194/hess-11-1633-2007 Pierre, K. J., Yuan, S., Chang, C. C., Avolio, M. L., Hallett, L. M., Schreck, T.,
et al. (2011). Explaining temporal variation in above-ground productivity
in a Mesic grassland: the role of climate and flowering. J. Ecol. 99, 1250–1262. doi: 10.2307/23027534 Tapia, J. I. C., Mazabel, J., and Quila, N. J. V. (2021). Classification of Megathyrsus
maximus acessions grown in the Colombian dry tropical forest by nutritional
assessment during contrasting seasons. Front. Sustain. Food Syst. 5:684747. doi: 10.3389/fsufs.2021.684747 Tardieu, F. (2013). Plant response to environmental conditions: assessing potential
production, water demand, and negative effects of water deficit. Front. Physiol. 4:17. doi: 10.3389/fphys.2013.00017 Pontes, L. S., Baldissera, T. C., Giostri, A. F., Stafin, G., Santos, B. R. C., and
Carvalho, P. C. F. (2016). Effects of nitrogen fertilization and cutting intensityon
the agronomic performance of warm-seasongrasses. Grass Forage. Sci. 72,
663–675. doi: 10.1111/gfs.12267 Thornthwaite, C. W., and Mather, J. R. (1955). The Water Balance. New Jersey:
Publications in Climatology. Prasad, P. V. V., Pisipati, S. R., Momcilovic, I., and Ristic, Z. (2011). REFERENCES A. O., Carnevalli, R. A., Silva, G. P., and Chiavegato, M. B. (2019b). Nutritive value and morphological characteristics of Mombaça grass
managed with different rotational grazing strategies. J. Agric. Sci. 157, 592–598. doi: 10.1017/S0021859620000052 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. Silva, R. G., Cândido, M. J. D., Neiva, J. N. M., Lôbo, R. N., and Silva, D. S. (2007). Características estruturais do dossel de pastagens de capim-tanzânia
mantidas sob três períodos de descanso com ovinos. R. Bras. Zootec. 36,
1255–1265. doi: 10.1590/S1516-35982007000600006 Silva, W. L., Costa, J. P. R., Caputti, G. P., Lage Filho, N. M., Ruggieri, A. C.,
and Reis, R. A. (2019c). Effects of grazing intensity and supplemantation
strategies on Tifton 85 procuction and on sheep performace. Small Rumin. Res. 174, 118–124. doi: 10.1016/j.smallrumres.2019.03.015 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. Silva, S. C., Gimenes, F. M. A., Sarmento, D. O. L., Sbrissia, A. F., Oliveira, D. E.,
Garat, A. H., et al. (2013). Grazing behaviour, herbage intake and animal
performance of beef cattle heifers on marandu palisade grass subjected to
intensities of continuous stocking management. J. Agric. Sci. 151, 727–739. doi: 10.1017/S0021859612000858 Copyright © 2022 Macedo, Filho, Cunha, Lopes, da Silva, Junior, Faturi, Cândido
and do Rêgo. 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. Silva Júnior, R. O., Souza, E. B., Tavares, A. L., Mota, J. A., Ferreira, D. B. S., Souza Filho, P. W. M., et al. (2017). Three decades of reference
evapotranspiration estimates for a tropical watershed in the eastern Amazon. An. Acad. Bras. Cienc. 89, 1985–2002. Frontiers in Plant Science | www.frontiersin.org REFERENCES doi: 10.1590/0001-3765201720170147 February 2022 | Volume 13 | Article 809377 Frontiers in Plant Science | www.frontiersin.org 14
|
https://openalex.org/W2971251523
|
https://www.preprints.org/manuscript/201907.0046/v1/download
|
English
| null |
Tumor Transcriptome Reveals High Expression of IL-8 in Non-Small Cell Lung Cancer Patients with Low Pectoralis Muscle Area and Reduced Survival
|
Cancers
| 2,019
|
cc-by
| 18,243
|
doi:10.20944/preprints201907.0046.v1 Here, we analyzed computed tomography
23
images and tumor transcriptome data to identify potentially secreted cachexia biomarkers (PS
24
in NSCLC patients with low-muscularity. We integrated radiomics features (pectoralis mu
25
sternum, and T10 vertebra) from CT of 89 NSCLC patients, which allowed us to identify an in
26
for screening muscularity. Next, a tumor transcriptomic-based secretome analysis from t
27
patients (discovery set) was evaluated to identify potential cachexia biomarkers in patients w
28
low-muscularity. The prognostic value of these biomarkers for predicting recurrence and surv
29
outcome was confirmed using expression data from eight lung cancer datasets (validation
30
Finally, C2C12 myoblasts differentiated into myotubes were used to evaluate the ability of
31
selected biomarker, IL-8, in inducing muscle cell atrophy. We identified 75 over-expre
32
transcripts in patients with low-muscularity, which included IL6, CSF3, and IL8. Also, we ident
33
NCAM1, CNTN1, SCG2, CADM1, IL8, NPTX1, and APOD as PSCB in the tumor secretome. T
34
PSCB were capable of distinguishing worse and better prognosis (recurrence and surviva
35
NSCLC patients. IL8 was confirmed as a predictor of worse prognosis in all validation sets. In
36
assays revealed that IL-8 promoted C2C12 myotube atrophy. Tumors from low-muscul
37
patients presented a set of upregulated genes encoding for secreted proteins, including
38
inflammatory cytokines that predict worse overall survival in NSCLC. Among these up-regul
39
genes, IL8 expression in NSCLC tissues was associated with worse prognosis and the recombi
40
IL-8 was capable of triggering atrophy in C2C12 myotubes. 41
Keywords: Secretome; Computed tomography; Interleukin-8; Tumor-derived factor; C2C12 c
42
Cachexia
43
44 Keywords: Secretome; Computed tomography; Interleukin-8; Tumor-derived factor; C2C12 cells;
Cachexia Keywords: Secretome; Computed tomography; Interleukin-8; Tumor-derived factor; C2C12 cells;
Cachexia doi:10.20944/preprints201907.0046.v1 In vit
36
assays revealed that IL-8 promoted C2C12 myotube atrophy. Tumors from low-muscularit
37
patients presented a set of upregulated genes encoding for secreted proteins, including pro
38
inflammatory cytokines that predict worse overall survival in NSCLC. Among these up-regulate
39
genes, IL8 expression in NSCLC tissues was associated with worse prognosis and the recombinan
40
IL-8 was capable of triggering atrophy in C2C12 myotubes. 41
Keywords: Secretome; Computed tomography; Interleukin-8; Tumor-derived factor; C2C12 cell
42
Cachexia
43
44 Article
1
Tumor transcriptome in patients with lower pectoral
2
muscle area reveals IL-8 as a prognostic biomarker
3
non-small cell lung cancer
4
Sarah Santiloni Cury1, Diogo de Moraes1, Paula Paccielli Freire 1, Grasieli de Oliveira1, Dougla
5
Venâncio Pereira Marques1, Geysson Javier Fernandez1, Maeli Dal-Pai-Silva1, Érica Nishida
6
Hasimoto2, Patricia Pintor dos Reis2,3, Silvia Regina Rogatto4, Robson Francisco Carvalho*1. 7
1 São Paulo State University (UNESP), Institute of Biosciences, Department of Morphology, Botucatu São
8
Paulo, Brazil. santiloni.cury@unesp.br, demoraesdiogo2017@gmail.com, paula.freire@unesp.br,
9
oliveira.grase@gmail.com, oliveira.grase@gmail.com, jasonfergar@hotmail.com, maeli.dal-pai@unesp.br
10
robson.carvalho@unesp.br
11
2 São Paulo State University (UNESP), Department of Surgery and Orthopedics, Faculty of Medicine,
12
Botucatu, São Paulo, Brazil. ericanh80@gmail.com
13
3 São Paulo State University (UNESP), Experimental Research Unity, Faculty of Medicine, Botucatu, São
14
Paulo, Brazil. patpreis@gmail.com
15
4 Department of Clinical Genetics, Vejle Hospital, Institute of Regional Health Research, University
16
of Southern Denmark, Denmark. Silvia.Regina.Rogatto@rsyd.dk
17
* Correspondence: robson.carvalho@unesp.br; Tel.: +55 14 3880 0473; Address: Prof. Dr. Antonio Celso
18
Wagner Zanin, 250, Botucatu, SP, Brazil
19
20
Abstract: Cachexia is a syndrome characterized by an ongoing loss of skeletal muscle m
21
associated with poor patient prognosis in non-small cell lung cancer (NSCLC). However, progno
22
cachexia biomarkers in NSCLC are unknown. Here, we analyzed computed tomography (
23
images and tumor transcriptome data to identify potentially secreted cachexia biomarkers (PS
24
in NSCLC patients with low-muscularity. We integrated radiomics features (pectoralis mus
25
sternum, and T10 vertebra) from CT of 89 NSCLC patients, which allowed us to identify an in
26
for screening muscularity. Next, a tumor transcriptomic-based secretome analysis from th
27
patients (discovery set) was evaluated to identify potential cachexia biomarkers in patients w
28
low-muscularity. doi:10.20944/preprints201907.0046.v1 The prognostic value of these biomarkers for predicting recurrence and surv
29
outcome was confirmed using expression data from eight lung cancer datasets (validation s
30
Finally, C2C12 myoblasts differentiated into myotubes were used to evaluate the ability of
31
selected biomarker, IL-8, in inducing muscle cell atrophy. We identified 75 over-expres
32
transcripts in patients with low-muscularity, which included IL6, CSF3, and IL8. Also, we identi
33
NCAM1, CNTN1, SCG2, CADM1, IL8, NPTX1, and APOD as PSCB in the tumor secretome. Th
34
PSCB were capable of distinguishing worse and better prognosis (recurrence and survival
35
NSCLC patients. IL8 was confirmed as a predictor of worse prognosis in all validation sets. In v
36
assays revealed that IL-8 promoted C2C12 myotube atrophy. Tumors from low-muscula
37
patients presented a set of upregulated genes encoding for secreted proteins, including p
38
inflammatory cytokines that predict worse overall survival in NSCLC. Among these up-regula
39
genes, IL8 expression in NSCLC tissues was associated with worse prognosis and the recombin
40
IL-8 was capable of triggering atrophy in C2C12 myotubes. 41
Keywords: Secretome; Computed tomography; Interleukin-8; Tumor-derived factor; C2C12 c
42
Cachexia
43
44 Article
1
Tumor transcriptome in patients with lower pectora
2
muscle area reveals IL-8 as a prognostic biomarker
3
non-small cell lung cancer
4
Sarah Santiloni Cury1, Diogo de Moraes1, Paula Paccielli Freire 1, Grasieli de Oliveira1, Dougl
5
Venâncio Pereira Marques1, Geysson Javier Fernandez1, Maeli Dal-Pai-Silva1, Érica Nishida
6
Hasimoto2, Patricia Pintor dos Reis2,3, Silvia Regina Rogatto4, Robson Francisco Carvalho*1. 7
1 São Paulo State University (UNESP), Institute of Biosciences, Department of Morphology, Botucatu São
8
Paulo, Brazil. santiloni.cury@unesp.br, demoraesdiogo2017@gmail.com, paula.freire@unesp.br,
9
oliveira.grase@gmail.com, oliveira.grase@gmail.com, jasonfergar@hotmail.com, maeli.dal-pai@unesp.b
10
robson.carvalho@unesp.br
11
2 São Paulo State University (UNESP), Department of Surgery and Orthopedics, Faculty of Medicine,
12
Botucatu, São Paulo, Brazil. ericanh80@gmail.com
13
3 São Paulo State University (UNESP), Experimental Research Unity, Faculty of Medicine, Botucatu, São
14
Paulo, Brazil. patpreis@gmail.com
15
4 Department of Clinical Genetics, Vejle Hospital, Institute of Regional Health Research, University
16
of Southern Denmark, Denmark. Silvia.Regina.Rogatto@rsyd.dk
17
* Correspondence: robson.carvalho@unesp.br; Tel.: +55 14 3880 0473; Address: Prof. Dr. Antonio Celso
18
Wagner Zanin, 250, Botucatu, SP, Brazil
19
20
Abstract: Cachexia is a syndrome characterized by an ongoing loss of skeletal muscle m
21
associated with poor patient prognosis in non-small cell lung cancer (NSCLC). However, progn
22
cachexia biomarkers in NSCLC are unknown. doi:10.20944/preprints201907.0046.v1 doi:10.20944/preprints201907.0046.v1 Article
1
Tumor transcriptome in patients with lower pectorali
2
muscle area reveals IL-8 as a prognostic biomarker in
3
non-small cell lung cancer
4
Sarah Santiloni Cury1, Diogo de Moraes1, Paula Paccielli Freire 1, Grasieli de Oliveira1, Douglas
5
Venâncio Pereira Marques1, Geysson Javier Fernandez1, Maeli Dal-Pai-Silva1, Érica Nishida
6
Hasimoto2, Patricia Pintor dos Reis2,3, Silvia Regina Rogatto4, Robson Francisco Carvalho*1. 7
1 São Paulo State University (UNESP), Institute of Biosciences, Department of Morphology, Botucatu São
8
Paulo, Brazil. santiloni.cury@unesp.br, demoraesdiogo2017@gmail.com, paula.freire@unesp.br,
9
oliveira.grase@gmail.com, oliveira.grase@gmail.com, jasonfergar@hotmail.com, maeli.dal-pai@unesp.br,
10
robson.carvalho@unesp.br
11
2 São Paulo State University (UNESP), Department of Surgery and Orthopedics, Faculty of Medicine,
12
Botucatu, São Paulo, Brazil. ericanh80@gmail.com
13
3 São Paulo State University (UNESP), Experimental Research Unity, Faculty of Medicine, Botucatu, São
14
Paulo, Brazil. patpreis@gmail.com
15
4 Department of Clinical Genetics, Vejle Hospital, Institute of Regional Health Research, University
16
of Southern Denmark, Denmark. Silvia.Regina.Rogatto@rsyd.dk
17
* Correspondence: robson.carvalho@unesp.br; Tel.: +55 14 3880 0473; Address: Prof. Dr. Antonio Celso
18
Wagner Zanin, 250, Botucatu, SP, Brazil
19
20
Abstract: Cachexia is a syndrome characterized by an ongoing loss of skeletal muscle mas
21
associated with poor patient prognosis in non-small cell lung cancer (NSCLC). However, prognost
22
cachexia biomarkers in NSCLC are unknown. Here, we analyzed computed tomography (CT
23
images and tumor transcriptome data to identify potentially secreted cachexia biomarkers (PSCB
24
in NSCLC patients with low-muscularity. We integrated radiomics features (pectoralis muscl
25
sternum, and T10 vertebra) from CT of 89 NSCLC patients, which allowed us to identify an inde
26
for screening muscularity. Next, a tumor transcriptomic-based secretome analysis from thes
27
patients (discovery set) was evaluated to identify potential cachexia biomarkers in patients wit
28
low-muscularity. The prognostic value of these biomarkers for predicting recurrence and surviv
29
outcome was confirmed using expression data from eight lung cancer datasets (validation set
30
Finally, C2C12 myoblasts differentiated into myotubes were used to evaluate the ability of th
31
selected biomarker, IL-8, in inducing muscle cell atrophy. We identified 75 over-expresse
32
transcripts in patients with low-muscularity, which included IL6, CSF3, and IL8. Also, we identifie
33
NCAM1, CNTN1, SCG2, CADM1, IL8, NPTX1, and APOD as PSCB in the tumor secretome. Thes
34
PSCB were capable of distinguishing worse and better prognosis (recurrence and survival) i
35
NSCLC patients. IL8 was confirmed as a predictor of worse prognosis in all validation sets. 1. Introduction 1. Introduction Lung cancer is the most prevalent cancer type worldwide and responsible for an estimated 1.8
47
million deaths, each year [1]. Most patients (~ 85%) develop non-small cell lung cancer (NSCLC) [2],
48
which is frequently diagnosed in an advanced stage, and consequently has an unfavorable prognosis
49
[3]. Cancer cachexia is a syndrome that affects a considerable proportion of NSCLC patients [4]. It is
50
characterized by an ongoing loss of skeletal muscle mass (with or without loss of fat mass) that cannot
51
be fully reversed by conventional nutritional support and is associated with significant functional
52
impairments [5]. 53 The loss of skeletal muscle mass in cancer cachexia may lead to substantial weight loss and
54
decreased body mass index (BMI), which are associated with worse outcome in NSCLC patients [6–
55
8]. Studies using computed tomography (CT) images have revealed occult muscle depletion in
56
NSCLC patients, regardless of overall body weight [4,9]. In addition, both the detection of muscle
57
depletion or low muscle mass by CT images have been associated with shorter time to tumor
58
progression, increased risk of chemotherapy toxicity, and shorter survival in NSCLC patients [4,9–
59
14]. Skeletal muscle depletion detected by CT images in these patients also negatively affects their
60
functional status and quality of life [15,16]. To our knowledge, tumor-secreted factors with the
61
prognostic value associated with low muscle mass as detected by CT in NSCLC are unknown. 62 Several studies have highlighted that macromolecules secreted from cancer cells and cells within
63
the tumor microenvironment (secretome), including many pro-inflammatory cytokines, act
64
systemically leading to muscle wasting in cancer cachexia [17–19]. However, the secretome
65
complexity and differences found in distinct lung cancer and cells lines [20–22] illustrates the need to
66
apply global approaches, in order to identify tumor-specific secreted molecules associated with
67
skeletal muscle depletion. Moreover, previous “omics” studies of cancer secretome in cachexia have
68
focused on the analysis of cachectic conditioned media of single cancer cells lines to identify
69
mediators of the syndrome [23–25]. However, in vitro systems ignore the contributions of the host–
70
tumor microenvironment and the tumor heterogeneity as well as provide no insight into the disease
71
progression [22]. These findings emphasize the importance of cancer cachexia studies in exploring
72
the tumor secretome. Article
1
Tumor transcriptome in patients with lower pectoralis
2
muscle area reveals IL-8 as a prognostic biomarker in
3
non-small cell lung cancer
4 75
Herein, we analyzed a cohort of NSCLC patients with CT images, clinical findings, and tumor
76
expression microarrays data from a previous study that decoded tumor radiomics features associated
77
with gene expression levels [26]. For these patients, we compared the pectoralis muscle area (PMA)
78
with muscle normalizations based on different radiomics features to select an approach for screening
79
muscularity. Next, we identified genes predicted to be secreted in patients with low muscularity and
80
assessed their prognostic value as tumor markers of recurrence‐free survival and overall survival. 81
Finally, we demonstrated the potential of IL-8 as a putative secreted marker capable of inducing
82
atrophy in C2C12 myotubes. 83
84
2. Results
85 Article
1
Tumor transcriptome in patients with lower pectoralis
2
muscle area reveals IL-8 as a prognostic biomarker in
3
non-small cell lung cancer
4 2 São Paulo State University (UNESP), Department of Surgery and Orthopedics, Faculty of Medicine,
Botucatu, São Paulo, Brazil. ericanh80@gmail.com 3 São Paulo State University (UNESP), Experimental Research Unity, Faculty of Medicine, Botucatu, São
Paulo, Brazil. patpreis@gmail.com 4 Department of Clinical Genetics, Vejle Hospital, Institute of Regional Health Research, University
of Southern Denmark, Denmark. Silvia.Regina.Rogatto@rsyd.dk * Correspondence: robson.carvalho@unesp.br; Tel.: +55 14 3880 0473; Address: Prof. Dr. Antonio Celso
Wagner Zanin, 250, Botucatu, SP, Brazil Abstract: Cachexia is a syndrome characterized by an ongoing loss of skeletal muscle mass
21
associated with poor patient prognosis in non-small cell lung cancer (NSCLC). However, prognostic
22
cachexia biomarkers in NSCLC are unknown. Here, we analyzed computed tomography (CT)
23
images and tumor transcriptome data to identify potentially secreted cachexia biomarkers (PSCB)
24
in NSCLC patients with low-muscularity. We integrated radiomics features (pectoralis muscle,
25
sternum, and T10 vertebra) from CT of 89 NSCLC patients, which allowed us to identify an index
26
for screening muscularity. Next, a tumor transcriptomic-based secretome analysis from these
27
patients (discovery set) was evaluated to identify potential cachexia biomarkers in patients with
28
low-muscularity. The prognostic value of these biomarkers for predicting recurrence and survival
29
outcome was confirmed using expression data from eight lung cancer datasets (validation set). 30
Finally, C2C12 myoblasts differentiated into myotubes were used to evaluate the ability of the
31
selected biomarker, IL-8, in inducing muscle cell atrophy. We identified 75 over-expressed
32
transcripts in patients with low-muscularity, which included IL6, CSF3, and IL8. Also, we identified
33
NCAM1, CNTN1, SCG2, CADM1, IL8, NPTX1, and APOD as PSCB in the tumor secretome. These
34
PSCB were capable of distinguishing worse and better prognosis (recurrence and survival) in
35
NSCLC patients. IL8 was confirmed as a predictor of worse prognosis in all validation sets. In vitro
36
assays revealed that IL-8 promoted C2C12 myotube atrophy. Tumors from low-muscularity
37
patients presented a set of upregulated genes encoding for secreted proteins, including pro-
38
inflammatory cytokines that predict worse overall survival in NSCLC. Among these up-regulated
39
genes, IL8 expression in NSCLC tissues was associated with worse prognosis and the recombinant
40
IL-8 was capable of triggering atrophy in C2C12 myotubes. 41 45 doi:10.20944/preprints201907.0046.v1 2 of 21 1. Introduction
46
Lung cancer is the most prevalent cancer type worldwide and responsible for an estimated 1.8
47
million deaths, each year [1]. Article
1
Tumor transcriptome in patients with lower pectoralis
2
muscle area reveals IL-8 as a prognostic biomarker in
3
non-small cell lung cancer
4 Most patients (~ 85%) develop non-small cell lung cancer (NSCLC) [2],
48
which is frequently diagnosed in an advanced stage, and consequently has an unfavorable prognosis
49
[3]. Cancer cachexia is a syndrome that affects a considerable proportion of NSCLC patients [4]. It is
50
characterized by an ongoing loss of skeletal muscle mass (with or without loss of fat mass) that cannot
51
be fully reversed by conventional nutritional support and is associated with significant functional
52
impairments [5]. 53
The loss of skeletal muscle mass in cancer cachexia may lead to substantial weight loss and
54
decreased body mass index (BMI), which are associated with worse outcome in NSCLC patients [6–
55
8]. Studies using computed tomography (CT) images have revealed occult muscle depletion in
56
NSCLC patients, regardless of overall body weight [4,9]. In addition, both the detection of muscle
57
depletion or low muscle mass by CT images have been associated with shorter time to tumor
58
progression, increased risk of chemotherapy toxicity, and shorter survival in NSCLC patients [4,9–
59
14]. Skeletal muscle depletion detected by CT images in these patients also negatively affects their
60
functional status and quality of life [15,16]. To our knowledge, tumor-secreted factors with the
61
prognostic value associated with low muscle mass as detected by CT in NSCLC are unknown. 62
Several studies have highlighted that macromolecules secreted from cancer cells and cells within
63
the tumor microenvironment (secretome), including many pro-inflammatory cytokines, act
64
systemically leading to muscle wasting in cancer cachexia [17–19]. However, the secretome
65
complexity and differences found in distinct lung cancer and cells lines [20–22] illustrates the need to
66
apply global approaches, in order to identify tumor-specific secreted molecules associated with
67
skeletal muscle depletion. Moreover, previous “omics” studies of cancer secretome in cachexia have
68
focused on the analysis of cachectic conditioned media of single cancer cells lines to identify
69
mediators of the syndrome [23–25]. However, in vitro systems ignore the contributions of the host–
70
tumor microenvironment and the tumor heterogeneity as well as provide no insight into the disease
71
progression [22]. These findings emphasize the importance of cancer cachexia studies in exploring
72
the tumor secretome. Thus, we hypothesized that a tumor transcriptome-based secretome analysis in
73
NSCLC patients with low muscularity is a strategy capable of identifying prognostic biomarkers and
74
mediators of cancer-associated muscle loss. 1. Introduction Thus, we hypothesized that a tumor transcriptome-based secretome analysis in
73
NSCLC patients with low muscularity is a strategy capable of identifying prognostic biomarkers and
74
mediators of cancer-associated muscle loss. 75 3 of 21 2. Results
85 The workflow of the integrative analyses of CT images and tumor transcriptome used to identify
86
potentially secreted cachexia mediators and biomarkers in NSCLC patients with low-muscularity is
87
depicted in Figure 1. 88 doi:10.20944/preprints201907.0046.v1 igure 1. The workflow of the integrative analyses of CT images and tumor transcriptome data to
dentify secreted cachexia biomarkers in NSCLC patients with low muscularity. (1) We selected Adenocarcinoma was prevalent in women, while squamous cell carcinoma was
114
more frequent in men. The muscle measurements revealed differences between sexes, with men and
115
women presenting PMA of 42.5 ± 9.3 and 27 ± 6.0 cm2, respectively. Based on this finding, the sex-
116
specific categorical variable was taken into consideration for further analyses. Table 1 summarizes
117
the clinical, histopathological, and muscle measurements in this cohort of NSCLC patients. 118
Table 1 Clinical findings and skeletal muscle parameters of patients with NSCLC with low and high
119
muscularity defined by pectoralis muscle cross-sectional area assessed by computed tomography. 120
Characteristics
All
Men
Women
p-value*
Number of patients
89
60
29
Age
65.2 ± 8.7
66.9 ± 7.3
61.8 ± 10.3
0.011 a
Cancer Stage (%)
Early Stages (I-II)
79.7
74.6
90
0.08 b
Advanced Stages (III-IV)
20.2
25.4
10
Histological Type (%)
Adenocarcinoma
47.2
37.3
66.6
0.02 b
Squamous Cell Carcinoma
40.4
49.2
23.3
Other Subtypes
12.4
13.5
10.1
PMA (cm²)
37.3 ± 11.1
42.5 ± 9.3
27 ± 6.0
<0.001 a
HM (N)
59
40
19
LM (N)
30
20
10
LM PMA (cm²)
28.6 ± 6.5 #c
32.3 ± 4.3 #c
21 ± 1.4 #c
<0.001 a
HM PMA (cm²)
41.7 ± 10.2
47.5 ± 6.3
30 ± 5.2
<0.001 a
N: number of patients; PMA: Pectoralis Muscle Area; LM: low muscularity patients; HM: high-muscularity
121
patients. The data represent the mean ± standard deviation. a: Student’s t-test; b: Chi-squared test; c: Mann-
122 93 “NSCLC-Radiomics-Genomics” collection [27]. A total of 12 CTs features, including pectoralis muscle
93
area (PMA), manubrium and sternum body lengths, six T10 different measures, and an
94
anteroposterior length was used to determine an approach for screening muscularity. (2) This analysis
95
revealed that PMA allows the identification of NSCLC patients with low (third tercile, 3rd T) and high
96
muscularity (first and second terciles, 1st T + 2nd T). These groups were compared by using a tumor
97
transcriptomic-based secretome analysis (discovery set; microarray data; GSE58661) to identify
98
potential cachexia biomarkers (over-expressed genes) in patients with low muscularity. Transcripts
99
with increased expression were further analyzed to identify enriched terms by Gene Ontology
100
Consortium and to predict potentially secreted proteins using secretome and microvesicle databases. 89
Figure 1. The workflow of the integrative analyses of CT images and tumor transcriptome data to
90
identify secreted cachexia biomarkers in NSCLC patients with low muscularity. (1) We selected
91
computed tomographies (CT) from 89 patients with non-small cell lung cancer (NSCLC) from
92 Figure 1. The workflow of the integrative analyses of CT images and tumor transcriptome data to
90
identify secreted cachexia biomarkers in NSCLC patients with low muscularity. (1) We selected
91
computed tomographies (CT) from 89 patients with non-small cell lung cancer (NSCLC) from
92 doi:10.20944/preprints201907.0046.v1 4 of 21 “NSCLC-Radiomics-Genomics” collection [27]. A total of 12 CTs features, including pectoralis muscle
93
area (PMA), manubrium and sternum body lengths, six T10 different measures, and an
94
anteroposterior length was used to determine an approach for screening muscularity. (2) This analysis
95
revealed that PMA allows the identification of NSCLC patients with low (third tercile, 3rd T) and high
96
muscularity (first and second terciles, 1st T + 2nd T). These groups were compared by using a tumor
97
transcriptomic-based secretome analysis (discovery set; microarray data; GSE58661) to identify
98
potential cachexia biomarkers (over-expressed genes) in patients with low muscularity. Transcripts
99
with increased expression were further analyzed to identify enriched terms by Gene Ontology
100
Consortium and to predict potentially secreted proteins using secretome and microvesicle databases. 101
(3) The performance of these transcripts as tumor biomarkers able to determine patients’ survival
102
outcome was validated in multiple independent lung cancer validation sets. (4) C2C12 myoblast
103
differentiated into myotubes were used to evaluate the ability of the selected biomarker (IL-8) in
104
inducing atrophy. C2C12 mouse myoblasts were cultured in a growth medium (GM) for two days. 105
Myoblasts with 80% to 90% of confluence were induced to differentiate in a differentiation medium
106
(DM) for five days when the cells were treated with recombinant IL-8 (100 ng/mL for 24h). n: number
107
of patients; Ctrl: Control; Myh2: myosin heavy chain 2; DAPI: 4′,6-Diamidine-2′-phenylindole
108
dihydrochloride nuclear staining. 109
2.1. Study population
110
CT images, clinical, and microarrays data of 89 NSCLC patients, with an average age of 65.2 ±
111
8.7 years, were included in this study. The most common NSCLC histological type was
112
adenocarcinoma (47.2%), and 20.2% of the patients were diagnosed with advanced stage cancers
113
(stages III or IV). 101
(3) The performance of these transcripts as tumor biomarkers able to determine patients’ survival
102
outcome was validated in multiple independent lung cancer validation sets. (4) C2C12 myoblast
103
differentiated into myotubes were used to evaluate the ability of the selected biomarker (IL-8) in
104
inducing atrophy. C2C12 mouse myoblasts were cultured in a growth medium (GM) for two days. 105
Myoblasts with 80% to 90% of confluence were induced to differentiate in a differentiation medium
106
(DM) for five days when the cells were treated with recombinant IL-8 (100 ng/mL for 24h). n: number
107
of patients; Ctrl: Control; Myh2: myosin heavy chain 2; DAPI: 4′,6-Diamidine-2′-phenylindole
108
dihydrochloride nuclear staining. 109 patients. The data represent the mean ± standard deviation. a: Student’s t-test; b: Chi-squared test; c: Mann-
122 2.1. Study population
110 CT images, clinical, and microarrays data of 89 NSCLC patients, with an average age of 65.2 ±
111
8.7 years, were included in this study. The most common NSCLC histological type was
112
adenocarcinoma (47.2%), and 20.2% of the patients were diagnosed with advanced stage cancers
113
(stages III or IV). Adenocarcinoma was prevalent in women, while squamous cell carcinoma was
114
more frequent in men. The muscle measurements revealed differences between sexes, with men and
115
women presenting PMA of 42.5 ± 9.3 and 27 ± 6.0 cm2, respectively. Based on this finding, the sex-
116
specific categorical variable was taken into consideration for further analyses. Table 1 summarizes
117
the clinical, histopathological, and muscle measurements in this cohort of NSCLC patients. 118 Table 1 Clinical findings and skeletal muscle parameters of patients with NSCLC with low and high
muscularity defined by pectoralis muscle cross-sectional area assessed by computed tomography. Characteristics
All
Men
Women
p-value*
Number of patients
89
60
29
Age
65.2 ± 8.7
66.9 ± 7.3
61.8 ± 10.3
0.011 a
Cancer Stage (%)
Early Stages (I-II)
79.7
74.6
90
0.08 b
Advanced Stages (III-IV)
20.2
25.4
10
Histological Type (%)
Adenocarcinoma
47.2
37.3
66.6
0.02 b
Squamous Cell Carcinoma
40.4
49.2
23.3
Other Subtypes
12.4
13.5
10.1
PMA (cm²)
37.3 ± 11.1
42.5 ± 9.3
27 ± 6.0
<0.001 a
HM (N)
59
40
19
LM (N)
30
20
10
LM PMA (cm²)
28.6 ± 6.5 #c
32.3 ± 4.3 #c
21 ± 1.4 #c
<0.001 a
HM PMA (cm²)
41.7 ± 10.2
47.5 ± 6.3
30 ± 5.2
<0.001 a
N: number of patients; PMA: Pectoralis Muscle Area; LM: low muscularity patients; HM: high-muscularity
21
patients The data represent the mean ± standard deviation a: Student’s t test; b: Chi squared test; c: Mann
22 doi:10.20944/preprints201907.0046.v1 5 of 21 Whitney’ U-test; * comparisons between men and women; # statistical difference between patients with low- and
123
high-muscularity (P<0.001). 124 124 2.2. PMA distinguishes NSCLC patients with low and high muscularity
125 Manubrium length (M); sternum Body length (B); T (M+B); total sternum
length (OS); T10 body vertical length (T10-I); distance between T10 body and spinous process (T10-
II); T10 body horizontal length (T10-III); distance between T10 pedicles (T10-IV); distance between
T10 transverse processes (T10-V); T10 body area (T10-VI); anteroposterior distance (APD). (b) Bar
h
i
h
f
i
f
li i
l
i
i bl
b
hi h
d l
w.preprints.org) | NOT PEER-REVIEWED | Posted: 3 July 2019 doi:10.20944/preprints201907.0
Peer-reviewed version available at Cancers 2019, 11, 1251; doi:10.3390/cancers11091251 doi:10.20944/preprints201907.0046.v1 146
Figure 2. Pectoralis muscle area as an approach for screening muscularity. (a) Heatmap showing
147
patients stratification into high, medium, and low muscularity by non-hierarchical k-means clustering
148
analysis of the pectoralis muscle area (PA) and its normalization by eleven computed tomographies
149
(CT) feature that includes: manubrium and sternum body lengths, six T10 different measures, and an
150
anteroposterior length. Manubrium length (M); sternum Body length (B); T (M+B); total sternum
151
length (OS); T10 body vertical length (T10-I); distance between T10 body and spinous process (T10-
152
II); T10 body horizontal length (T10-III); distance between T10 pedicles (T10-IV); distance between
153
T10 transverse processes (T10-V); T10 body area (T10-VI); anteroposterior distance (APD). (b) Bar
154
graphs comparing the percentage of patients for clinical prognostic variables between high and low
155
muscularity groups. These groups were generated based on the ordination of patients according to
156
their PMA in descending order using a sex-specific categorical variable followed by segregation into
157
terciles (high muscularity group: 1st and 2nd terciles; low muscularity group: 3rd tercile). 158 Figure 2. Pectoralis muscle area as an approach for screening muscularity. (a) Heatmap showing
patients stratification into high, medium, and low muscularity by non-hierarchical k-means clustering
analysis of the pectoralis muscle area (PA) and its normalization by eleven computed tomographies
(CT) feature that includes: manubrium and sternum body lengths, six T10 different measures, and an
anteroposterior length. Manubrium length (M); sternum Body length (B); T (M+B); total sternum
length (OS); T10 body vertical length (T10-I); distance between T10 body and spinous process (T10-
II); T10 body horizontal length (T10-III); distance between T10 pedicles (T10-IV); distance between
T10 transverse processes (T10-V); T10 body area (T10-VI); anteroposterior distance (APD). (b) Bar
graphs comparing the percentage of patients for clinical prognostic variables between high and low
muscularity groups. 2.2. PMA distinguishes NSCLC patients with low and high muscularity
125 Considering that CTs from NSCLC patients have information that goes beyond the tumor, we
126
integrated different radiomics features to determine an approach to be used for screening
127
muscularity (Supplementary Figure 1). The non-hierarchical, unsupervised clustering analysis of the
128
PMA and its normalization by 11 CTs features (z-score normalized) revealed a similar pattern of
129
patients’ distribution according to all muscularity indexes. The clustering analysis also revealed three
130
subgroups of patients according to the muscularity indexes as depicted in the dendrogram on
131
Supplementary Figure 2a. Applying k-means analysis (k-means = 3) resulted in a cluster composed
132
of 34 patients with low muscularity (Figure 2a). Next, we used a descending PMA order based on
133
gender as a sex-specific categorical variable. Finally, we segregated into terciles to generate two
134
groups of study based on the patients’ muscularity. The low muscularity group includes patients
135
within the third tercile, while the high muscularity group includes patients within the first and
136
second terciles, regardless of the patient gender (Figure 2a). We highlight that PMA can be used to
137
select potential NSCLC low muscularity patients; moreover, we suggest cut-offs values of PMA < 32.2
138
cm² and < 21 cm2 (for men and women, respectively), as demonstrated by median values in the scatter
139
dot plot on Supplementary figure 2b. The mean PMA differed significantly between the high and low
140
muscularity groups considering all patients or comparing male and female patients (Table 1). We
141
further compared high and low muscularity patients with other clinical variables using patient
142
demographic information (Figure 2b). The comparison between these groups (high and low
143
muscularity) revealed that muscularity seems to be related to tumor type and tumor stage, rather
144
than age and tumor size (Figure 2b). 145 6 of 21
Figure 2. Pectoralis muscle area as an approach for screening muscularity. (a) Heatmap showing
patients stratification into high, medium, and low muscularity by non-hierarchical k-means clustering
analysis of the pectoralis muscle area (PA) and its normalization by eleven computed tomographies
(CT) feature that includes: manubrium and sternum body lengths, six T10 different measures, and an
anteroposterior length. 2.2. PMA distinguishes NSCLC patients with low and high muscularity
125 These groups were generated based on the ordination of patients according to
their PMA in descending order using a sex-specific categorical variable followed by segregation into
terciles (high muscularity group: 1st and 2nd terciles; low muscularity group: 3rd tercile). Figure 2. Pectoralis muscle area as an approach for screening muscularity. (a) Heatmap showing
147
patients stratification into high, medium, and low muscularity by non-hierarchical k-means clustering
148
analysis of the pectoralis muscle area (PA) and its normalization by eleven computed tomographies
149
(CT) feature that includes: manubrium and sternum body lengths, six T10 different measures, and an
150
anteroposterior length. Manubrium length (M); sternum Body length (B); T (M+B); total sternum
151
length (OS); T10 body vertical length (T10-I); distance between T10 body and spinous process (T10-
152
II); T10 body horizontal length (T10-III); distance between T10 pedicles (T10-IV); distance between
153
T10 transverse processes (T10-V); T10 body area (T10-VI); anteroposterior distance (APD). (b) Bar
154
graphs comparing the percentage of patients for clinical prognostic variables between high and low
155
muscularity groups. These groups were generated based on the ordination of patients according to
156
their PMA in descending order using a sex-specific categorical variable followed by segregation into
157
terciles (high muscularity group: 1st and 2nd terciles; low muscularity group: 3rd tercile). 158 doi:10.20944/preprints201907.0046.v1 7 of 21 2.3. Patients with low muscularity upregulate tumor genes previously associated with cachexia 2.3. Patients with low muscularity upregulate tumor genes previously associated with cachexia 159 Considering that mediators released from cancer cells and cells within the tumor
160
microenvironment have been associated with cachexia in lung cancers, we hypothesized that the
161
identification of tumor deregulated genes in NSCLC patients with low muscularity could reveal
162
potential factors associated with cachexia. Thus, an analysis using differential gene expression
163
between patients with low and high muscularity revealed 105 genes exclusively deregulated (adj. p-
164
value ≤ 0.05 and fold change ≥ 1.5) in patients with low muscularity, of which 75 and 30 were over-
165
or down-expressed, respectively (Supplementary Table 1). Gene ontology and KEGG pathway
166
analyses of the over-expressed transcripts highlighted cytokine activity and cytokine-receptor
167
interaction activity as the most enriched categories in low muscularity patients. (Figure 3a). 2.2. PMA distinguishes NSCLC patients with low and high muscularity
125 PPI
168
analysis identified the interactions among these proteins (Figure 3b), including the pro-inflammatory
169
cytokines IL-6, IL-8, and CSF3, which have been previously implicated in the development of cancer
170
cachexia [28–31]. 171 172
Figure 3. Over-expressed genes in tumors from patients with low muscularity (a) Enriched terms in
173
gene ontology analysis of the 75 transcripts up-regulated in patients with low muscularity. (b)
174
Protein-protein interaction (PPI) network of 75 up-regulated transcripts in patients with low
175
muscularity generated by STRING using a high confidence interaction score (0.700). 176
2.4. Secretome-related genes with prognostic value in NSCLC
177
We then investigated whether these 75 up-regulated transcripts in the tumors from low
178
muscularity patients are translated into secreted proteins. The intersection of the secretome databases
179
CBS Servers, Vesiclepedia, Human Cancer Secretome Database, and Plasma Proteome Database
180
showed seven overlapping proteins: IL-8, SCG2, NCAM1, CNTN1, CADM1, NPTX1, and APOD
181
(Figure 4a). The microvesicle databases revealed that the predicted proteins in Evpedia (LPL, APOD
182
and COL14A1) were also identified in the Vesiclepedia dataset. However, the Exocarta did not show
183 172 172 8 of 21
any of these proteins in lung cancer samples, possibly due to the limited number of exosomes studies
184
in lung cancers deposited in this database. 185
The prognostic value related to the worse prognosis of IL8, SCG2, NCAM1, CNTN1, CADM1,
186
NPTX1, and APOD transcripts were evaluated in seven lung cancer transcriptome datasets
187
(validation set). Notably, these biomarkers were capable of distinguishing worse and better prognosis
188
(recurrence and survival) in seven NSCLC cohorts from the SurvExpress database (Figure 4c). 189
Interestingly, only IL8 was found with increased expression in the high-risk group in all NSCLC
190
validation set (Figure 4d and Supplementary Figure 3). 191
Preprints (www.preprints.org) | NOT PEER-REVIEWED | Posted: 3 July 2019 doi:10.20944/preprints201907.0046.v1
Peer-reviewed version available at Cancers 2019, 11, 1251; doi:10.3390/cancers11091251 doi:10.20944/preprints201907.0046.v1 8 of 21 any of these proteins in lung cancer samples, possibly due to the limited number of exosomes studies
184
in lung cancers deposited in this database. 185
The prognostic value related to the worse prognosis of IL8, SCG2, NCAM1, CNTN1, CADM1,
186
NPTX1, and APOD transcripts were evaluated in seven lung cancer transcriptome datasets
187
(validation set). 2.2. PMA distinguishes NSCLC patients with low and high muscularity
125 Notably, these biomarkers were capable of distinguishing worse and better prognosis
188
(recurrence and survival) in seven NSCLC cohorts from the SurvExpress database (Figure 4c). 189
Interestingly, only IL8 was found with increased expression in the high-risk group in all NSCLC
190
validation set (Figure 4d and Supplementary Figure 3). 191 any of these proteins in lung cancer samples, possibly due to the limited number of exosomes studies
184
in lung cancers deposited in this database. 185
The prognostic value related to the worse prognosis of IL8, SCG2, NCAM1, CNTN1, CADM1,
186
NPTX1, and APOD transcripts were evaluated in seven lung cancer transcriptome datasets
187
(validation set). Notably, these biomarkers were capable of distinguishing worse and better prognosis
188
(recurrence and survival) in seven NSCLC cohorts from the SurvExpress database (Figure 4c). 189
Interestingly, only IL8 was found with increased expression in the high-risk group in all NSCLC
190
validation set (Figure 4d and Supplementary Figure 3). 191 any of these proteins in lung cancer samples, possibly due to the limited number of exosomes studies
184
in lung cancers deposited in this database. 185 doi:10.20944/preprints201907.0046.v1 2
Figure 4. Prognostic values of the potentially secreted proteins in tumors from patients with low
muscularity. (a) The intersection of databases used for prediction of secreted proteins revealed seven
4
overlapped proteins: IL8, SCG2, NCAM1, CNTN1, CADM1, NPTX1, and APOD. (b) Forest plots
representing the set of the seven potentially secreted biomarkers in each validation set. The horizontal
6 Figure 4. Prognostic values of the potentially secreted proteins in tumors from patients with low
muscularity. (a) The intersection of databases used for prediction of secreted proteins revealed seven
overlapped proteins: IL8, SCG2, NCAM1, CNTN1, CADM1, NPTX1, and APOD. (b) Forest plots
representing the set of the seven potentially secreted biomarkers in each validation set. The horizontal doi:10.20944/preprints201907.0046.v1 10 of 21 axis represents confidence intervals estimated by using a Cox proportional hazards model. The
197
asterisks represent the statistical significance in patient survival outcome (*** p < 0.001 and * p < 0.05,
198
log-rank P-value). (c) Kaplan-Meier plots generated in SurvExpress [73] database for the NSCLC
199
datasets (gene expression and survival or time to recurrence): Lung Meta-base, TCGA-LUAD, TCGA-
200
LUSC, GSE30219, GSE31210, and Director’s Challenge Consortium NCI. The Kaplan-Meier plot
201
generated using the dataset GSE8894 was based on gene expression and time to recurrence data. 2.2. PMA distinguishes NSCLC patients with low and high muscularity
125 (d)
202
The direction of expression for the seven biomarkers in each validation set. N: number of patients;
203
HR: adjusted hazard ratio; p: log-rank p-value determined from univariate Cox regression analyses
204
(green curve: low-risk group; red curve: high-risk group); TCGA: The Cancer Genome Atlas; LUAD:
205
Lung Adenocarcinoma; LUSC: Lung Squamous Cell Carcinoma
206
2.5. High IL8 expression in tumor tissues is associated with poor prognosis in NSCLC
207
All seven potential biomarkers were individually analyzed in the KM plotter server using gene
208
expression and survival data of lung cancer patients available on the database (N = 1053), and IL8
209
proved to be a strong predictor of poor survival (Figure 5a). Moreover, as IL6 is a key regulator of
210
muscle mass during cachexia [32] and has been associated with worse prognosis in lung cancer
211
patients [33,34], we compared the prognostic value of IL8 with IL6 using KM plotter server. Notably,
212
both IL8 and IL6 tumor transcripts presented similar prognostic values (IL8: HR = 1.28, 95% CI = 1.12-
213
1.45; IL6: HR = 1.32, 95% CI = 1.16-1.5). These results demonstrate the upregulation of IL8 as a new
214
biomarker associated with poor prognosis in lung cancer patients. 215
The 75 over-expressed transcripts were carefully evaluated in patients with low muscularity in
216
KM plotter to detect additional potential cachexia biomarkers associated with poor prognosis in lung
217
cancer patients. Nine genes (IL6, IL8, IL1R2, CEMIP, CLEC4E, FCGR3B, HAL, MAP2K6, and KIF1A)
218
were validated as over-expressed in patients with worse overall survival (Supplementary Figure 4). 219
Importantly, IL6, IL8, IL1R2, CEMIP, FCGR3B, and KIF1A are predicted as a potentially secreted
220
protein in at least two secretome databases (Supplementary Table 2). Collectively, these results
221
emphasize that IL8 is highly expressed in tumors from NSCLC patients with low muscularity and is
222
associated with poor prognosis in this cancer type. 223 axis represents confidence intervals estimated by using a Cox proportional hazards model. The
197
asterisks represent the statistical significance in patient survival outcome (*** p < 0.001 and * p < 0.05,
198
log-rank P-value). (c) Kaplan-Meier plots generated in SurvExpress [73] database for the NSCLC
199
datasets (gene expression and survival or time to recurrence): Lung Meta-base, TCGA-LUAD, TCGA-
200
LUSC, GSE30219, GSE31210, and Director’s Challenge Consortium NCI. 2.2. PMA distinguishes NSCLC patients with low and high muscularity
125 The Kaplan-Meier plot
201
generated using the dataset GSE8894 was based on gene expression and time to recurrence data. (d)
202
The direction of expression for the seven biomarkers in each validation set. N: number of patients;
203
HR: adjusted hazard ratio; p: log-rank p-value determined from univariate Cox regression analyses
204
(green curve: low-risk group; red curve: high-risk group); TCGA: The Cancer Genome Atlas; LUAD:
205
Lung Adenocarcinoma; LUSC: Lung Squamous Cell Carcinoma
206 2.5. High IL8 expression in tumor tissues is associated with poor prognosis in NSCLC All seven potential biomarkers were individually analyzed in the KM plotter server using gene
08
expression and survival data of lung cancer patients available on the database (N = 1053), and IL8
09
proved to be a strong predictor of poor survival (Figure 5a). Moreover, as IL6 is a key regulator of
10
muscle mass during cachexia [32] and has been associated with worse prognosis in lung cancer
11
patients [33,34], we compared the prognostic value of IL8 with IL6 using KM plotter server. Notably,
12
both IL8 and IL6 tumor transcripts presented similar prognostic values (IL8: HR = 1.28, 95% CI = 1.12-
13
1.45; IL6: HR = 1.32, 95% CI = 1.16-1.5). These results demonstrate the upregulation of IL8 as a new
14
biomarker associated with poor prognosis in lung cancer patients. 15 The 75 over-expressed transcripts were carefully evaluated in patients with low muscularity in
216
KM plotter to detect additional potential cachexia biomarkers associated with poor prognosis in lung
217
cancer patients. Nine genes (IL6, IL8, IL1R2, CEMIP, CLEC4E, FCGR3B, HAL, MAP2K6, and KIF1A)
218
were validated as over-expressed in patients with worse overall survival (Supplementary Figure 4). 219
Importantly, IL6, IL8, IL1R2, CEMIP, FCGR3B, and KIF1A are predicted as a potentially secreted
220
protein in at least two secretome databases (Supplementary Table 2). Collectively, these results
221
emphasize that IL8 is highly expressed in tumors from NSCLC patients with low muscularity and is
222
associated with poor prognosis in this cancer type. 223 11 of 21 224
Figure 5. IL8 is associated with poor prognosis in NSCLC. (a) Forest plot for each tumor biomarkers
225
(IL8, SCG2, NCAM1, CNTN1, CADM1, NPTX1, and APOD) in NSCLC patients from the dataset
226
available on KM plotter[35] database. The hazard ratio (HR) with 95% confidence intervals (CI)
227
determined by Cox proportional hazards model is represented in the horizontal axis. *** represent the
228
statistical significance in NSCLC patient survival outcome (p < 0.001; log-rank p-value). (b) Kaplan-
229
Meier overall survival curves for IL8 or IL6 in NSCLC patients from the dataset available on KM
230
plotter [35] database. The resulting p-values for the log-rank test are shown. 231 Figure 5. IL8 is associated with poor prognosis in NSCLC. (a) Forest plot for each tumor biomarkers
225
(IL8, SCG2, NCAM1, CNTN1, CADM1, NPTX1, and APOD) in NSCLC patients from the dataset
226
available on KM plotter[35] database. Peer-reviewed version available at Cancers 2019, 11, 1251; doi:10.3390/cancers11091251 263
reported that the PMA divided by height (used to standardize for body size) is a powerful predictor
264
of outcome after left ventricular assist device implantation [37]. Unfortunately, the height in our
265
cohort of PMA CT-based analysis was not available. However, the high quality of these CT images
266
previously allowed the identification of new tumor radiomics features with prognostic value in
267
NSCLC patients [26]. Thus, we hypothesized that the comparison of the PMA with muscle
268
normalizations based on different radiomics features aiming the standardization for body size could
269
reveal new approaches for screening muscularity in NSCLC patients. Interestingly, PMA
270
distinguished NSCLC patients with low and high muscularity similarly in all muscle normalizations
271 Figure 6. IL-8 induces atrophy in C2C12 myotubes. (a) Immunofluorescence of C2C12 myotubes
243
treated with recombinant IL-8 (100 ng/mL for 24 hours) immunostained for Myh2 (red) and the nuclei
244
was counterstained with DAPI. (b) Myotube diameter (µm) quantification using ImageJ software. (c)
245
Determination of the frequency of myotubes according to the diameter classes. The data represents
246
the mean ± standard deviation from three independent experiments. The statistical significance was
247
analyzed using the Student’s T-test. * p-value < 0.05. Ctrl: control myotubes; IL-8: myotubes treated
248
with recombinant interleukin 8
249 Peer-reviewed version available at Cancers 2019, 11, 1251; doi:10.3390/cancers11091251 12 of 21 242
Figure 6. IL-8 induces atrophy in C2C12 myotubes. (a) Immunofluorescence of C2C12 myotubes
243
treated with recombinant IL-8 (100 ng/mL for 24 hours) immunostained for Myh2 (red) and the nuclei
244
was counterstained with DAPI. (b) Myotube diameter (µm) quantification using ImageJ software. (c)
245
Determination of the frequency of myotubes according to the diameter classes. The data represents
246
the mean ± standard deviation from three independent experiments. The statistical significance was
247
analyzed using the Student’s T-test. * p-value < 0.05. Ctrl: control myotubes; IL-8: myotubes treated
248
with recombinant interleukin 8
249 242
Figure 6. IL-8 induces atrophy in C2C12 myotubes. (a) Immunofluorescence of C2C12 myotubes
243
treated with recombinant IL-8 (100 ng/mL for 24 hours) immunostained for Myh2 (red) and the nuclei
244
was counterstained with DAPI. (b) Myotube diameter (µm) quantification using ImageJ software. (c)
245
Determination of the frequency of myotubes according to the diameter classes. The data represents
246
the mean ± standard deviation from three independent experiments. The statistical significance was
247
analyzed using the Student’s T-test. * p-value < 0.05. Ctrl: control myotubes; IL-8: myotubes treated
248
with recombinant interleukin 8
249
3. Discussion
250
Using a tumor transcriptome-based secretome analysis in NSCLC patients with low
251
muscularity, we aimed to identify potential cancer biomarkers of prognostic value and mediators of
252
cancer-associated muscle loss. This strategy revealed increased expression levels of cachexia-related
253
genes predicted to be secreted in NSCLC from patients with lower PMA. These genes were further
254
associated with shorter recurrence-free survival and decreased overall survival in different validation
255
sets of patients with NSCLC. Importantly, increased expression levels of IL8 was detected in the high-
256
risk group in all NSCLC validation sets, and IL-8 was sufficient to trigger atrophy in C2C12
257
myotubes. 258
Muscle depletion or low muscle mass in NSCLC patients identified by CT images has been
259
extensively associated with poor outcome [4,9–13,15,16]. Previous studies using the same
260
methodology to ours - the objective assessment of the PMA on CT scans -reported lower PMA
261
associated with worse overall survival in NSCLC patients or cases with chronic obstructive
262
pulmonary disease, despite normalization for BMI and performance status [14,36]. Teigen et al. 2.5. High IL8 expression in tumor tissues is associated with poor prognosis in NSCLC * p-value < 0.05. Ctrl: control myotubes; IL-8: myotubes treated
248
with recombinant interleukin 8
249
3. Discussion
250
Using a tumor transcriptome-based secretome analysis in NSCLC patients with low
251
u
ula ity
e ai
ed to ide tify
ote tial a
e bio
a ke
of
o
o ti
alue a d
ediato
of
252
Preprints (www.preprints.org) | NOT PEER-REVIEWED | Posted: 3 July 2019 doi:10.20944/preprints201907.0046.v1
Peer-reviewed version available at Cancers 2019, 11, 1251; doi:10.3390/cancers11091251 doi:10.20944/preprints201907.0046.v1 2.5. High IL8 expression in tumor tissues is associated with poor prognosis in NSCLC The hazard ratio (HR) with 95% confidence intervals (CI)
227
determined by Cox proportional hazards model is represented in the horizontal axis. *** represent the
228
statistical significance in NSCLC patient survival outcome (p < 0.001; log-rank p-value). (b) Kaplan-
229
Meier overall survival curves for IL8 or IL6 in NSCLC patients from the dataset available on KM
230
plotter [35] database. The resulting p-values for the log-rank test are shown. 231 Figure 5. IL8 is associated with poor prognosis in NSCLC. (a) Forest plot for each tumor biomarkers
(IL8, SCG2, NCAM1, CNTN1, CADM1, NPTX1, and APOD) in NSCLC patients from the dataset (
)
p
available on KM plotter[35] database. The hazard ratio (HR) with 95% confidence intervals (CI)
determined by Cox proportional hazards model is represented in the horizontal axis. *** represent the
statistical significance in NSCLC patient survival outcome (p < 0.001; log-rank p-value). (b) Kaplan-
Meier overall survival curves for IL8 or IL6 in NSCLC patients from the dataset available on KM
plotter [35] database. The resulting p-values for the log-rank test are shown. The ability of IL-8 in inducing muscle atrophy was evaluated by treating C2C12 myotubes with
233
different concentrations of this cytokine (10, 100, and 1000 ng/mL). The myotubes treated with the
234
supraphysiological dose of 100 ng/mL presented a significant decrease in diameter compared to the
235
control group after 24 hours (Supplementary Figure 5). The C2C12 myotubes treated with 100 ng/mL
236
of IL-8 for 24 hours were evaluated by Myh2 immunostaining, which confirmed the significant
237
decrease in myotubes diameter (Figure 6a, b). Myotubes treated with IL-8 also presented a higher
238
number of myotubes with < 10 µm of diameter compared to the control group. Conversely, a higher
239
number of controls myotubes with > 35 µm of diameter compared to those myotubes treated with IL-
240
8 was observed (Figure 6c). 241 12 of 21
242
Figure 6. IL-8 induces atrophy in C2C12 myotubes. (a) Immunofluorescence of C2C12 myotubes
243
treated with recombinant IL-8 (100 ng/mL for 24 hours) immunostained for Myh2 (red) and the nuclei
244
was counterstained with DAPI. (b) Myotube diameter (µm) quantification using ImageJ software. (c)
245
Determination of the frequency of myotubes according to the diameter classes. The data represents
246
the mean ± standard deviation from three independent experiments. The statistical significance was
247
analyzed using the Student’s T-test. 3. Discussion
250 Using a tumor transcriptome-based secretome analysis in NSCLC patients with low
muscularity, we aimed to identify potential cancer biomarkers of prognostic value and mediators of
cancer-associated muscle loss. This strategy revealed increased expression levels of cachexia-related
genes predicted to be secreted in NSCLC from patients with lower PMA. These genes were further
associated with shorter recurrence-free survival and decreased overall survival in different validation
sets of patients with NSCLC. Importantly, increased expression levels of IL8 was detected in the high-
risk group in all NSCLC validation sets, and IL-8 was sufficient to trigger atrophy in C2C12
myotubes. Muscle depletion or low muscle mass in NSCLC patients identified by CT images has been
259
extensively associated with poor outcome [4,9–13,15,16]. Previous studies using the same
260
methodology to ours - the objective assessment of the PMA on CT scans -reported lower PMA
261
associated with worse overall survival in NSCLC patients or cases with chronic obstructive
262
pulmonary disease, despite normalization for BMI and performance status [14,36]. Teigen et al. 263
reported that the PMA divided by height (used to standardize for body size) is a powerful predictor
264
of outcome after left ventricular assist device implantation [37]. Unfortunately, the height in our
265
cohort of PMA CT-based analysis was not available. However, the high quality of these CT images
266
previously allowed the identification of new tumor radiomics features with prognostic value in
267
NSCLC patients [26]. Thus, we hypothesized that the comparison of the PMA with muscle
268
normalizations based on different radiomics features aiming the standardization for body size could
269
reveal new approaches for screening muscularity in NSCLC patients. Interestingly, PMA
270
distinguished NSCLC patients with low and high muscularity similarly in all muscle normalizations
271 doi:10.20944/preprints201907.0046.v1 13 of 21 tested. Considering that CTs images of lung cancer patients are preferentially performed in the
thoracic region, our data additionally confirm that PMA is a feasible measurement easily applied to
the clinical practice to distinguish NSCLC patients with different muscularity. tested. Considering that CTs images of lung cancer patients are preferentially performed in the
272
thoracic region, our data additionally confirm that PMA is a feasible measurement easily applied to
273
the clinical practice to distinguish NSCLC patients with different muscularity. 3. Discussion
250 274
Although a large range of changes in body composition has been associated with tumor-derived
275
factors, including many pro-inflammatory cytokines [17–19,38], only few NSCLC studies associated
276
CT-derived body composition with systemic inflammatory response [39,40]. These studies showed
277
that lower muscularity was associated with systemic inflammatory response (IL-6, C-reactive protein,
278
and albumin blood levels, and neutrophil-to-lymphocyte ratio). However, the specific tumor-derived
279
factors that induce muscle loss in NSCLC patients are still unknown. Using the tumor transcriptome
280
analysis of NSCLC patients with low muscularity, we found 105 deregulated genes, of which 75 were
281
up-regulated and 30 down-regulated. The functional enrichment analysis revealed up-regulated
282
genes related to cytokine activity (CSF3, IL8, IL6, BMP6, SCG2, CCL8, BMP2) and extracellular space
283
(CSF3, FLRT2, IL8, PLA2G3, IL6, ATP1B1, COL14A1, LPL, HBB, ADAMTS4). These results suggest
284
that tumor of patients with low muscularity possibly secrete cachexia associated-factors. 285
The in-silico analysis confirmed that a set of over-expressed genes are translated into proteins
286
presented in plasma or secretome of NSCLC patients. Seven of these predicted proteins (NCAM1,
287
CNTN1, SCG2, CADM1, IL-8, NPTX1, and APOD) were identified in five databases (SignalP 4.1,
288
SecretomeP 2.0, Vesiclepedia, Human Cancer Secretome, and Plasma Proteome), giving support to
289
their relevance in NSCLC. Although not all NSCLC patients with low muscularity are cachectic, the
290
tumor gene expression profile identified molecules, such as IL6 and IL8, consistently linked to
291
inflammation and cancer cachexia pathogenesis [28,30,41–48]. The low muscle mass detected by CT
292
images can occur in the absence of systemic inflammation in other malignancies such as colorectal
293
cancer, but the proportion of patients with low muscularity is substantially greater in the presence of
294
systemic inflammation [49]. In cases where the inflammation coexists with low muscle mass, the
295
prognosis is especially poor [50]. Taken together, we identified a specific set of up-regulated genes
296
coding for secreted proteins that may constitute potential mediators of muscle loss in NSCLC. 297
Based on the fact that circulating levels of tumor-derived factors were correlated with cachexia
298
development and predicted outcome in cancer [28,30,41–48], we also investigated the predictive
299
potential of seven transcripts (NCAM1, CNTN1, SCG2, CADM1, IL8, NPTX1, and APOD). All of them
300
were associated with shorter overall survival and recurrence-free survival for the predicted high-risk
301
groups in the NSCLC validation set. 3. Discussion
250 However, only IL8 was over-expressed in the high-risk group in
302
all cohorts of our NSCLC validation set. We further confirmed that high IL8 expression level in tumor
303
tissue is a strong predictive biomarker significantly associated with worse survival (validation cohort
304
of 1053 NSCLC patients). In agreement with our results, IL-8 expression in tumor tissues was recently
305
associated with cachectic status and outcome in pancreatic cancer; cachectic patients with high IL-8
306
expression in tumor tissues had shorter overall survival or disease-free survival [[30]]. Importantly,
307
these authors also showed that IL-8 expression level in tumor specimen paired with serum sample
308
from the same patients was associated with tumor size. 309
We demonstrated that IL-8 directly induce myotube atrophy, reinforcing its potential as a new
310
mediator of cancer cachexia. Muscle wasting in cancer cachexia has been attributed to the
311
combinatorial action of mediators from host and tumor microenvironment [17–19,38]. Also, tumor
312
expression and serum levels of IL-8 have been associated with muscle wasting in patients with
313
different tumor types [28,30,41–45]. The potential direct effect of IL-8 in inducing muscle cell atrophy
314
is still unknown. In this study, we provide evidence that IL-8 is a biomarker of worse prognosis that
315
has the potential to define the cachectic state in NSCLC patients
316
The main strength of the present investigation is the identification of potential tumor-derived
317
mediators of muscle wasting in patients with low muscularity, which have prognostic value in
318
NSCLC. However, our study is based on the reuse of transcriptomic and clinical data, which results
319
in limitations that can be pointed out. Firstly, the validation of the findings at protein levels in NSCLC
320
ti
t
ith l
l
it
ld b
t
t
t d fi
th
h
i bl
d bi
k
f l f
321 Although a large range of changes in body composition has been associated with tumor-derived
275
factors, including many pro-inflammatory cytokines [17–19,38], only few NSCLC studies associated
276
CT-derived body composition with systemic inflammatory response [39,40]. These studies showed
277
that lower muscularity was associated with systemic inflammatory response (IL-6, C-reactive protein,
278
and albumin blood levels, and neutrophil-to-lymphocyte ratio). However, the specific tumor-derived
279
factors that induce muscle loss in NSCLC patients are still unknown. 3. Discussion
250 Using the tumor transcriptome
280
analysis of NSCLC patients with low muscularity, we found 105 deregulated genes, of which 75 were
281
up-regulated and 30 down-regulated. The functional enrichment analysis revealed up-regulated
282
genes related to cytokine activity (CSF3, IL8, IL6, BMP6, SCG2, CCL8, BMP2) and extracellular space
283
(CSF3, FLRT2, IL8, PLA2G3, IL6, ATP1B1, COL14A1, LPL, HBB, ADAMTS4). These results suggest
284
that tumor of patients with low muscularity possibly secrete cachexia associated-factors. 285 The in-silico analysis confirmed that a set of over-expressed genes are translated into proteins
286
presented in plasma or secretome of NSCLC patients. Seven of these predicted proteins (NCAM1,
287
CNTN1, SCG2, CADM1, IL-8, NPTX1, and APOD) were identified in five databases (SignalP 4.1,
288
SecretomeP 2.0, Vesiclepedia, Human Cancer Secretome, and Plasma Proteome), giving support to
289
their relevance in NSCLC. Although not all NSCLC patients with low muscularity are cachectic, the
290
tumor gene expression profile identified molecules, such as IL6 and IL8, consistently linked to
291
inflammation and cancer cachexia pathogenesis [28,30,41–48]. The low muscle mass detected by CT
292
images can occur in the absence of systemic inflammation in other malignancies such as colorectal
293
cancer, but the proportion of patients with low muscularity is substantially greater in the presence of
294
systemic inflammation [49]. In cases where the inflammation coexists with low muscle mass, the
295
prognosis is especially poor [50]. Taken together, we identified a specific set of up-regulated genes
296
coding for secreted proteins that may constitute potential mediators of muscle loss in NSCLC. 297 Based on the fact that circulating levels of tumor-derived factors were correlated with cachexia
298
development and predicted outcome in cancer [28,30,41–48], we also investigated the predictive
299
potential of seven transcripts (NCAM1, CNTN1, SCG2, CADM1, IL8, NPTX1, and APOD). All of them
300
were associated with shorter overall survival and recurrence-free survival for the predicted high-risk
301
groups in the NSCLC validation set. However, only IL8 was over-expressed in the high-risk group in
302
all cohorts of our NSCLC validation set. We further confirmed that high IL8 expression level in tumor
303
tissue is a strong predictive biomarker significantly associated with worse survival (validation cohort
304
of 1053 NSCLC patients). 4.2. CT Imaging Analyses
340 The measurements were performed at the tenth
366
thoracic vertebra (T10), which is a common region for all patients in this CT collection. Skeletal muscle
367
index (or muscularity) was defined as the PMA divided by each bone or body measure (mentioned
368
above) squared (cm2/cm2). The measurements generated were z-score normalized and submitted to
369
a non-hierarchical k-means clustering analysis using Bioconductor Package Complex Heatmap (v 3.5)
370
in RStudio software (http://www.rstudio.org/). 371 The CT collection “NSCLC-Radiomics-Genomics” on TCIA database present CT images with
341
radiomics features that can be used as noninvasive prognostic or predictive biomarkers [26]. This
342
collection is also the most appropriate due to the homogeneity of the CT images. The pectoralis
343
muscle was analyzed on a single axial slice of the image. This region was selected by a single trained
344
physician (ENH) who identified the aortic arch and then selected the first image just above the arch. 345
The cross-sectional area (cm2) of bilateral major and minor pectoralis muscles was measured by two
346
independent examiners, using Slice-O-Matic software (v.5.0; Tomovision, Montreal, Quebec,
347
Canada). Muscles were manually traced using the Region of Interest (ROI) tool by summing the
348
appropriate pixels determined by CT Hounsfield unit (HU) for skeletal muscle (range −29 HU to 150
349
HU). The borders of the pectoralis muscles were corrected manually when necessary, as previously
350
described [36,55,56]. The pectoralis muscle area (PMA) was calculated by adding up the four muscles
351
area. To test the reproducibility of this analysis, an interobserver coefficient of variation was
352
determined by comparing the results of the analyses conducted by the two observers. The mean of
353
this coefficient of variation was 8.1%. 354 We also compared the PMA with muscle normalizations based on different radiomics features,
355
as previously described [57–59], to test different approaches for screening muscularity in NSCLC
356
patients. For this purpose, the pectoralis muscle area was also normalized by the following sternum
357
measurements: 1) manubrium length; 2) sternum body length; 3) total manubrium and sternum body
358
lengths; 4) distance between the beginning of manubrium and the end of sternum body measured in
359
90º (not considering the xiphoid process) (Supplementary figure 1a). 3. Discussion
250 Different T10 vertebrae
360
measurements were also tested for muscle normalizations: 1) horizontal length of T10 body; 2)
361
vertical length of T10 body; 3) distance between T10 body and spinous process; 4) distance between
362
transverse processes; 5) distance between pedicles; and 6) T10 body area. We also analyzed the body
363
cross-section anteroposterior diameter (APD) at the tenth thoracic vertebra (T10) level to normalize
364
the muscle area (Supplementary Figure 1b). The bone images were selected in the cross-section where
365
the bones appeared at a higher extent and dimension The measurements were performed at the tenth
366 the rodent genome, the atrophy phenotype observed in mice myotubes was likely induced by
324
orthologue receptors to the human IL-8 [51]. In agreement with our study, Gerber et al., reported that
325
IL-8 protein expression was significantly associated with tumor-free body weight and skeletal muscle
326
weight in a human pancreatic cancer xenograft mouse model [52]. Further studies are needed to
327
elucidate the mechanisms of action of IL-8 in human muscle cells. 328 CT images and clinical data were downloaded from The Cancer Imaging Archive (TCIA,
331
http://cancerimagingarchive.net/)
database
[53]. The
dataset
(NSCLC-Radiomics-Genomics
332
collection) [27] contains information from 89 NSCLC adult patients treated at MAASTRO Clinic, The
333
Netherlands, as previously published [26]. TCIA data are anonymized, and the institutional ethical
334
review board approval is not needed [54]. CT images were taken on diagnosis, and the patients were
335
treated with surgical procedure. Clinical data (age, gender, diagnosis, tumor stage), CT images and
336
tumor microarrays data are available for all 89 patients. The NSCLC-Radiomics-Genomics
337
microarrays data is available on Gene Expression Omnibus (GEO, http://www.ncbi.nlm.nih.gov/geo;
338
microarrays dataset GSE58661) [26]. 339 4.2. CT Imaging Analyses
340 The CT collection “NSCLC-Radiomics-Genomics” on TCIA database present CT images with
341
radiomics features that can be used as noninvasive prognostic or predictive biomarkers [26]. This
342
collection is also the most appropriate due to the homogeneity of the CT images. The pectoralis
343
muscle was analyzed on a single axial slice of the image. This region was selected by a single trained
344
physician (ENH) who identified the aortic arch and then selected the first image just above the arch. 345
The cross-sectional area (cm2) of bilateral major and minor pectoralis muscles was measured by two
346
independent examiners, using Slice-O-Matic software (v.5.0; Tomovision, Montreal, Quebec,
347
Canada). Muscles were manually traced using the Region of Interest (ROI) tool by summing the
348
appropriate pixels determined by CT Hounsfield unit (HU) for skeletal muscle (range −29 HU to 150
349
HU). The borders of the pectoralis muscles were corrected manually when necessary, as previously
350
described [36,55,56]. The pectoralis muscle area (PMA) was calculated by adding up the four muscles
351
area. To test the reproducibility of this analysis, an interobserver coefficient of variation was
352
determined by comparing the results of the analyses conducted by the two observers. The mean of
353
this coefficient of variation was 8.1%. 354
We also compared the PMA with muscle normalizations based on different radiomics features,
355
as previously described [57–59], to test different approaches for screening muscularity in NSCLC
356
patients. For this purpose, the pectoralis muscle area was also normalized by the following sternum
357
measurements: 1) manubrium length; 2) sternum body length; 3) total manubrium and sternum body
358
lengths; 4) distance between the beginning of manubrium and the end of sternum body measured in
359
90º (not considering the xiphoid process) (Supplementary figure 1a). Different T10 vertebrae
360
measurements were also tested for muscle normalizations: 1) horizontal length of T10 body; 2)
361
vertical length of T10 body; 3) distance between T10 body and spinous process; 4) distance between
362
transverse processes; 5) distance between pedicles; and 6) T10 body area. We also analyzed the body
363
cross-section anteroposterior diameter (APD) at the tenth thoracic vertebra (T10) level to normalize
364
the muscle area (Supplementary Figure 1b). The bone images were selected in the cross-section where
365
the bones appeared at a higher extent and dimension. 3. Discussion
250 In agreement with our results, IL-8 expression in tumor tissues was recently
305
associated with cachectic status and outcome in pancreatic cancer; cachectic patients with high IL-8
306
expression in tumor tissues had shorter overall survival or disease-free survival [[30]]. Importantly,
307
these authors also showed that IL-8 expression level in tumor specimen paired with serum sample
308
from the same patients was associated with tumor size. 309 We demonstrated that IL-8 directly induce myotube atrophy, reinforcing its potential as a new
310
mediator of cancer cachexia. Muscle wasting in cancer cachexia has been attributed to the
311
combinatorial action of mediators from host and tumor microenvironment [17–19,38]. Also, tumor
312
expression and serum levels of IL-8 have been associated with muscle wasting in patients with
313
different tumor types [28,30,41–45]. The potential direct effect of IL-8 in inducing muscle cell atrophy
314
is still unknown. In this study, we provide evidence that IL-8 is a biomarker of worse prognosis that
315
has the potential to define the cachectic state in NSCLC patients
316 The main strength of the present investigation is the identification of potential tumor-derived
317
mediators of muscle wasting in patients with low muscularity, which have prognostic value in
318
NSCLC. However, our study is based on the reuse of transcriptomic and clinical data, which results
319
in limitations that can be pointed out. Firstly, the validation of the findings at protein levels in NSCLC
320
patients with low muscularity would be a strategy to define the cachexia blood biomarkers useful for
321
clinical routine. Secondly, our survival analyses were restricted to the validation set; the survival
322
information was not available in our discovery dataset. Finally, since the IL8 gene is not present in
323 doi:10.20944/preprints201907.0046.v1 14 of 21 the rodent genome, the atrophy phenotype observed in mice myotubes was likely induced by
324
orthologue receptors to the human IL-8 [51]. In agreement with our study, Gerber et al., reported that
325
IL-8 protein expression was significantly associated with tumor-free body weight and skeletal muscle
326
weight in a human pancreatic cancer xenograft mouse model [52]. Further studies are needed to
327
elucidate the mechanisms of action of IL-8 in human muscle cells. 328
4. Materials and Methods
329
4.1. Datasets
330
CT images and clinical data were downloaded from The Cancer Imaging Archive (TCIA,
331
http://cancerimagingarchive.net/)
database
[53]. 3. Discussion
250 The
dataset
(NSCLC-Radiomics-Genomics
332
collection) [27] contains information from 89 NSCLC adult patients treated at MAASTRO Clinic, The
333
Netherlands, as previously published [26]. TCIA data are anonymized, and the institutional ethical
334
review board approval is not needed [54]. CT images were taken on diagnosis, and the patients were
335
treated with surgical procedure. Clinical data (age, gender, diagnosis, tumor stage), CT images and
336
tumor microarrays data are available for all 89 patients. The NSCLC-Radiomics-Genomics
337
microarrays data is available on Gene Expression Omnibus (GEO, http://www.ncbi.nlm.nih.gov/geo;
338
microarrays dataset GSE58661) [26]. 339
4.2. CT Imaging Analyses
340
The CT collection “NSCLC-Radiomics-Genomics” on TCIA database present CT images with
341
radiomics features that can be used as noninvasive prognostic or predictive biomarkers [26]. This
342
collection is also the most appropriate due to the homogeneity of the CT images. The pectoralis
343
muscle was analyzed on a single axial slice of the image. This region was selected by a single trained
344
physician (ENH) who identified the aortic arch and then selected the first image just above the arch. 345
The cross-sectional area (cm2) of bilateral major and minor pectoralis muscles was measured by two
346
independent examiners, using Slice-O-Matic software (v.5.0; Tomovision, Montreal, Quebec,
347
Canada). Muscles were manually traced using the Region of Interest (ROI) tool by summing the
348
appropriate pixels determined by CT Hounsfield unit (HU) for skeletal muscle (range −29 HU to 150
349
HU). The borders of the pectoralis muscles were corrected manually when necessary, as previously
350
described [36,55,56]. The pectoralis muscle area (PMA) was calculated by adding up the four muscles
351
area. To test the reproducibility of this analysis, an interobserver coefficient of variation was
352
determined by comparing the results of the analyses conducted by the two observers. The mean of
353
this coefficient of variation was 8.1%. 354
We also compared the PMA with muscle normalizations based on different radiomics features,
355
as previously described [57–59], to test different approaches for screening muscularity in NSCLC
356
patients. For this purpose, the pectoralis muscle area was also normalized by the following sternum
357
measurements: 1) manubrium length; 2) sternum body length; 3) total manubrium and sternum body
358
lengths; 4) distance between the beginning of manubrium and the end of sternum body measured in
359
90º (not considering the xiphoid process) (Supplementary figure 1a). 4.2. CT Imaging Analyses
340 Different T10 vertebrae
360
measurements were also tested for muscle normalizations: 1) horizontal length of T10 body; 2)
361
vertical length of T10 body; 3) distance between T10 body and spinous process; 4) distance between
362
transverse processes; 5) distance between pedicles; and 6) T10 body area. We also analyzed the body
363
cross-section anteroposterior diameter (APD) at the tenth thoracic vertebra (T10) level to normalize
364
the muscle area (Supplementary Figure 1b). The bone images were selected in the cross-section where
365
the bones appeared at a higher extent and dimension. The measurements were performed at the tenth
366
thoracic vertebra (T10), which is a common region for all patients in this CT collection. Skeletal muscle
367
index (or muscularity) was defined as the PMA divided by each bone or body measure (mentioned
368
above) squared (cm2/cm2). The measurements generated were z-score normalized and submitted to
369
a non-hierarchical k-means clustering analysis using Bioconductor Package Complex Heatmap (v 3.5)
370
in RStudio software (http://www.rstudio.org/). 371 doi:10.20944/preprints201907.0046.v1 15 of 21 4.3. Gene expression analysis
372 Tumor gene expression analysis was performed by comparing low and high muscularity
373
patients using the GEO2R tool (http://www.ncbi.nlm.nih.gov/geo/geo2r/) [60]. The adjusted p values
374
(adj. p) were applied using Benjamini and Hochberg false discovery rate (FDR) method by default. 375
The cut-off criteria to define differential expression were adj. p<0.05 and |Fold Change (FC)|>1.5. 376
4.4. Gene ontology enrichment analysis
377
Gene ontology (GO) functional enrichment analysis was performed to identify the
378
overrepresented GO categories of differential expressed genes using Gene Ontology Consortium
379
database (http://geneontology.org/) [[61]]. The GO categories with p-value and FDR <0.05 were
380
considered significant. 381
4.5. Protein-protein interactions (PPI) networks
382
PPI networks were generated using the STRING tool [62,63] (HTTP:// string-db.org/). We
383
considered experiments, database, co-expression, neighborhood, and co-occurrence as active
384
interaction sources. The minimum required interaction score was 0.700 (high confidence), and the
385
disconnected nodes in the network were hidden for display simplifications. The PPI enrichment p-
386
value indicates the statistical significance provided by STRING. 387
4.6. 4.2. CT Imaging Analyses
340 In Silico Identification of Secreted Proteins
388
The over-expressed genes in the tumor of patients with low muscularity were filtered for genes
389
encoding secreted proteins or proteins presented in microvesicles based on a pipeline of seven tools:
390
SignalP 4.1 [64], SecretomeP 2.0 [65], ExoCarta [66], TargetP 1.1 [67],, Human Cancer Secretome (HCS)
391
[68], Vesiclepedia [69], and Evpedia [70]. Firstly, we accessed the UniProtKB database to obtain amino
392
acid sequences of proteins in FASTA format [71]. These data were used in the prediction servers
393
SignalP, TargetP, and SecretomeP at CBS portal (http://www.cbs.dtu.dk/services/). SignalP 4.1 server
394
was used to identify classical secretory proteins (presenting signal peptide and D-value > 0.45). 395
Proteins without signal peptide were evaluated in the SecretomeP 2.0 server to determine non-
396
classical secreted proteins, using the cut-off for a neural network (NN) score > 0.6. TargetP 1.1 server
397
was used to selectively collect proteins involved in secretory pathways and exclude mitochondrial
398
proteins [67]. These potentially secreted proteins were also investigated in lung cancer using the tools
399
ExoCarta, HCS, Vesiclepedia, and Evpedia. Finally, the Plasma Proteome Database was consulted to
400
identify human plasma proteins and their isoforms potentially encoded by the over-expressed genes
401
from low muscularity patients [72]. The tumor over-expressed genes, detected by all eight prediction
402
tools, were next used to assess their prognostic performance in predicting overall survival and time
403
to recurrence in multiple NSCLC independent datasets (validation set). 404
4.7. Prognostic performance of secretory genes in predicting NSCLC outcome
405
SurvExpress [73] database (http://bioinformatica.mty.itesm.mx/SurvExpress) was used to assess
406
the effect the differentially expressed genes on survival (datasets: Lung Meta-base, TCGA-LUAD and
407
LUSC [74], GSE30219 [75], GSE31210 [76,77], and the Director’s Challenge Consortium NCI [78]) and
408
time to recurrence (dataset: GSE8894 [79]) of NSCLC patients. This tool allowed us to assess the
409
expression of secretory genes and their association with the survival or time to recurrence by Cox
410
Proportional Hazard regression according to the risk groups estimated by an optimization algorithm. 411
The prognostic value of the secretory genes in predicting survival was further determined in 1053
412
NSCLC patients using Kaplan-Meier Plotter – KM plotter [35]. 4.2. CT Imaging Analyses
340 Here, gene expression was specifically
413
associated with survival and time to recurrence (worse prognosis) due to the lack of other clinical
414 Tumor gene expression analysis was performed by comparing low and high muscularity
373
patients using the GEO2R tool (http://www.ncbi.nlm.nih.gov/geo/geo2r/) [60]. The adjusted p values
374
(adj. p) were applied using Benjamini and Hochberg false discovery rate (FDR) method by default. 375
The cut-off criteria to define differential expression were adj. p<0.05 and |Fold Change (FC)|>1.5. 376 The over-expressed genes in the tumor of patients with low muscularity were filtered for genes
389
encoding secreted proteins or proteins presented in microvesicles based on a pipeline of seven tools:
390
SignalP 4.1 [64], SecretomeP 2.0 [65], ExoCarta [66], TargetP 1.1 [67],, Human Cancer Secretome (HCS)
391
[68], Vesiclepedia [69], and Evpedia [70]. Firstly, we accessed the UniProtKB database to obtain amino
392
acid sequences of proteins in FASTA format [71]. These data were used in the prediction servers
393
SignalP, TargetP, and SecretomeP at CBS portal (http://www.cbs.dtu.dk/services/). SignalP 4.1 server
394
was used to identify classical secretory proteins (presenting signal peptide and D-value > 0.45). 395
Proteins without signal peptide were evaluated in the SecretomeP 2.0 server to determine non-
396
classical secreted proteins, using the cut-off for a neural network (NN) score > 0.6. TargetP 1.1 server
397
was used to selectively collect proteins involved in secretory pathways and exclude mitochondrial
398
proteins [67]. These potentially secreted proteins were also investigated in lung cancer using the tools
399
ExoCarta, HCS, Vesiclepedia, and Evpedia. Finally, the Plasma Proteome Database was consulted to
400
identify human plasma proteins and their isoforms potentially encoded by the over-expressed genes
401
from low muscularity patients [72]. The tumor over-expressed genes, detected by all eight prediction
402
tools, were next used to assess their prognostic performance in predicting overall survival and time
403
to recurrence in multiple NSCLC independent datasets (validation set). 404 SurvExpress [73] database (http://bioinformatica.mty.itesm.mx/SurvExpress) was used to assess
406
the effect the differentially expressed genes on survival (datasets: Lung Meta-base, TCGA-LUAD and
407
LUSC [74], GSE30219 [75], GSE31210 [76,77], and the Director’s Challenge Consortium NCI [78]) and
408
time to recurrence (dataset: GSE8894 [79]) of NSCLC patients. 4.2. CT Imaging Analyses
340 This tool allowed us to assess the
409
expression of secretory genes and their association with the survival or time to recurrence by Cox
410
Proportional Hazard regression according to the risk groups estimated by an optimization algorithm. 411
The prognostic value of the secretory genes in predicting survival was further determined in 1053
412
NSCLC patients using Kaplan-Meier Plotter – KM plotter [35]. Here, gene expression was specifically
413
associated with survival and time to recurrence (worse prognosis) due to the lack of other clinical
414 doi:10.20944/preprints201907.0046.v1 16 of 21
characteristics available in the databases. The datasets included in all survival analysis present other
415
clinical variables, such as age, gender, histology, and stage, which were not discriminated here. 416
4.8. Functional assay using the C2C12 cell culture
417
C2C12 mouse myoblasts (ATCC® CRL-1772™) were cultured in Dulbecco's modified Eagle's
418
medium (DMEM, Thermo Fisher Scientific, USA) with 1% Penicillin-Streptomycin (Thermo Fisher
419
Scientific, USA) and 10% fetal bovine serum (FBS, Thermo Fisher Scientific, USA) at 37 °C and 5%
420
CO2 for growth and expansion. After reaching a confluence of 80-90%, the myoblasts were induced
421
to differentiate in DMEM serum-free supplemented with 1% Penicillin-Streptomycin for five days. 422
Human recombinant IL-8 (10, 100 or 1000 ng/ml; Abcam, USA) was added to a new differentiation
423
medium for 24 hours. All experiments were conducted using three independent replicates per group. 424
Control myotubes (Ctrl) received a sterile water solution containing bovine serum albumin 0.1%, the
425
same solution used to dilute IL-8. 426
4.9. Immunofluorescence assay
427
C2C12 myotubes cultured in 6-well plates were fixed in 4% paraformaldehyde for 15 min,
428
washed with phosphate buffered saline (PBS) and 0.1% TritonX-100 (Sigma, USA), and blocked with
429
3% bovine serum albumin (BSA), 1% glycine, 8% fetal bovine serum in PBS and 0.1% TritonX-100 for
430
1h at room temperature. Subsequently, the cells were incubated with primary (Myh2, 1:600 dilution,
431
M7523, Sigma, USA) antibody overnight at 4°C. After washing, the cells were incubated with
432
secondary antibody at the same concentration of the primary antibody (1h at room temperature), and
433
counterstained with 4′,6-diamidino-2-phenylindole - DAPI (ProLong Gold Antifade Mountant with
434
DAPI, Thermo Fisher Scientific, USA). All images were acquired using scanning confocal microscope
435
Fluoview FV10i (Olympus, Japan). The myotube diameter was measured by ImageJ software. 436
4.10. 4.2. CT Imaging Analyses
340 Statistical analysis
437
For the statistical analyses not previously described, we used the GraphPad Prism® (GraphPad
438
Software, USA). Student's t-test or Mann-Whitney U-test was applied for independent samples with
439
normal distributed or non-parametric data, respectively. The comparison of the effect of three
440
different IL-8 concentrations on C2C12 myotubes with the respective controls was performed using
441
one-way ANOVA followed by Tukey test. Data are expressed as mean ± standard deviation (SD). 442
5. Conclusions
443
In conclusion, our study demonstrated that PMA is a clinical and practical method to distinguish
444
NSCLC patients with different muscularity from routinely acquired CT images. Tumors from
445
patients with low muscularity have a set of up-regulated genes coding for secreted proteins within
446
the tumor microenvironment, including pro-inflammatory cytokines, which predict worse overall
447
survival in NSCLC. Among the up-regulated genes, high IL8 expression in tumor tissues is also
448
associated with worse prognosis in NSCLC and recombinant IL-8 is capable of triggering atrophy in
449
C2C12 myotubes. 450
Supplementary Materials: The following are available online at www.mdpi.com/xxx/s1, Figure S1: Different
451
bone measurements used for Pectoralis muscle area normalization; Figure S2: Identification of clusters of
452
patients according muscularity indexes and Pectoralis Muscle Area (PMA) cut-off values; Figure S3: Heatmaps
453
showing gene expression findings of seven potential biomarkers in low- and high-risk groups in NSCLC
454
validation sets; Figure S4: Highly expressed mRNAs in tumor tissue associated with poor prognosis in NSCLC;
455
Figure S5: C2C12 myotubes treated with different concentrations of recombinant IL-8 (10, 100, 1000 ng/ml); Table
456
S1: mRNA differentially expressed in tumors of 30 NSCLC patients with low muscularity compared with the
457
gene expression of 59 NSCLC patients with high muscularity; Table S2: Potentially secreted proteins identified
458
i
e
eto
e elated databa e ba ed o
the o e e
e
ed e e i
NSCLC
atie t
ith lo
u
ula ity
459 16 of 21 characteristics available in the databases. The datasets included in all
415
clinical variables, such as age, gender, histology, and stage, which we
416
4.8. Functional assay using the C2C12 cell culture
417
C2C12 mouse myoblasts (ATCC® CRL-1772™) were cultured i
418
medium (DMEM, Thermo Fisher Scientific, USA) with 1% Penicillin
419
Scientific, USA) and 10% fetal bovine serum (FBS, Thermo Fisher Sc
420
CO2 for growth and expansion. 4.2. CT Imaging Analyses
340 After reaching a confluence of 80-90%
421
to differentiate in DMEM serum-free supplemented with 1% Penicil
422
Human recombinant IL-8 (10, 100 or 1000 ng/ml; Abcam, USA) was
423
medium for 24 hours. All experiments were conducted using three ind
424
Control myotubes (Ctrl) received a sterile water solution containing b
425
same solution used to dilute IL-8. 426
4.9. Immunofluorescence assay
427
C2C12 myotubes cultured in 6-well plates were fixed in 4% p
428
washed with phosphate buffered saline (PBS) and 0.1% TritonX-100 (
429
3% bovine serum albumin (BSA), 1% glycine, 8% fetal bovine serum in
430
1h at room temperature. Subsequently, the cells were incubated with
431
M7523, Sigma, USA) antibody overnight at 4°C. After washing, t
432
secondary antibody at the same concentration of the primary antibody
433
counterstained with 4′,6-diamidino-2-phenylindole - DAPI (ProLong
434
DAPI, Thermo Fisher Scientific, USA). All images were acquired using
435
Fluoview FV10i (Olympus, Japan). The myotube diameter was measu
436
4.10. Statistical analysis
437
For the statistical analyses not previously described, we used th
438
Software, USA). Student's t-test or Mann-Whitney U-test was applied
439
normal distributed or non-parametric data, respectively. The com
440
different IL-8 concentrations on C2C12 myotubes with the respective
441
one-way ANOVA followed by Tukey test. Data are expressed as mea
442
5. Conclusions
443
In conclusion, our study demonstrated that PMA is a clinical and
444
NSCLC patients with different muscularity from routinely acquir
445
patients with low muscularity have a set of up-regulated genes codi
446
the tumor microenvironment, including pro-inflammatory cytokine
447
survival in NSCLC. Among the up-regulated genes, high IL8 expr
448
associated with worse prognosis in NSCLC and recombinant IL-8 is c
449
C2C12 myotubes. 450
Supplementary Materials: The following are available online at www.mdp
451
bone measurements used for Pectoralis muscle area normalization; Figur
452
patients according muscularity indexes and Pectoralis Muscle Area (PMA) cu
453
showing gene expression findings of seven potential biomarkers in low-
454
validation sets; Figure S4: Highly expressed mRNAs in tumor tissue associat
455
Figure S5: C2C12 myotubes treated with different concentrations of recombina
456
S1: mRNA differentially expressed in tumors of 30 NSCLC patients with lo
457
gene expression of 59 NSCLC patients with high muscularity; Table S2: Pote
458
in secretome-related databases based on the over-expressed genes in NSCLC
459 characteristics available in the databases. Preprints (www.preprints.org) | NOT PEER-REVIEWED | Posted: 3 July 2019 Jean-Marie Delaissé and Jacob Bastholm
471
Olesen, Vejle Hospital, University of Southern Denmark, for the contributions with the immunofluorescence
472
assay. 473 Conflicts of Interest: The authors declare no conflict of interest. 4 1. Ferlay, J.; Soerjomataram, I.; Dikshit, R.; Eser, S.; Mathers, C.; Rebelo, M.; Parkin, D.M.; Forman, D.; Bray,
476
F. Cancer incidence and mortality worldwide : Sources , methods and major patterns in GLOBOCAN
477
2012. 2015, 386. 478
2. Herbst, R.S.; Morgensztern, D.; Boshoff, C. The biology and management of non-small cell lung cancer. 479 1. Ferlay, J.; Soerjomataram, I.; Dikshit, R.; Eser, S.; Mathers, C.; Rebelo, M.; Parkin, D.M.; Forman, D.; Bray,
476
F. Cancer incidence and mortality worldwide : Sources , methods and major patterns in GLOBOCAN
477
2012. 2015, 386. 478 2. Herbst, R.S.; Morgensztern, D.; Boshoff, C. The biology and management of non-small cell lung cancer. 479
Nat. Publ. Gr. 2018, 553, 446–454. 480 3. Mitchell, G.; Mitchell, C. Lung cancer. Aust Fam Physician 2004, 33, 321–325. 481 Mitchell, G.; Mitchell, C. Lung cancer. Aust Fam Physician 2004, 33, 321–325. 4. Baracos, V.E.; Reiman, T.; Mourtzakis, M.; Gioulbasanis, I.; Antoun, S. Body composition in patients with
482
non-small cell lung cancer: a contemporary view of cancer cachexia with the use of computed
483
tomography image analysis. Am J Clin Nutr 2010, 91, 1133–1137. 484 5. Fearon, K.; Strasser, F.; Anker, S.D.; Bosaeus, I.; Bruera, E.; Fainsinger, R.L.; Jatoi, A.; Loprinzi, C.;
485
MacDonald, N.; Mantovani, G.; et al. Definition and classification of cancer cachexia: An international
486
consensus. Lancet Oncol. 2011, 12, 489–495. 487 6. Mytelka, D.S.; Li, L.; Benoit, K. Post-diagnosis weight loss as a prognostic factor in non-small cell lung
488
cancer. J. Cachexia. Sarcopenia Muscle 2018, 9, 86–92. 489 7. Unit, L.; Hospital, R.M.; Road, D. Do patients with weight loss have a worse outcome when undergoing
490
chemotherapy for lung cancers ? Br J Cancer 2004, 90, 1905–1911. 491 8. Dahlberg, S.E.; Schiller, J.H.; Bonomi, P.B.; Sandler, A.B.; Brahmer, J.R.; Ramalingam, S.S.; Johnson, D.H. 492
Body mass index and its association with clinical outcomes for advanced non-small-cell lung cancer
493
patients enrolled on eastern cooperative oncology group clinical trials. J. Thorac. Oncol. 2013, 8, 1121–
494
1127. 495 9. Martin, L.; Birdsell, L.; MacDonald, N.; Reiman, T.; Clandinin, M.T.; McCargar, L.J.; Murphy, R.; Ghosh,
496
S.; Sawyer, M.B.; Baracos, V.E. Preprints (www.preprints.org) | NOT PEER-REVIEWED | Posted: 3 July 2019 doi:10.20944/preprints201907.0046.v1 17 of 21 Author Contributions: For research articles with several authors, a short paragraph specifying their individual
460
contributions must be provided. The following statements should be used “conceptualization, S.S.C., S.R.R., and
461
R.F.C; methodology, S.S.C., D.M., P.P.F., G.O., D.V.P.M., G.J.F., and E.N.H; validation, S.S.C. and D.M.; formal
462
analysis, S.S.C., P.P.R., S.R.R., and R.F.C.; investigation, S.S.C., D.M., P.P.F., G.O., GJ.F., E.N.H, and P.P.R.;
463
resources, M.D.P.S., S.R.R., and R.F.C; data curation, M.D.P.S., P.P.R., S.R.R., and R.F.C; writing—original draft
464
preparation, S.S.C., S.R.R., and R.F.C; writing—review and editing, all authors; supervision, S.R.R. and R.F.C.;
465
project administration, R.F.C; funding acquisition, M.D.P.S., S.R.R., and R.F.C. 466
Funding: This research was funded by São Paulo Research Foundation – FAPESP (grant #17/21223-9), Danish
467
Government Scholarship under the Cultural Agreements Program, and by the Coordenação de Aperfeiçoamento
468
de Pessoal de Nível Superior – Brasil (CAPES). 469
Acknowledgments: The results shown here are in part based upon data generated by the TCGA Research
470
Network: http://cancergenome.nih.gov/. We would like to thank Dr. Jean-Marie Delaissé and Jacob Bastholm
471
Olesen, Vejle Hospital, University of Southern Denmark, for the contributions with the immunofluorescence
472
assay. 473
Conflicts of Interest: The authors declare no conflict of interest. 474
References
475
1. Ferlay, J.; Soerjomataram, I.; Dikshit, R.; Eser, S.; Mathers, C.; Rebelo, M.; Parkin, D.M.; Forman, D.; Bray,
476
F. Cancer incidence and mortality worldwide : Sources , methods and major patterns in GLOBOCAN
477
2012. 2015, 386. 478
2. Herbst, R.S.; Morgensztern, D.; Boshoff, C. The biology and management of non-small cell lung cancer. 479
Nat. Publ. Gr. 2018, 553, 446–454. 480
3. Mitchell, G.; Mitchell, C. Lung cancer. Aust Fam Physician 2004, 33, 321–325. 481
4. Baracos, V.E.; Reiman, T.; Mourtzakis, M.; Gioulbasanis, I.; Antoun, S. Body composition in patients with
482
non-small cell lung cancer: a contemporary view of cancer cachexia with the use of computed
483
tomography image analysis. Am J Clin Nutr 2010, 91, 1133–1137. 484
5. Fearon, K.; Strasser, F.; Anker, S.D.; Bosaeus, I.; Bruera, E.; Fainsinger, R.L.; Jatoi, A.; Loprinzi, C.;
485
MacDonald, N.; Mantovani, G.; et al. Definition and classification of cancer cachexia: An international
486
consensus. Lancet Oncol. 2011, 12, 489–495. 487
6. Mytelka, D.S.; Li, L.; Benoit, K. Post-diagnosis weight loss as a prognostic factor in non-small cell lung
488
cancer. J. Cachexia. Sarcopenia Muscle 2018, 9, 86–92. 489
7. Preprints (www.preprints.org) | NOT PEER-REVIEWED | Posted: 3 July 2019 Unit, L.; Hospital, R.M.; Road, D. Do patients with weight loss have a worse outcome when undergoing
490
chemotherapy for lung cancers ? Br J Cancer 2004, 90, 1905–1911. 491
8. Dahlberg, S.E.; Schiller, J.H.; Bonomi, P.B.; Sandler, A.B.; Brahmer, J.R.; Ramalingam, S.S.; Johnson, D.H. 492
Body mass index and its association with clinical outcomes for advanced non-small-cell lung cancer
493
patients enrolled on eastern cooperative oncology group clinical trials. J. Thorac. Oncol. 2013, 8, 1121–
494
1127. 495
9. Martin, L.; Birdsell, L.; MacDonald, N.; Reiman, T.; Clandinin, M.T.; McCargar, L.J.; Murphy, R.; Ghosh,
496
S.; Sawyer, M.B.; Baracos, V.E. Cancer cachexia in the age of obesity: Skeletal muscle depletion is a
497
powerful prognostic factor, independent of body mass index. J. Clin. Oncol. 2013, 31, 1539–1547. 498
10. Stene, G.B.; Helbostad, J.L.; Amundsen, T.; Sørhaug, S.; Hjelde, H.; Kaasa, S.; Grønberg, B.H. Changes in
499
skeletal muscle mass during palliative chemotherapy in patients with advanced lung cancer. Acta Oncol
500
2015, 54, 340–348. 501 p
g
p
p
y
contributions must be provided. The following statements should be used “conceptualization,
461 R.F.C; methodology, S.S.C., D.M., P.P.F., G.O., D.V.P.M., G.J.F., and E.N.H; validation, S.S.C. and D.M.; formal
462
analysis, S.S.C., P.P.R., S.R.R., and R.F.C.; investigation, S.S.C., D.M., P.P.F., G.O., GJ.F., E.N.H, and P.P.R.;
463
resources, M.D.P.S., S.R.R., and R.F.C; data curation, M.D.P.S., P.P.R., S.R.R., and R.F.C; writing—original draft
464
preparation, S.S.C., S.R.R., and R.F.C; writing—review and editing, all authors; supervision, S.R.R. and R.F.C.;
465
project administration, R.F.C; funding acquisition, M.D.P.S., S.R.R., and R.F.C. 466 Funding: This research was funded by São Paulo Research Foundation – FAPESP (grant #17/21223-9), Danish
467
Government Scholarship under the Cultural Agreements Program, and by the Coordenação de Aperfeiçoamento
468
de Pessoal de Nível Superior – Brasil (CAPES). 469 Funding: This research was funded by São Paulo Research Foundation – FAPESP (grant #17/21223-9), Danish
467
Government Scholarship under the Cultural Agreements Program, and by the Coordenação de Aperfeiçoamento
468
de Pessoal de Nível Superior – Brasil (CAPES). 469 Funding: This research was funded by São Paulo Research Foundation – FAPESP (grant #17/21223-9), Danish
467
Government Scholarship under the Cultural Agreements Program, and by the Coordenação de Aperfeiçoamento
468
de Pessoal de Nível Superior – Brasil (CAPES). 469 Acknowledgments: The results shown here are in part based upon data generated by the TCGA Research
470
Network: http://cancergenome.nih.gov/. We would like to thank Dr. 4.2. CT Imaging Analyses
340 The datasets included in all survival analysis present other
415
clinical variables, such as age, gender, histology, and stage, which were not discriminated here. 416 For the statistical analyses not previously described, we used the GraphPad Prism® (GraphPad
438
Software, USA). Student's t-test or Mann-Whitney U-test was applied for independent samples with
439
normal distributed or non-parametric data, respectively. The comparison of the effect of three
440
different IL-8 concentrations on C2C12 myotubes with the respective controls was performed using
441
one-way ANOVA followed by Tukey test. Data are expressed as mean ± standard deviation (SD). 442 In conclusion, our study demonstrated that PMA is a clinical and practical method to distinguish
NSCLC patients with different muscularity from routinely acquired CT images. Tumors from
patients with low muscularity have a set of up-regulated genes coding for secreted proteins within
the tumor microenvironment, including pro-inflammatory cytokines, which predict worse overall
survival in NSCLC. Among the up-regulated genes, high IL8 expression in tumor tissues is also
associated with worse prognosis in NSCLC and recombinant IL-8 is capable of triggering atrophy in
C2C12 myotubes. Supplementary Materials: The following are available online at www.mdpi.com/xxx/s1, Figure S1: Different
451
bone measurements used for Pectoralis muscle area normalization; Figure S2: Identification of clusters of
452
patients according muscularity indexes and Pectoralis Muscle Area (PMA) cut-off values; Figure S3: Heatmaps
453
showing gene expression findings of seven potential biomarkers in low- and high-risk groups in NSCLC
454
validation sets; Figure S4: Highly expressed mRNAs in tumor tissue associated with poor prognosis in NSCLC;
455
Figure S5: C2C12 myotubes treated with different concentrations of recombinant IL-8 (10, 100, 1000 ng/ml); Table
456
S1: mRNA differentially expressed in tumors of 30 NSCLC patients with low muscularity compared with the
457
gene expression of 59 NSCLC patients with high muscularity; Table S2: Potentially secreted proteins identified
458
in secretome-related databases based on the over-expressed genes in NSCLC patients with low muscularity. 459 Preprints (www.preprints.org) | NOT PEER-REVIEWED | Posted: 3 July 2019 Cancer cachexia in the age of obesity: Skeletal muscle depletion is a
497
powerful prognostic factor, independent of body mass index. J. Clin. Oncol. 2013, 31, 1539–1547. 498 10. Stene, G.B.; Helbostad, J.L.; Amundsen, T.; Sørhaug, S.; Hjelde, H.; Kaasa, S.; Grønberg, B.H. Changes in
499
skeletal muscle mass during palliative chemotherapy in patients with advanced lung cancer. Acta Oncol
500
2015, 54, 340–348. 501 11. Prado, C.M.M.; Lieff, J.R.; Mccargar, L.J.; Reiman, T.; Sawyer, M.B.; Martin, L.; Baracos, V.E. Prevalence
502
and clinical implications of sarcopenic obesity in patients with solid tumours of the respiratory and
503
gastrointestinal tracts : a population-based study. 629–635. 504 doi:10.20944/preprints201907.0046.v1 18 of 21 12. Management, S.; Care, S.; Assessment, G. Nutritional Status , Body Surface , and Low Lean Body Mass
505
/ Body Mass Index Are Related to Dose Reduction and Severe Gastrointestinal Toxicity Induced by
506
Afatinib in Patients With Non-Small Cell Lung Cancer. 2015, 967–974. 507 13. Fløtten, Ø.; Hjermstad, M.J.; Aass, N.; Jordhøy, M. Low muscle mass is associated with chemotherapy-
508
induced haematological toxicity in advanced non-small cell lung cancer. 2015, 1–7. 509 14. Kinsey, C.M.; San Jose Estepar, R.; Van der Velden, J.; Cole, B.F.; Christiani, D.C.; Washko, G.R.; Cancer,
510
C.L.; Velden, J. Van Der; Cole, B.F.; Kinsey, C.M.; et al. Lower Pectoralis Muscle Area Is Associated with
511 14. Kinsey, C.M.; San Jose Estepar, R.; Van der Velden, J.; Cole, B.F.; Christiani, D.C.; Washko, G.R.; Cancer,
510
C.L.; Velden, J. Van Der; Cole, B.F.; Kinsey, C.M.; et al. Lower Pectoralis Muscle Area Is Associated with
511 C.L.; Velden, J. Van Der; Cole, B.F.; Kinsey, C.M.; et al. Lower Pectoralis Muscle Area Is Associated with
511 a Worse Overall Survival in Non – Small. Cancer Epidemiol. Biomarkers Prev. 2017, 26, 38–44. 15. Bye, A.; Sjøblom, B.; Wentzel-Larsen, T.; Grønberg, B.H.; Baracos, V.E.; Hjermstad, M.J.; Aass, N.;
513
Bremnes, R.M.; Fløtten, Ø.; Jordhøy, M. Muscle mass and association to quality of life in non-small cell
514
lung cancer patients. J. Cachexia. Sarcopenia Muscle 2017, 8, 759–767. 515 16. Kilgour, R.D.; Vigano, A.; Trutschnigg, B.; Hornby, L.; Lucar, E.; Bacon, S.L.; Morais, J.A. Cancer-related
516
fatigue: The impact of skeletal muscle mass and strength in patients with advanced cancer. J. Cachexia. 517
Sarcopenia Muscle 2010, 1, 177–185. 518 17. Tsoli, M.; Robertson, G. Cancer cachexia : malignant inflammation, tumorkines, and metabolic mayhem. Preprints (www.preprints.org) | NOT PEER-REVIEWED | Posted: 3 July 2019 519
Trends Endocrinol Metab 2013, 24, 174–183. 520 18. Baracos, V.E.; Martin, L.; Korc, M.; Guttridge, D.C.; Fearon, K.C.H. Cancer-associated cachexia. Nat. Publ. 521
Gr. 2018, 4, 1–18. 522 19. Twelkmeyer, B.; Tardif, N.; Rooyackers, O. Omics and cachexia. Curr Opin Clin Nutr Metab Care 2017, 20,
523
181–185. 524 20. Hsiao, Y.; Chu, L.; Chen, J.; Yeh, T.; Yu, J. Proteomic profiling of the cancer cell secretome: informing
525
l
l
h E
526 20. Hsiao, Y.; Chu, L.; Chen, J.; Yeh, T.; Yu, J. Proteomic profiling of the cancer cell secretome: informing
525
clinical research. Expert Rev Proteomics 2017, 14, 737–756. 526 21. Schaaij-visser, T.B.M.; Wit, M. De; Lam, S.W.; Jiménez, C.R. The cancer secretome, current status and
527
opportunities in the lung , breast and colorectal cancer context. BBA - Proteins Proteomics 2013, 1834,
528
2242–2258. 529 22. Pavlou, M.P.; Diamandis, E.P. The cancer cell secretome: A good source for discovering biomarkers? J. 530
Proteomics 2010, 73, 1896–1906. 531 23. Fukawa, T.; Yan-Jiang, B.C.; Min-Wen, J.C.; Jun-Hao, E.T.; Huang, D.; Qian, C.-N.; Ong, P.; Li, Z.; Chen,
532
S.; Mak, S.Y.; et al. Excessive fatty acid oxidation induces muscle atrophy in cancer cachexia. Nat. Med. 533
2016, 22, 666–671. 534 24. Schäfer, M.; Oeing, C.U.; Rohm, M.; Baysal-Temel, E.; Lehmann, L.H.; Bauer, R.; Volz, H.C.; Boutros, M.;
535
Sohn, D.; Sticht, C.; et al. Ataxin-10 is part of a cachexokine cocktail triggering cardiac metabolic
536
dysfunction in cancer cachexia. Mol. Metab. 2016, 5, 67–78. 537 25. McLean, J.B.; Moylan, J.S.; Horrell, E.M.W.; Andrade, F.H. Proteomic analysis of media from lung cancer
538
cells reveals role of 14-3-3 proteins in cachexia. Front. Physiol. 2015, 6, 1–8. 539 26. Aerts, H.J.W.L.; Velazquez, E.R.; Leijenaar, R.T.H.; Parmar, C.; Grossmann, P.; Cavalho, S.; Bussink, J.;
540
Monshouwer, R.; Haibe-Kains, B.; Rietveld, D.; et al. Decoding tumour phenotype by noninvasive
541
imaging using a quantitative radiomics approach. Nat. Commun. 2014, 5. 542 27. Aerts, Hugo J. W. L., Rios Velazquez, Emmanuel, Leijenaar, Ralph T. H., Parmar, Chintan, Grossmann,
543
Patrick, Carvalho, Sara, … Lambin, P. Data From NSCLC-Radiomics-Genomics.The Cancer Imaging
544
Archive. 2015. 545 28. Penafuerte, C.A.; Gagnon, B.; Sirois, J.; Murphy, J.; Macdonald, N.; Tremblay, M.L. Identification of
546
neutrophil-derived proteases and angiotensin II as biomarkers of cancer cachexia. Br. J. Cancer 2016, 114,
547 doi:10.20944/preprints201907.0046.v1 19 of 21 29. Preprints (www.preprints.org) | NOT PEER-REVIEWED | Posted: 3 July 2019 Kuroda, K.; Nakashima, J.; Kanao, K.; Kikuchi, E.; Miyajima, A.; Horiguchi, Y. Interleukin 6 is associated
549
with cachexia in patients with prostate cancer. Urology 2007, 69, 113–117. 550 30. Hou, Y.-C.; Wang, C.-J.; Chao, Y.-J.; Chen, H.-Y.; Wang, H.-C.; Tung, H.-L.; Lin, J.-T.; Shan, Y.-S. Elevated
551
Serum Interleukin-8 Level Correlates with Cancer-Related Cachexia and Sarcopenia: An Indicator for
552
Pancreatic Cancer Outcomes. J. Clin. Med. 2018, 7, 502. 553 Pancreatic Cancer Outcomes. J. Clin. Med. 2018, 7, 502. 553 31. Kandarian, S.C.; Nosacka, R.L.; Delitto, A.E.; Judge, A.R.; Judge, S.M.; Ganey, J.D.; Moreira, J.D.;
554
Jackman, R.W. Tumour-derived leukaemia inhibitory factor is a major driver of cancer cachexia and
555
morbidity in C26 tumour-bearing mice. J. Cachexia. Sarcopenia Muscle 2018, 9, 1109–1120. 556 32. Carson, J.A.; Baltgalvis, K.A. Interleukin 6 as a key regulator of muscle mass during cachexia. Exerc. 557
Sport Sci. Rev. 2010, 38, 168–76. 558 33. Silva, E.M.; Mariano, V.S.; Aguiar Pastrez, P.R.; Pinto, M.C.; Castro, A.G.; Syrjanen, K.J.; Longatto-Filho,
559
A. High systemic IL-6 is associated with worse prognosis in patients with non-small cell lung cancer. 560
PLoS One 2017, 12, 1–12. 561 34. Pettersen, K.; Andersen, S.; Degen, S.; Tadini, V.; Grosjean, J.; Hatakeyama, S.; Tesfahun, A.N.; Moestue,
562
S.; Kim, J.; Nonstad, U.; et al. Cancer cachexia associates with a systemic autophagy-inducing activity
563
mimicked by cancer cell-derived IL-6 trans-signaling. Sci. Rep. 2017, 7, 2046. 564 35. Surowiak, P.; Budczies, J. Online Survival Analysis Software to Assess the Prognostic Value of
565
Biomarkers Using Transcriptomic Data in Non-Small-Cell Lung Cancer. PLoS One 2013, 8, e82241. 566 36. McDonald, M.; Diaz, A.; Ross, J.; San Jose Estepar, R.; Zhou, L.; Washko, G. Quantitative computed
567
tomography measures of pectoralis muscle area and disease severity in chronic obstructive pulmonary
568
disease. A cross-sectional study. Ann Am Thorac Soc 2014, 11, 326–334. 569 37. Teigen, L.; John, R.; Kuchnia, A.; Nage, E.; Earthman, C.; Kealhofer, J.; Martin, C.; Cogswell, R. 570
Preoperative Pectoralis Muscle Quantity and Attenuation by Computed Tomography Are Novel and
571
Powerful Predictors of Mortality After Left Ventricular Assist Device Implantation. Circ Hear. Fail 2017,
572
10(9), pii: e004069. 573 37. Teigen, L.; John, R.; Kuchnia, A.; Nage, E.; Earthman, C.; Kealhofer, J.; Martin, C.; Cogswell, R. 570
Preoperative Pectoralis Muscle Quantity and Attenuation by Computed Tomography Are Novel and
571 Powerful Predictors of Mortality After Left Ventricular Assist Device Implantation. Preprints (www.preprints.org) | NOT PEER-REVIEWED | Posted: 3 July 2019 doi:10.20944/preprints201907.0046.v1 20 of 21 20 of 21 45. Lerner, L.; Hayes, T.G.; Tao, N.; Krieger, B.; Feng, B.; Wu, Z.; Nicoletti, R.; Isabel Chiu, M.; Gyuris, J.;
591
Garcia, J.M. Plasma growth differentiation factor 15 is associated with weight loss and mortality in
592
cancer patients. J. Cachexia. Sarcopenia Muscle 2015, 6, 317–324. 593 46. Kuroda, K.; Nakashima, J.; Kanao, K.; Kikuchi, E.; Miyajima, A.; Horiguchi, Y.; Nakagawa, K.; Oya, M.;
594
Ohigashi, T.; Murai, M. Interleukin 6 Is Associated with Cachexia in Patients with Prostate Cancer. 595
Urology 2007, 69, 113–117. 596 47. Richey, L.M.; George, J.R.; Couch, M.E.; Kanapkey, B.K.; Yin, X.; Cannon, T.; Stewart, P.W.; Weissler,
597
M.C.; Shores, C.G. Defining cancer cachexia in head and neck squamous cell carcinoma. Clin. Cancer Res. 598
2007, 13, 6561–6567. 599 48. Krzystek-Korpacka, M.; Matusiewicz, M.; Diakowska, D.; Grabowski, K.; Blachut, K.; Kustrzeba-
600
Wojcicka, I.; Banas, T. Impact of weight loss on circulating IL-1, IL-6, IL-8, TNF-α, VEGF-A, VEGF–C
601
and midkine in gastroesophageal cancer patients. Clin. Biochem. 2007, 40, 1353–1360. 602 49. Dolan, R.D.; Almasaudi, A.S.; Dieu, L.B.; Horgan, P.G.; McSorley, S.T.; McMillan, D.C. The relationship
603
between computed tomography-derived body composition, systemic inflammatory response, and
604
survival in patients undergoing surgery for colorectal cancer. J. Cachexia. Sarcopenia Muscle 2018. 605 50. van Dijk, D.P.J.; Krill, M.; Farshidfar, F.; Li, T.; Rensen, S.S.; Olde Damink, S.W.M.; Dixon, E.; Sutherland,
606
F.R.; Ball, C.G.; Mazurak, V.C.; et al. Host phenotype is associated with reduced survival independent
607
of tumour biology in patients with colorectal liver metastases. J. Cachexia. Sarcopenia Muscle 2018. 608 51. Dunstan, C.A.N.; Salafranca, M.N.; Adhikari, S.; Xia, Y.; Feng, L.; Harrison, J.K. Identification of two rat
609
genes orthologous to the human interleukin-8 receptors. J. Biol. Chem. 1996, 271, 32770–32776. 610 52. Gerber, M.H.; Underwood, P.W.; Judge, S.M.; Delitto, D.; Delitto, A.E.; Nosacka, R.L.; DiVita, B.B.;
611
Thomas, R.M.; Permuth, J.B.; Hughes, S.J.; et al. Local and Systemic Cytokine Profiling for Pancreatic
612
Ductal Adenocarcinoma to Study Cancer Cachexia in an Era of Precision Medicine. Int. J. Mol. Sci. 2018,
613
19, 3836. 614 53. Clark, K.; Vendt, B.; Smith, K.; Freymann, J.; Kirby, J.; Koppel, P.; Moore, S.; Phillips, S.; Maffitt, D.;
615
Pringle, M.; et al. The Cancer Imaging Archive (TCIA): Maintaining and Operating a Public Information
616
Repository. J Digit Imaging 2013, 26, 1045–1057. 617 54. Preprints (www.preprints.org) | NOT PEER-REVIEWED | Posted: 3 July 2019 Circ Hear. Fail 2017,
572
10(9), pii: e004069. 573 38. Fearon, K.C.H.; Glass, D.J.; Guttridge, D.C. Cancer cachexia: mediators, signaling, and metabolic
574
pathways. Cell Metab. 2012, 16, 153–66. 575 39. Jafri, R.; Previgliano, C.; Khandelwal, K.; Shi, R. Cachexia Index in Advanced Non-Small-Cell Lung
576
Cancer Patients. Clin Med Insights Oncol 2015, 9, 87–93. 577 40. Srdic, D.; Plestina, S.; Sverko-Peternac, A.; Nikolac, N.; Simundic, A.M.; Samarzija, M. Cancer cachexia,
578
sarcopenia and biochemical markers in patients with advanced non-small cell lung cancer—
579
chemotherapy toxicity and prognostic value. Support. Care Cancer 2016, 24, 4495–4502. 580 41. Pfitzenmaier, J.; Vessella, R.; Higano, C.S.; Noteboom, J.L.; Wallace, D.; Corey, E. Elevation of cytokine
581
levels in cachectic patients with prostate carcinoma. Cancer 2003, 97, 1211–1216. 582 42. Tazaki, E.; Shimizu, N.; Tanaka, R.; Yoshizumi, M.; Kamma, H.; Imoto, S.; Goya, T.; Kozawa, K.; Nishina,
583
A.; Kimura, H. Serum cytokine profiles in patients with prostate carcinoma. Exp. Ther. Med. 2011, 2, 887–
584
891. 585 43. Alves, M.J.; Figuerêdo, R.G.; Azevedo, F.F.; Cavallaro, D.A.; Neto, N.I.P.; Lima, J.D.C.; Matos-Neto, E.;
586
Radloff, K.; Riccardi, D.M.; Camargo, R.G.; et al. Adipose tissue fibrosis in human cancer cachexia: The
587
role of TGFβ pathway. BMC Cancer 2017, 17, 1–12. 588 44. Zhang, D.; Song, B.; Wang, S.; Zheng, H.; Wang, X. Association of interleukin-8 with cachexia from
589
patients with low-third gastric cancer. Comp. Funct. Genomics 2009, 2009, 1–6. 590 Preprints (www.preprints.org) | NOT PEER-REVIEWED | Posted: 3 July 2019 doi:10.20944/preprints201907.0046.v1 21 of 21 21 of 21 62. Szklarczyk, D.; Morris, J.H.; Cook, H.; Kuhn, M.; Wyder, S.; Simonovic, M.; Santos, A.; Doncheva, N.T.;
634
Roth, A.; Bork, P.; et al. The STRING database in 2017: quality-controlled protein–protein association
635
networks, made broadly accessible. Nucleic Acids Res. 2017, 45, D362–D368. 636 Roth, A.; Bork, P.; et al. The STRING database in 2017: quality-controlled protein–protein association
635
networks, made broadly accessible. Nucleic Acids Res. 2017, 45, D362–D368. 636 63. Snel, B.; Lehmann, G.; Bork, P.; Huynen, M.A. STRING: a web-server to retrieve and display the
637
repeatedly occurring neighbourhood of a gene. Nucleic Acids Res. 2000, 28, 3442–4. 638 64. Petersen, T.; Brunak, S.; von Heijne, G.; Nielsen, H. SignalP 4.0: discriminating signal peptides from
639
transmembrane regions. Nat Methods. 2011, 29, 785–786. 640 65. Bendtsen, J.; Jensen, L.; Blom, N.; Von Heijne, G.; Brunak, S. Feature-based prediction of non-classical
641
and leaderless protein secretion. Protein Eng Des Sel 2004, 17, 349–356. 642 66. Mathivanan, S.; Fahner, C.; Reid, G.; Simpson, R. ExoCarta 2012: database of exosomal proteins, RNA
643
and lipids. Nucleic Acids Res 2012, 40, 1241–1244. 644 67. Emanuelsson, O.; Nielsen, H.; Brunak, S.; von Heijne, G. Predicting subcellular localization of proteins
645
based on their N-terminal amino acid sequence. J Mol Biol. 2000, 300, 1005–1016. 646 68. Feizi, A.; Banaei-esfahani, A.; Nielsen, J. Database tool HCSD : the human cancer secretome database. 647
Database (Oxford) 2015, bav051. 648 69. Kalra, H.; Simpson, R.; Ji, H.; Aikawa, E.; Altevogt, P.; Askenase, P. Vesiclepedia: a compendium for
649
extracellular vesicles with continuous community annotation. PLoS Biol 2012, 10, e1001450. 650 70. Kim, D.; Lee, J.; Kim, S.; Choi, D.; Yoon, Y. EVpedia: a community web portal for extracellular vesicles
651
research. Bioinformatics 2015, 31, 933–939. 652 71. Boutet, E.; Lieberherr, D.; Tognolli, M.; Schneider, M.; Bairoch, A. UniProtKB/Swiss-Prot, the Manually
653
Annotated Section of the UniProt KnowledgeBase: How to Use the Entry View. Methods Mol Biol 2016,
654
1374, 23–54. 655 72. Nanjappa, V.; Thomas, J.; Marimuthu, A.; Muthusamy, B. Plasma Proteome Database as a resource for
656
proteomics research: 2014 update. Nucleic Acids Res 2014, 42, 959–965. 657 73. Aguirre-gamboa, R.; Gomez-rueda, H.; Martı, E.; Chacolla-huaringa, R.; Rodriguez-barrientos, A.;
658
Tamez-Peña, J.; Treviño, V. SurvExpress : An Online Biomarker Validation Tool and Database for Cancer
659
Gene Expression Data Using Survival Analysis. PLoS One 2013, 8, e74250. 660 74. Preprints (www.preprints.org) | NOT PEER-REVIEWED | Posted: 3 July 2019 Freymann, J.; Kirby, J.; Perry, J.; Clunie, D.; Jaffe, C. Image data sharing for biomedical research--meeting
618
HIPAA requirements for De-identification. J Digit Imaging 2012, 25, 14–24. 619 HIPAA requirements for De-identification. J Digit Imaging 2012, 25, 14–24. 619 55. Kinsey, C.M.; Cole, B.F. Lower Pectoralis Muscle Area is Associated with a Worse Overall Survival in
620
Non- Small Cell Lung Cancer. Cancer Epidemiol Biomarkers Prev 2017, 26, 38–43. 621 56. Kim, E.Y.; Kim, Y.S.; Park, I.; Ahn, H.K. Evaluation of sarcopenia in small-cell lung cancer patients by
622
routine chest CT. Support. Care Cancer 2016, 24, 4721–4726. 623 7. Nilufer, G.; Ayse, Y. Estimation of stature and sex from sternal lengths : an autopsy study. 2015, 89– 58. Mccarthy, I.D.; Mcgregor, A.H.; Coombs, R.R.H. Geometrical dimensions of the lower lumbar vertebrae
625
– analysis of data from digitised CT images. 2000, 242–248. 626 9. Yaguchi, Y.; Kumata, Y.; Horikawa, M.; Kiyokawa, T. Clinical Significance of Area of Psoas Major Mu g
y
g
j
on Computed Tomography after Gastrectomy in Gastric Cancer Patients. 2017, 145–149. 628 on Computed Tomography after Gastrectomy in Gastric Cancer Patients. 2017, 145–149. 60. Barrett, T.; Wilhite, S.E.; Ledoux, P.; Evangelista, C.; Kim, I.F.; Tomashevsky, M.; Marshall, K.A.;
629
Phillippy, K.H.; Sherman, P.M.; Holko, M.; et al. NCBI GEO: archive for functional genomics data sets--
630
update. Nucleic Acids Res. 2013, 41, D991–5. 631 61. Blake, J.; Christie, K.; Dolan, M.; Drabkin, H.; Hill, D.; Ni, L.; Sitnikov, D.; Westerfield, M. Gene Ontology
632
Consortium: going forward. Nucleic Acids Res 2015, 43, 1049–1056. 633 Preprints (www.preprints.org) | NOT PEER-REVIEWED | Posted: 3 July 2019 Tomczak, K.; Czerwińska, P.; Wiznerowicz, M. The Cancer Genome Atlas ( TCGA ): an immeasurable
661
source of knowledge. 2014. 662 source of knowledge. 2014. 662
75. Rousseaux, S.; Debernardi, A.; Jacquiau, B.; Vitte, A. Ectopic activation of germline and placental genes
663
identifies aggressive metastasis-prone lung cancers. Sci Transl Med 2013, 5, 186ra66. 664
76. Yamauchi, M.; Yamaguchi, R.; Nakata, A.; Kohno, T. Epidermal growth factor receptor tyrosine kinase
665
defines critical prognostic genes of stage I lung adenocarcinoma. PLoS One 2012, 7, e43923. 666
77. Okayama, H.; Kohno, T.; Ishii, Y.; Shimada, Y. Identification of genes upregulated in ALK-positive and
667
EGFR/KRAS/ALK-negative lung adenocarcinomas. Cancer Res 2012, 72, 100–111. 668
78. Shedden, K.; Taylor, J.; Enkemann, S. Director’s Challenge Consortium for the Molecular Classification
669
of Lung Adenocarcinoma. Gene expression-based survival prediction in lung adenocarcinoma: a multi-
670
site, blinded validation study. Nat Med 2008, 14, 822–7. 671
79. Lee, E.; Son, D.; Kim, S.; Lee, J. Prediction of recurrence-free survival in postoperative non-small cell
672
lung cancer patients by using an integrated model of clinical information and gene expression. Clin
673
Cancer Res 2008, 14, 7397–404. 674
675 75. Rousseaux, S.; Debernardi, A.; Jacquiau, B.; Vitte, A. Ectopic activation of germline and placental genes
663
identifies aggressive metastasis-prone lung cancers. Sci Transl Med 2013, 5, 186ra66. 664 76. Yamauchi, M.; Yamaguchi, R.; Nakata, A.; Kohno, T. Epidermal growth factor receptor tyrosine kinase
665
defines critical prognostic genes of stage I lung adenocarcinoma. PLoS One 2012, 7, e43923. 666 77. Okayama, H.; Kohno, T.; Ishii, Y.; Shimada, Y. Identification of genes upregulated in ALK-positive and
667
EGFR/KRAS/ALK-negative lung adenocarcinomas. Cancer Res 2012, 72, 100–111. 668 78. Shedden, K.; Taylor, J.; Enkemann, S. Director’s Challenge Consortium for the Molecular Classification
669
of Lung Adenocarcinoma. Gene expression-based survival prediction in lung adenocarcinoma: a multi-
670
site, blinded validation study. Nat Med 2008, 14, 822–7. 671 79. Lee, E.; Son, D.; Kim, S.; Lee, J. Prediction of recurrence-free survival in postoperative non-small cell
672
lung cancer patients by using an integrated model of clinical information and gene expression. Clin
673
Cancer Res 2008, 14, 7397–404. 674
|
https://openalex.org/W2777255073
|
http://thesai.org/Downloads/Volume8No12/Paper_69-MulWiFi_Flexible_Policy_Enforcement_in_Multi_Radio.Pdf
|
English
| null |
MulWiFi: Flexible Policy Enforcement in Multi-Radio High-Speed WiFi Networks
|
International journal of advanced computer science and applications/International journal of advanced computer science & applications
| 2,017
|
cc-by
| 6,481
|
(IJACSA) International Journal of Advanced Computer Science and Applications,
Vol. 8, No. 12, 2017 (IJACSA) International Journal of Advanced Computer Science and Applications,
Vol. 8, No. 12, 2017 1It operates in the 60 GHz spectrum and can achieve several Gbps of data
rate over short distances
2It provides WLAN operation in the TV white space spectrum
3An off-the-shelf WiFi card today can be bought for a few dollars. MulWiFi: Flexible Policy Enforcement in
Multi-Radio High-Speed WiFi Networks Ihsan Ayyub Qazi
University of California, Berkeley, USA
and the Computer Science Department, LUMS, Pakistan Kamran Nishat, Zartash Afzal Uzmi
Department of Computer Science, LUMS,
Lahore, Pakistan use of separate queues for traffic with different requirements
(e.g., VoIP traffic can be mapped to one queue and best effort
traffic on a different queue) and prioritized access for delay
sensitive traffic. While using 802.11e improves performance
of real-time applications, we show that it degrades network
throughput compared to when a single queue is used at the
MAC layer (§V-A). Abstract—As data rates in 802.11 Wireless LANs (WLANs)
scale to Gbps, it becomes increasingly challenging for a single
radio resource to meet the goals of high MAC efficiency, service
differentiation, and adaptability to diverse network scenarios. We
present MulWiFi, a system that uses a centralized controller
to manage multiple off-the-shelf radios in a single device for
addressing challenges in high-speed WLANs. MulWiFi allows
flexible policy enforcement based on application requirements
and channel state information at each radio. MulWiFi offers
the ability to 1) customize the MAC based on application
requirements and network scenarios; 2) assign different roles
to radios; 3) improve MAC throughput efficiency at high data
rates; and 4) combine fragmented channels. We demonstrate the
early promise of MulWiFi through three case studies and discuss
future opportunities and challenges. Third, a single radio resource makes it challenging to
use fragmented spectrum. For example, 802.11n can operate
in the 2.4 GHz and 5 GHz bands but not at the same time,
which limits its ability to efficiently use free parts of the
spectrum. Similarly, a single radio makes it difficult to leverage
the diversity of protocols based on the 802.11 standard (e.g.,
802.11ad1 and 802.11af2), thereby making it hard to optimize
performance based on network scenarios and application re-
quirements. Keywords—WLAN; IEEE 802.11; QoS; multi-radio; experimen-
tal analysis; testbed In this paper, we present MulWiFi, a system that ad-
dresses these challenges by using a centralized controller
for managing multiple off-the-shelf WiFi radios on a single
device.3 MulWiFi allows flexible policy enforcement based
on application requirements, channel state information at each
radio, and a user-defined policy. MulWiFi offers the ability to:
1) customize the WiFi MAC based on application requirements
and network scenarios; 2) dynamically assign different roles
to different radios; 3) improve MAC layer efficiency at high
data rates; and 4) combine fragmented channels. 4Prior works [19], [20] report that power leakage can occur across closely
placed WiFi cards even if they operate on different channels. As suggested in
[20], we used shielding to address this concern. For all our clients we used
USB WiFi adapters, which nearly eliminated all cross card interference. A. MAC Efficiency of collision detection. The third case study shows how per-
formance anomaly [6], where low data rate users degrade
the performance of high data rate users, can be mitigated
using MulWiFi. Nowadays, many APs have dual-radios, one
interface operates on 2.4 GHz band, while the other operates
on 5 GHz band. We used these radios to show the feasibility
and effectiveness of our MulWiFi framework for service
differentiation [9]. Prior works [1], [2], [3] achieve high MAC
efficiency by employing multiple channels/radios but require
new physical hardware and thus cannot work with off-the-
shelf devices. Researchers have considered application-aware
wireless MAC designs in the past [10], [11] but they have
focused on single radio designs. Several earlier systems use
multiple radios for energy management [12], [13], improving
hand-offs in mobile [14] and vehicular networks [15], [16],
monitoring purposes [17], and in multi-hop wireless mesh
networks [18]. These designs focus on specific scenarios and
do not offer the flexibility to enforce different user-defined
policies. MulWiFi provides the benefit of achieving high
MAC efficiency and combining of fragmented channels as well
as the flexibility for MAC customization and role diversity in
a single device using off-the-shelf radios4. The use of off-the-
shelf radios is an important advantage in terms of deployment,
backward compatibility, and time to availability. FICA [1] and WiFi-NC [3] advocate the use of narrow
channels for improving MAC efficiency. WiFi-Nano aims to
reduce channel access overhead by reducing the slot duration. However, all these schemes require new physical hardware and
cannot work with off-the-shelf radios. Glia [19] aims to max-
imize aggregate throughput between a single sender/receiver
pair using an array of WiFi radios while focussing on over-
coming the power leakage from orthogonal channels. However,
they do not deal with MAC customization or role diversity. As the next generation WLAN standard, the 802.11ax [8]
is introducing OFDMA to address the efficiency based issues
of the current standards. This will give independence to a WiFi
node to use smaller channels at the OFDM subcarrier level. B. MAC Customization In TAR [11], a time-based retry mechanism was proposed
for video streaming applications. In [10], authors propose a
video-aware rate adaptation protocol (see references therein). These works customize the MAC functionality based on ap-
plication requirements but focus on a single WiFi radio. In
NLB [21], multiple radios are combined and used as a single
interface at the MAC level. It uses Linux bonding driver called
the new load balancing (NLB) mode to aggregate bandwidth. Altogether, this paper makes the following contributions: •
We present MulWiFi; a system that allows flexible
policy enforcement on an array of WiFi radios based
on application demands, radio channel conditions, and
a user-defined policy. I.
INTRODUCTION 12, 2017 (IJACSA) International Journal of Advanced Computer Science and Applications,
Vol. 8, No. 12, 2017 TABLE I. KEY BENEFITS OFFERED BY MU LWIFI AND EXAMPLE USE CASES TABLE I. KEY BENEFITS OFFERED BY MU LWIFI AND EXAMPLE USE CASES
Key Benefits
Example Use Cases
MAC
Customiza-
tion
1) Meeting QoS requirements of heterogeneous applications
2) Using 802.11 MACs customized for scenarios (e.g., 802.11ad for short range and 802.11n for longer range
communication.)
Role Diversity
1) Collision detection/monitoring
2) Addressing rate anomaly
3) Mapping upload/download traffic to different interfaces
MAC Efficiency
Dividing a channel into smaller channels and enabling parallel transmissions
Non-Contiguous
Channel Bonding
Using fragmented spectrum (e.g., one radio uses a channel from the 2.4 GHz band and the other from
the 5 GHz band) C. Role Diversity CoolSpots reduces the power consumption of mobile de-
vices using multiple interfaces such as WiFi and Bluetooth
[22]. In [12], authors propose the use of a lower power radio
to wake up a high power radio for energy efficiency purposes. Multiple interfaces have also been used in the context of
802.11 based mesh networks. Researchers have proposed the
use of one interface for control messages and the other for data
messages whereas others propose to increase capacity with two
cards [12], [18]. •
We distil the key benefits of MulWiFi and the op-
portunities it offers in high data rate WLANs. •
We present three case studies and using real testbed
experiments, we show how MulWiFi helps in ad-
dressing different performance challenges in WiFi
networks. D. Combining Fragmented Channels SWIFT [23] is a wideband solution (in the 5.2GHz spec-
trum) that can co-exist with other narrow band devices by
combining non-contiguous frequency bands. However, such
wideband solutions typically require new physical hardware. Jello [24], a per-session FDMA system for latency sensitive
applications, focuses on utilizing non-contiguous white space
spectrum over session durations. Other works Ez-Channel [25],
adapts channel assignments to the network topology. It uses
OFDM level information exchange to make channel assign-
ment decisions locally and try to circumvents both hidden and
exposed terminal problems. The 802.11ac standard in wave-2 I.
INTRODUCTION WiFi networks have become extremely pervasive as an
access technology and are often expected to satisfy several
potentially conflicting goals – achieve high MAC efficiency
with increasing data rates [1], [2], [3], provide service differ-
entiation to heterogeneous applications [4], [5], and adapt to
diverse network scenarios [6], [7]. As physical layer (PHY)
data rates scale to Gbps with 802.11ac, these goals become
increasingly hard to achieve using a single radio. In the near
future we are moving towards more dense deployments of
WLANs specially with the advent of Internet of Things (IoT). New standards like IEEE 802.11ax are in design to address
challenges in these WLANS [8]. With MulWiFi, devices can use multiple narrow channels
in parallel, which is known to improve MAC layer efficiency
[1]. Service differentiation can be achieved by mapping ap-
plications with different requirements to separate radios and
customizing the PHY/MAC parameters of each radio based
on application requirements. Radios can be assigned different
roles to cooperatively detect collisions. Table I enlists several
use cases where WiFi performance challenges can be addressed
with MulWiFi. First, it is well-known that due to MAC overheads such
as backoff and ACK transmission, the increase in PHY data
rates does not translate into commensurate gains in user level
throughput [1], [2]. To address this inefficiency, the 802.11n
standard allows frame aggregation whereby multiple frames
are transmitted on every channel access. While frame aggre-
gation works well for bulk transfers (e.g., software downloads),
it can adversely impact other traffic such as short HTTP flows
and TCP ACKs as the senders must wait longer to collect
enough frames before starting transmission. As a proof-of-concept, we present three case studies to
demonstrate the opportunities provided by MulWiFi. The
first case study deals with the problem of service differen-
tiation where real-time applications and bulk transfers share
a network. The second case study addresses the problem Second, with the increase in real-time traffic, such as VoIP
and video conferencing, it has become increasingly important
for WiFi networks to meet the quality of service requirements
of such applications while ensuring high network throughput. To address this challenge, the 802.11e standard proposes the 524 | P a g e www.ijacsa.thesai.org (IJACSA) International Journal of Advanced Computer Science and Applications,
Vol. 8, No. 12, 2017 (IJACSA) International Journal of Advanced Computer Science and Applications,
Vol. 8, No. II.
RELATED WORK We now briefly describe and contrast our work with the
most relevant research works. We categorize prior works in
terms of MAC efficiency, MAC customization, role diversity,
and combining of fragmented channels. 525 | P a g e www.ijacsa.thesai.org (IJACSA) International Journal of Advanced Computer Science and Applications,
Vol. 8, No. 12, 2017 (IJACSA) International Journal of Advanced Computer Science and Applications,
Vol. 8, No. 12, 2017 Fig. 1. Comparison of throughput of a saturated sender under one 40 MHz
channel, two 20 MHz channels, and four 10 MHz channels as a function of
the length of the aggregated frame. [26] also supports a non-contiguous 160 MHz (80 + 80 MHz)
channels are comprised of any two valid, non-adjacent 80 MHz
channels. Other works have considered using heterogenous interfaces
(e.g., WiFi, 3G, Bluetooth) simultaneously. Aruna et al. pro-
posed to augmented WiFi with 3G for improving availability
and performance in mobile environments [27]. In [15] and [16],
authors study the use of multi-radios in vehicular networks to
intelligently associate and act as relay while masking handoff
delays. [14] and [28] use multiple radios in mobile scenarios
for hiding handoff latency for real-time applications. Earlier
works have also used multiple software-defined radios for
collision detection [29], [30] and full duplex connectivity [31],
[32]. However, the focus of this work is the use of off-the-shelf
radios and the design of a software architecture for managing
these devices to achieve different user-defined policies. Fig. 1. Comparison of throughput of a saturated sender under one 40 MHz
channel, two 20 MHz channels, and four 10 MHz channels as a function of
the length of the aggregated frame. Example: Service Differentiation. When delay sensitive
real-time applications (e.g., VoIP) compete with bulk-transfers
(e.g., software downloads) on the same wireless interface or
in the network (i.e., via some other node), the performance
of real-time applications as well as the aggregate system
throughput can degrade [4]. MulWiFi can be used to decouple
the performance of heterogeneous applications by mapping
them to different radios. For example, real-time applications
can be mapped to one WiFi card and non-real time traffic on
the other. Each card in turn can be customized based on the
requirements of each e.g., real-time applications often tradeoff
frame loss for packet delay and to achieve this the MAC retry
limit could be decreased. C. Role Diversity Another benefit of MulWiFi is its ability to assign differ-
ent roles to WiFi cards based on network scenario. Example: Collision Detection. A key challenge in high-
speed WiFi networks is to reliably detect collisions without
introducing excessive overhead or requiring new physical hard-
ware [7], [34]. With MulWiFi, one radio can be assigned the
role of a passive listener for detecting collisions. For example, 6Note that existing commodity cards only allow coarse grained channel
width adaptations, which implies that in some cases the system throughput
may not be maximized. In such scenarios, some non-real time flows may be
mixed with real-time applications on a single radio. tdata η =
tdata
tslot · W + tdifs + tpreamble + tsifs + tack + tdata
(1) where tdata is the data transmission time, tslot is the slot
duration, W is the contention window size in terms of number
of slots, tdifs and tsifs is the time for the DIFS and SIFS
intervals, and tack is the ACK transmission time. Fig. 1 compares the the aggregate throughput achieved by
a saturated sender on a 40 MHz channel using a PHY bitrate
of 300 Mbps, two 20 MHz channels (with a PHY bitrate of
150 Mbps on each channel), and four 10 MHz channels as
a function of the level of frame aggregation. Observe that
using four 10 MHz channels results in the highest throughput. This happens because the use of narrow channels effectively
elongates the packet transmission times relative to the MAC
overhead, thereby improving MAC efficiency. Another advan-
tage of using smaller channels is that it increases the power/Hz,
which increases the range and leads to more robust links
compared to wider channels. III.
MOTIVATION We now motivate the design of MulWiFi by distilling the
key benefits it provides i.e., MAC efficiency, MAC customiza-
tion, role diversity, and combining of fragmented channels. In
addition, we provide examples to illustrate their usefulness. 7Similarly, one could use a 802.11af radio which allows WLAN operation
in the TV white space spectrum for achieving high data rates over very long
distances II.
RELATED WORK To maximize system throughput, the
channel width of the two cards can be adapted based on the
demand of flows6 [33]. 6Note that existing commodity cards only allow coarse grained channel
width adaptations, which implies that in some cases the system throughput
may not be maximized. In such scenarios, some non-real time flows may be
mixed with real-time applications on a single radio.
7Similarly, one could use a 802.11af radio which allows WLAN operation
in the TV white space spectrum for achieving high data rates over very long
distances 5For 1500 b frame, MAC efficiency is less than 10% at 1 Gbps [1]. A. MAC Efficiency A key benefit offered by MulWiFi is the ability to
improve MAC efficiency at high PHY data rates5 by using
narrow channels in parallel, which in turn leads to throughput
improvements. The MAC efficiency is defined as the ratio of the data
transmission time to the overall time (including channel access
overheads) and is given by the following expression [6]: Example: Network Scenario based Optimizations. The
ability to use a custom MAC allows several optimizations
based on scenarios. For instance, a high data rate connection
is often desirable when copying files to a wireless hard drive
for a backup. At the same time, it would be useful if the wire-
less Internet connection does not experience any performance
degradation. To achieve this, one could use a 802.11ad radio
(which operates in the 60 GHz band and can achieve several
Gbps of data rates over short distances) for copying files to
the wireless hard drive and a 802.11n radio (which operates in
the 2.4 GHz/5 GHz spectrum and can achieve several hundreds
of Mbps at relatively longer distances) for connecting to the
AP7. η =
tdata
tslot · W + tdifs + tpreamble + tsifs + tack + tdata
(1)
where tdata is the data transmission time, tslot is the slot
duration, W is the contention window size in terms of number
of slots, tdifs and tsifs is the time for the DIFS and SIFS
intervals, and tack is the ACK transmission time. B. MAC Customization A role of a radio can be to serve as a
passive listener for detecting collisions, to carry only
VoIP traffic, etc. The controller module centralizes the
control plane of each radio and thus has a global view
of the array of WiFi radios at a device, which enables
optimizations for achieving different network-wide
goals. Moreover, users can write custom controller
modules to achieve different policy objectives (e.g.,
balance load across radios). D. Non-Contiguous Channel Bonding To achieve high throughput, recent and upcoming WLAN
standards such as 802.11n and 802.11ac allow combining
of channels called channel bonding. While 802.11n allows
40 MHz channels, with 802.11ac 160 MHz channels can be
setup using channel bonding. A limitation of existing channel
bonding is that it only allows combining of adjacent channels
which is often limiting e.g., one free channel in the 2.4GHz
band and the other in the 5GHz band cannot be combined. With MulWiFi, non-contiguous channels could be used for
transmission at the same time. This can also be helpful for
802.11af where fragmented spectrum is abundant and existing
solutions like WhiteFi fall short [3]. •
Application Module: The role of this module is to
maintain state information about ongoing application
flows (e.g., traffic type) and keep track of their statis-
tics (e.g, bytes sent, offered load). The controller
module can obtain a list of flows and their state
information from this module. •
Application Module: The role of this module is to
maintain state information about ongoing application
flows (e.g., traffic type) and keep track of their statis-
tics (e.g, bytes sent, offered load). The controller
module can obtain a list of flows and their state
information from this module. •
Channel Estimator Module: The channel estimator
module estimates the channel conditions of each WiFi
radio (e.g., by maintaining packet error rate (PER)
estimates, RSSI information, free air time). The esti-
mator module can track channel conditions at different
timescales (e.g., at per-packet timescales as well as
periodically over a user-defined interval). It can use
active or passive probing techniques to obtain channel
information. •
Channel Estimator Module: The channel estimator
module estimates the channel conditions of each WiFi
radio (e.g., by maintaining packet error rate (PER)
estimates, RSSI information, free air time). The esti-
mator module can track channel conditions at different
timescales (e.g., at per-packet timescales as well as
periodically over a user-defined interval). It can use
active or passive probing techniques to obtain channel
information. •
Channel Estimator Module: The channel estimator
module estimates the channel conditions of each WiFi
radio (e.g., by maintaining packet error rate (PER)
estimates, RSSI information, free air time). The esti-
mator module can track channel conditions at different
timescales (e.g., at per-packet timescales as well as
periodically over a user-defined interval). It can use
active or passive probing techniques to obtain channel
information. B. MAC Customization MulWiFi offers the flexibility to fully customize the MAC
of each WiFi radio based on applications requirements and
network scenarios. 526 | P a g e www.ijacsa.thesai.org (IJACSA) International Journal of Advanced Computer Science and Applications,
Vol. 8, No. 12, 2017 Fig. 2. MulWiFi system overview. suppose two clients are sending traffic to an AP. When a
collision occurs, two events can take place: either both packets
get lost (when their signal strength is similar) or one signal
is received due to PHY capture while the other is dropped. Prior works report that even small variations in signal strength
can lead to PHY capture. In this case, the winning signal will
result in the generation of an ACK. This ACK will be received
by the second radio of the client that lost in capture within the
ACK timeout interval and can be used to detect collisions. Example: Separating Upload/Download Traffic. The
ability of MulWiFi to assign different roles implies that it
can act as a virtual full duplex radio by enabling simultaneous
transmission and reception of data (on different channels). Thus, one card can be made responsible for only upload traffic
and the other for download traffic by choosing channel width
of each radio that is commensurate with the traffic demands
in both directions. Fig. 2. MulWiFi system overview. Example: Addressing Performance Anomaly. When
slow and fast bitrate users share the same channel, the slow
users can degrade the throughput of fast users due to 802.11
performance anomaly [6]. By using MulWiFi, users can be
mapped to different WiFi cards (each operating on a different
channel) based on their bitrates. This mitigates the impact of
rate anomaly and can improve system throughput. A similar
problem arises when clients with 802.11n (using 40 MHz
channels) and 802.11g radios (using 20 MHz channels) co-
exist. In such a setting, all users are forced to use 20 MHz
of channel width, which can result in using lower bitrates. With MulWiFi, 802.11n users can be mapped to one card
and 802.11g to the other. •
Controller Module: The goal of the centralized con-
troller module is to assign roles to different WiFi
radios based on applications’ requirements (e.g., low
delay, high throughput), channel information on each
radio, and a user-defined policy (e.g., minimize delay
for VoIP traffic while maximizing throughput across
radios). TABLE II.
PERCENTAGE OF FRAMES RETRIED WITH AND WITHOUT
COLLISION DETECTION Frames Retried (without collisions)
3.995%
Frames Retried (without collision detection)
5.44%
Frames Retried (with collision detection)
3.82% To improve MAC efficiency at high data rates, the 802.11n
standard provides frame aggregation and block acknowledg-
ments. With frame aggregation, multiple frames are transmitted
on every channel access which amortizes the overhead over
multiple transmissions. As a result, large data transfer applica-
tions that constantly contend for the channel can considerably
improve MAC efficiency through frame aggregation. However,
this adversely affects delay-sensitive applications that may
have to wait for a large number of frames before being
transmitted [1]. On the other hand, delay-sensitive applications
like video streaming are known to make inefficient use of
the channel [4]. Prioritization based previous solutions like
802.11e are not able to fully ameliorate this problem as we
show below whereas TDMA based schemes are complex to
implement [4]. Fig. 3 shows the PSNR (peak signal-to-noise ratio) for the
video traffic and the aggregate system throughput as a function
of the sending rate of the bulk transfer flow in three cases: 1)
AP using a single WiFi card; 2) AP with 802.11e enabled;
and 3) AP with two WiFi cards (i.e., MulWiFi). Observe
that MulWiFi and 802.11e achieve roughly similar PSNR and
throughput when the bulk transfer rate is 25 Mbps. However,
when the bulk transfer rate increases, PSNR as well as the
aggregate throughput falls significantly. PSNR falls because
increasing the bulk transfer rate increases contention and delay
and causes losses for the video traffic. Aggregate throughput
falls due to the inefficient use of the channel. While packets of
the bulk transfer flow can be aggregated, video frames are not
aggregated due to delay considerations. As a result, usually
a single frame of video is transmitted on every transmission
opportunity, which lowers MAC efficiency. We have recently
presented a detailed work related to this case study as SlickFi
in [9]. To provide service differentiation, MulWiFi can segre-
gate different types of traffic in non-overlapping parts of
the available spectrum by mapping them to different WiFi
interfaces. This also decouples the contention and backoff
overheads of different types of applications, thus potentially
improving MAC efficiency. In our system, the AP dynamically
divides or merges available bandwidth according to the traffic
demands. This scheme provides a simple and an efficient way
to meet QoS requirements of applications using commodity
hardware and without changing the underlying MAC protocol. V.
CASE STUDIES Algorithm 1 Setup for Service Differentiation
Input (a) Application Module: One delay-sensitive flow (D-flow) with
rate DR and one throughput-sensitive flow (T-flow) with rate DT
(b) Channel State Module: Same conditions on all radios
(c) User Policy: Minimize(delayD−flow) while maximizing aggregate
throughput We now demonstrate the potential benefits of MulWiFi
with the help of three case studies. (c) User Policy: Minimize(delayD−flow) while maximizing aggregate
throughput Algorithm 1 Setup for Service Differentiation Algorithm 1 Setup for Service Differentiation TABLE II.
PERCENTAGE OF FRAMES RETRIED WITH AND WITHOUT
COLLISION DETECTION Algorithm 1 shows a sample configuration for service differ-
entiation. Further optimizing the MAC (by reducing the retry limit to
one and thus trading of frame loss for low delay) further im-
proves the PSNR. In particular, it provides at least 7dB and up
to 9dB improvement in PSNR with this simple customization. A. Service Differentiation Output (Radio Configuration): (a) Map D-flow to radio-1 and customize
MAC for low delay (e.g., small retry limit) and set channel width
to achieve rate DR (b) Map T-flow to radio-2 and set channel width
commensurate with rate DT Wireless networks are expected to provide services to a
wide range of applications, ranging from video streaming to
web clients to data backups and file transfers. Unfortunately,
achieving high MAC efficiency and service/traffic differen-
tiation through a single WiFi interface presents a tradeoff
– one can either achieve high MAC efficiency or service
differentiation but not both [4]. TABLE II. PERCENTAGE OF FRAMES RETRIED WITH AND WITHOUT
COLLISION DETECTION IV.
MULWIFI DESIGN As shown in Fig. 2, MulWiFi is a software module that
sits at layer 2.5 and manages multiple WiFi radios. The goal
of MulWiFi is to allow flexible policy enforcement based
on application requirements, channel conditions on each WiFi
radio, and a user-defined policy. Thus, MulWiFi has four
key components: 1) application module maintains information
about application streams; 2) channel estimator module keeps
track of channel conditions associated with each radio; 3)
controller module uses information from the application and
the channel estimator to come with a radio configuration and
assignment of roles to radios; and 4) radio configuration mod-
ule configures the parameters of each radio and communicates
with any other radio as needed. •
Radio Configuration Module: This module is re-
sponsible for the configuration of parameters of each
radio (e.g., channel, channel width, retry limit) based
on commands from the controller module and also
defines the communication structure between different
radios (e.g., sending a notification to radio-X after
a successful packet transmission or on detecting a
collision). 527 | P a g e 527 | P a g e www.ijacsa.thesai.org (IJACSA) International Journal of Advanced Computer Science and Applications,
Vol. 8, No. 12, 2017 (a) Experimental Setup
0
10
20
30
40
50
60
70
25
75
300
Average PSNR (dB)
Bulk Download Bandwidth (Mbps)
1AP
1AP(802.11e)
MulWiFi
(b) PSNR
0
20
40
60
80
100
25
75
300
Throughput (Mbps)
Bulk Download Bandwidth (Mbps)
1 AP
1 AP(802.11e)
MulWiFi
(c) Throughput
Fig. 3. PSNR and aggregate throughput with 1 AP (802.11e enabled) and MulWiFi as a function of the bulk transfer flow rate. (a) Experimental Setup PSNR and aggregate throughput with 1 AP (802.11e enabled) and MulWiFi as a function of the bulk transfer flow rat D. Spectral Efficiency One challenge with using off-the-shelf WiFi radios is that
use a guard band of 3 MHz between two adjacent channels for
interference-free operation. This implies that in order to have
three 20 MHz radios, one would require guardbands worth
10 MHZ, which reduces spectral efficiency to 83.3%. A. Benefit of Centralized Network Control In MulWiFi, a centralized controller manages multiple
WiFi radios based on a user-defined policy, application require-
ments, and given channel conditions. It would be interesting
to explore how controllers on multiple devices can share
information to achieve network-wide performance objectives. has occurred. Note that this happens in case of PHY capture. Algorithm 2 shows the sample configurations for collision
detection. C. Conflicting User Policies Multiple user-defined policies can be executed with
MulWiFi; however, these policies may conflict with each
other. In the future, we plan to explore how multiple policies
can realized in a conflict manner. B. Power Consumption One potential concern with using multiple WiFi radios in
power-constrained devices like cell phones is battery lifetime. This can be addressed by making only opportunistic use of a
second radio. To show this, we consider two clients that send traffic to a
common AP. The clients are placed at different distances from
the AP. First, we record the percentage of frames retried in
the channel from one client to the AP. We then activate the
other client to introduce collisions. The second WiFi radio on
the client detects collisions and removes the frames retried in
the latter scenario. Table II shows the fraction of frames retried
with and without collision detection. Observe that frame retries
without the second client were 3.995%. When the second
client is switched on, the percentage of frames retried increases
to 5.44%. When the passive radio of the first client starts
detecting collisions, it provides (an interference-free) estimate
of frames retried (=3.82%) to the other card. C. Mitigating Rate Anomaly The rate anomaly problem occurs in WiFi networks when
stations transmit at different data rates. A station with a low
data rate consume a significant fraction of the channel airtime
thereby lowering the throughput of high data rate users. This
happens because the WiFi MAC arbitrates channel access on a
per-packet basis assuming that all stations will transmit frames
of equal size. VII.
CONCLUSION We presented MulWiFi, a system that allows users to
write custom policies for managing multiple off-the-shelf
WiFi radios. Doing so provides the opportunity for achieving
high MAC efficiency, MAC customization, role diversity, and
combining of fragmented channels. This is achieved through
the use of a centralized controller that uses information about
applications and radio channel conditions to determine the
configuration of each radio (i.e., its PHY/MAC parameters,
role, and communication structure). With MulWiFi, stations with low data rates can be moved
to one interface and fast users to the other interface. This helps
in decoupling the impact of slow stations on the fast stations. Algorithm 3 shows the sample setup for the rate anomaly
problem in MulWiFi. Fig. 4(a) shows the experimental setup
where nodes 1, 2, and 3 are close to the AP (and can thus
achieve high data rates) and Node 4 is placed far from the
AP (so that it achieves a lower data rate). Fig. 4(b) shows the
throughput of nodes with one AP and MulWiFi. Observe that
with MulWiFi, the throughput of the fast sender increases
substantially (≈10×). Observe that this also improves the
overall system throughput. (IJACSA) International Journal of Advanced Computer Science and Applications,
Vol. 8, No. 12, 2017 (IJACSA) International Journal of Advanced Computer Science and Applications,
Vol. 8, No. 12, 2017 Algorithm 2 Sample Setup for Collision Detection
Input (User Policy): Enable collision detection
Output (Radio Configuration): (a) Set radio-2 in listening mode (b) On
receipt of an ACK (with destination address other than radio-1) within
the timeout interval of the data packet transmission from radio-1, notify
radio-1 B. Collision Detection Reliable detection of collisions in a 802.11 network is a
challenging problem. With MulWiFi, one interface card can
be assigned the role of a passive listener, which overhears
all transmissions and detects collisions as follows: when node
overhears a data packet, it monitors the receipt of ACK within
the ACK timeout period. If an ACK arrives, whose destination
MAC address is different from the source MAC address of the
most recently received data packet, we conclude a collision We evaluate MulWiFi on a real 802.11n testbed where
each device is equipped with two off-the-shelf cards. Our
evaluation aims to improve the performance of real-time
applications with ensuring high throughput for bulk transfer
applications. Fig. 3(a) shows the experimental setup where four
clients are streaming a video and one client streams a video
as well as initiates a bulk download. 528 | P a g e www.ijacsa.thesai.org Algorithm 2 Sample Setup for Collision Detection A. Benefit of Centralized Network Control A. Benefit of Centralized Network Control Algorithm 3 Sample Setup for Mitigating Rate Anomaly
Input (from Channel State Module): radio-1 is being used by fast and
slow users
(b) User Policy: Mitigate rate anomaly
Output (Radio Configuration): (a) Map fast users to radio-1 (b) Map
slow users to radio-2 Algorithm 2 Sample Setup for Collision Detection
Input (User Policy): Enable collision detection
Output (Radio Configuration): (a) Set radio-2 in listening mode (b) On
receipt of an ACK (with destination address other than radio-1) within
the timeout interval of the data packet transmission from radio-1, notify
radio-1 REFERENCES [1]
K. Tan, J. Fang, Y. Zhang, S. Chen, L. Shi, J. Zhang, and Y. Zhang,
“Fine-grained channel access in wireless lan,” in ACM SIGCOMM 2010. [2]
E. Magistretti, K. K. Chintalapudi, B. Radunovic, and R. Ramjee, “Wifi-
nano: Reclaiming wifiefficiency through 800 ns slots,” in MobiCom
’11. [3]
K. Chintalapudi, B. Radunovic, V. Balan, M. Buettener, S. Yerramalli,
V. Navda, and R. Ramjee, “Wifi-nc: Wifiover narrow channels,” in
NSDI’12. Note that a variety of solutions have been proposed to
address the rate anomaly problem. These solutions have their
strengths and limitations e.g., some require dedicated hardware
resources. making changes to the MAC, constructing multi-hop
networks from existing stations, or requiring other nodes to act
as repeaters. [4]
P. Verkaik, Y. Agarwal, R. Gupta, and A. C. Snoeren, “Softspeak:
Making voip play well in existing 802.11 deployments,” in NSDI 2009. [5]
N. Ahmed, S. Keshav, and K. Papagiannaki, “Omnivoice: A mobile
voice solution for small-scale enterprises,” in MobiHoc 2011. [6]
M. Heusse, F. Rousseau, G. Berger-Sabbatel, and A. Duda, “Perfor-
mance anomaly of 802.11b,” in IEEE INFOCOM 2003. [7]
M. Vutukuru, H. Balakrishnan, and K. Jamieson, “Cross-layer wireless
bit rate adaptation,” in ACM SIGCOMM 2009. Algorithm 3 Sample Setup for Mitigating Rate Anomaly Algorithm 3 Sample Setup for Mitigating Rate Anomaly
Input (from Channel State Module): radio-1 is being used by fast and
slow users
(b) User Policy: Mitigate rate anomaly
Output (Radio Configuration): (a) Map fast users to radio-1 (b) Map
slow users to radio-2 [8]
D. J. Deng, S. Y. Lien, J. Lee, and K. C. Chen, “On quality-of-service
provisioning in ieee 802.11ax wlans,” IEEE Access, 2016. [9]
K. Nishat, F. Javed, S. Salman, N. Yaseen, A. Fida, and I. A. Qazi,
“Slickfi: A service differentiation scheme for high-speed wlans using
dual radio aps,” ser. ACM CoNEXT, 2016. 529 | P a g e www.ijacsa.thesai.org (IJACSA) International Journal of Advanced Computer Science and Applications,
Vol. 8, No. 12, 2017 (a) Experimental Setup
Fig. 4. Aggregate throughput with 1 AP and MulWifi. (a) Experimental Setup
0
10
20
30
40
50
60
70
1-AP
MulWiFi
Throughput(Mbps)
PC1
PC2
PC3
PC4
(b) Throughput (a) Experimental Setup
Fig. 4. Aggregate throughput with 1 AP and MulWifi. (a) Experimental Setup 0
10
20
30
40
50
60
70
1-AP
MulWiFi
Throughput(Mbps)
PC1
PC2
PC3
PC4
(b) Throughput (a) Experimental Setup Fig. 4. Aggregate throughput with 1 AP and MulWifi. [10]
A. REFERENCES Chan, H. Lundgren, and T. Salonidis, “Video-aware rate adaptation
for mimo wlans,” in Network Protocols (ICNP), 2011 19th IEEE
International Conference on, Oct 2011, pp. 321–330. [22]
T. Pering, Y. Agarwal, R. Gupta, and R. Want, “Coolspots: Reducing
the power consumption of wireless mobile devices with multiple radio
interfaces,” in MobiSys ’06. [11]
M.-H. Lu, P. Steenkiste, and T. Chen, “A time-based adaptive retry
strategy for video streaming in 802.11 wlans: Research articles,” Wirel. Commun. Mob. Comput., vol. 7, no. 2, pp. 187–203, Feb. 2007. [23]
H. Rahul, N. Kushman, D. Katabi, C. Sodini, and F. Edalat, “Learning to
share: Narrowband-friendly wideband networks,” SIGCOMM Comput. Commun. Rev., vol. 38, no. 4, pp. 147–158, Aug. 2008. [24]
L. Yang, W. Hou, L. Cao, B. Y. Zhao, and H. Zheng, “Supporting de-
manding wireless applications with frequency-agile radios,” in NSDI’10. [12]
P. Bahl, A. Adya, J. Padhye, and A. Wolman, “Reconsidering wireless
systems with multiple radios,” in SIGCOMM CCR 2004. [13]
Y. Agarwal, T. Pering, R. Want, and R. Gupta, “Switchr: Reducing
system power consumption in a multi-client, multi-radio environment,”
in ISWC 2008. [25]
“Ez-channel: A distributed mac protocol for efficient channelization in
wireless networks,” Ad Hoc Networks, 2015. [26]
M. X. Gong, B. Hart, and S. Mao, “Advanced wireless lan technologies:
Ieee 802.11ac and beyond,” 2014. [14]
V. Brik, A. Mishra, and S. Banerjee, “Eliminating handoff latencies
in 802.11 wlans using multiple radios: Applications, experience, and
evaluation,” in IMC ’05. [27]
A. Balasubramanian, R. Mahajan, and A. Venkataramani, “Augmenting
mobile 3g using wifi,” in MobiSys 2010. [15]
P. Deshpande and S. R. Das, “Brave: Bit-rate adaptation in vehicular
environments,” in VANET ’12. [28]
S.-L. Tsao and P. H. Lo, “Dualmac: A soft handoff mechanism for real-
time communications in secured wlans,” in Comput. Commun. 2007. [16]
P. Deshpande, Z. A. Qazi, and S. R. Das, “Mrmv: Design and evaluation
of a multi-radio multi-vehicle system for metro-wifiaccess,” in VANET
’13. [29]
S. Sen, R. Roy Choudhury, and S. Nelakuditi, “Csma/cn: Carrier sense
multiple access with collision notification,” in MobiCom ’10. [30]
K. A. Jamieson, “The softphy abstraction: From packets to symbols in
wireless network design,” Ph.D. dissertation, 2008. [17]
A. Patro, S. Govindan, and S. Banerjee, “Observing home wireless
experience through wifiaps,” in MobiCom ’13. [31]
D. Bharadia, E. McMilin, and S. Katti, “Full duplex radios,” in
SIGCOMM 2013. [18]
R. Draves, J. Padhye, and B. REFERENCES Zill, “Routing in multi-radio, multi-hop
wireless mesh networks,” in MobiCom 2004. [32]
S. Schmid, S. Mangold, and T. R. Gross, “Wireless lan in paired radio
spectrum with downlink-uplink separation,” 2014. [19]
S. Kakumanu and R. Sivakumar, “Glia: A practical solution for effective
high datarate wifi-arrays,” in MobiCom 2009. [33]
S. Yun, D. Kim, and L. Qiu, “Fine-grained spectrum adaptation in wifi
networks,” in MobiCom 2013. [20]
J. Robinson, K. Papagiannaki, C. Diot, X. Guo, and L. Krishnamurthy,
“Experimenting with a multi-radio mesh networking testbed,” in WiN-
Mee Workshop 2005. [34]
K. Nishat, R. Anwar, M. Ali, Z. Akhtar, H. Niaz, and I. A. Qazi,
“Loss Differentiation: Moving onto High-Speed Wireless LANs,” in
IEEE INFOCOM 2014. [21]
J. So, J. Park, and A. Eliab, “Wireless interface bonding supporting
in-order delivery and automatic load balancing,” IEEE Transactions on
Vehicular Technology, 2017. 530 | P a g e www.ijacsa.thesai.org
|
https://openalex.org/W4321505145
|
https://www.cambridge.org/core/services/aop-cambridge-core/content/view/468A17937D414821B48D87141DFA35CD/S0008347X22000475a.pdf/div-class-title-nontarget-impacts-of-insecticide-based-population-control-of-eastern-spruce-budworm-lepidoptera-tortricidae-on-nontarget-caterpillar-communities-and-parasitism-div.pdf
|
English
| null |
Nontarget impacts of insecticide-based population control of eastern spruce budworm (Lepidoptera: Tortricidae) on nontarget caterpillar communities and parasitism
|
The Canadian entomologist/Canadian Entomologist
| 2,023
|
cc-by
| 8,341
|
© The Author(s), 2023. Published by Cambridge University Press on behalf of The Entomological Society of Canada. This is an Open Access
article, distributed under the terms of the Creative Commons Attribution licence (https://creativecommons.org/licenses/by/4.0/), which permits
unrestricted re-use, distribution, and reproduction in any medium, provided the original work is properly cited. Abstract Narrow-spectrum insecticides are currently used to control populations of spruce budworm,
Choristoneura fumiferana Clemens (Lepidoptera: Tortricidae), in eastern Canada. However, these could
have nontarget impacts on other caterpillars – some of which may serve as alternative or alternate hosts to
key parasitoids – that are also susceptible to control tactics. This study was conducted to determine how the
insecticides, Bacillus thuringiensis variety kurstaki (Btk) and tebufenozide, used to control spruce budworm
populations, impact caterpillar communities and associated parasitism rates. Post-treatment field sampling
of caterpillars was conducted in 2018 and 2019 in New Brunswick, Canada, at sites treated with either Btk
or
tebufenozide
and
at
control
sites. Caterpillar
species
richness
and
abundance,
community
structure, and parasitism rates were assessed using molecular analyses for 659 collected caterpillars. We
found that insecticide applications had no significant impact on abundance, species richness, or parasitism
rate relative to the measurements made in the control sites. Nonetheless, a significantly higher caterpillar
abundance and lower parasitism rate occurred in Btk-treated sites than in tebufenozide-treated sites. Overall, however, Btk and tebufenozide treatments did not negatively affect the non-budworm caterpillar
community under the present conditions of low caterpillar densities, suggesting that parasitoids have
alternative and alternate hosts after treatments that target the spruce budworm. Nontarget impacts of insecticide-based population
control of eastern spruce budworm (Lepidoptera:
Tortricidae) on nontarget caterpillar communities
and parasitism Valentine Glaus1,2*
, Audrey Nisole2, Sara Edwards3, Sébastien Bélanger2, Rob C. Johns4,
Abdelmadjid Djoumad2, Michel Cusson2, Valérie Fournier1, and Véronique Martel2 Valentine Glaus1,2*
, Audrey Nisole2, Sara Edwards3, Sébastien Bélanger2, Rob C. Johns4,
Abdelmadjid Djoumad2, Michel Cusson2, Valérie Fournier1, and Véronique Martel2 1Laval University, Faculty of Agricultural and Food Sciences, Centre de recherche et d’innovation sur les végétaux, 2480
Hochelaga Boulevard, Québec City, Québec, G1V 0A6, Canada, 2Natural Resources Canada, Canadian Forest Service,
Laurentian Forestry Centre, 1055, rue du Peps, C.P. 3800. Québec City, Québec, G1V 4C7, Canada, 3Forest Protection
Limited, 2502 Route 102 Highway, Lincoln, New Brunswick, E3B 7E6, Canada, and 4Natural Resources Canada, Canadian
Forest Service, Atlantic Forestry Centre, P.O. Box 4000 1350 Regent Street, Fredericton, New Brunswick, E3B 5P7, Canada
*Corresponding author. Email: valentine.glaus.1@ulaval.ca (Received 9 May 2022; accepted 20 October 2022) (Received 9 May 2022; accepted 20 October 2022) Subject editor: Boyd Mori Published on
behalf of the
Entomological
Society of
Canada Published on
behalf of the
Entomological
Society of
Canada Published on
behalf of the
Entomological
Society of
Canada The Canadian Entomologist (2023), 155, e8, 1–17
doi:10.4039/tce.2022.47 https://doi.org/10.4039/tce.2022.47 Published online by Cambridge University Press Introduction Insecticides are commonly used to control pests in forestry and agriculture (Sharma
et al. 2019). However, because of concerns about their potential impacts on both the
environment and human health, the number of registered pesticides has declined over the
past 40 years in Canada (Holmes and MacQuarrie 2016). For example, in the 1950s, the major
forest pest spruce budworm, Choristoneura fumiferana, Clemens (Lepidoptera: Tortricidae),
was controlled using the broad-spectrum insecticide dichlorodiphenyltrichloroethane (DDT),
and in the 1970s, DDT was replaced by fenitrothion. However, these insecticides were Subject editor: Boyd Mori https://doi.org/10.4039/tce.2022.47 Published online by Cambridge University Press Glaus et al. 2 controversial even at the time they were used and elicited strong public concern, as reported in two
well-known books: Silent Spring (Carson 1962) and Budworm Battles (May 1982). Although there
has been a general shift away from broad-spectrum insecticides towards tactics that more
narrowly affect target species, studying insecticides’ impacts on nontarget species remains an
essential step towards the development of sound pest management strategies (Desneux
et al. 2006; Siviter and Muth 2020; Leroy et al. 2022). y
Spruce budworm outbreaks occur throughout the Canadian boreal forest, where it is one of the
most intensively managed forest pests (Canadian Council of Forest Ministers 2022). It is a native
outbreaking species feeding on buds of balsam fir, Abies balsamea (Linnaeus) Miller (Pinaceae),
and spruces, Picea spp. (Pinaceae) (MacLean 1984). Outbreaks occur at roughly 30- to 40-year
intervals (Boulanger and Arseneault 2004), with each outbreak lasting as long as 10–15 years
(Boulanger et al. 2012). The outbreaks can affect ecosystem services (Schowalter 2012) and
adversely affect nontargeted Lepidoptera (Scriber 2004), in addition to having important
economic impacts resulting from tree growth reductions and mortality (MacLean and
Ostaff 1989; Chang et al. 2012). The spruce budworm supports a complex trophic network of more than 100 different
parasitoid and hyperparasitoid species (Eveleigh et al. 2007). Although several factors
influence spruce budworm population dynamics, predator–prey dynamics involving these
parasitoids are the major factor in driving the budworm’s outbreak cycles (Royama 1984;
Eveleigh et al. 2007; Régnière and Nealis 2007). These parasitoids also play an important role
during periods between outbreaks by maintaining populations at almost imperceptibly low
densities (Bouchard et al. 2018; Régnière et al. 2019). Additional factors that regulate
budworm populations include viruses, birds predation, food depletion, and climate (Régnière
and Duval 1998; van Frankenhuyzen et al. 2007; Pureswaran et al. https://doi.org/10.4039/tce.2022.47 Published online by Cambridge University Press Introduction 2016; Régnière et al. 2021). y
g
A spruce budworm outbreak has been occurring in the province of Québec, Canada, since
2006, affecting more than 12 million hectares of spruce and fir forests as of 2021 (Ministère
des Forêts de la Faune et des Parcs 2021). In response to the risk of this outbreak expanding
south throughout Atlantic Canada, forest managers in New Brunswick have adopted a novel
population control strategy, the so-called “Early Intervention Strategy” (Johns et al. 2019). This strategy involves detecting and controlling low-density budworm populations as they
begin to increase (i.e., “hotspots”) at the leading edge of an outbreak to prevent further
increase and spread, leading to insecticide treatments being applied at lower population
densities than have been targeted historically (Johns et al. 2019). At the time of the present
study, the only budworm control products registered in Canada were Bacillus thuringiensis
Berliner serotype kurstaki (Btk) and tebufenozide, both of which are specific to caterpillars
(Durkin 2004; Durkin and Klotzbach 2004). The half-life of Btk on spruce needles varies from
12 hours to a few days (Sundaram et al. 1994, 1996a), and the half-life of tebufenozide varies
from 20 to 45 days (Sundaram et al. 1996b), depending on the application parameters
(Moreau and Bauce 2003). Due to how these insecticides act on caterpillars – a mode that
requires ingestion – other nontarget caterpillars that are feeding at the same time as spruce
budworm and on the same treated foliage might also be affected. Nontarget impacts from treatments could negate the potential benefits of the Early
Intervention Strategy approach. Insecticide application can potentially affect all species of
caterpillars that are present on foliage during a product’s effective period, including alternate
and alternative hosts – some of which could be harbouring spruce budworm parasitoids
(Cappuccino et al. 1998; Pfannenstiel et al. 2010). Such nontarget effects could even promote
spruce budworm population growth in subsequent years by reducing the action of the
parasitoids due to a lack of alternative hosts, through a mechanism called “apparent
competition” (Holt and Lawton 1993). Nontarget impacts of Btk and tebufenozide on the
caterpillar community have been documented previously, potentially reducing species richness
and abundance (Miller 1990; Butler et al. 1997; Rastall et al. 2003; Boulton et al. 2007). Materials and methods Field surveys of caterpillars were conducted in treated and neighbouring untreated areas in the
year of treatment (2018) and one year after treatment (2019), thus allowing assessment of
immediate and lingering impacts. Introduction 3 The Canadian Entomologist 3 Although parasitoid populations could be affected by this reduction of host numbers, parasitised
larvae are known to feed less (Nealis and van Frankenhuyzen 1990). Therefore, developing
parasitoids within a host are less likely to be directly affected by an insecticide treatment. The goal of the present study was to assess whether Btk and tebufenozide, when applied on low-
density budworm populations, affect the species abundance and richness and the community
structure of the nontarget caterpillar community (i.e., species that are not spruce budworm),
as well as associated parasitism rates. Study sites Study sites were located in northeastern New Brunswick, Canada, within areas where
insecticide applications from Early Intervention Strategy treatments were conducted between
9 June and 30 June 2018 (Fig. 1; Table 1). The insecticides were applied once in the season by
aircraft, at a rate of 30 billion international units per litre in 1.5 L/ha for the Btk (Foray 76B,
Valent BioSciences, Guelph, Ontario, Canada) and at a rate of 70 g active ingredient in
1.5 L/ha for the tebufenozide (Limit 240, Spray Industries, Saint John, New Brunswick,
Canada), when larvae were between their third and fourth instars. Five sites were selected
within each of the Btk and tebufenozide treatment blocks (totalling 10 treated sites), and five
sites were selected in nearby zones that received no insecticide treatment (control sites). Treated sites were located more than 150 m from the treatment block borders, and control
sites were located more than 1 km away from treated areas. All sites were selected to have a
similar composition: they were dominated by fir and spruce trees (50–75%), and the most
abundant deciduous tree species were paper birch, Betula papyrifera Marshall (Betulaceae),
maple, Acer spp. Linnaeus (Sapindaceae), and aspen, Populus spp. Linnaeus (Salicaceae). A complete list of deciduous species sampled among sites can be found in Supplementary
material, Table S1. https://doi.org/10.4039/tce.2022.47 Published online by Cambridge University Press Caterpillar sampling Sampling was conducted at all 15 sites for two consecutive years – that is, in 2018 (the year of
insecticide applications) and in 2019 (one year after treatment, with no additional insecticide
application occurring). The sites were visited four times each year, from mid-June to
September. In order to sample as many niches as possible, three sampling techniques were
used: branch collection, branch beating, and visual inspection. To sample caterpillars from the
canopy, five deciduous trees and 15 conifers (fir or spruce), with heights between 15 and
20 m, were randomly selected at each visit, depending on their relative abundance. One
45-cm-long branch was cut from the mid-crown of each conifer and deciduous tree, using a
pole pruner equipped with a basket attachment to collect any falling insects. The branches
were placed in paper bags, transported to the laboratory, and kept at 4 °C until they were
processed in the laboratory. During processing, caterpillars were collected from each branch
and stored individually in ethanol (70%) at 4 °C. Branch beating and observation were
conducted along two 50-m transects at each site. Using a stick, every plant and branch within
a 2-m-wide × 2-m-high section along the transect was beaten three times to collect insects
falling onto a piece of white fabric (90 cm diameter; BugDorm #211210; MegaView
Science Co., Ltd., Taiwan) that had been placed underneath the plant. Afterwards, visual
inspection was conducted along the same transect for caterpillars on all types of vegetation, Glaus et al. 4 Table 1. Sampling dates for the year of Btk and tebufenozide treatments (2018) and one year following treatment (2019). Sampling
2018
2019
1
25–29 June
25–29 June
2
10–14 July
22–25 July
3
7–11 August
12–15 August
4
20–24 September
16–19 September Table 1. Sampling dates for the year of Btk and tebufenozide treatments (2018) and one year following treatment (2019). Sampling
2018
2019
1
25–29 June
25–29 June
2
10–14 July
22–25 July
3
7–11 August
12–15 August
4
20–24 September
16–19 September Table 1. Sampling dates for the year of Btk and tebufenozide treatments (2018) and one year following treatment (2019). Sampling
2018
2019
1
25–29 June
25–29 June
2
10–14 July
22–25 July
3
7–11 August
12–15 August
4
20–24 September
16–19 September able 1. Sampling dates for the year of Btk and tebufenozide treatments (2018) and one year following treatme Fig. 1. Molecular analyses To determine whether the sampled caterpillars were parasitised, we used the quantitative
polymerase chain reaction–based molecular sorting tool developed by Nisole et al. (2020),
which enabled detection of hymenopteran and dipteran DNA within each individual
caterpillar. All polymerase chain reaction–positive samples were considered parasitised. For
caterpillar species identification, polymerase chain reaction amplifications of the mitochondrial
cytochrome c oxidase 1 gene (CO1) were conducted on a PTC-100 thermocycler (MJ Research,
Watertown, Massachusetts, United States of America), targeting the lepidopteran species,
following the procedure of Djoumad et al. (2017) but using only 0.2 U of Platinum SuperFi
DNA polymerase (Invitrogen, Waltham, Massachusetts) and employing a universal set of
primers that targeted a 710-bp CO1 fragment (primers LCO1490 and HCO2198, following
Folmer et al. 1994). Polymerase chain reaction products underwent Sanger sequencing at the
Plateforme de séquençage et de génotypage des génomes, Centre hospitalier de l’Université
Laval (City of Québec, Québec, Canada). Species were identified using the Basic Local
Alignment Search Tool (BLAST) against the National Center for Biotechnology Information
nonredundant database (Madden 2002). Caterpillar sampling Sites sampled in New Brunswick, Canada, during the year of the insecticide treatments (2018) and one year after
treatment (2019). Fig. 1. Sites sampled in New Brunswick, Canada, during the year of the insecticide treatments (2018) and one year after
treatment (2019). https://doi.org/10.4039/tce.2022.47 Published online by Cambridge University Press 5 5 The Canadian Entomologist The Canadian Entomologist including bark, rolled leaves, branches, and so on. The time allotted to each inspection varied
according to vegetation density but never exceeded 20 minutes per transect. All caterpillars
found during branch beating and observations were stored individually in ethanol (70%) at 4 °C. New transects were positioned a few metres away from the previous ones at each visit to
prevent sampling of damaged or depleted plants. https://doi.org/10.4039/tce.2022.47 Published online by Cambridge University Press Caterpillar richness and abundance A total of 744 caterpillars were collected, with 419 being sampled in 2018 and 325 being
sampled in 2019. The genera of all specimens were successfully identified, and 623 specimens
were further identified to the species level. Overall, 82 different species of caterpillars from
13 different taxonomic families were inventoried (Supplementary material, Table S3). Although neither year on its own nor the interaction between treatment and year significantly
impacted species richness (i.e., the number of species sampled), both treatment and sampling
month significantly affected this variable (Table 2). None of the samples from either of the
insecticide treatments had significantly different species richness compared to the control, but
samples collected in Btk-treated sites displayed significantly higher caterpillar species richness
than did those collected in tebufenozide-treated sites (P = 0.012; Fig. 2A). Species richness
also showed seasonal variation, with species richness being higher in September compared to
in previous months (P < 0.001; Fig. 3A). Treatment, year, spruce budworm abundance, and the interaction between year and treatment
had no significant impact on caterpillar abundance, but sampling month did have a significant
impact (Table 2; Fig. 2B). Samples collected in September displayed significantly higher
abundance than those collected earlier (P < 0.001; Fig. 3B). Glaus et al. Glaus et al. To determine if caterpillar communities differed among the treatment groups, a permutational
multivariate analysis of variance was conducted, using the package pairwiseAdonis, version 0.4
(Martinez Arbizu 2020), with 999 permutations of the data. Each permutational multivariate
analysis of variance was followed by nonmetric multidimensional scaling (NMDS) ordination
to visualise the data. The NMDS was run with a matrix of the log-transform (log(x 1))
abundance of each caterpillar species per site and pooled per year and with a Bray–Curtis
dissimilarity calculation with the metaNMDS function of the vegan package, version 2.5.7
(Oksanen et al. 2020). For the year of the treatment, data were pooled according to early
season (first and second sampling) or late season (third and fourth sampling) because the
delay of insecticide residues over time could mediate different responses between seasonal
assemblages. The following year, because a smaller number of caterpillars was collected, the
data could not be pooled according to early or late season, and the communities sampled
from the entire season were therefore analysed together. y
g
The effects of treatments on parasitism rates were assessed using a binomial generalised linear
mixed-effects model that was fit using the glmer function (family = binomial; link = logit) from
the lme4 package. The dependent variable was a two-column matrix containing the numbers of
parasitised caterpillars and of nonparasitised caterpillars. Model parameters included year,
treatment, year × treatment interaction, and month of sampling as fixed effects, site as a
random effect, and spruce budworm abundance as a covariate. A significant year × treatment
interaction (P = 0.001) made it difficult to interpret treatment effects; for this reason, the same
model was built for each year separately. The Anova function (with type = 3) from the car
package (Fox and Sanford 2019) was used to test for significance of fixed effects. Post hoc
tests were conducted on the significant parameters with the emmeans function from the
emmeans package. https://doi.org/10.4039/tce.2022.47 Published online by Cambridge University Press Statistical analyses All analyses were done in R, version 4.0.5 (R Core Team 2021). Preliminary analyses were
carried out to verify if conifer relative abundance (percentage of stand composition), plant
richness, and latitude affected the caterpillar species abundance or richness or the parasitism
rate using the AICcmodavg package, version 2.3.1 (Mazerolle 2020; Supplementary material,
Table S2). Because none of these variables had a significant effect, these parameters were
removed from the final models. To examine the effects of insecticide treatment on caterpillar richness, a generalised linear
mixed-effects model (family = Poisson; link = log) was used, which was fit using the glmer
function from the lme4 package, version 1.1.27.1 (Bates et al. 2015). Year, treatment,
year × treatment interaction, and month of sampling were included as fixed effects, and site
was fit as a random effect. To account for potential differences in sampling effort, the number
of plants beaten per transect was included as an offset (log-transformed, following Roback
and Legler 2021). To determine the effects of insecticide treatments on nontarget species
(i.e., non-budworm caterpillars), the total abundance of nontarget caterpillars was modelled
using a negative binomial generalised linear mixed-effects model using the glmer.nb function
from the lme4 package. The same model parameters (fixed effects, random effects, and offset)
were used as described above. However, in this model, the highest spruce budworm
abundance estimated during the summer was included as a covariate to account for potential
interspecific competition between spruce budworm and other species of caterpillars that also
feed on spruce and fir during the season. For each generalised linear mixed-effects model, the
significance of fixed effects was determined using the drop1 function, which compares all
models that can be made by dropping a single model (Zuur et al. 2009). When main effects
were significant, post hoc pairwise comparisons were conducted using the emmeans function
from the emmeans package, version 1.7.2 (Lenth et al. 2022). 6 Glaus et al. Caterpillar community In early-season 2018, during which the first two samplings of the season were collected, the
composition of caterpillar species communities differed significantly between Btk-treated and
tebufenozide-treated sites (P = 0.01; Table 3), with treatment type explaining 27.15% of the https://doi.org/10.4039/tce.2022.47 Published online by Cambridge University Press The Canadian Entomologist 7 Table 2. Statistical values from the generalised linear mixed-effect models explaining the caterpillar species richness
(number of species), abundance, and the associated parasitism rate, for both years combined and separated. Significant P-values are shown in bold font. Models
Fixed effects
d.f. F
P
Richness
Treatment
2
5.084
0.025
Year
1
5.343
0.065
Treatment: year
2
1.836
0.399
Sampling month
4
11.925
< 0.001
Abundance
Treatment
2
5.744
0.134
Year
1
4.107
0.958
Treatment: year
2
1.738
0.419
Sampling month
4
21.103
< 0.001
Spruce budworm abundance
1
3.245
0.067
Parasitism rate
Treatment
2
1.184
0.232
Year
1
5.727
0.084
Treatment: year
2
6.655
0.001
Sampling month
4
8.958
< 0.001
Spruce budworm abundance
1
19.435
< 0.001
Parasitism rate 2018
Treatment
2
0.558
0.036
Sampling month
3
5.299
0.002
Spruce budworm abundance
1
11.490
0.002
Parasitism rate 2019
Treatment
2
1.323
0.775
Sampling month
4
5.911
< 0.001
Spruce budworm abundance
1
18.368
< 0.001 variability between the two communities (stress value = 0.117; Fig. 4A). No other comparisons
were significant. In late-season 2018, when the two last samplings of the season occurred,
community composition also differed significantly between Btk-treated and tebufenozide-
treated sites (P = 0.05; Table 3), with treatment type explaining 20.2% of the variability
between the two communities (stress value = 0.100; Fig. 4B). Again, no other comparisons
were significant. For samples collected in 2019, no significant differences among all three
treatments were detected in caterpillar species communities (stress value = 0.176; Fig. 4C;
Table 3). https://doi.org/10.4039/tce.2022.47 Published online by Cambridge University Press Parasitism rates Of all the caterpillars collected, 44.7% of the 41 lepidopteran species were parasitised. Of these
parasitised caterpillars, 75.2% were parasitised by a hymenopteran, 11.9% by a dipteran, and
12.9% by both (Supplementary material, Table S1). The interaction between treatment and year, sampling month, and spruce budworm
abundance had significant impact on parasitism rates, whereas treatment and year alone had
no impact (Table 2). Parasitism rates were observed to be higher in September than in earlier
months (P < 0.001) and were also higher when spruce budworm was abundant (P < 0.001). As the interaction between treatment and year was significant (P = 0.001), the data were Glaus et al. 8 analysed for each year individually. In 2018, treatment, sampling month, and spruce budworm
abundance had a significant impact on parasitism rates (Table 2): parasitism rates were higher
in September (Fig. 3C) and when spruce budworm was abundant. A post hoc test revealed a
significantly higher rate of parasitism in tebufenozide-treated than in Btk-treated sites
(P = 0.022), whereas the rates for control sites did not significantly differ from those of
treated sites (Fig. 2). In 2019, treatment had no significant impact on parasitism rates, but
both sampling month and spruce budworm abundance significantly affected parasitism rates. Parasitism rates were higher in September (Fig. 3C) and when spruce budworm was abundant. Fig. 2. A, Nontarget caterpillar richness
(number of species), B, abundance, and
C,
parasitism
rates
per
treatments
in
New Brunswick, Canada. Insecticides were
applied in 2018 only but were sampled in
2018 and 2019. Different letters indicate
significant differences from post hoc test
applied when an effect of treatment was
detected,
and
parasitism
rates
were
analysed per year. analysed for each year individually. In 2018, treatment, sampling month, and spruce budworm
abundance had a significant impact on parasitism rates (Table 2): parasitism rates were higher
in September (Fig. 3C) and when spruce budworm was abundant. A post hoc test revealed a
significantly higher rate of parasitism in tebufenozide-treated than in Btk-treated sites
(P = 0.022), whereas the rates for control sites did not significantly differ from those of
treated sites (Fig. 2). In 2019, treatment had no significant impact on parasitism rates, but
both sampling month and spruce budworm abundance significantly affected parasitism rates. Parasitism rates were higher in September (Fig. 3C) and when spruce budworm was abundant. analysed for each year individually. Parasitism rates In 2018, treatment, sampling month, and spruce budworm
abundance had a significant impact on parasitism rates (Table 2): parasitism rates were higher
in September (Fig. 3C) and when spruce budworm was abundant. A post hoc test revealed a
significantly higher rate of parasitism in tebufenozide-treated than in Btk-treated sites
(P = 0.022), whereas the rates for control sites did not significantly differ from those of
treated sites (Fig. 2). In 2019, treatment had no significant impact on parasitism rates, but
both sampling month and spruce budworm abundance significantly affected parasitism rates. Parasitism rates were higher in September (Fig. 3C) and when spruce budworm was abundant. https://doi.org/10.4039/tce.2022.47 Published online by Cambridge University Press Discussion Treatment neither with Btk nor with tebufenozide significantly affected species abundance, species
richness, or community composition relative to control sites under the conditions tested. Different
studies have shown different impacts of insecticide treatments on caterpillar communities, with some
reporting negative impacts and others reporting positive impacts. For example, Westwood
et al. (2019), who sampled the Lepidoptera community following a tebufenozide treatment
against spruce budworm, showed a reduction in abundance of some species. However, this study
was conducted in high-density spruce budworm populations subjected to higher application rates
(i.e., 70 g active ingredient in 20 L/ha). Comparable past studies reported a reduction in
caterpillar
richness
and
abundance
following
Btk
or
tebufenozide
application
against
the spongy moth, Lymantria dispar dispar (Linnaeus) (Lepidoptera: Erebidae) (Miller 1990; The Canadian Entomologist 9 Wagner et al 1996; Butler et al 1997; Rastall et al 2003; Boulton et al 2007) However in those
Fig. 3. A, Caterpillar richness and B, abundance and C, parasitism rate for each sampling month, from May to September,
in 2018, the year of the treatment, and in 2019, the year following the treatment. Table 3. Results of the pairwise permutational multivariate analysis of variance (999 permutations of the data) conducted
on the composition of the caterpillar community between each type of treatment. Significant P-values are shown in bold
font. Period
Treatment comparison
R2
F
P
Early 2018
Btk versus tebufenozide
0.271
2.979
0.01
Btk versus control
0.173
1.468
0.152
Tebufenozide versus control
0.177
1.503
0.131
Late 2018
Btk versus tebufenozide
0.202
2.028
0.05
Btk versus control
0.206
2.070
0.063
Tebufenozide versus control
0.171
1.644
0.142
2019
Btk versus tebufenozide
0.110
0.988
0.498
Btk versus control
0.106
0.945
0.530
Tebufenozide versus control
0.165
1.576
0.067
The Canadian Entomologist
9 Table 3. Results of the pairwise permutational multivariate analysis of variance (999 permutations of the data) conducted
on the composition of the caterpillar community between each type of treatment. Significant P-values are shown in bold
font Period
Treatment comparison
R2
F
P
Early 2018
Btk versus tebufenozide
0.271
2.979
0.01
Btk versus control
0.173
1.468
0.152
Tebufenozide versus control
0.177
1.503
0.131
Late 2018
Btk versus tebufenozide
0.202
2.028
0.05
Btk versus control
0.206
2.070
0.063
Tebufenozide versus control
0.171
1.644
0.142
2019
Btk versus tebufenozide
0.110
0.988
0.498
Btk versus control
0.106
0.945
0.530
Tebufenozide versus control
0.165
1.576
0.067 Fig. 3. Discussion A, Caterpillar richness and B, abundance and C, parasitism rate for each sampling month, from May to September,
in 2018, the year of the treatment, and in 2019, the year following the treatment. Fig. 3. A, Caterpillar richness and B, abundance and C, parasitism rate for each sampling month, from May to September,
in 2018, the year of the treatment, and in 2019, the year following the treatment. Fig. 3. A, Caterpillar richness and B, abundance and C, parasitism rate for each sampling month, from May to September,
in 2018, the year of the treatment, and in 2019, the year following the treatment. Wagner et al. 1996; Butler et al. 1997; Rastall et al. 2003; Boulton et al. 2007). However, in those
studies, too, insecticide concentrations were higher than what was used in the present study, and
because the sampled plant species were mostly deciduous, they supported a higher biomass and
greater diversity of caterpillars than coniferous trees do (Southwood et al. 2004). Wagner et al. 1996; Butler et al. 1997; Rastall et al. 2003; Boulton et al. 2007). However, in those
studies, too, insecticide concentrations were higher than what was used in the present study, and
because the sampled plant species were mostly deciduous, they supported a higher biomass and
greater diversity of caterpillars than coniferous trees do (Southwood et al. 2004). https://doi.org/10.4039/tce.2022.47 Published online by Cambridge University Press Glaus et al. 10 Fig. 4. Ordination plot (NMDS, k = 2) with Bray–Curtis dissimilarity matrix on the caterpillar community, A, during early
season in the year of the treatment (stress value: 0. 117); B, during late season in the year of treatment (stress
value: 0.100); and C, one year after treatment (stress value: 0.176). Fig. 4. Ordination plot (NMDS, k = 2) with Bray–Curtis dissimilarity matrix on the caterpillar community, A, during early
season in the year of the treatment (stress value: 0. 117); B, during late season in the year of treatment (stress
value: 0.100); and C, one year after treatment (stress value: 0.176). The numbers of caterpillars collected in treated and untreated sites in the present study were
lower than expected, which could explain the differences in results that the aforementioned earlier
studies found. https://doi.org/10.4039/tce.2022.47 Published online by Cambridge University Press Discussion This may be explained by differences in the half-lives of the two insecticides used, with Btk
having a half-life of 12 hours to a few days and tebufenozide having a half-life of 20–45 days
(Sundaram et al. 1996a, 1996b). Although a significant difference in caterpillar species
richness between the Btk-treated sites and the tebufenozide-treated sites remained one year
after treatment, the corresponding difference in community composition had disappeared in
that time. The phenology and the niche used by a caterpillar also influence its vulnerability to insecticides. Caterpillars feeding later in the season and those that are physically protected by plant structures
(e.g., leaf miners or stem borers) would be less affected than free-feeding caterpillars (Faeth 1986;
Leroy et al. 2021). At our sites, caterpillar species richness and abundance were highest in
September, more than two months after the sites were treated with insecticides in 2018. Therefore, in view of the limited half-lives of the insecticides used, their application early in
the season may have limited their impact on species that feed later in the season. Another
explanation for the absence of late-season effect in the year of treatment may be that
insecticides that are applied by aircraft are more concentrated in the canopy than in the
understorey (Armstrong and Yule 1978; Sundaram et al. 1997). Because of this, treatments
may affect caterpillars feeding in the canopy more than those feeding in the understorey. No
significant
effect
of
insecticide
treatment
was
observed
on
parasitism
rates
compared to those in the control sites, under the present study’s conditions of low caterpillar
densities. This finding indicates that host communities were not significantly impacted by
insecticide treatments. In addition, parasitised caterpillars feed less than their healthy
counterparts do and are therefore less likely to be affected by the insecticides (Nealis and van
Frankenhuyzen 1990). However, significantly higher parasitism rates were observed after
tebufenozide treatments than after Btk treatments in the year of application. The higher
caterpillar species richness in the Btk-treated sites likely accounts for this difference, given that
higher host species richness is expected to reduce the rate of parasitism (Montoya et al. 2003;
Hillebrand and Cardinale 2004; Tylianakis et al. 2006). However, parasitism rates were highest
at the end of the summer, when caterpillar species richness and abundance were also peaking. Discussion The same type of sampling, with the same protocol, was conducted on other sites
studied for spruce budworm in Québec, and the caterpillars were found to be approximately twice
as abundant (Valentine Glaus, unpublished data). This could be explained by the diversity of
plants,
mainly
understorey
plants
because
they
can
host
numerous
caterpillars,
by
geographical differences, or by the spruce budworm population density. Large stochastic
variations in Lepidoptera abundance (Myers 1988; Raimondo et al. 2004) could also explain
the low sample size: at low caterpillar abundance, the effect of insecticide may be diluted,
which might explain the absence of effect. The low number of caterpillars collected in the
present study prevented us from doing individual species analyses or analysing the effect of
the treatment throughout the season. g
In contrast, other studies have reported positive impacts of Btk treatments on nontarget
caterpillar species. For example, Btk seemingly protected geometrid species from the negative
impacts of spongy moth–induced defoliation (Sample et al. 1996; Manderino et al. 2014). Scriber (2004) argued that a Btk treatment might have a less of an impact on the caterpillar
species community than an outbreak caused by a major defoliator would. A rise in species 11 The Canadian Entomologist richness following Btk application could thus be explained by a reduction in the population levels
of an outbreaking species, which might increase the available foliage (Redman and Scriber 2000),
decrease the production of pest-induced plant defence compounds (Kosola et al. 2001; Fuentealba
and Bauce 2016), or increase parasitoid abundance (Holt and Lawton 1993; Redman and
Scriber 2000). Although tebufenozide also suppressed the population of an outbreaking
species, this insecticide has a substantially longer half-life than Btk does (Sundaram et al. 1996a,
1996b), which might explain tebufenozide having no significant positive impact on nontarget
caterpillar species richness. It should be pointed out here that the spruce budworm population
densities targeted under the Early Intervention Strategy are below levels that would cause
significant inter- or intraspecific competition, and therefore, the impact of removing the
outbreaking species might not be as important as it was in other studies. Results from the present study pointed to higher caterpillar species richness in Btk-treated sites
compared to tebufenozide-treated sites. A difference in community composition between the
treatments was also detected in the year of the treatment, both early and late in the season. https://doi.org/10.4039/tce.2022.47 Published online by Cambridge University Press Discussion In this case, the higher parasitism rates may reflect the fact that many parasitoids were
already within their overwintering hosts and had thus temporarily paused their development. Finally, parasitism rates also increased with spruce budworm density, which is not surprising,
considering that spruce budworm was the most abundant species sampled in the present
study
and
that
its
most
common
parasitoids
represented
about
one-third
of all parasitoid species detected (data not shown). These observations align with those of
Eveleigh et al. (2007), who reported that densities of generalist spruce budworm parasitoids
increase with that of their budworm host. Unfortunately, our data on these common spruce
budworm parasitoids are too sparse to allow further analysis. Given that the insecticide 12 Glaus et al. applications conducted in the present study did not significantly reduce parasitism rates, it is likely
that parasitoids will maintain their natural control of spruce budworm or other species in years
following treatments. This conclusion seems to be consistent with results of the ongoing
programme to date. Conclusion In view of the results presented here, we conclude that Early Intervention Strategy insecticide
applications conducted in New Brunswick neither significantly reduce nontarget caterpillar
abundance nor species richness, nor do they affect their parasitism rates. Nonetheless,
caterpillar species richness was higher in the Btk-treated sites than in the tebufenozide-treated
sites, probably because of differences in the half-lives of these two pest-control products –
differences that would contribute to lingering impacts on caterpillars feeding later in the
season and indirectly lead to a higher rate of parasitism in the tebufenozide-treated sites. The
insecticide treatments, in a context of population control and in sites with low caterpillar
abundance, reduced spruce budworm populations and did not adversely affect caterpillar
species richness and abundance, thus preventing apparent competition from decreasing the
natural controls on spruce budworm. The results of the present study support the hypothesis
that both Btk and tebufenozide, when used under the conditions described here, are well
suited to maintaining low-density spruce budworm populations in the context of the Early
Intervention Strategy. However, when and where high potential exists for rare or endangered
nontarget species to co-occur in forests where spruce budworm might be treated, caterpillar
communities should be monitored carefully to detect and mitigate any negative impacts of
either Btk or tebufenozide treatments. Supplementary material. To view supplementary material for this article, please visit
https://doi.org/10.4039/tce.2022.47. Acknowledgements. The authors would like to thank S. Trudeau, P. Huron, L.P. Gélinas,
S. Chantigny, M. Robichaud, T. Somers, C. Casey, A. Mathisen, E. Owens, R. Johns’ team, and
D. Stewart for their help with field and lab work. This research was funded by Natural
Resources Canada and was facilitated by the Healthy Forest Partnership, Forest Protection
Limited, and SERG-i. A scholarship from the Fonds de Recherche Nature et Technologies
Québec was provided to V.G. Competing interests. The authors declare no competing interests. Competing interests. The authors declare no competing interests. https://doi.org/10.4039/tce.2022.47 Published online by Cambridge University Press References Armstrong, J.A. and Yule, W.N. 1978. The distribution of aerially applied spray deposits in spruce
trees. The Canadian Entomolologist, 110: 1259–1267. https://doi.org/10.4039/Ent1101259-12. g
p
g
Bates, D., Mächlerr, A.M., Bolker, B., and Walker, S. 2015. Fitting linear mixed-effects models
using {lme4}. Journal of Statistical Software, 67: 1–48. g
Bouchard, M., Martel, V., Régnière, J., Therrien, P., and Correia, D.L.P. 2018. Do natural enemies
explain fluctuations in low-density spruce budworm populations? Ecology, 99: 2047–2057. https://doi.org/10.1002/ecy.2417. Boulanger, Y. and Arseneault, D. 2004. Spruce budworm outbreaks in eastern Quebec over the
last 450 years. Canadian Journal of Forest Research, 34: 1035–1043. https://doi.org/10.1139/
x03-269. https://doi.org/10.4039/tce.2022.47 Published online by Cambridge University Press 13 The Canadian Entomologist Boulanger, Y., Arseneault, D., Morin, H., Jardon, Y., Bertrand, P., and Dagneau, C. 2012. Dendrochronological
reconstruction
of
spruce
budworm
(Choristoneura
fumiferana)
outbreaks in southern Quebec for the last 400 years. Canadian Journal of Forest Research,
42: 1264–1276. https://doi.org/10.1139/x2012-069. Q
y
J
42: 1264–1276. https://doi.org/10.1139/x2012-069. Boulton, T.J., Otvos, I.S., Halwas, K.L., and Rohlfs, D.A. 2007. Recovery of nontarget Lepidoptera
on Vancouver Island, Canada: one and four years after a gypsy moth eradication program. Environmental Toxicology and Chemistry, 26: 738–748. https://doi.org/10.1897/06-079r1.1. gy
y
p
g
Butler, L., Kondo, V., and Blue, D. 1997. Effects of tebufenozide (RH-5992) for gypsy moth
(Lepidoptera: Lymantriidae) suppression on nontarget canopy arthropods. Environmental
Entomology, 26: 1009–1015. https://doi.org/10.1093/ee/26.5.1009. gy
p
g
Canadian Council of Forest Ministers. 2022. Pest control product use. From National Forestry
Database [online]. Available from http://nfdp.ccfm.org/en/data/pest.php#tab812 [accessed
3 March 2022]. Cappuccino, N., Lavertu, D., Bergeron, Y., and Régnière, J. 1998. Spruce budworm
impact, abundance and parasitism rate in a patchy landscape. Oecologia, 114: 236–242. https://doi.org/10.1007/s004420050441. p
g
Carson, R. 1962. Silent Spring. Houghton–Mifflin, Boston, Massachusetts, United States of
America. Chang, W.Y., Lantz, V.A., Hennigar, C.R., and MacLean, D.A. 2012. Economic impacts of forest
pests: a case study of spruce budworm outbreaks and control in New Brunswick. Canadian
Journal of Forest Research, 42: 490–505. Desneux, N., Decourtye, A., and Delpuech, J.M. 2006. The sublethal effects of pesticides on
beneficial arthropods. Annual Review of Entomology, 52: 81–106. https://doi.org/10.1146/
annurev.ento.52.110405.091440. Djoumad, A., Nisole, A., Zahiri, R., Freschi, L., Picq, S., Gundersen-Rindal, D.E., et al. 2017. Comparative analysis of mitochondrial genomes of geographic variants of the gypsy
moth, Lymantria dispar, reveals a previously undescribed genotypic entity. Scientific Reports,
7: 1–12. https://doi.org/10.1038/s41598-017-14530-6. Durkin, P. 2004. References Control/eradication agents for the gypsy moth: human health and ecological risk
assessment for Bacillus thuringiensis var. kurstaki (B.t.k) – final report. Syracuse Environmental
Research Associates, Inc., Fayetteville, New York, United States of America. Durkin, P. and Klotzbach, J. 2004. Control/eradication agents for the gypsy moth: human health
and ecological risk assessment for tebufenozide (mimic) – final report. Syracuse Environmental
Research Associates, Inc., Fayetteville, New York, United States of America. Eveleigh, E.S., McCann, K.S., McCarthy, P.C., Pollock, S.J., Lucarotti, C.J., Morin, B., et al. 2007. Fluctuations in density of an outbreak species drive diversity cascades in food webs. Proceedings
of the National Academy of Sciences, 104: 16976–16981. https://doi.org/10.1073/pnas.07043
01104. Faeth, S.H. 1986. Indirect interactions between temporally separated herbivores mediated by the
host plant. Ecology, 67: 479–494. https://doi.org/10.2307/1938591. Folmer, O., Black, M., Hoeh, W., Lutz, R., and Vrijenhoek, R. 1994. DNA primers for
amplification of mitochondrial cytochrome c oxidase subunit 1 from diverse metazoan
invertebrates. Molecular Marine Biology and Biotechnology, 3: 294–299. Fox, J. and Sanford, W. 2019. An R companion to applied regression. Third edition. Sage
Publications, Thousand Oaks, California, United States of America. Available from
https://socialsciences.mcmaster.ca/jfox/Books/Companion/ [accessed 10 February 2022]. j
y
Fuentealba, A. and Bauce, É. 2016. Interspecific variation in resistance of two host tree species to
spruce budworm. Acta Oecologica, 70: 10–20. https://doi.org/10.1016/j.actao.2015.11.001. Hillebrand, H. and Cardinale, B.J. 2004. Consumer effects decline with prey diversity. Ecological
Letters, 7: 192–201. https://doi.org/10.1111/j.1461-0248.2004.00570.x. https://doi.org/10.4039/tce.2022.47 Published online by Cambridge University Press Glaus et al. 14 Holmes, S.B. and MacQuarrie, C.J.K. 2016. Chemical control in forest pest management. The Canadian Entomologist, 148: S270–S295. https://doi.org/10.4039/tce.2015.71. Holmes, S.B. and MacQuarrie, C.J.K. 2016. Chemical control in forest pest management. h
d
l
h
d Holmes, S.B. and MacQuarrie, C.J.K. 2016. Chemical control in forest pest management. The Canadian Entomologist, 148: S270–S295. https://doi.org/10.4039/tce.2015.71. The Canadian Entomologist, 148: S270–S295. https://doi.org/10.4039/tce.2015.71. Holt, R.D. and Lawton, J.H. 1993. Apparent competition and enemy-free space in insect
h
t
it id
iti
A
i
N t
li t 142 623 645 Holt, R.D. and Lawton, J.H. 1993. Apparent competition and enemy-free space in insect
host–parasitoid communities. American Naturalist, 142: 623–645. Johns, R.C., Bowden, J.J., Carleton, D.R., Cooke, B.J., Edwards, S., Emilson, E.J.S., et al. 2019. A conceptual framework for the spruce budworm early intervention strategy: can outbreaks
be stopped? Forests, 10: 910. https://doi.org/10.3390/f10100910. pp
p
g
Kosola, K., Dickmann, D., Paul, E., and Parry, D. 2001. References Repeated insect defoliation effects on
growth, nitrogen acquisition, carbohydrates, and root demography of poplars. Oecologia,
129: 65–74. https://doi.org/10.1007/s004420100694. p
g
Lenth, R., Love, J., and Herve, M. 2022. emmeans: estimated marginal means, aka least-squares
means. Available from https://cran.r-project.org/package=emmeans [accessed 20 February
2022]. ]
Leroy, B.M.L., Gossner, M.M., Ferrini, G., Seibold, S., Lauer, F.P.M., Petercord, R., et al. 2021. Side
effects of insecticides on leaf-miners and gall-inducers depend on species ecological traits and
competition with leaf-chewers. Environmental Toxicology and Chemistry, 40: 1171–1187. https://doi.org/10.1002/etc.4969. p
g
Leroy, B.M.L., Seibold, S., Morinière, J., Bozicevic, V., Jaworek, J., Roth, N., et al. 2022. Metabarcoding of canopy arthropods reveals negative impacts of forestry insecticides on
community structure across multiple taxa. Journal of Applied Ecology, 59: 997–1012. https://doi.org/10.1111/1365-2664.14110. p
g
MacLean, D.A. 1984. Effects of spruce budworm outbreaks on the productivity and stability of
balsam fir forests. The Forestry Chronicle, 60: 273–279. https://doi.org/10.5558/tfc60273-5. MacLean, D.A. and Ostaff, D.P. 1989. Patterns of balsam fir mortality caused by an uncontrolled
spruce budworm outbreak. Canadian Journal of Forest Research, 9: 1087–1095. https://doi.org/
10.1139/x89-165. Madden, T. 2002. The BLAST sequence analysis tool. In The NCBI handbook [online]. Edited by
J. McEntyre and J. Ostell. National Center for Biotechnology Information and U.S. National
Library of Medicine, Bethesda, Maryland, United States of America. Available from
https://www.ncbi.nlm.nih.gov/books/NBK21097/ [accessed 13 September 2021]. p
g
p
Manderino, R., Crist, T.O., and Haynes, K.J. 2014. Lepidoptera-specific insecticide used to
suppress gypsy moth outbreaks may benefit non-target forest Lepidoptera. Agricultural and
Forest Entomology, 16: 359–368. https://doi.org/10.1111/afe.12066. Martinez Arbizu, P. 2020. pairwiseAdonis: pairwise multilevel comparison using Adonis. Available from https://github.com/pmartinezarbizu/pairwiseAdonis [accessed 25 January
2021]. May, E. 1982. Budworm battles: the fight to stop the aerial insecticide spraying of the forests of
Eastern Canada. Four East Publications, Halifax, Nova Scotia, Canada. Mazerolle, M.J. 2020. AICCcmodavg: model selection and multimodel inference based on
(Q)AIC(c). Available
from
https://cran.r-project.org/package=AICcmodavg
[accessed
11 December 2021]. Miller, J.C. 1990. Field assessment of the effects of a microbial pest control agent on nontarget
Lepidoptera. The American Entomologist, 36: 135–140. https://doi.org/10.1093/ae/36.2.135. Ministère des Forêts de la Faune et des Parcs. 2021. Aires infestées par la tordeuse des bourgeons
de l’épinette au Québec en 2021 [Areas infested by the spruce budworm in Québec in 2021]. Available from https://www.quebec.ca/nouvelles/actualites/details/aires-infestees-tbe-rapport-
2022 [accessed 2 February 2022]. Montoya, J.M., Rodríguez, M.A., and Hawkins, B.A. 2003. Food web complexity and higher-level
ecosystem services. Ecological Letters, 6: 587–593. https://doi.org/10.1046/j.1461-0248.2003. 00469.x. References https://doi.org/10.4039/tce.2022.47 Published online by Cambridge University Press The Canadian Entomologist 15 Moreau, G. and Bauce, É. 2003. Feeding behavior of spruce budworm (Lepidoptera: Tortricidae)
larvae subjected to multiple exposures of Bacillus thuringiensis variety kurstaki. Annals of the
Entomological Society of America, 96: 231–236. https://doi.org/10.1603/0013-8746(2003)096[
0231:FBOSBL]2.0.CO;2. Myers, J.H. 1988. Can a general hypothesis explain population cycles of forest Lepidoptera? In Advances in Ecological Research. Volume 18. Edited by M. Begon, A.H. Fitter, E.D. Ford,
and A. Macfadyen. Academic Press, Cambridge, Massachusetts, United States of America. Pp. 179–242. https://doi.org/10.1016/S0065-2504(08)60181-6. Nealis, V. and van Frankenhuyzen, K. 1990. Interactions between Bacillus thuringiensis Berliner
and Apanteles fumiferanae Vier. (Hymenoptera: Braconidae), a parasitoid of the spruce
budworm, Choristoneura fumiferana (Clem.) (Lepidoptera: Tortricidae). The Canadian
Entomologist, 122: 585–594. https://doi.org/10.4039/Ent122585-7. g
p
g
Nisole, A., Stewart, D., Kyei-Poku, G., Nadeau, M., Trudeau, S., Huron, P., et al. 2020. Identification of spruce budworm natural enemies using a qPCR-based molecular sorting
approach. Forests, 11: 621. https://doi.org/10.3390/f11060621. pp
p
g
Oksanen, J., Blanchet, G.F., Friendly, M., Kindt, R., Legendre, P., McGlinn, D., et al. 2020. vegan:
community
ecology
package. Available
from
https://cran.r-project.org/package=vegan
[accessed 26 January 2022]. y
Pfannenstiel, R.S., Unruh, T.R., and Brunner, J.F. 2010. Overwintering hosts for the exotic
leafroller parasitoid, Colpoclypeus florus: implications for habitat manipulation to augment
biological control of leafrollers in pome fruits. Journal of Insect Sciences, 10: 75. https://doi.org/10.1673/031.010.7501. p
g
Pureswaran, D.S., Johns, R., Heard, S.B., and Quiring, D. 2016. Paradigms in eastern spruce
budworm (Lepidoptera: Tortricidae) population ecology: a century of debate. Environmental
Entomology, 45: 1333–1342. https://doi.org/10.1093/ee/nvw103. gy
p
g
R Core Team. 2021. R: a language and environment for statistical computing. R Foundation for
Statistical Computing, Vienna, Austria. Available from https://www.R-project.org/. Raimondo, S., Liebhold, A.M., Strazanac, J.S., and Butler, L. 2004. Population synchrony within
and among Lepidoptera species in relation to weather, phylogeny, and larval phenology. Ecological Entomology, 29: 96–105. https://doi.org/10.1111/j.0307-6946.2004.00579.x. g
gy
p
g
j
Rastall, K., Kondo, V., Strazanac, J.S., and Butler, L. 2003. Lethal effects of biological insecticide
applications
on
nontarget
lepidopterans
in
two
Appalachian
forests. Environmental
Entomology, 32: 1364–1369. https://doi.org/10.1603/0046-225X-32.6.1364. Redman, A.M. and Scriber, J.M. 2000. Competition between the gypsy moth, Lymantria dispar,
and the northern tiger swallowtail, Papilio canadensis: interactions mediated by host plant
chemistry, pathogens, and parasitoids. Oecologia, 125: 218–228. https://doi.org/10.1007/s004
420000444. Régnière, J. and Duval, P. 1998. Overwintering mortality of spruce budworm, Choristoneura
fumiferana
(Clem.)
(Lepidoptera:
Tortricidae),
populations
under
field
conditions. The Canadian Entomologist, 130: 13–26. References https://doi.org/10.4039/Ent13013-1. Régnière, J. and Nealis, V.G. 2007. Ecological mechanisms of population change during outbreaks
of the spruce budworm. Ecological Entomology, 32: 461–477. https://doi.org/10.1111/j.1365-
2311.2007.00888.x. Régnière, J., Cooke, B.J., Béchard, A., Dupont, A., and Therrien, P. 2019. Dynamics
and management of rising outbreak spruce budworm populations. Forests, 10: 748. https://doi.org/10.3390/f10090748. Régnière, J., Venier, L., and Welsh, D. 2021. Avian predation in a declining outbreak population of
the spruce budworm, Choristoneura fumiferana (Lepidoptera: Tortricidae). MDPI: Insects,
12: 720. https://doi.org/10.3390/insects12080720. https://doi.org/10.4039/tce.2022.47 Published online by Cambridge University Press Glaus et al. 16 Roback, P. and Legler, J. 2021. Beyond multiple linear regression: applied generalized linear
models and multilevel models in R. Chapman and Hall/CRC, Routledge: Taylor & Francis
Group, Boca Raton, Florida, United States of America. P. 436. https://doi.org/10.1201/
9780429066665. Roback, P. and Legler, J. 2021. Beyond multiple linear regression: applied generalized linear
models and multilevel models in R. Chapman and Hall/CRC, Routledge: Taylor & Francis
Group, Boca Raton, Florida, United States of America. P. 436. https://doi.org/10.1201/
9780429066665. Royama, T. 1984. Population dynamics of the spruce budworm Choristoneura fumiferana. Ecological Monographs, 54: 429–462. https://doi.org/10.2307/1942595. Sample, E., Butler, L., Zivkovich, C., Whitmore, R., and Reardon, R. 1996. Effects of Bacillus
thuringiensis Berliner var. kurstaki and defoliation by the gypsy moth (Lymantria dispar (L.)
(Lepidoptera: Lymantriidae)) on native arthropods in West Virginia. The Canadian
Entomologist, 128: 573–592. https://doi.org/10.4039/Ent128573-4. g
p
g
Schowalter, T.D. 2012. Insect herbivore effects on forest ecosystem services. Journal of Sustainable
Forestry, 31: 518–536. https://doi.org/10.1080/10549811.2011.636225. Scriber, J.M. 2004. Non-target impacts of forest defoliator management options: decision for no
spraying may have worse impacts on non-target Lepidoptera than Bacillus thuringiensis
insecticides. Journal of Insect Conservation, 8: 241–261. https://doi.org/10.1007/s10841-
004-1357-9. Sharma, A., Kumar, V., Shahzad, B., Tanveer, M., Sidhu, G.P.S., Handa, N., et al. 2019. Worldwide
pesticide usage and its impacts on ecosystem. SN Applied Sciences, 1: 1446. https://doi.org/10. 1007/s42452-019-1485-1. Siviter, H. and Muth, F. 2020. Do novel insecticides pose a threat to beneficial insects? Proceedings
of the Royal Society, B – Biological Sciences, 287: 20201265. https://doi.org/10.1098/rspb.2020. 1265. Southwood, T.R.E., Wint, G.R.W., Kennedy, C.E.J., and Greenwood, S.R. 2004. Seasonality,
abundance, species richness and specificity of the phytophagous guild of insects on oak
(Quercus) canopies. European Journal of Entomology, 101: 43–50. https://doi.org/10.14411/
eje.2004.011. Sundaram, A., Sundaram, K.M.S., and Sloane, L. 1996a. Spray deposition and persistence
of a Bacillus thuringiensis formulation (Foray® 76B) on spruce foliage, following aerial
application over a northern Ontario forest. Cite this article: Glaus, V., Nisole, A., Edwards, S., Bélanger, S., Johns, R.C., Djoumad, A., Cusson, M., Fournier, V., and
Martel, V. 2023. Nontarget impacts of insecticide-based population control of eastern spruce budworm (Lepidoptera:
Tortricidae) on nontarget caterpillar communities and parasitism. The Canadian Entomologist. https://doi.org/10.4039/
tce.2022.47. https://doi.org/10.4039/tce.2022.47 Published online by Cambridge University Press References Journal of Environmental Science and Health,
Part B, 31: 763–813. https://doi.org/10.1080/03601239609373037. p
g
Sundaram, K.M.S., Sundaram, A., and Hammock, B.D. 1994. Persistence of Bacillus thuringiensis
deposits in a hardwood forest after aerial application of a commercial formulation at two dosage
rates. Journal of Environmental Science and Health, Part B, 29: 999–1052. https://doi.org/
10.1080/03601239409372914. Sundaram, K.M.S., Sundaram, A., and Sloane, L. 1996b. Foliar persistence and residual activity of
tebufenozide against spruce budworm larvae. Pesticide Science, 47: 31–40. https://doi.org/
10.1002/(SICI)1096-9063(199605)47:1<31::AID-PS380>3.0.CO;2-4. Sundaram, K.M.S., Sundaram, A., Huddleston, E., Nott, R., Sloane, L., Ross, J., and Ledson, M. 1997. Deposition, distribution, persistence and fate of Bacillus thuringiensis variety kurstaki
(Btk) in pecan orchards following aerial and ground appucations to control pecan nut
casebearer larvae. Journal of Environmental Science and Health, Part B, 32: 741–788. https://doi.org/10.1080/03601239709373112. p
g
Tylianakis, J.M., Tscharntke, T., and Klein, A.M. 2006. Diversity, ecosystem function, and stability
of parasitoid–host interactions across a tropical habitat gradient. Ecology, 87: 3047–3057. https://doi.org/10.1890/0012-9658(2006)87[3047:DEFASO]2.0.CO;2. van Frankenhuyzen, K., Nystrom, C., and Liu, Y. 2007. Vertical transmission of Nosema
fumiferanae (Microsporidia: Nosematidae) and consequences for distribution, post-diapause
emergence and dispersal of second-instar larvae of the spruce budworm, Choristoneura
fumiferana
(Clem.)
(Lepidoptera:
Tortricidae). Journal
of
Invertebrate
Pathology,
96: 173–182. https://doi.org/10.1016/j.jip.2007.03.017. https://doi.org/10.4039/tce.2022.47 Published online by Cambridge University Press The Canadian Entomologist 17 Wagner, D.L., Peacock, J.W., Carter, J.L., and Talley, S.E. 1996. Field assessment of Bacillus
thuringiensis
on
nontarget
Lepidoptera. Environmental
Entomology,
25:
1444–1454. https://doi.org/10.1093/ee/25.6.1444. p
g
Westwood, R., Saunders, D., Westwood, A.R., and Holliday, N.J. 2019. Effects of tebufenozide on
the assemblage of moths (Lepidoptera) in an operational spruce budworm (Lepidoptera:
Tortricidae)
suppression
programme. The
Canadian
Entomologist,
151:
651–676. https://doi.org/10.4039/tce.2019.40. p
g
Zuur, A., Leno, E.N., Walker, N., Saveliev, A.A., and Smith, G.M. 2009. Mixed effects models
and extensions in ecology with R. Springer-Verlag, New York, New York, United States of
America.
|
https://openalex.org/W2065524839
|
https://journals.plos.org/plosone/article/file?id=10.1371/journal.pone.0060196&type=printable
|
English
| null |
Effective Part-Task Training as Evidence of Distinct Adaptive Processes with Different Time Scales
|
PloS one
| 2,013
|
cc-by
| 10,085
|
Abstract Competing Interests: The authors have declared that no competing interests exist. * E-mail: suelzenbrueck@ifado.de The mastery of a tool implies the production of an input
(movements of the hand) appropriate for the desired output
(correct movement of the effective part of the tool). Determination
of the appropriate input requires an inversion of the respective
visuo-motor transformation [17]. The inversion can be approxi-
mated in two different ways [18], either under visual closed-loop
(or feed-back) control or under visual open-loop (or feed-forward)
control. When concurrent visual feedback is available, movement
corrections can occur on-line in the course of the movements,
generally resulting in accurate movements if there is no time
pressure. Successful closed-loop control does not require the
acquisition of a sufficiently accurate internal representation or
internal model relating hand movements to the movements of the
effective part of the tool [19]. In contrast, open-loop (or feed-
forward) control requires such an internal model of the visuo-
motor transformation. With a correct internal model, the input
required to reach a desired output can be planned before the
movement is started. Therefore, the acquisition of an internal
model of a visuo-motor transformation enables accurate move-
ments without concurrent visual feedback. Sandra Su¨ lzenbru¨ ck*, Herbert Heuer Leibniz Research Centre for Working Environment and Human Factors, Dortmund, Germany Leibniz Research Centre for Working Environment and Human Factors, Dortmund, Germany Leibniz Research Centre for Working Environment and Human Factors, Dortmund, Germany Effective Part-Task Training as Evidence of Distinct
Adaptive Processes with Different Time Scales Sandra Su¨ lzenbru¨ ck*, Herbert Heuer Abstract For some types of visuo-motor transformations like large visuo-motor rotations or the complex transformation of a sliding
first-order lever, distinct adaptive processes have been hypothesized that produce a rapid, discrete approximation of the
transformation and a slow, graded fine tuning, respectively. Here we investigate whether part-task training of only the
second of these processes, namely the fine tuning, transfers to the subsequent performance in a condition with the full
transformation of the sliding first-order lever. Therefore, we compared performance of three groups with different practice
conditions during transfer to the full transformation. While two groups only practiced the fine tuning without the right-left
inversion of the lever prior to transfer, a third group practiced the full lever transformation. Our results show a positive, but
less than perfect transfer of the isolated practice of the fine tuning on performance with the full transformation. For the fine
tuning itself, transfer was not reliably different from being perfect. The observation that the fine tuning can be acquired
separately and added to the later adaptation to the left-right inversion of the lever supports the notion that these slow and
fast processes progress rather independently. The additional finding that the preceding acquisition of the fine tuning also
facilitates the subsequent rapid process could be due to generalized learning-to-learn or to a more precise assignment of
movement errors to the process from which they originate. Citation: Su¨lzenbru¨ck S, Heuer H (2013) Effective Part-Task Training as Evidence of Distinct Adaptive Processes with Different Time Scales. PLoS ONE 8(3): e60196. doi:10.1371/journal.pone.0060196
Edit
R b
t J
B
VU U i
it
A
t
d
Th
N th
l
d Editor: Robert J. van Beers, VU University Amsterdam, The Netherlands Received October 22, 2012; Accepted February 22, 2013; Published March 27, 2013 enbru¨ck, Heuer. 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. pyright: 2013 Su¨lzenbru¨ck, Heuer. This is an open-access article distributed under the terms of the Creative Commons Attribution
restricted use, distribution, and reproduction in any medium, provided the original author and source are credited. Funding: This research was supported by grant HE 1187/16-1 of the Deutsche Forschungsgemeinschaft (DFG). The funders had no role in study design, data
collection and analysis, decision to publish, or preparation of the manuscript. Apparatus Figure 1 illustrates the experimental setup. Participants sat in
front of a 17-inch computer monitor with a resolution of 1280
pixels x 1024 pixels and a refresh rate of 60 Hz which was placed
on a table. A Wacom digitizer with a resolution of 1280 pixels x
1024 pixels and an active area of 324 mm x 243 mm (Wacom
Europe GmbH, Krefeld, Germany) was located on the table
between the participant and the monitor. At the far edge of the
digitizer a vertical frame was mounted that carried the bearings of
a 355 mm long sliding horizontal first-order lever. The mass of this
lever
was
0.37 kg
and
its
moment
of
inertia
was
0.0061+0.37 r2kgm2, where r is the distance of the center of mass
of the lever from the fulcrum. Friction was minimized for rotations
around the vertical axis (no movement was possible around the
horizontal axis) and for translations through appropriate ball-
bearings. In conditions where the physical lever was used, a pen
was attached to its proximal end. When the virtual lever was used
and during trials without a tool (familiarization and pre-test), the
pen was dismounted from the lever. In all trials the position of the
pen (x-y-coordinates) on the digitizer was recorded with a
sampling rate of 60 Hz. An opaque screen 240 mm above the
table surface prevented the participants from seeing their hand as
well as the apparatus. The hypothesis of distinct processes of sensori-motor adaptation
suggests that the acquired internal model of a transformation can
be decomposed into different components that can be acquired
separately. Positive transfer of previously learned components of a
transformation on subsequent performance has been shown, for
example, for dynamic and kinematic transformations [24–25] and
for different dynamic transformations [26]. In the case of the sliding first-order lever the hypothesized
distinct processes are fast and slow. Their outcomes, the line-
symmetric approximation and the fine tuning, can be observed in
sequence, and it is unknown whether the processes also start in
sequence or concurrently. The assumption of distinct processes of
sensori-motor adaptation implies the hypothesis that the order of
fast and slow processes can be reversed, even when the processes
operate in sequence (except when the output of the fast process
serves as an input for the slow process). Introduction Humans are remarkably proficient in tool use. This proficiency
is based on adaptation to transformations of bodily movements
into movements of the effective parts of the tools. Models of the
mechanisms involved posit that distinct processes contribute to
adaptation to sensori-motor transformations [1–5]. Such processes
are claimed to differ in various characteristics such as their
dynamics and their accessibility to cognitive control. Here we test
a particular two-process hypothesis for a complex kinematic
transformation by means of a transfer study. For some types of kinematic transformation two distinct
processes have been suggested that differ both in their rate and
in the type of changes they produce, namely discrete or graded
ones. For example, according to Abeele and Bock [6] adaptation
to large visuomotor rotations between 90u and 180u invokes a fast
process which produces a discrete point-symmetric approximation,
that is, an abrupt change of the arm-movement direction by 180u
relative to the target direction. The slow process then produces a
graded shift to the smaller correct rotation. A similar combination
of discrete and continuous processes has been hypothesized for
adaptation to right-left reversal [7] and for the acquisition of the
internal model [8–9] of the complex kinematic transformation of a
sliding first-order lever [10–12]. At first glance the transformation
of a sliding first-order lever may appear as a somewhat esoteric
object of study. However, this is the type of transformation of
typical instruments used in minimal access surgery [13–15], and its
mastery is crucial for the clinical outcome [16]. Control of a sliding first-order lever relies both on visual
feedback and on an acquired internal model of the transformation. The characteristics of the internal model of the transformation of
the tool can be assessed when visual feedback is turned off [8,20–
22]. Based on performance in visual open-loop trials, a rapid and a
slow process have been claimed to contribute to the acquisition of
the internal model [10–12]. The rapid process should result in a 1 March 2013 | Volume 8 | Issue 3 | e60196 March 2013 | Volume 8 | Issue 3 | e60196 PLOS ONE | www.plosone.org Part-Task Training and Adaptive Processes Part-Task Training and Adaptive Processes discrete line-symmetric approximation of the transformation,
whereas the slow process should consist of a graded fine tuning
of the internal model. These two processes will be described in
more detail. Introduction with a constant mass and therefore a constant inertia (group non-
inverting virtual lever). All groups were transferred to the full lever
transformation after practice, and performance differences de-
pending on the type of prior practice were analyzed. The first process is rapid and produces a line-symmetric
approximation of the kinematic transformation of the sliding lever:
hand movements come to end in positions that are laterally
symmetric to the visually presented targets. The symmetry axis is
the vertical or horizontal axis of the frame of reference with its
origin in the start positions of a cursor, representing the position of
the end effector on the monitor, and the frame of reference with its
origin in the start position of the hand. This approximation
accounts for the left-right inversion of lateral movements of the tip
of the lever relative to those of the hand, the so-called fulcrum
effect [13]. The approximation neglects variations of movement
directions (and amplitudes) resulting from a direction-dependent
gain factor (gain anisotropy) that depends on the relative lengths of
the effort arm and the load arm [23]. The fine tuning of the
internal model, which takes this gain anisotropy into account, is
hypothesized to be a second and slow process. It gives rise to a
gradual shift of the end positions of hand movements away from
the line-symmetric approximation to the correct positions. Ethics statement All participants had given written informed consent prior to the
start of the experiment. The experiment was conducted at the
Leibniz Research Centre for Working Environment and Human
Factors in Dortmund, Germany, in accordance with the ethical
standards laid down in the 1964 Declaration of Helsinki. Behavioral studies like these which do not put any load on the
participants are approved by the ethics committee of the Leibniz
Research Centre for Working Environment and Human Factors
without requiring an individual request for approval. Participants Sixty right-handed volunteers with normal or corrected-to-
normal vision participated in this study (mean age 24.163.32
years, 30 female). Participants were assigned to three groups with
different practice conditions (10 female participants per group),
group inverting physical lever, group non-inverting physical lever, and
group non-inverting virtual lever. All participants received 22 J for
taking part in the experiment. A sliding first-order lever is a physical object with variable
inertial resistance. Its dynamic transformation presents as an
inertial anisotropy, which means that the inertial load depends on
the direction of movement in a way that is again position-
dependent [23]. For translations of the lever (sliding forward and
backward), the inertial load is constant, namely the mass of the
lever. In contrast, for rotations of the lever there is a different
inertial load which depends on the relative lengths of the effort
arm and the load arm. The inertial load is relatively smaller, the
longer the effort arm is, and it is relatively higher, the longer the
load arm is. For all directions that are combinations of rotations
and translations, the inertial load is a combination of the pure
cases. The inertial anisotropy has the effect that the direction of
movement deviates from the direction of force. Apparatus This hypothesis is tested in
the present study for the acquisition of an internal model of the
complex transformation of a sliding first-order lever. Part-Task Training and Adaptive Processes Figure 1 Experimental setup for the physical and the virtual
lever. doi:10.1371/journal.pone.0060196.g001 participants to move the distal end of the lever and thus the red
cursor as accurately and rapidly as possible to the target position. Movements were performed under three conditions of visual
feedback. In trials with continuous visual feedback the cursor
remained visible throughout each movement. The end of the
movement was determined by a velocity criterion – velocity had to
be less than 5 mm/s for 0.5 s – and an accuracy criterion – the
deviation of the cursor from the target had to be less than 1.2 mm. In trials with terminal visual feedback, the cursor disappeared at
the start of the movement and re-appeared after its end had been
determined by the velocity criterion. The cursor, together with the
target, remained visible in its final position for 1 s. Trials without
visual feedback were identical except that the cursor did not re-
appear after the end of the movement. Only in trials with
continuous visual feedback visual closed-loop control was possible,
but not in trials with terminal or no visual feedback. Figure 1 Experimental setup for the physical and the virtual
lever. doi:10.1371/journal.pone.0060196.g001 doi:10.1371/journal.pone.0060196.g001 arrows appearing at the edges of the monitor. When the position
of the (invisible) cursor had reached a circular region of 10 mm
radius around the start position, the cursor appeared on the
monitor to assist in homing-in. When the start position had been
reached with a tolerance of 1.2 mm and the cursor had remained
within the tolerance for 1 s, the color of the start circle changed
from white to green. At the same time, a target, a filled white circle
of 1.8 mm radius, appeared. This was the signal for the During the experiment the participants encountered different
transformations. During familiarization and a pre-test there was a
direct 1:1 mapping, so that the motion of the cursor corresponded
directly to the movement of the hand. In the transfer phase all
groups used the physical lever. Its transformation is illustrated in
Figure 2a by way of showing the hand movements appropriate for
straight cursor motions to the 8 targets. Task Participants grasped a hold mounted at the tip of the pen with
two or three fingers of their dominant right hand. They were asked
to move the distal tip of the lever as accurately and rapidly as
possible to one of eight possible target locations. The position of
the distal tip of the lever was represented on the monitor by the
position of a cursor (red filled circle of 1 mm radius). The target
locations were arranged on a circle of 50 mm radius around a start
position (see Figure 2), which was marked by a filled white circle of
1.8 mm radius. Target directions were 0u (to the right), 45u, 90u
(forward/upward), 135u, 180u, 225u, 270u, and 315u. Specifically we ask whether part-task training of the slow fine
tuning transfers to the acquisition of the full transformation of the
lever. Therefore the mechanical transformation of a sliding first-
order lever was practiced by one group of participants (group
inverting physical lever). For two other groups we removed the feature
of the kinematic transformation associated with the rapid discrete
approximation; in consequence these participants only practiced
the fine tuning. To investigate the impact of the dynamic
transformation, only one of these groups used the physical lever
(group non-inverting physical lever), while the other group used a pen At the beginning of a trial the cursor was invisible. To reach the
start position, the participants had to move the pen according to PLOS ONE | www.plosone.org March 2013 | Volume 8 | Issue 3 | e60196 March 2013 | Volume 8 | Issue 3 | e60196 2 Part-Task Training and Adaptive Processes Design Finally, there was a transfer phase in which all three groups of
participants used the physical lever. It consisted of 6 blocks of 26
trials each. Again in the first as well as the last block continuous
visual feedback was provided. In the intermediate blocks, except
for the last of them without visual feedback, terminal visual
feedback was presented after each movement. Table 1 summarizes the experimental protocol. The experiment
began with a block of familiarization trials and a pre-test. The
familiarization block consisted of 26 trials with continuous visual
feedback. Each of the 8 targets was presented three times in a
random order, following two initial warm-up trials. The pre-test
consisted of 50 trials without visual feedback. In this test not only
each of the 8 targets was presented three times, but there were 8
additional targets which corresponded to the correct end positions
of the hand movements in the presence of the transformation. The
pre-test served to compare the initial performance levels of the
three experimental groups, which could be different just by
chance. During
familiarization
and
pre-test,
the
pen
was
dismounted from the lever apparatus. In these trials, the visuo-
motor transformation was 1:1, with hand movements resulting in
cursor movements of the same direction and amplitude (except for
the transformation from the horizontal movement plane of the
digitizer to the vertical plane of the computer screen). Part-Task Training and Adaptive Processes transfer phase, but for the other two groups the kinematic
transformation was simplified as illustrated in Figure 2b. For these
groups lateral hand movements resulted in cursor motions in the
same rather than in opposite directions, that is, the lever was not
inverting. In group non-inverting physical lever the dynamic transfor-
mation remained that of the lever, but in group non-inverting virtual
lever the dynamic transformation was absent. The pen was
dismounted from the lever so that the inertia of the tool was no
longer anisotropic, but constant. ment. In the remaining practice blocks visual feedback was
terminal, that is, the final position of the cursor was presented
together with the target position after the end of the movement. Terminal-feedback practice has been shown to facilitate the fine
tuning of the internal model of the transformation of the sliding
lever as compared with continuous visual feedback [21]. Only in
the block immediately preceding the last block with continuous
visual feedback there was no visual feedback at all. Thus, in this
block trial-to-trial corrections based on terminal feedback were not
possible. Such guidance by knowledge of results presented after
each movement can affect performance in principle [27]. Part-Task Training and Adaptive Processes During the practice phase
group inverting physical lever used the normal physical lever as in the Figure 2 Target configurations with straight paths of the cursor and associated paths of the hand with the inverting lever (a) and
the non-inverting lever (b). doi:10.1371/journal.pone.0060196.g002 Figure 2 Target configurations with straight paths of the cursor and associated paths of the hand with the inverting lever (a) and
the non-inverting lever (b). doi:10.1371/journal.pone.0060196.g002 March 2013 | Volume 8 | Issue 3 | e60196 PLOS ONE | www.plosone.org 3 Part-Task Training and Adaptive Processes Data analysis y
The x-y coordinates of the pen (input of the kinematic
transformation) as well as the computed x-y coordinates of the
tip of the inverting or non-inverting physical or virtual lever
(output of the kinematic transformation) were recorded in a
Cartesian coordinate system with its origin in the fulcrum. For
each movement, each of the four time series was low-pass filtered
(fourth-order Butterworth, 10 Hz, dual-pass) and differentiated
(two-point central difference algorithm). Start and end of each
movement were determined from the tangential velocity of the
hand. Beginning at peak velocity and scanning in forward and
backward direction, those times were identified at which velocity
became smaller than 4 mm/s and remained so for 450 ms. For the
computation of averaged movement paths, movements were
normalized to a standard duration. The pre-test was followed by the practice phase. In total there
were 12 blocks of 26 trials each in this phase. In each block each of
the 8 targets was presented three times in a random order,
preceded by 2 warm-up trials. In the first and last practice block
visual feedback was presented continuously during each move- Table 1. Experimental design. phase
blocks
transformation
visual feedback
familiarization
1
1:1
continuous
pre-test
1
1:1
no
practice
1
inverting physical lever
non-inverting physical lever
non-inverting virtual lever
continuous
2
terminal
3
4
5
6
7
8
9
10
11
no
12
continuous
transfer
1
inverting physical lever
continuous
2
terminal
3
4
5
no
6
continuous
doi:10.1371/journal.pone.0060196.t001
PLOS ONE | www.plosone.org
4
March 2013 | Volume 8 | Issue 3 | e60196 Table 1. Experimental design. Table 1. Experimental design. doi:10.1371/journal.pone.0060196.t001 March 2013 | Volume 8 | Issue 3 | e60196 March 2013 | Volume 8 | Issue 3 | e60196 PLOS ONE | www.plosone.org Part-Task Training and Adaptive Processes Part-Task Training and Adaptive Processes For each trial a number of dependent variables were computed
that served both the screening of the data and their statistical
analysis. Neglecting the initial familiarization block and the
warming-up trials, each participant performed 480 movements. Representative trajectories For the remaining trials movement time and Euclidean error of
the end position of cursor motion were determined. For each block
of trials these were averaged across trials in which the same target
was presented, and these means were again averaged across the
eight target directions. For trials with terminal or no visual
feedback the performance variable was the (Euclidean) error,
which captures both the systematic and variable errors of cursor
position. For trials with continuous visual feedback accuracy was
essentially perfect and errors were zero. As marker of the efficiency
of control and thus as performance variable we used movement
time. Figure 4 presents averaged movement paths of one participant
of each group in the first blocks of trials with the inverting physical
lever
with
continuous
visual-feedback
(thin
lines)
and
the
subsequent block of trials with terminal visual-feedback (thick
lines). The upper row of graphs shows the paths of the cursor, the
lower row of graphs shows the paths of the hand. Of course, with
terminal visual feedback the path of the cursor could not be
perceived, and visual closed-loop control was impossible. The
filled circles mark the positions of the targets presented on the
monitor and the corresponding correct end positions of the hand
movements. The open circles mark the end positions according to
the line-symmetric approximation and the corresponding positions
of the cursor. For trials without visual feedback, we computed two more
dependent variables from the final hand positions that served as
markers for the two hypothesized processes, one assessing the
compensation of the left-right inversion (line-symmetric approx-
imation) and the other assessing the fine tuning. As a measure for
the inversion we computed the percentage of hand movements
that ended in the correct quadrant of a rotated coordinate system,
that is, the percentage of hand movements with a directional error
less than 45u. The rationale and computation of the dependent
variable for the assessment of the fine tuning is illustrated in
Figure 3. In this Figure the filled circles show the correct end
positions of hand movements, and the open circles show the end
positions appropriate for the symmetry approximation. In addition
averaged movement paths of a single participant of group non-
inverting virtual lever in the last practice block without visual feedback
are shown, numbered according to the targets (cf. Figure 2). Baseline performance We compared the initial performance level of the three groups
of participants in terms of movement time and accuracy in the
visual open-loop pre-test. When assessed under identical condi-
tions, performance turned out to be equivalent. According to one-
way
ANOVAs,
neither
the
variation
of
movement
time,
F(2,57) = 1.2, p..20, nor of Euclidean errors, F(2,57) = 1.0,
p..20, was statistically significant. Mean movement times were
1507, 1293, and 1401 ms in the three groups inverting physical lever,
non-inverting physical lever, and non-inverting virtual lever, respectively,
and the mean Euclidean errors were 19.4, 16.0, and 20.0 mm. Data analysis Movements that satisfied one of the following criteria were
classified as invalid: (1) trial not finished within 30 s or recording
failure; (2) movement time less than 200 ms; (3) movement time
longer than 5000 ms (except for movements with continuous
visual feedback); (4) path length longer than five times the distance
between initial and final position (except for movements with
continuous visual feedback); (5) more than 2.5 mm distance of the
initial position from the start position (a rare event that occurs
when the main movement is preceded by a short initial one). The
mean numbers of discarded trials were 4.5, 3.3, and 3.3
(corresponding to 0.9, 0.7, and 0.7%) in the three groups inverting
physical lever, non-inverting physical lever, and non-inverting virtual lever,
respectively. According to a one-way ANOVA the variation across
groups was not significant, F(2,57) = 1.0, p..20. order lever. Thereafter we report the performance variations
during the practice phase and the analysis of transfer performance. Finally we turn to the markers of the two hypothesized processes of
learning the transformation, the inversion and the fine tuning. Representative trajectories Figure 4 illustrates some fundamental movement characteristics
as they can be observed with a sliding first-order lever as a tool. First, with continuous visual feedback, movements were accurate
at the end. Their initial direction, however, was more or less the
same as that of the movements without continuous visual feedback
to the same target. In-between, the averaged movement paths
appeared somewhat erratic. This is a consequence of averaging
quite diverse paths of individual movements. Second, in the
absence of continuous visual feedback movement paths of the
hand were rather straight, and the paths of the cursor were curved
accordingly. The paths of the hand did not end at the correct
positions, but generally close to the positions corresponding to the
line-symmetric approximation. Practice When hand movements ended at the positions appropriate for
the symmetry approximation, the angles between movement paths
2 and 4, 1 and 5, and 6 and 8 were 90u, 180u, and 270u,
respectively. When the movements ended at the correct positions,
these angles were smaller by 30.9u, 32.1u, and 37.3u, that is, by
33.4u on the average. We computed the average angular deviation
from the symmetry approximation for each participant and each
block of trials from the mean directions of the movements to each
target. This measure of the quality of fine tuning, which is 0 for the
symmetry approximation and 33.4u for perfect fine tuning, is
independent of eventual overall rotations of movement directions
relative to target directions. For the computation of the angular
deviation only movements were analyzed which compensated for
the left-right inversion. In the first and last practice block continuous visual feedback
was presented. In these blocks accuracy was essentially perfect, but
the time needed for the cursor to reach the target varied across
groups and blocks of trials. Therefore movement time served as a
performance criterion. Mean movement times in continuous-
feedback trials of the practice phase are shown in Figure 5. Movement time was longer in group inverting physical lever than in
the other two groups which hardly differed from each other. Whereas in group inverting physical lever there was a strong practice
effect of 2111 ms, it was only small (137 and 115 ms) in the two
groups who used a non-inverting physical or virtual lever. In spite
of the different practice effects, a difference of 1224 ms remained
at the end of practice. A two-way ANOVA with the between-
participant factor group and the within-participant factor block of
continuous-feedback trials (initial vs. final block of practice)
revealed
significant
main
effects
of
group,
F(2,57) = 111.3,
p,.001, and block, F(1,57) = 53.0, p,.001, as well as a significant
interaction, F(2,57) = 51.5, p,.001. Results First, we present baseline performance and illustrate some
fundamental characteristics of movements with the sliding first- March 2013 | Volume 8 | Issue 3 | e60196 PLOS ONE | www.plosone.org 5 Part-Task Training and Adaptive Processes Figure 3 Mean hand-movement paths of a participant of group non-inverting virtual lever in the last practice block without visual
feedback. Filled circles mark correct endpoints, open circles endpoints appropriate for the symmetry approximation. Angles measured between
movements to three pairs of targets are illustrated. For the symmetry approximation these angles are 90u, 180u, and 270u, respectively; for correct
endpoints they are smaller by 33.4u on average
doi:10.1371/journal.pone.0060196.g003 Figure 3 Mean hand-movement paths of a participant of group non-inverting virtual lever in the last practice block without visual
feedback. Filled circles mark correct endpoints, open circles endpoints appropriate for the symmetry approximation. Angles measured between
movements to three pairs of targets are illustrated. For the symmetry approximation these angles are 90u, 180u, and 270u, respectively; for correct
endpoints they are smaller by 33.4u on average
doi:10.1371/journal.pone.0060196.g003 The first continuous-feedback block of practice was followed by
nine blocks of trials with terminal visual feedback. For these trials
accuracy of the cursor motion served as performance criterion. The mean errors are shown in Figure 6. For group inverting physical
lever errors were larger than in the other two groups, which did
hardly differ from each other. Whereas in group inverting physical
lever there was a strong practice effect, with a difference of
15.0 mm between the first and last terminal-feedback practice
block, the practice effect was only small (1.9 and 2.7 mm) in the
two groups who used a non-inverting lever. At the end of practice
a difference of 4.2 mm remained between the group with inverting
lever and the two groups with non-inverting levers. A two-way
ANOVA with the between-participant factor group and the within
participant factor block (9 blocks) of terminal-feedback trials was
run on the individual block means. The degrees of freedom were
Greenhouse-Geisser corrected when appropriate, but we report
the uncorrected degrees of freedom together with the Greenhouse-
Geisser epsilon. Both the main effects of group, F(2,57) = 14.5,
p,.001, and of block, F(8,456) = 9.5, p,.001, e = .414, were
significant, and so was the interaction, F(16,456) = 5.3, p,.001,
e = .414. inter-trial corrections. Results As is evident from Figure 6, the mean errors
in the block without visual feedback (block 11) did hardly deviate
from the errors in the final block of terminal-feedback trials (block
10). In fact, according to a two-way ANOVA with the between-
participant factor group and the within-participant factor block
(terminal feedback vs. no visual feedback) the slight increase from
the last terminal-feedback block to the no-feedback block, 16.3 vs. 17.1 mm, was not significant, F(2,57) = 1.8, p..10. March 2013 | Volume 8 | Issue 3 | e60196 Transfer ment times in groups non-inverting physical lever and non-inverting virtual
lever were 4624 ms and 4954 ms, respectively, in the initial transfer
block when they first used the inverting lever. Movement time of
group inverting physical lever in the initial practice block, when this
group first used the inverting lever, was longer, namely 5352 ms. Thus, with the preceding experience of a non-inverting lever
movement time at the initial encounter with the inverting lever
was faster, but not slower, than without such preceding practice. In
other words, practice with a non-inverting lever resulted in positive
and not in negative transfer to performance with an inverting
lever. However, positive transfer was far from being perfect. With
full transfer, movement time in the first transfer block after
practice with a non-inverting lever should have been the same as
after practice with an inverting lever. This was clearly not the case,
with movement times of 4624 and 4954 ms as contrasted with
2927 ms. ment times in groups non-inverting physical lever and non-inverting virtual
lever were 4624 ms and 4954 ms, respectively, in the initial transfer
block when they first used the inverting lever. Movement time of
group inverting physical lever in the initial practice block, when this
group first used the inverting lever, was longer, namely 5352 ms. Thus, with the preceding experience of a non-inverting lever
movement time at the initial encounter with the inverting lever
was faster, but not slower, than without such preceding practice. In
other words, practice with a non-inverting lever resulted in positive
and not in negative transfer to performance with an inverting
lever. However, positive transfer was far from being perfect. With
full transfer, movement time in the first transfer block after
practice with a non-inverting lever should have been the same as
after practice with an inverting lever. This was clearly not the case,
with movement times of 4624 and 4954 ms as contrasted with
2927 ms. The first block of trials with continuous visual feedback in the
transfer phase was followed by three blocks of trials with terminal
visual feedback and an additional block of no-feedback trials. For
these trials accuracy of the cursor motion again served as
performance criterion. The means are shown in Figure 6. Transfer In the
two groups who had practiced with the non-inverting physical or
virtual lever, there was a noticeable increase of the error in the first
block of terminal-feedback trials that declined rapidly. With
respect to transfer, the main interest is in the errors in the first
terminal-feedback block of the transfer phase after the change of
the tool in relation to the initial errors without any preceding
practice and after practice with the inverting instead of the non-
inverting lever. Mean errors in the first terminal-feedback transfer
block were 22.9 and 24.5 mm in groups non-inverting physical lever
and non-inverting virtual lever, respectively. The error of group inverting
physical lever in its first terminal-feedback block of the practice phase
was 34.1 mm. Thus, there was a clear positive transfer of practice
with a non-inverting lever to performance with an inverting lever. However, transfer seemed to be less than perfect in that initial
transfer performance after a change of the tool was somewhat
poorer than the error of group inverting physical lever in the same
block of trials (17.9 mm). For statistical analysis we compared the movement time in the
first transfer block of groups non-inverting physical lever and non-
inverting virtual lever with the movement times in the first practice
and transfer blocks of group inverting physical lever by way of two
one-way ANOVAs. For each ANOVA the three levels of the
factor group were split into two contrasts. The contrast between
the two groups who had practiced with the non-inverting lever was
not significant in both analyses, indicating the lack of influence of
the dynamic transformation. The contrast between group inverting
physical lever (first practice block) and the other two groups (first
transfer block) fell short of statistical significance, F(1,57) = 3.4,
p,.10, indicating that the movement-time benefit associated with
prior practice of the fine tuning was only marginally significant. For the analysis of the first transfer block of the three groups, the
contrast was significant, F(1,57) = 80.7, p,.001, with the group
who had practiced with the inverting lever from the very For the statistical analysis of transfer we ran two-way ANOVAs
again. The comparison of the two groups who had practiced with
the non-inverting lever was not significant in both analyses,
confirming the lack of effect of the dynamic transformation also in
open-loop
trials. Transfer In the transfer phase all groups used the inverting physical lever. In the first and last blocks visual feedback was presented
continuously during each movement. The mean movement times
in these blocks are shown in Figure 5. For group inverting physical
lever, who had used the same tool during practice, movement time
continued to decline throughout the transfer phase. In contrast, for
the two groups who had practiced with the non-inverting physical
or virtual lever, movement time increased upon the change to the
inverting lever. Throughout the transfer phase it declined again. With respect to transfer, the main interest is in the initial
performance with the inverting lever after practice with a non-
inverting lever, in particular in its deviations from the initial
performance with the inverting lever without preceding practice
and performance with the inverting lever after practice with the
inverting lever itself rather than the non-inverting lever. Move- The nine terminal-feedback practice blocks were followed by a
single block of trials without visual feedback. This block served to
assess visual open-loop performance without any trial-to-trial
guidance provided by terminal visual feedback that could result in PLOS ONE | www.plosone.org March 2013 | Volume 8 | Issue 3 | e60196 6 Part-Task Training and Adaptive Processes Figure 4 Mean cursor-motion paths (upper row of graphs) and mean hand-movement paths (lower row of graphs) of one
participant of each experimental group in the first block with continuous (thin lines) and terminal (thick lines) feedback trials with
the inverting physical lever. Filled circles mark correct endpoints, open circles endpoints appropriate for the symmetry approximation
doi:10.1371/journal.pone.0060196.g004 Figure 4 Mean cursor-motion paths (upper row of graphs) and mean hand-movement paths (lower row of graphs) of on
participant of each experimental group in the first block with continuous (thin lines) and terminal (thick lines) feedback trials wit
the inverting physical lever. Filled circles mark correct endpoints, open circles endpoints appropriate for the symmetry approximation
doi:10.1371/journal.pone.0060196.g004 Figure 4 Mean cursor-motion paths (upper row of graphs) and mean hand-movement paths (lower row of graphs) of one
participant of each experimental group in the first block with continuous (thin lines) and terminal (thick lines) feedback trials with
the inverting physical lever. Filled circles mark correct endpoints, open circles endpoints appropriate for the symmetry approximation
doi:10.1371/journal.pone.0060196.g004 beginning moving faster than the two groups who had practiced
the fine tuning only. Thus, transfer was clearly less than perfect. Transfer However,
the
contrast
of
initial
practice
performance of group inverting physical lever with initial transfer
performance of the two other groups was significant, F(1,57) = 7.4,
p,.01. Prior practice of the fine tuning therefore resulted in a
significant increase of accuracy with the inverting physical lever as March 2013 | Volume 8 | Issue 3 | e60196 PLOS ONE | www.plosone.org March 2013 | Volume 8 | Issue 3 | e60196 7 Part-Task Training and Adaptive Processes Figure 5 Mean movement times (with standard errors) of the three experimental groups during practice and transfer in blocks of
trials with continuous visual feedback (first and last blocks of practice and transfer, respectively). doi:10.1371/journal.pone.0060196.g005
Part-Task Training and Adaptive Processes Figure 5 Mean movement times (with standard errors) of the three experimental groups during practice and tra
trials with continuous visual feedback (first and last blocks of practice and transfer, respectively). d i 10 1371/j
l
0060196 005 Figure 5 Mean movement times (with standard errors) of the three experimental groups during practice and transfer in blocks of
trials with continuous visual feedback (first and last blocks of practice and transfer, respectively). doi:10.1371/journal.pone.0060196.g005 percentages are shown in Figure 7a. Except for very few blocks of
trials, with the non-inverting lever all movements of all partic-
ipants ended in the correct quadrant. A statistical analysis of these
data is not meaningful because of the absence of variability. However, with the inverting lever there was variability, and a
certain proportion of hand movements did not end in the correct
quadrant. In group inverting physical lever there was improvement
during practice. In the other two groups the percentage of hand
movements that ended in the correct quadrant declined abruptly
when the tool was switched to the inverting lever at the start of the
transfer phase; in the subsequent blocks of the transfer phase there
was a rapid improvement. compared to no prior practice, that is, there was a reliable positive
transfer. The contrast of the initial transfer performance of group
inverting physical lever with initial transfer performance of the two
other
groups
was
significant
as
well,
F(1,57) = 4.9,
p,.05,
indicating that prior practice of the inverting physical lever led
to more accurate movements as compared to the practice of only
the fine tuning. Thus, positive transfer was present, but it was less
than perfect. Left-right inversion and fine tuning Errors in visual open-loop trials without continuous visual
feedback result from imperfections of the right-left inversion and
the fine tuning. For each block of terminal-feedback trials and no-
feedback trials the quality of inversion was assessed in terms of the
percentage of hand movements that ended in the quadrant around
the correct final hand position, that is, by the percentage of hand
movements with a directional error of less than 45u. The mean In the first block of terminal-feedback trials in the transfer
phase, that is, after the shift from the non-inverting lever to the
inverting lever, the mean percentages of hand movements that
ended in the correct quadrant were 93.7 and 91.4% in groups non-
inverting physical lever and non-inverting virtual lever, respectively. This PLOS ONE | www.plosone.org March 2013 | Volume 8 | Issue 3 | e60196 8 Part-Task Training and Adaptive Processes Part-Task Training and Adaptive Processes Figure 6 Mean Euclidean error (with standard errors) in trials without continuous visual feedback during practice and transfer. In
practice block 11 and transfer block 5 there was no visual feedback at all, in the other blocks visual feedback was terminal
doi:10.1371/journal.pone.0060196.g006 Figure 6 Mean Euclidean error (with standard errors) in trials without continuous visual feedback during practice and transfer. In
practice block 11 and transfer block 5 there was no visual feedback at all, in the other blocks visual feedback was terminal
doi:10.1371/journal.pone.0060196.g006 but the interaction with group fell short of statistical significance,
F(2,57) = 2.4, p..10, and so did the main effect of group. compares with a percentage of 80.8% at the start of the practice
phase and 98.5% at the start of the transfer phase in group inverting
physical lever. Thus, practice with a non-inverting lever resulted in
positive transfer to performance with an inverting lever as far as
the quality of right-left inversion was concerned, but positive
transfer was less than perfect. For the assessment of transfer of the fine tuning it is important
that fine tuning was acquired equally with the different types of
tool studied. Therefore, evidence of positive transfer would be
revealed by a better fine tuning at the start of the transfer phase
than at the start of practice. Left-right inversion and fine tuning Less than perfect transfer would be
indicated by a poorer fine tuning in the first transfer block after the
tool switch in groups non-inverting physical lever and non-inverting virtual
lever than in group inverting physical lever, in which there was no tool
switch. For the statistical analysis we entered the first practice
block and the first transfer block in an ANOVA. Only the main
effect of block was significant, F(1,57) = 17.0, p,.001, indicating
positive transfer. The three-level factor group was again split into
two contrasts. None of these contrasts or of the interactions with
block approached statistical significance, all F,1. Thus, transfer
was indistinguishable from being perfect. For the statistical analysis we ran again two one-way ANOVAs
to compare the initial transfer performance in the two groups with
a tool switch to initial practice and transfer performance in the
group who had practiced with the inverting lever from the very
start. The three levels of the factor group were again split into two
contrasts. In both analyses the initial transfer performance of
groups non-inverting physical lever and non-inverting virtual lever was not
significantly different. However, initial transfer performance of
these two groups was significantly better than initial practice
performance of group inverting physical lever, F(1,57) = 6.4, p,.05,
confirming positive transfer. With respect to initial transfer
performance of group inverting physical lever, the difference to initial
transfer performance of the other two groups was also significant,
F(1,57) = 6.5, p,.05, confirming that positive transfer was less than
perfect. Discussion The purpose of the present study was to investigate the effects of
part-task training on the acquisition of an internal model of a
complex visuomotor transformation. Part-task training is a well-
established procedure, in particular for difficult tasks for which
simplification results in levels of difficulty that are better suited to
optimize learning and motivation [28-29]. It should be particularly
efficient for skills that can be decomposed in components that are
learned independently [30–31]. Here we use the efficiency of part-
task training as evidence of distinct adaptive processes with
different time scales. The quality of the fine tuning for those hand movements that
ended in the correct quadrant was assessed in terms of the mean
deviations of angles between pairs of movement directions from
those expected for a perfect line-symmetric approximation (see
Figure 3). Hand movements to the correct end positions would
result in deviations of 33.4u. The mean angular deviations are
shown in Figure 7b. There was a slow improvement during
practice, with only little or no differences between groups. For the
statistical analysis we subjected the individual mean angular
deviations to a two-way ANOVA with the factors group and block
(9 blocks of terminal-feedback trials). The main effect of block was
significant, F(8,456) = 7.8, p,.001, e = .520, whereas the main
effect of group and the interaction were not, F,1. In a second
ANOVA we tested the potential role of terminal visual feedback
for the maintenance of the fine tuning. Only the last practice block
with terminal visual feedback (block 10) and the subsequent block
without visual feedback (block 11) were included. In this ANOVA
the factor block turned out to be significant, F(1,57) = 10.5, p,.01, We simplified the complex transformation of a sliding first-order
lever according to two hypothesized processes [10–12], a rapid
line-symmetric approximation (or right-left inversion) and a slow
graded fine tuning. In terms of overall performance, part-task
training of the fine tuning resulted in positive, but less than full
transfer both in visual closed-loop and open-loop trials. This is to
be expected because part-task training was limited to only one of
the hypothesized processes, namely the fine tuning. According to a
dependent variable which served to tap the quality of fine tuning,
however, positive transfer for this process was indistinguishable
from being perfect. Discussion Somewhat unexpectedly, the part-task training PLOS ONE | www.plosone.org March 2013 | Volume 8 | Issue 3 | e60196 9 Part-Task Training and Adaptive Processes Figure 7 Mean percentage of movements with right-left inversion (a) and mean angular deviation (b) during practice and transfer. Error bars represent standard errors. doi:10.1371/journal.pone.0060196.g007 Figure 7 Mean percentage of movements with right-left inversion (a) and mean angular deviation (b) during practice and transfer. Error bars represent standard errors. doi:10.1371/journal.pone.0060196.g007 Figure 7 Mean percentage of movements with right-left inversion (a) and mean angular deviation (b) during practice and transfer. Error bars represent standard errors. doi:10.1371/journal.pone.0060196.g007 of the fine tuning produced also positive transfer on the quality of
right-left inversion, even though the levers used during part-task
training were non-inverting. present and – in a strict statistical sense – the hypothesis of perfect
transfer cannot be rejected. Note that a reasonable test of perfect
transfer is impossible because the alternative effect size is
arbitrarily small so that statistical power is arbitrarily small as
well. However, as far as the transfer of fine tuning is concerned,
the existence of positive transfer is sufficient to show that it is
acquired in the absence of the right-left inversion and transferred
to its presence. Thus, the statistical reservations about the full
transfer are not essential for the current conclusions. The conclusion that positive transfer of the fine tuning acquired
with a non-inverting lever to the fine tuning with an inverting lever
is essentially perfect should be accepted with some reservation only
for statistical reasons. Our analyses of transfer of practice with a
non-inverting lever were based on comparisons of initial transfer
performance with an inverting lever with two reference perfor-
mance levels. Initial performance without preceding practice was
the reference for absence of positive transfer, and performance
after an equivalent amount of practice with the inverting lever was
the reference for perfect transfer. Statistically significant differenc-
es from the reference levels indicate positive transfer and
incompleteness of positive transfer, respectively. If only one of
the comparisons is significant, there is positive transfer that might
be perfect or incomplete transfer that might even be absent. If
none of the comparisons is significant, no conclusion is possible. For the transfer of fine tuning, thus, positive transfer is clearly Our findings provide further evidence of distinct components of
internal models of motor transformations. Part-Task Training and Adaptive Processes addition we separated the kinematic transformation from the
dynamic one. There were no differences at all between the two
groups who had practiced with a physical and a virtual non-
inverting lever. This observation supports the notion that the
acquisition of an internal model of the kinematic transformation of
a sliding first-order lever depends only marginally or not at all on
the presence or absence of the dynamic transformation [10-11]
even though both are mechanically related to each other. In
addition, the absence of the dynamic transformation changes the
relations between forces exerted by the hand and movements of
the tip of the lever. The lack of effect of the dynamic
transformation of a sliding lever on movements of the hand has
recently been attributed to the fact that the rather small and
complex variations of inertia are compensated by an increased
impedance of the limb [36]. adaptation to complex transformations with different time scales –
rapid and slow – and different outcomes – discrete and graded
changes of movement directions. We show that the slow process
with graded outcomes can be separated from the fast process with
discrete outcomes, and that the rapid process can be added later
on. Thus, the natural order of the processes can be reversed in that
the outcome of the slow process becomes available earlier than the
outcome of the fast process. Our
observations
were
made
with
a
specific
kinematic
transformation, that of a sliding first-order lever. However, they
might also apply to other transformations for which rapid
processes with discrete outcomes and slow processes with graded
outcomes play a role. Such transformations are large visuomotor
rotations between 90u and 180u [6] and right-left reversals [7]. According to the present results, the different processes produce
modular outcomes that can be composed irrespective of their
temporal order. The different types of adaptive process might be
related
to
discrete
and
graded
specification
of
movement
characteristics, in particular movement directions. For example,
discrete and graded specifications of new movement directions
have been reported for large and small changes of direction,
respectively [34]. The present evidence of distinct adaptive processes with
outcomes that can be combined independently of their temporal
order strongly suggests that these processes can also be dissociated
in terms of their neural substrates. Acknowledgments We thank Kathrin Gajda for her support in preparing the manuscript as
well as Petra Wallmeyer, Pia Kristiansen, Kathrin Finke, Daniel Caputo
and Enno Ebel for their support in running the experiment. Part-Task Training and Adaptive Processes Even though the precise neural
substrates of the fast and slow processes are not yet fully clear,
some findings support the assumption of distinct neural structures
[37], with the cerebellar cortex being associated with a fast process
and the cerebellar nuclei with the slow process. Further evidence
for distinct representations comes from a study linking only the
fast, but not the slow process to declarative memory [38], whereas
the slow process has been associated with procedural memory
[39]. It has also been shown that especially the fast process engages
spatial working memory, with associated activity in the right
dorsolateral prefrontal cortex and the bilateral inferior parietal
lobes [40-41]. The part-task training of the fine tuning not only transferred to
the fine tuning when the inverting lever was introduced, but also
resulted in more correct inversions as compared to no prior
practice of any feature of the lever transformation. At present we
can only speculate on the origin of this somewhat unexpected
observation. One way to explain these unspecific transfer effects is
that the exposition to any kind of novel visuomotor transformation
improves the participants’ ability to adapt in general. This
‘‘learning to learn’’ mechanism has previously been associated
with performance benefits in the adaptation to discordant visuo-
motor transformations [35]. An alternative explanation is related
to the fact that the concurrent rapid and slow processes of
adaptation, even when they are functionally independent, are
driven by a single movement error. The problem of decomposing
the error into components that drive the concurrent processes of
adaptation more or less disappears when one process has reached
asymptote. Thus, after part-task practice of the fine tuning, the
remaining error could be more accurately ascribed to the
inversion. Author Contributions Conceived and designed the experiments: SS HH. Performed the
experiments: SS HH. Analyzed the data: SS HH. Contributed reagents/
materials/analysis tools: SS HH. Wrote the paper: SS HH. Conceived and designed the experiments: SS HH. Performed the
experiments: SS HH. Analyzed the data: SS HH. Contributed reagents/
materials/analysis tools: SS HH. Wrote the paper: SS HH. In the present study we not only separated two characteristics of
the kinematic transformation of the sliding first-order lever, but in Discussion As such they are in line
with previous studies which showed compositions of previously
learned components [24–26,32]. These findings support the
general proposition that the ‘‘divide-and-conquer’’ approach
associated with the part-task training is congruent with a modular
computational strategy underlying motor learning, e.g., the so-
called ‘‘mixture of experts’’ model (cf. [33]). Beyond the general addition to previous results, our findings
provide more specific evidence of distinct processes of visuo-motor PLOS ONE | www.plosone.org March 2013 | Volume 8 | Issue 3 | e60196 10 References 12. Heuer H, Su¨lzenbru¨ck S (2012) A progression of approximations to internal
models of complex visuo-motor transformations. Hum Mov Sci 31: 1056-1070. 1. Bock O (2005) Components of sensorimotor adaptation in young and elderly
subjects. Exp Res 160: 259-263. 1. Bock O (2005) Components of sensorimotor adaptation in young and elderly
subjects. Exp Res 160: 259-263. 13. Gallagher AG, McClure N, McGuigan J, Ritchie K, Sheehy NP (1998) An
ergonomic analysis of the fulcrum effect in the acquisition of endoscopic skills. Endoscopy 30: 617-620. 2. Heuer H, Hegele M (2008) Adaptation to visuo-motor rotations in younger and
older adults. Psychol Aging 23: 190-202. 2. Heuer H, Hegele M (2008) Adaptation to visuo-motor rotations in younger and
older adults. Psychol Aging 23: 190-202. 3. Smith MA, Ghazizadeh A, Shadmehr R (2006) Interacting adaptive processes
with different timescales underlie short-term motor learning. PLoS Biol 4: e179. 14. Heuer H, Klimmer F, Luttmann A, Bolbach U (2012) Specificity of motor
learning in simulator training of endoscopic-surgery skills. Ergonomics 55: 1157-
1165. 4. Lee JY, Schweighofer N (2009) Dual adaptation supports a parallel architecture
of motor memory. J Neurosci 29: 10396–10404. 15. Huang FC, Mussa-Ivaldi FA, Pugh CM, Patton JL (2012) Learning kinematic
constraints in laparoscopic surgery. IEEE Transact Haptics 5: 356-364. 5. McNay EC, Willingham DB (1998) Deficit in learning of a motor skill requiring
strategy, but not of perceptuomotor recalibration, with aging. Learn Mem 4:
411-420. 5. McNay EC, Willingham DB (1998) Deficit in learning of a motor skill requiring
strategy, but not of perceptuomotor recalibration, with aging. Learn Mem 4:
411-420. 16. Macmillan AIM, Cuschieri A (1999) Assessment of innate ability and skills for
endoscopic manipulations by the Advanced Dundee Endoscopic Psychomotor
Tester: Predictive and concurrent validity. Amer Journal Surg 177: 274-277. 6. Abeele S, Bock O (2001) Sensorimotor adaptation to rotated visual input:
different mechanisms for small versus large rotations. Exp Brain Res 140: 407–
410. 6. Abeele S, Bock O (2001) Sensorimotor adaptation to rotated visual input:
different mechanisms for small versus large rotations. Exp Brain Res 140: 407–
410. 17. Heuer H, Massen C (2013) Motor control. In: Healy AF Proctor RW, editors. Handbook of Psychology. . Vol. 4: Experimental Psychology. New York: Wiley. 320-354. 7. Werner S, Bock O (2010) Mechanisms for visuomotor adaptation to left-right
reversed vision. Hum Mov Sci 29: 172-178. 7. Werner S, Bock O (2010) Mechanisms for visuomotor adaptation to left-right
reversed vision. Part-Task Training and Adaptive Processes 21. Su¨lzenbru¨ck S, Heuer H (2011) Type of visual feedback during practice
influences the precision of the acquired internal model of a complex visuo-motor
transformation. Ergonomics 54: 34-46. 31. Lee JL, Anderson JR (2001) Does learning a complex task have to be complex?:
A study in learning decomposition. Cogn Psychol 42: 267-316. y
g
p
g
y
32. Ghahramani Z, Wolpert DM (1997) Modular decomposition in visuomotor
learning. Nature 386: 392-395. g
22. Su¨lzenbru¨ck S, Heuer H (2012) Enhanced mechanical transparency during
practice impedes open-loop control of a complex tool. Exp Brain Res 218: 283-
294. g
33. Jacobs RA, Jordan MI, Nowlan SJ, Hinton GE (1991) Adaptive mixture of local
experts. Neural Comput.3:79287. 23. Heuer H, Su¨lzenbru¨ck S (2009) Trajectories in operating a hand-held tool. J Exp
Psychol: Hum Percept Perform 35: 375-389. 34. Ghez C, Favilla M, Ghilardi MF, Gordon J, Bermejo R, et al. (1997) Discrete
and continuous planning of hand movements and isometric force trajectories. Exp Brain Res 115: 217-233. 24. Flanagan JR, Nakano E, Imamizu H, Osu R, Yoshioka T, et al. (1999)
Composition and decomposition of internal models in motor learning under
altered kinematic and dynamic environments. J Neurosci 19 (R34): 1-5. p
35. Bock O, Schneider S, Bloomberg J (2001) Conditions for interference versus
facilitation during sequential sensorimotor adaptation. Exp Brain Res 138: 359-
365. altered kinematic and dynamic environments. J Neurosci 19 (R3 25. Nakano E, Flanagan JR, Imamizu H, Osu R, Yoshioka T, et al. (2002)
Composition and decomposition learning of reaching movements under altered
environments: An examination of the multiplicity of internal models. Syst
Comput Jpn 33: 814-826. 36. Heuer H, Su¨lzenbru¨ck S (2012) The influence of the dynamic transformation of
a sliding lever on aiming errors. Neurosci 207: 137-147. g
g
37. Medina P, Garcia KS, Mauk MD (2001) A mechanism for savings in the
cerebellum. J Neursci 21: 4081-4089. p
p
26. Davidson PR, Wolpert DM (2004) Internal models underlying grasp can be
additively combined. Exp Brain Res 155: 334-340. 38. Keisler A, Shadmehr RA (2010) A shared resource between declarative memory
and motor memory. J Neurosci 30: 14817-14823. y
p
27. Salmoni AW, Schmidt RA, Walter CB (1984) Knowledge of results and motor
learning: A review and critical appraisal. Psychol Bull 95: 355-386. y
p
27. Salmoni AW, Schmidt RA, Walter CB (1984) Knowledge of resu y J
39. References Hum Mov Sci 29: 172-178. 8. Heuer H (1983) Bewegungslernen. Stuttgart: Kohlhammer. 116 p 18. Jordan MI (1996) Computational aspects of motor control and motor learning. In: Heuer HKeele SW, editors. Handbook of Perception and Action. Vol. 2:
Motor skills. London: Academic Press.71-120. 9. Wolpert DM, Kawato M (1998) Multiple paired forward and inverse models for
motor control. Neural Netw 11: 1317-1329. 9. Wolpert DM, Kawato M (1998) Multiple paired forward and inverse models for
motor control. Neural Netw 11: 1317-1329. 19. Smeets JBJ, van den Dobbelsteen JJ, de Grave DDJ, van Beers MJ, Brenner E
(2006) Sensory integration does not lead to sensory calibration. Proc Natl Acad
Sci 103: 18781-18786. 10. Su¨lzenbru¨ck S, Heuer H (2009) Learning the visuomotor transformation of
virtual and real sliding levers: Simple approximations of complex transforma-
tions. Exp Brain Res 195: 153-165. 10. Su¨lzenbru¨ck S, Heuer H (2009) Learning the visuomotor transformation of
virtual and real sliding levers: Simple approximations of complex transforma-
tions. Exp Brain Res 195: 153-165. 20. Davidson PR, Jones RD, Sirisena HR, Andreae JH (2000) Detection of adaptive
inverse models in the human motor system. Hum Movem Sci 19: 761-795. 11. Su¨lzenbru¨ck S, Heuer H (2010) The trajectory of adaptation to the visuo-motor
transformation of virtual and real sliding levers. Exp Brain Res 201: 549-560. March 2013 | Volume 8 | Issue 3 | e60196 PLOS ONE | www.plosone.org 11 Part-Task Training and Adaptive Processes Wolpert DM, Diedrichsen J, Flanagan JR (2011) Principles of sensorimotor
learning. Nat Rev Neurosci 12: 739-751. 28. Atkinson JW (1957) Motivational determinants of risk-taking behavior. Psychol
Rev 64: 359-372. 40. Anguera JA, Reuter-Lorenz PA, Willingham DT, Seidler RD (2010) Failure to
engage spatial working memory contributes to age-related declines in
visuomotor learning. J Cogn Neurosci 23: 11-25. 29. Guadagnoli M, Lee T (2004) Challenge point: a framework for conceptualizing
the effects of various practice conditions in motor learning. J Mot Behav 36: 334-
345. g J
g
41. Anguera JA, Bernard JA, Jaeggi SM, Buschkuehl M, Benson BL, et al. (2012). The effects of working memory resource depletion and training on sensorimotor
adaptation. Behav Brain Res 228: 107–115. 30. Heathcote A, Brown S, Mewhort DJK (2000) The power law repealed: The case
for an exponential law of practice. Psychon Bull Rev 7: 185-207. March 2013 | Volume 8 | Issue 3 | e60196 PLOS ONE | www.plosone.org PLOS ONE | www.plosone.org 12
|
https://openalex.org/W3017124177
|
https://repositori.udl.cat/bitstream/10459.1/68467/1/029934.pdf
|
English
| null |
Recent Trends on Liquid Air Energy Storage: A Bibliometric Analysis
|
Applied sciences
| 2,020
|
cc-by
| 9,549
|
Received: 6 March 2020; Accepted: 13 April 2020; Published: 16 April 2020 Abstract: The increasing penetration of renewable energy has led electrical energy storage systems to
have a key role in balancing and increasing the efficiency of the grid. Liquid air energy storage (LAES)
is a promising technology, mainly proposed for large scale applications, which uses cryogen (liquid air)
as energy vector. Compared to other similar large-scale technologies such as compressed air energy
storage or pumped hydroelectric energy storage, the use of liquid air as a storage medium allows
a high energy density to be reached and overcomes the problem related to geological constraints. Furthermore, when integrated with high-grade waste cold/waste heat resources such as the liquefied
natural gas regasification process and hot combustion gases discharged to the atmosphere, LAES has
the capacity to significantly increase the round-trip efficiency. Although the first document in the
literature on the topic of LAES appeared in 1974, this technology has gained the attention of many
researchers around the world only in recent years, leading to a rapid increase in a scientific production
and the realization of two system prototype located in the United Kingdom (UK). This study aims
to report the current status of the scientific progress through a bibliometric analysis, defining the
hotspots and research trends of LAES technology. The results can be used by researchers and
manufacturers involved in this entering technology to understand the state of art, the trend of
scientific production, the current networks of worldwide institutions, and the authors connected
through the LAES. Our conclusions report useful advice for the future research, highlighting the
research trend and the current gaps. Keywords: liquid air energy storage; LAES; literature review; bibliometric analysis Received: 6 March 2020; Accepted: 13 April 2020; Published: 16 April 2020
Received: 6 March 2020; Accepted: 13 April 2020; Published: 16 April 2020
applied
sciences applied
sciences Recent Trends on Liquid Air Energy Storage:
A Bibliometric Analysis Emiliano Borri 1
, Alessio Tafone 2
, Gabriel Zsembinszki 1, Gabriele Comodi 3
,
Alessandro Romagnoli 4 and Luisa F. Cabeza 1,* Emiliano Borri 1
, Alessio Tafone 2
, Gabriel Zsembinszki 1, Gabriele Comodi 3
,
Alessandro Romagnoli 4 and Luisa F. Cabeza 1,* 1
GREiA Research Group, Universitat de Lleida, Pere de Cabrera s/n, 25001 Lleida, Spain;
emiliano.borri@udl.cat (E.B.); gabriel.zsembinszki@udl.cat (G.Z.) 1
GREiA Research Group, Universitat de Lleida, Pere de Cabrera s/n, 25001 Lleida, Spain;
emiliano.borri@udl.cat (E.B.); gabriel.zsembinszki@udl.cat (G.Z.) (
) g
(
)
2
Energy Research Institute @ NTU, 1 Cleantech Loop, Singapore 637141, Singapore;
ALESSIO001@e.ntu.edu.sg 3
Dipartimento di Ingegneria Industriale e Scienze Matematiche—Università Politecnica delle Marche,
60131 Ancona, Italy; g.comodi@univpm.it 3
Dipartimento di Ingegneria Industriale e Scienze Matematiche—Università Politecnica delle Marche,
60131 Ancona, Italy; g.comodi@univpm.it y g
p
4
School of Mechanical and Aerospace Engineering, Nanyang Technological University, 50 Nanyang Ave School of Mechanical and Aerospace Engineering, Nanyang Technological University, 50 Nanyang Avenue
Singapore 639798, Singapore; A.Romagnoli@ntu.edu.sg School of Mechanical and Aerospace Engineering, Nanyang Technological University, 50 Nanyang Avenue
Singapore 639798, Singapore; A.Romagnoli@ntu.edu.sg Singapore 639798, Singapore; A.Romagnoli@ntu.edu.sg *
Correspondence: luisaf.cabeza@udl.cat; Tel.: +34-973-003-576
1. Introduction Amongst all the viable solutions to deal with this issue, electrical energy storage (EES) is recognized
as one of the most promising technologies. EES technology refers to the process of converting energy
from one form (mainly electrical energy) to a storable form and reserving it in various mediums; then the
stored energy can be converted back into electrical energy when needed. Indeed, future electricity grids
are planned to use large proportions of intermittent energy sources. Therefore, an increasing scale-up
of energy storage is necessary to match the supply with the electricity demand profiles. Reflecting this,
the International Energy Agency [4] has projected that 310 GW of additional grid-connected electricity
storage capacity will be necessary in the United States, Europe, China, and India. EES technologies are
available for different applications at different scales [5] with the predominance of batteries, pumped
hydroelectricity storage (PHS), and compressed air energy storage (CAES). Among the large scale EES technologies, liquid air energy storage (LAES) has attracted significant
attention in recent years due to several advantages. Indeed, LAES is a promising and novel long
term cryogenic energy storage technology, suitable from mid to large scale applications. Compared
to other energy storage systems, LAES guarantees higher volumetric energy density (214 Wh/kg)
and no geographical constrains [6]. The system relies on well-established technologies that limit
possible development risks and ensure long life to the system (30–40 years) [7]. Due to its great
flexibility under different off-design operations, integration with other thermal processes such as waste
heat/cold recovery enables the energy storage efficiency to be increased [8]. One of the most interesting
features of the LAES technology is that it can simultaneously produce both electricity and free cooling
energy from the electric generator and the liquid air regasification/expansion process, respectively [9]. Metaphorically speaking, LAES is being configured as a technological bridge between the necessities
to enhance RES exploitation and the reasons behind the cold economy concept [10]. Indeed, dealing
with the compelling necessity to face the booming of cooling demand that may put the reliability of the
electricity grid at stake, LAES is playing a crucial role thanks to the potential to, above all, provide free
cooling energy during the energy demand peak period [11]. Recalling the battery analogy, the LAES can be separated into three sub-processes: charge, store,
and discharge. Figure 1 illustrates a schematic of a stand-alone LAES configuration. 1. Introduction Energy in whatever form is an essential source that guarantees a high-quality standard of life
in modern society. Due to the concomitant effect of population growth and the rapid development
of emerging countries, energy demand is dramatically increasing year by year. 2018 witnessed a
remarkable trend for energy demand, increasing at almost twice the average rate for the decade since
2010, with a remarkable fossil fuel share of 81% [1]. Unfortunately, fossil fuel combustion has long been
recognized as the main cause for some serious environmental issues including the greenhouse effect,
ozone layer depletion and acid rain [2] as well as social costs linked with combustion emissions [3]. www.mdpi.com/journal/applsci Appl. Sci. 2020, 10, 2773; doi:10.3390/app10082773 www.mdpi.com/journal/applsci Appl. Sci. 2020, 10, 2773 2 of 19 Moreover, despite the commitment of many countries to reach an early peak in emissions related
to fossil fuel consumption, in 2018, the energy-related carbon dioxide (CO2) emissions reached the
highest annual increase since 2013 (+1.9%) [1]. Nowadays, a key role in solving the environmental challenges posed by traditional fossil fuel
depletion is being played by renewable energy sources (RESs), namely energy from sources that are
naturally replenishing, but limited in the amount of energy that is available per unit of time. As a
consequence, the use of renewable energy systems, namely technologies harnessing the energy from
RESs, increased significantly during the early 2000s due to the mix of supporting policies and rapidly
falling costs (−70% for solar PV and −25% for wind), and according to the Stated Policies Scenario [1],
in 2018, the share of renewables in global electricity generation achieved nearly 26%, with a 2040
projection up to 44%. The rapid development and penetration of renewable energy sources in electricity
grids influence the whole system’s reliability and stability. Unlike most conventional power plants,
renewable power ones are generally smaller in size and are not capable of supplying demand at any
time due to renewable energy source intermittency. In fact, highly dependent on weather conditions,
most of the renewable energy sources (wind and solar primarily) cannot be dispatched: if not stored,
they must be utilized as soon as they are generated. As a consequence, their integration into the
existing grid and in stand-alone mode represents a serious challenge for grid balance to meet the
energy supply and demand through the chain of generation, transmission, distribution, and end-use. 1. Introduction During the charge
phase, the gaseous air is compressed and turned into liquid air after passing through a throttle valve
(J–T valve) and phase separator; the liquid air is then stored in a low pressure cryogenic tank (LA Tank). During the discharge phase, the liquid air is pumped to high pressure by means of a cryogenic pump
and regasified; the excess cold released during regasification is stored in a high grade cold storage
(HGCS), which serves as a regenerator. Indeed, the cold energy recovered in the HGCS can be used to 3 of 19 Appl. Sci. 2020, 10, 2773 assist the liquefaction process during the charge phase. The high pressure air gas will then be further
heated up at the superheaters (SHs) by means of the heat coming from a so called high grade warm
storage (HGWS), which stores the heat of the compression released during the charge phase. The
high pressure and high temperature gaseous air is then re-heated in a four stage expansion process to
achieve a quasi-isothermal expansion. Figure 1. Process flow diagram of liquid air energy storage (LAES). Adapted from [12]. Figure 1. Process flow diagram of liquid air energy storage (LAES). Adapted from [12]. The characteristics and advantages related to the LAES has attracted the attention of many
researchers, which has led to a rapid increase in scientific production focused on this technology. However, the potential of LAES has not fully demonstrated yet. This shows the possibilities of
new challenges that can bring this technology to the next level. However, advancing in the current
technological level is not straightforward, requiring significant investments in this technology and a
strong cooperation between both academia and industry. To evaluate the research trend and the future
perspectives on LAES, bibliometric analysis techniques represent a statistical method that allows the
growth and the scientific progress of a certain topic to be evaluated, giving an overall view of today’s
research. Furthermore, bibliometric analysis enhances science as a knowledge-generating system [13]. The simplicity and the effectiveness allow for bibliometric analysis to be applied to different scientific
areas. Mao et al. [14] analyzed the trend on biomass energy from 1998 to 2013 through a bibliometric
technique. The analysis was based on the Science Citation Index (SCI) and the Web of Science database. 1. Introduction Results showed how the research in biomass has increased in the past 16 years with an actual strong
focus on bioenergy applications. Calderon et al. [15] used bibliometric analysis to study the evolution
of the research in the field of thermal energy storage (TES). The study based on the Web of Science core
collection database included a survey of different TES system categories. Bartolini et al. [16] integrated
a bibliometric analysis into a systematic review of green warehousing to evaluate the current state of
research. The study analyzed the most common themes investigated, providing in the conclusions
some research recommendations that considered the lack in the topic and a possible interesting study
that could be conducted in the field of green warehousing. Du et al. [17] analyzed the literature outputs
related to solar energy from 1992 to 2011 through a bibliometric analysis based on social sciences
and the citation index. The study identified the main trend in the solar energy research field such as
hydrogen production, desalination, drying, heat pumps, biomass, and air conditioning, and provided
recommendations for future research that included nanoscience and molecular biology. Therefore, to define the prospects and the new challenges in storing the energy through the use of
liquid air (with the LAES technology), this paper analyzed by means of bibliometric analysis techniques,
the trend of the scientific research involved in the study of LAES. The results of the bibliometric analysis
proposed in this study can be useful to inspire researchers and manufacturers interested in LAES Appl. Sci. 2020, 10, 2773 4 of 19 technology in helping to understand the state-of-the-art in the literature, highlighting the hotspots
linked to LAES of today and future research. 2. Methodology In the bibliometric analysis studied in this paper, the database Scopus was used as a reference,
since it includes a large number of works referring to technological topics compared to other databases
such as Web of Science [18]. Furthermore, Google Scholar was not taken into account in the literature
search due to the poor accuracy of results, as reported by Falagas et al. [19]. Figure 2 shows a schematic
of the methodology followed for the bibliometric analysis. The formulation of the query was based on
key terms frequently used in the keywords and abstract contained in the paper related to LAES. It is
worth mentioning that although some authors in the literature have often referred to LAES technology
using the term cryogenic energy storage (CES) [20], terms such as “cryogenic” were not included in
the query since it led to papers related to cryogeny (or low temperature applications), but not related
to LAES. The literature search presented in this work was based on the following query: (“liquid air
energy storage” OR (“energy storage” AND (“liquid air”)) AND NOT (“graphene hydrogel*” OR
“supercapacitor*” OR “polymer*” OR “biosensor*” OR “hot working” OR “laser power system*” OR
“LNGES”)) with the last access on November 2019. The results were elaborated to obtain the trend
and number of works distributed by type of journal, subject, countries, institutions, and authors. An analysis of the keywords was carried out to identify the hot topics and the main thematic related to
LAES to help to define the research trend and future prospective. To identify the link between authors,
countries, institutions, and keywords, results were graphically elaborated by means of the software
VOSviewer [21]. Figure 2. Methodology used for the bibliometric analysis. Figure 2. Methodology used for the bibliometric analysis. 3. Results and Discussion This section reports the results of the bibliometric analysis conducted with the methodology
described above. The database Scopus, with the query selected, gave a total of 387 documents. An analysis of this first output resulted in the inclusion of papers that were not related to the topic of
LAES. Restricting the query research only to title, abstract, and keywords, (TITLE-ABS-KEY (“query”)),
the database Scopus gave a total number of 132 documents. As mentioned in the methodology, the
possibility that some documents were not caught with the query selected was due to the absence of
key terms in the keywords and the abstract that mentioned the use of liquid air as energy storage. This highlights the importance of the use of proper terminology in the abstract and a proper selection
of keywords. Analyzing the output, the documents given were strictly related to the LAES topic,
confirming a correct formulation of the query. The results of the bibliometric analysis shown in this
section were obtained elaborating and analyzing the data of all 132 papers collected from the Scopus
database. Furthermore, some of the works reported in the reference section were selected and cited Appl. Sci. 2020, 10, 2773 5 of 19 to support the discussion of results and exemplify the analysis of the keywords used to describe the
state-of-art and the hotspots in the topic of LAES. 3.1. Publications Trend and Distribution by Journal and Subject Figure 3 shows the trend of the publications in the Scopus database year by year. From the figure,
it is possible to notice that the first publication that included the first concept of LAES appeared in
1974, authored by Sheperd [22], with one more publication in 1977 by Smith [23], and one in 1978 by
de Marchi Desenzani [24]. After one additional paper was published in 1982 by Dooley et al. [25],
no documents regarding liquid air as energy storage were published until the year 1998 in Japan by
Mitsubishi-Hitachi [26–31], with no further developments after 2002. Figure 3 also shows that the trend
started again in 2010, reaching a first peak in 2015 (13 publications) and then again in 2017, 2018, and
2019, where the largest number of studies published occurred. The gain in interest in LAES technology
can be attributed to the realization of the first LAES pilot plant with a project started in 2008 in the
United Kingdom [32]. The first experimental results of the pilot plant, located now at the University of
Birmingham, were reported in a work published by Morgan et al. [33] in 2015 that, according to the
Scopus database, has the highest number of citations amongst the publications related to LAES. Figure 3. Number of publications per year in the period 1974–2020. Figure 3. Number of publications per year in the period 1974–2020. 3.2. Document Type of Publications Figure 4 shows the number of publications contained in the Scopus database, divided by type
of document. The figure clearly shows that the highest number of publications were categorized as
articles and conference papers (75 and 48 documents, respectively). Reviews, book chapters, conference
reviews, and notes covered only a small portion of the total documents published. The results of the bibliometric analysis with the query selected gave a total number of 38 different
journals that contained publications related to LAES. Figure 5 shows the number of publications of
journals and proceedings that contained at least two documents. Applied Energy was the journal
that contained more publications related to LAES (21 publications), followed by Energy Procedia (18
publications). Other journals with a relevant number of publications were Energy (10 publications)
and Applied Thermal Engineering (six publications). The four studies published in the Transaction of
the Japan Society of Mechanical Engineering included the one carried out between the years 1998 and
2002 by Mitsubishi-Hitachi. 3.1. Publications Trend and Distribution by Journal and Subject Journal
Number of
Publications in
this Query
Category
Impact Factor
(in 2018)
Full Open Access
Applied Energy
21
Q1
8.26
No
Energy Procedia
18
—
—
Yes
Energy
10
Q1
5.53
No
Applied Thermal Engineering
6
Q1
4.02
No
IOP Conference Series Materials Science
And Engineering
5
—
—
Yes
Nihon Kikai Gakkai Ronbunshu B Hen
Transactions Of The Japan Society Of
Mechanical Engineers Part B
4
—
—
Yes
Energy Conversion And Management
3
Q1
7.18
No
Journal Of Cleaner Production
3
Q1
7.32
-
Energies
2
Q2
2.67
Yes
Entropy
2
Q2
2.30
No
Heat Transfer Asian Research
2
—
—
No
Journal of Energy Storage
2
Q2
3.51
No
Kung Cheng Je Wu Li Hsueh Pao Journal
Of Engineering Thermophysics
2
—
—
—
Power
2
—
—
—
Proceedings Of The ASME Turbo Expo
2
—
—
Yes
Figure 6. Percentage distribution of the subject area of the journals. 3.3. Distribution of Publications by Institution Table 1. List and characteristics of the journals with a minimum of two publications. Table 1. List and characteristics of the journals with a minimum of two publications. Journal
Number of
Publications in
this Query
Category
Impact Factor
(in 2018)
Full Open Access
Applied Energy
21
Q1
8.26
No
Energy Procedia
18
—
—
Yes
Energy
10
Q1
5.53
No
Applied Thermal Engineering
6
Q1
4.02
No
IOP Conference Series Materials Science
And Engineering
5
—
—
Yes
Nihon Kikai Gakkai Ronbunshu B Hen
Transactions Of The Japan Society Of
Mechanical Engineers Part B
4
—
—
Yes
Energy Conversion And Management
3
Q1
7.18
No
Journal Of Cleaner Production
3
Q1
7.32
-
Energies
2
Q2
2.67
Yes
Entropy
2
Q2
2.30
No
Heat Transfer Asian Research
2
—
—
No
Journal of Energy Storage
2
Q2
3.51
No
Kung Cheng Je Wu Li Hsueh Pao Journal
Of Engineering Thermophysics
2
—
—
—
Power
2
—
—
—
Proceedings Of The ASME Turbo Expo
2
—
—
Yes
Figure 6. Percentage distribution of the subject area of the journals. Figure 6. Percentage distribution of the subject area of the journals. Figure 6. Percentage distribution of the subject area of the journals. 3.1. Publications Trend and Distribution by Journal and Subject 6 of 19 Appl. Sci. 2020, 10, 2773 Figure 4. Type and number of publications. Figure 5. Journals with publications in the topic of study. Figure 4. Type and number of publications. Figure 5. Journals with publications in the topic of study. Figure 5. Journals with publications in the topic of study. Table 1 shows the main characteristics of the journals and proceedings that contained at least two
articles. Most articles were published in high-quality journals (Q1) without open access. Transactions
of the Japan Society of Mechanical Engineers had the lowest category (Q4). Applied Energy, which
contained the most publications, had the highest impact factor amongst the other journals shown
in Table 1. It is worth noticing that a high number of documents on LAES have been published in
conference proceedings, highlighting the fact that a portion of the material available can be checked
out in open access form. However, open access journals excluded from the proceedings (Energies and
Entropy) contained only a few publications. Figure 6 shows the distribution of the publications by subject area based on the output given by
Scopus. The subject was mainly affected by the type of journal in which each document was published. Engineering and energy represented the main subjects covering 33% and 29%, respectively, of the
total output. Another large portion relied on environmental science, which covered 15%, followed by
physics and astronomy (8%). Only a smaller portion (3%) included computer science, material science,
and chemical engineering. 7 of 19 Appl. Sci. 2020, 10, 2773 Table 1. List and characteristics of the journals with a minimum of two publications. 3.3. Distribution of Publications by Institution As above-mentioned, the first studies regarding LAES appeared between 1974 and 2002. Until 2010,
when the trend of publication started to grow, only a few institutions worked on the topic of LAES. It is worth commenting that it was not possible to find the institution of some of the authors involved
in the earliest publications (from the year 1974 to 1982). Table 2 shows the top 10 institutions with
more documents published on LAES. From the table, it is possible to note that most of the institutions
included in the top 10 were universities, but the presence of Hitachi Ltd. must be pointed out as
they authored all publications from 1998 to 2002. It is worth mentioning that Yonsei University
and Cornell University are not reported in Table 2. Indeed, these institutions, active in the topic of
LAES [34,35], often use the terminology “cryogenic energy storage” to name the same technology,
which, as mentioned in the methodology, was not included in the query selected. 8 of 19 Appl. Sci. 2020, 10, 2773 Table 2. Top 10 institutions and their corresponding country. Affiliation
Country
Publications
University of Birmingham
United Kingdom
25
Nanyang Technological University, ERI@N
Singapore
12
University of Chinese Academy of Sciences
China
11
Università Politecnica delle Marche
Italy
9
Hitachi, Ltd. Japan
7
Technical University of Berlin
Germany
5
University of Brighton
United Kingdom
4
University of Science and Technology Beijing
China
4
Tsinghua University
China
4
Università di Pisa
Italy
4 Figure 7 shows the number of publications of the top 10 institutions that published more documents
from 2009 to 2019. In this case, the entities that belonged to the same institution were grouped together
as well as the institutions with a similar name. In this case, the University of the Chinese Academic of
Sciences contained publications with authors from the Chinese Academy of Sciences and the Technical
Institute of Physics and Chemistry Chinese Academy of Sciences. Nanyang Technological University
contained works from the School of Mechanical Engineering and Energy Research Institute @NTU. The results showed that in the last three years, most of the documents were produced by the University
of Birmingham, with a peak of 10 publications in 2017. In the same year, Nanyang Technological
University (including ERI@N) and Università Politecnica delle Marche started to work on the topic of
LAES, producing a relevant number of publications compared to the other institutions. 3.3. Distribution of Publications by Institution It is interesting
to note in Figure 7, that in 2018, the number of studies published by those last three institutions
decreased when compared to the previous year, to rise again in 2019. Figure 7. Trend of publications of the top 10 institutions between 2009 and 2019. Figure 7. Trend of publications of the top 10 institutions between 2009 and 2019. Other recent institutions that have shown interest in the topic in recent years are the Technical
University of Berlin, University of Science and Technology of Beijing, Tsinghua University, Università
di Pisa, and University of Brighton. The company Highview Power Storage only appeared in the results
in 2014 and 2015 with a total of three publications. Figure 7 also shows that the Chinese Academy of
Sciences started to publish on LAES in 2010 with two publications, without producing further outputs
until 2014. Up until 2019, the Chinese Academy of Sciences have shown a constant interest in the topic
of LAES, with a maximum of three documents published in 2018. Appl. Sci. 2020, 10, 2773 9 of 19 3.4. Countries Distribution Figure 8 shows a world map highlighting the countries that published more studies on LAES in
the period related to 1974–2020 (updated to November 2019) using the Scopus database. The results
showed that only a few countries are involved in the topic selected. The United Kingdom had the
strongest output of publications, highlighted by the darker color in the map. Indeed, in recent years,
the United Kingdom has been identified as the core of the LAES technology, and hosts the first
350 kW/2.5 MWh pilot plant in the world, developed first by Highview Power Storage at Slough and
now relocated to the University of Birmingham [32,33]. Furthermore, another grid-scale 5 MW/15 MWh
plant was launched in 2018 in Bury (Manchester) by Highview Power and Viridor [36]. The second
country with the highest number of publications highlighted by the map in Figure 8 was China,
followed by Italy and Germany. Figure 8. World map of the publications distributed for each country. Figure 8. World map of the publications distributed for each country. Figure 9 shows the number of publications for each country, also highlighting the number of
publications per millions of inhabitants. It is interesting to note that, although it was not the strongest
country in the world map in terms of the number of publications, Singapore had the highest density
of documents published considering the population of the country. The figure also shows that the
United Kingdom was the second country to have the highest number of publications per millions of
inhabitants, while China had one of the lowest values due to the high density of population. Figure 9. Number of publications for each country and ratio of the number of publications per millions
of inhabitants. Figure 9. Number of publications for each country and ratio of the number of publications per millions
of inhabitants. Appl. Sci. 2020, 10, 2773 10 of 19 Figure 10 shows the results obtained by elaborating on the data from Scopus with the software
VOSviewer. In particular, the figure shows the links between the different countries and their relation
in terms of co-authorship on the work published. This figure shows that there were a lot of countries
that were not linked to each other. In the center of the figure, two main clusters can be noted. 3.4. Countries Distribution The first
cluster (in red) includes the United Kingdom and China, who were connected with a strong relationship
marked with a thick line. The second cluster (in green) included the main countries of Italy and Singapore
that, also in this case, they were strongly linked together. It is interesting to note that these two clusters
were linked together, connecting the United Kingdom with both Italy and Singapore. A third smaller
cluster can be detected at the bottom of the figure in blue, linking Germany, Greece, and Poland. Figure 10. Network of the different countries elaborated with VOSviewer. Figure 10. Network of the different countries elaborated with VOSviewer. 3.5. Authorship Analysis The top 10 authors who have published on the topic of LAES, according to the Scopus database,
are reported in Table 3. In this case, some of the authors were present in the database with two different
names, therefore in order to have a fair comparison, they were identified and, if they corresponded
to the same author, grouped together. In this case, the real h-index reported in Scopus and the
number of documents cannot correspond to the real one due to the different names. Table 3 shows
that authors belonging to institutions from the UK published the majority of the documents present
in the database. Yulong Ding leads the ranking with 16 documents, followed by Yongliang Li with 13
documents. These two authors belong to the same institution, the University of Birmingham, and have a
total number of 351 and 76 documents and an h-index of 54 and 18, respectively. The third ranking author
was Alessandro Romagnoli from Nanyang Technological University of Singapore (and Energy Research
institute @NTU) with 12 publications. It is also possible to note that for some of the authors (Xiaodong
Peng, Alessio Tafone, Emiliano Borri, and K. Chino), the total number of publications almost corresponded
to the number of publications on the topic of LAES, indicating that this is their main research field. Figure 11 shows the links between the different authors with a minimum of two publications,
obtained by elaborating the data with the help of the software VOSviewer. In this case, it was
possible to identify two main clusters. In the first cluster (in red), there were authors linked to Yulong
Ding, where the strongest links were with Yongliang Li, Xiaohui She, and Xiaodong Peng from the
University of Birmingham [37–39]. In the second cluster (in purple), Alessandro Romagnoli was
strongly related to Gabriele Comodi and Emiliano Borri from Università Politecnica delle Marche, 11 of 19 Appl. Sci. 2020, 10, 2773 and Alessio Tafone [40,41] from Nanyang Technological University, which highlights the strong link
between Italy and Singapore. The other cluster included Chino K. and Araki H. from to Hitachi
Ltd. [29] (in pink); Giglioli R., Desideri U., Paganucci F., Barsali S., Pasini G., and Antonelli, M. [42–44]
from the University of Pisa (in yellow); and Evans J., Damas A., Brown T., Negro D., Varga L. and Hu Y. Fikiin K. from different institutions that belong to the CryoHub project [45]. Table 3. (* authors present in the database with two different names.). 3.5. Authorship Analysis List and details of the top 10 authors including institution, country, total document on Scopus,
and h-index. Author
Institution
Country
Publications
on the LAES
Total
Documents
h-Index in
Scopus
Ding, Y.*
University of
Birmingham
UK
16
(300 + 51)
54
Li, Y. University of
Birmingham
UK
13
76
18
Romagnoli, A. Nanyang Technological
University, ER
Singapore
12
125
17
Comodi, G. Università Politecnica
delle Marche
Italy
9
71
17
Peng, X. University of
Birmingham
UK
9
14
5
She, X. University of
Birmingham
UK
9
34
11
Tafone, A. Nanyang Technological
University, ER
Singapore
9
12
4
Borri, E. Università Politecnica
delle Marche
Italy
8
9
4
Chino, K. Hitachi, Ltd. Japan
8
8
2
Al-Dadah, R.*
University of
Birmingham
UK
6
135
22
(* authors present in the database with two different names.). Table 3. List and details of the top 10 authors including institution, country, total document on Scopus,
and h-index. ist and details of the top 10 authors including institution, country, total document on Scopus, Figure 11. Network of the different authors elaborated with VOSviewer. Figure 11. Network of the different authors elaborated with VOSviewer. Appl. Sci. 2020, 10, 2773 12 of 19 12 of 19 3.6. Analysis of Keywords The analysis of keywords was an important aspect of this research to identify the state-of-the-art,
scope, and the objectives of the research that had been done and future prospective; moreover, research
gaps could be identified. Table 4 shows the keywords found in the Scopus database from all of the
documents considered for the present bibliometric analysis. In this case, the keywords reported in the table
were divided into four sections. From the keywords, it was possible to observe that between the keywords
related to energy storage, it appeared as compressed air energy storage (CAES). Indeed, this technology is
often used to compare the LAES [46,47]. From the keywords related to the type of study, it was possible to
note that most of the approaches were mainly theoretical such as “thermodynamics”, “exergy analysis”,
and “economic analysis”. With regard to energy systems and components, it was possible to find some
keywords related to thermal energy storage such as “packed bed” and “storage (materials)”. Table 4. List of the main keywords divided in different categories from the Scopus database. Related to Energy Storage
Related to the Type of Study
Related to the Energy
Systems and
Components
Others
Cryogenic energy storage
Thermodynamics
Rankine cycle
Liquefied gases
Energy storage
Exergy analysis
Storage (materials)
Waste heat
Electric energy storage
Economic analysis
Pressure vessels
Combustion
Liquid air energy storage
Optimization
Packed bed
Liquefied natural gas
Compressed air energy storage
Cost benefit analysis
Gas turbine
—
—
Environmental impact
Heat exchangers
—
—
Sustainable development
Cooling systems
—
—
Sensitivity analysis
Pilot plants
—
—
—
Organic Rankine cycle
— Table 4. List of the main keywords divided in different categories from the Scopus database. Figure 12 shows the co-occurrence map of the keywords obtained by elaborating the output from
the database Scopus with VOSviewer. The different density of colors and size of the character in the
map highlights the frequency that the keyword appears in the different publications. The figure shows
that the keyword “liquid air energy storage” had less relevance than the word “energy storage” and
“liquefied gases”. This can probably be attributed to the presence of the keyword “cryogenic energy
storage”, which is sometimes used to represent the same technology. Figure 12. Co-occurrence of the keywords elaborated with VOSviewer. Figure 12. Co-occurrence of the keywords elaborated with VOSviewer. Appl. Sci. 3.6. Analysis of Keywords 2020, 10, 2773 13 of 19 Other frequent keywords that can be identified from the map shown in Figure 12, are “renewable
energy”, “liquid air”, “compressed air”, “energy efficiency”, “exergy”, “compressed air energy storage”,
“thermodynamics”, and “liquefaction”. The link between the different keywords is shown in Figure 13. Figure 13. Co-occurrence and link of the keywords elaborated with VOSviewer. Figure 13. Co-occurrence and link of the keywords elaborated with VOSviewer. In particular, Figure 13 shows that the keywords are divided into different clusters, highlighted
by the different colors. In particular, the keywords “liquefied gases”, “liquid air energy storage”,
and “cryogenic energy storage” were all included in the same cluster with a strong relation. Highlighting
the keyword “liquid air energy storage” (Figure 14), it is possible to note that this keyword was
strongly related to the keywords “energy storage”, “cryogenic energy storage”, “liquefied gases”,
“compressed air”, “compressed air energy storage”, and “energy efficiency”. It is also interesting to
note that “liquid air energy storage” had a strong relation with “exergy” and “thermodynamics”. Indeed, thermodynamics analysis and exergy analysis represent the most common approaches in
the study of LAES systems, and terms such as thermodynamic efficiency and exergetic efficiency are
often used as the main index of comparison with other energy storage technologies. Furthermore,
increasing the thermodynamic efficiency of the LAES is an important target of the technology feasibility,
since it represents the main disadvantage when compared to other technologies. Indeed, roundtrip
efficiency for large scale systems can be estimated to be around 50% [36], which is lower than other
large scale technologies such as compressed air energy storage and pumped electric energy storage,
whose roundtrip efficiency can be estimated around 70%. Analyzing the keyword “energy storage”, as shown in Figure 15, it is interesting to see the
keywords “alternative energy”, “liquefaction”, “natural gas”, “liquefied natural gas”, and “electric
power generation” in the same cluster. The link between these keywords can be explained since the LAES
is often classified as an alternative storage solution to the actual large scale energy storage technologies. Furthermore, since cryogenics is involved as a storage energy vector, LAES is characterized by the
advantage that it can be integrated with waste cold energy resources such as the regasification of
liquefied natural gas [8,37,48]. Other connections, external to the energy storage cluster, were with
“electric energy storage”, “liquefaction”, “renewable energy”, and “thermodynamics”. 14 of 19 Appl. Sci. 3.6. Analysis of Keywords 2020, 10, 2773 Figure 14. Co-occurrence and link of the keyword “liquid air energy storage” elaborated with VOSviewer. Figure 14. Co-occurrence and link of the keyword “liquid air energy storage” elaborated with VOSviewer. Figure 15. Co-occurrence and link of the keyword “energy storage” elaborated with VOSviewer. Figure 15. Co-occurrence and link of the keyword “energy storage” elaborated with VOSviewer. Figure 16 shows the overlay visualization of the different keywords contained in the documents. This is an interesting approach to describe the frequency of the keywords in the different years
(from 2015 to 2018) for the query used. From the figure, it is possible to see that during 2015/2016,
the most popular keywords were “energy storage”, “liquefaction”, “electric energy storage”, “electric
power generation”, and “gas turbine”. The keywords “thermodynamics”, “compressed air energy
storage”, “waste heat”, and “economic analysis” were popular in documents published around 2017. 15 of 19 Appl. Sci. 2020, 10, 2773 These keywords highlight that most of the work published in that period investigated the LAES
mainly through thermodynamic analysis [49,50], with some studies that considered the economic
aspect [51]. Recent publications on LAES contained keywords such as “exergy analysis”, “packed
bed”, “cold storage”, “exergy efficiency”, and “organic Rankine cycle”. The first keyword points out
that recent studies have focused on a different thermodynamic approach based on second law analysis
with the aim to evaluate the exergy efficiency of the system [52,53]. It is worth noting that the words
“organic Rankine cycle”, “packed bed”, and “cold storage” are all concepts related to the use of thermal
energy. Indeed, all the studies affirm that the efficiency of the LAES can be increased by recovering
the thermal energy wasted by the system [39,54]. Furthermore, the thermal energy released is both
at high temperature (energy wasted during the compression when LAES is charging) and cryogenic
temperature (energy wasted the liquid air regasification process when LAES is discharging). In some
LAES systems proposed in the literature, the waste heat at high temperature is recovered and used in
the same system [49]. The keyword “organic Rankine cycle”, linked to works published after 2018,
highlights an interesting trend in the research of LAES with studies that aim for the integration of the
two systems as a waste heat recovery solution [41,55]. On the other hand, the recovery of the cold
energy by LAES is crucial to achieve a reasonable value of efficiency [12]. 3.6. Analysis of Keywords Indeed, this is mainly reused
to help the liquefaction of the liquid air when the system is charged, thus increasing the efficiency. The presence of the keywords “packed bed”, and “cold storage”, linked to studies after 2018, highlights
an interesting trend to investigate efficient cold storage solutions (including packed bed configuration)
integrated with the LAES technology [56,57]. Figure 16. Co-occurrence and overlay visualization of the keyword elaborated with VOSviewer. Figure 16. Co-occurrence and overlay visualization of the keyword elaborated with VOSviewer. 4. Conclusions In recent years, LAES has gained momentum as an alternative energy storage technology
characterized by high energy density and no geological constraints with the ability to be integrated
with high-grade waste cold or waste heat resources. This has led to a rapid increase of scientific
production on the topic of LAES, with a growing number of worldwide institutions investigating the
potential of this technology. Although the first publication on LAES appeared on 1974, the trend on
scientific literature started to rapidly increase after a project started in 2008 with the realization of the Appl. Sci. 2020, 10, 2773 16 of 19 16 of 19 first LAES pilot plant located at the University of Birmingham in the United Kingdom. Nevertheless,
this was the institution with the highest number of works published on LAES. The highest number
of publications on this topic was contained in Q1 scientific journals and conference proceedings in
the category of “engineering” and “energy”. Applying bibliometric techniques in the analysis of the
keywords, the most relevant aspects of the current research were analyzed to identify research gaps
and future trends that could be used to inspire future research. The main conclusions that can be drawn regarding the research on LAES, supported by the
bibliometric analysis carried out in this review, can be summarized as follows: •
Most of the approaches in the study of LAES have been based on thermodynamic and exergy
analysis of the system with the aim to estimate the efficiency of the LAES and propose solutions
to increase the system performance, which is currently the major drawback of this technology. •
The keyword analysis also showed that part of the research on the topic of LAES was interested in
investigating the economic feasibility of the system. However, the relevance of keywords related
to the economic aspect was lower compared to terms related to the thermodynamic analysis,
identifying the first research gap. •
The keyword analysis also showed that part of the research on the topic of LAES was interested in
investigating the economic feasibility of the system. However, the relevance of keywords related
to the economic aspect was lower compared to terms related to the thermodynamic analysis,
identifying the first research gap. •
The last trend in the research of LAES aims for the integration of this technology with other
external systems that allow for the exploitation of waste thermal energy. 4. Conclusions Conflicts of Interest: The authors declare no conflicts of interest. 4. Conclusions The most common system
integrated to the LAES as a waste heat recovery solution is the organic Rankine cycle (ORC),
while at low temperatures, different studies in the literature have used the LAES technology
to exploit the waste cold thermal energy from cryogenic processes such as in liquefied natural
gas regasification plants. Studies on how to efficiently store the cold and the hot energy wasted
from the LAES represent another trend in the last research. Indeed, recovering cold energy is
demonstrated to be crucial to increase the efficiency of the liquefaction process. On the other hand,
the recovery of the waste heat can improve the discharge performance. Therefore, the research
of new storage materials and thermal energy storage designed to efficiently store the cold and
hot energy, represents a hotspot that future research should take into account to improve the
LAES technology. •
The analysis of the keywords lacked terms related to experimental studies that demonstrate the
real performance of the system. This shows that this aspect is weak and has not been deeply
investigated. This represents the main gap that future scientific research should fill in to reach a
significant milestone in the LAES technology. •
The analysis of the keywords lacked terms related to experimental studies that demonstrate the
real performance of the system. This shows that this aspect is weak and has not been deeply
investigated. This represents the main gap that future scientific research should fill in to reach a
significant milestone in the LAES technology. Author Contributions: Conceptualization, E.B. and L.F.C.; Methodology, L.F.C., E.B., and G.Z.; Investigation, E.B. L.F.C., and G.Z.; Writing—original draft preparation, E.B. and A.T.; Writing—review and editing, L.F.C., E.B., A.T.,
A.R., and G.C.; Visualization, E.B. and L.F.C.; Project administration, L.F.C.; Funding acquisition, L.F.C. All authors
have read and agreed to the published version of the manuscript. Funding: This work was partially funded by the Ministerio de Ciencia, Innovación y Universidades de España
(RTI2018-093849-B-C31—MCIU/AEI/FEDER, UE). This work was partially funded by the Ministerio de Ciencia,
Innovación y Universidades - Agencia Estatal de Investigación (AEI) (RED2018-102431-T). Acknowledgments: The authors at the University of Lleida would like to thank the Catalan Government for the
quality accreditation given to their research group GREiA (2017 SGR 1537). GREiA is a certified agent TECNIO in
the category of technology developers from the Government of Catalonia. This work was partially supported by
ICREA under the ICREA Academia program. 3.
Anil, M.; Saygin, D.; Miketa, A.; Gielen, D.; Nicholas, W. The True Cost of Fossil Fuels: Saving on the Externalities
of Air Pollution And Climate Change; International Renewable Energy Agency: Abu Dhabi, UAE, 2016. 2.
Zhang, X. Energy Solutions to Combat Global Warming; Springer International Publishing: Cham, Switzerland,
2017; ISBN 978-3-319-26948-1. 1.
Int. Energy Agency. World Energy Outlook 2019; Int. Energy Agency: Paris, France, 2019. References [CrossRef]
13. van Raan, A.F.J. For your citations only? Hot topics in bibliometric analysis. Meas. Interdiscip. Res. Perspect. 2005, 3, 50–62. [CrossRef] 14. Mao, G.; Zou, H.; Chen, G.; Du, H.; Zuo, J. Past, current and future of biomass energy research: A bibliometric
analysis. Renew. Sustain. Energy Rev. 2015, 52, 1823–1833. [CrossRef] 15. Calderón, A.; Barreneche, C.; Hernández-Valle, K.; Galindo, E.; Segarra, M.; Fernández, A.I. Where is Thermal
Energy Storage (TES) research going?—A bibliometric analysis. Sol. Energy 2019, 200, 37–50. [CrossRef] 16. Bartolini, M.; Bottani, E.; Grosse, E.H. Green warehousing: Systematic literature review and bibliometric
analysis. J. Clean. Prod. 2019, 226, 242–258. [CrossRef] 17. Du, H.; Li, N.; Brown, M.A.; Peng, Y.; Shuai, Y. A bibliographic analysis of recent solar energy lite
The expansion and evolution of a research field. Renew. Energy 2014, 66, 696–706. [CrossRef] 18. Cabeza, L.F.; Chàfer, M.; Mata, É. Comparative Analysis of Web of Science and Scopus on the Energy
Efficiency and Climate Impact of Buildings. Energies 2020, 13, 409. [CrossRef] 19. Falagas, M.E.; Pitsouni, E.I.; Malietzis, G.A.; Pappas, G. Comparison of PubMed, Scopus, web of science, and
Google scholar: Strengths and weaknesses. FASEB J. 2008, 22, 338–342. [CrossRef] [PubMed] 20. Lee, I.; Park, J.; Moon, I. Conceptual design and exergy analysis of combined cryogenic energy storage and
LNG regasification processes: Cold and power integration. Energy 2017, 140, 106–115. [CrossRef] 21. Van Eck, N.; Waltman, L. Software survey: VOSviewer, a computer program for bibliometric mapping. Scientometrics 2010, 84, 523–538. [CrossRef] 22. Shepherd, D.G. A Low-Pollution On-Site, Energy Storage System for Peak-Power Supply. In Proceedings of
the ASME 1974 International Gas Turbine Conference and Products Show, Zurich, Switzerland, 30 March–4
April 1974; American Society of Mechanical Engineers Digital Collection: New York, NY, USA, 1974. Smith, E.M. Storage of Electrical Energy Using Supercritical Liquid Air. Proc. Inst. Mech. Eng. 1977, 191
289–298. [CrossRef] 24. de Marchi Desenzani, P. Remote new energy sources utilization in on-site non-polluting power plant-Liquid
air as energy carrier concept and final conversion plant design. In Proceedings of the Alternative Energy
Sources Miami International Conference, Miami Beach, FL, USA, 5–7 December 1977; Volume 9, pp. 4091–4103. 25. Dooley, J.L. COMPACT ENERGY STORAGE 82-1696 JL Dooley* and R. Philip Hammond R&D Associates,
Marina del Rey, CA 90291. References 1. Int. Energy Agency. World Energy Outlook 2019; Int. Energy Agency: Paris, France, 2019. 2. Zhang, X. Energy Solutions to Combat Global Warming; Springer International Publishing: Cham, Switzerland,
2017; ISBN 978-3-319-26948-1. 3. Anil, M.; Saygin, D.; Miketa, A.; Gielen, D.; Nicholas, W. The True Cost of Fossil Fuels: Saving on the Externalities
of Air Pollution And Climate Change; International Renewable Energy Agency: Abu Dhabi, UAE, 2016. Appl. Sci. 2020, 10, 2773 17 of 19 4. Lott, M.C.; Kim, S.-I.; Tam, C.; Houssin, D.; Gagné, J.F. Technology Roadmap: Energy Storage; Int. Energy
Agency (IEA): Paris, France, 2014. 5. Chen, H.; Cong, T.N.; Yang, W.; Tan, C.; Li, Y.; Ding, Y. Progress in electrical energy storage system: A critical
review. Prog. Nat. Sci. 2009, 19, 291–312. [CrossRef] 6. Luo, X.; Wang, J.; Dooner, M.; Clarke, J. Overview of current development in electrical energy storage technologies
and the application potential in power system operation q. Appl. Energy 2015, 137, 511–536. [CrossRef] 7. Morgan, R.; Nelmes, S.; Gibson, E.; Brett, G. An analysis of a large-scale liquid air energy storage system. Proc. Inst. Civ. Eng. 2015, 168, 135–144. [CrossRef] 8. Kim, J.; Noh, Y.; Chang, D. Storage system for distributed-energy generation using liquid air combined with
liquefied natural gas. Appl. Energy 2018, 212, 1417–1432. [CrossRef] 9. Tafone, A.; Borri, E.; Li, Y. Techno-economic analysis of a Liquid Air Energy Storage (LAES ) for cooling
application in hot climates. Energy Procedia 2016, 105, 4450–4457. [CrossRef] 10. Liquid Air Energy Network. The Cold Economy (Guide); Liquid Air Energy Network: London, UK, 2014;
Available online: https://dearman.co.uk/media/reports-guides/ (accessed on 16 April 2020). 11. Comodi, G.; Carducci, F.; Sze, J.Y.; Balamurugan, N.; Romagnoli, A. Storing energy for cooling demand
management in tropical climates: A techno-economic comparison between different energy storage
technologies. Energy 2017, 121, 676–694. [CrossRef] 12. Tafone, A.; Romagnoli, A.; Borri, E.; Comodi, G. New parametric performance maps for a novel sizing and
selection methodology of a Liquid Air Energy Storage system. Appl. Energy 2019, 250, 1641–1656. [CrossRef] 12. Tafone, A.; Romagnoli, A.; Borri, E.; Comodi, G. New parametric performance maps for a novel sizing and
selection methodology of a Liquid Air Energy Storage system. Appl. Energy 2019, 250, 1641–1656. [CrossRef]
13. van Raan, A.F.J. For your citations only? Hot topics in bibliometric analysis. Meas. Interdiscip. Res. Perspect. 2005 3 50 62 [CrossRef] selection methodology of a Liquid Air Energy Storage system. Appl. Energy 2019, 250, 1641–1656. References A novel cryogenic energy storage system with LNG direct expan
regasification: Design, energy optimization, and exergy analysis. Energy 2019, 173, 691–705. [CrossRef 6. Highview Power. Available online: https://www.highviewpower.com/ (accessed on 16 April 2020). 37. Peng, X.; She, X.; Li, C.; Luo, Y.; Zhang, T.; Li, Y.; Ding, Y. Liquid air energy storage flexibly coupled with
LNG regasification for improving air liquefaction. Appl. Energy 2019, 250, 1190–1201. [CrossRef] 38. She, X.; Zhang, T.; Cong, L.; Peng, X.; Li, C.; Luo, Y.; Ding, Y. Flexible integration of liquid air energy storage with
liquefied natural gas regasification for power generation enhancement. Appl. Energy 2019, 251, 113355. [CrossRef]
39. She, X.; Peng, X.; Nie, B.; Leng, G.; Zhang, X.; Weng, L.; Tong, L.; Zheng, L.; Wang, L.; Ding, Y. Enhancement
f
d t i
ffii
f li
id
i
t
th
h ff
ti
tili
ti
f h
t
f
i 38. She, X.; Zhang, T.; Cong, L.; Peng, X.; Li, C.; Luo, Y.; Ding, Y. Flexible integration of liquid air energy storage with
liquefied natural gas regasification for power generation enhancement. Appl. Energy 2019, 251, 113355. [CrossRef] 39. She, X.; Peng, X.; Nie, B.; Leng, G.; Zhang, X.; Weng, L.; Tong, L.; Zheng, L.; Wang, L.; Ding, Y. Enhancement
of round trip efficiency of liquid air energy storage through effective utilization of heat of compression. Appl. Energy 2017, 206, 1632–1642. [CrossRef] 40. Borri, E.; Tafone, A.; Romagnoli, A.; Comodi, G. A preliminary study on the optimal configuration and
operating range of a “microgrid scale” air liquefaction plant for Liquid Air Energy Storage. Energy Convers. Manag. 2017, 143, 275–285. [CrossRef] 41. Tafone, A.; Borri, E.; Comodi, G.; van den Broek, M.; Romagnoli, A. Liquid Air Energy Storage performance
enhancement by means of Organic Rankine Cycle and Absorption Chiller. Appl. Energy 2018, 228, 1810–1821. [CrossRef] 42. Antonelli, M.; Desideri, U.; Giglioli, R.; Paganucci, F.; Pasini, G. Liquid air energy storage: A potential low
emissions and efficient storage system. Energy Procedia 2016, 88, 693–697. [CrossRef] 43. Antonelli, M.; Barsali, S.; Desideri, U.; Giglioli, R.; Paganucci, F.; Pasini, G. Liquid air energy storage: Potential
and challenges of hybrid power plants. Appl. Energy 2017, 194, 522–529. [CrossRef] 44. Barsali, S.; Ciambellotti, A.; Giglioli, R.; Paganucci, F.; Pasini, G. Hybrid power plant for energy storage and
peak shaving by liquefied oxygen and natural gas. Appl. Energy 2018, 228, 33–41. [CrossRef] 45. References In Proceedings of the A Collection of Technical Papers: AIAA/EPRI International
Conference on Underground Pumped Hydro and Compressed Air Energy Storage, San Francisco, CA, USA, 20–22
September 1982; American Institute of Aeronautics and Astronautics: Reston, VA, USA, 1982; Volume 120, p. 288. 26. Kitou, K.; Fujii, T.; Shiina, K.; Chino, K. Liquid air energy storage system (study of air liquefaction
characteristics using a concrete-type cool storage unit). Nippon Kikai Gakkai Ronbunshu B Hen/Trans. Jpn. Soc. Mech. Eng. Part B 2002, 68, 2870–2876. Appl. Sci. 2020, 10, 2773 18 of 19 18 of 19 27. Araki, H.; Nakabaru, M.; Chino, K. Simulation of heat transfer in the cool storage unit of a liuid-air energy
storage system. Heat Transf.-Asian Res. 2002, 31, 284–296. [CrossRef] 28. Araki, H.; Nakabaru, M.; Chino, K. Heat transfer performance of new-style LNG heat exchangers. Nihon Kikai
Gakkai Ronbunshu B Hen/Trans. Jpn. Soc. Mech. Eng. Part B 2001, 67, 1451–1458. 29. Araki, H.; Kitoh, K.; Chino, K. Heat transfer in the regenerator of a liquid air energy storage system. American
Society of Mechanical Engineers, Advanced Energy Systems Division (Publication) AES 2000, 40, 373–378. 30. Chino, K.; Araki, H. Evaluation of energy storage method using liquid air. Heat Transf. Asian Res. 2000, 29,
347–357. [CrossRef] 31. Kito, K.; Shiina, K.; Chino, K. Liquid air energy storage system (heat transfer characteristics of concrete cool
storage unit). Nihon Kikai Gakkai Ronbunshu B Hen/Trans. Jpn. Soc. Mech. Eng. Part B 2000, 66, 1541. 32. Sciacovelli, A.; Smith, D.; Navarro, H.; Li, Y.; Ding, Y. Liquid air energy storage–Operation and performance
of the first pilot plant in the world. In Proceedings of the ECOS, Portorož, Slovenia, 19–23 June 2016. 33. Morgan, R.; Nelmes, S.; Gibson, E.; Brett, G. Liquid air energy storage—Analysis and first results from a pilot
scale demonstration plant. Appl. Energy 2015, 137, 845–853. [CrossRef] 34. Park, J.; Lee, I.; You, F.; Moon, I. Economic Process Selection of Liquefied Natural Gas Regasification: Power
Generation and Energy Storage Applications. Ind. Eng. Chem. Res. 2019, 58, 4946–4956. [CrossRef] 34. Park, J.; Lee, I.; You, F.; Moon, I. Economic Process Selection of Liquefied Natural Gas Regasification: Power
Generation and Energy Storage Applications. Ind. Eng. Chem. Res. 2019, 58, 4946–4956. [CrossRef]
35. Lee, I.; Park, J.; You, F.; Moon, I. A novel cryogenic energy storage system with LNG direct expansion 5. Lee, I.; Park, J.; You, F.; Moon, I. References Negro, D.; Brown, T.; Foster, A.; Damas, A.; Tovar Ramos, J.E.; Evans, J. Modelling of liquid air energy
storage applied to refrigerated cold stores. In Proceedings of the 5th IIR Conference on Sustainability and
the Cold Chain (ICCC 2018), Beijing, China, 6–8 April 2018; IIR: Paris, France, 2018. j
g
p
46. Krawczyk, P.; Szabłowski, Ł.; Karellas, S.; Kakaras, E.; Badyda, K. Comparative thermodynamic analysis of
compressed air and liquid air energy storage systems. Energy 2018, 142, 46–54. [CrossRef] 47. Li, Y.; Wang, X.; Li, D.; Ding, Y. A trigeneration system based on compressed air and thermal energy storage. Appl. Energy 2012, 99, 316–323. [CrossRef] 48. Lee, I.; You, F. Systems design and analysis of liquid air energy storage from liquefied natural gas cold energy. Appl. Energy 2019, 242, 168–180. [CrossRef] 49. Guizzi, G.L.; Manno, M.; Tolomei, L.M.; Vitali, R.M. Thermodynamic analysis of a liquid air energy storage
system. Energy 2015, 93, 1639–1647. [CrossRef] 50. Xue, X.D.; Wang, S.X.; Zhang, X.L.; Cui, C.; Chen, L.B.; Zhou, Y.; Wang, J.J. Thermodynamic analysis of a
novel liquid air energy storage system. Phys. Procedia 2015, 67, 733–738. [CrossRef] 51. Xie, C.; Hong, Y.; Ding, Y.; Li, Y.; Radcliffe, J. An economic feasibility assessment of decoupled energy storage
in the UK: With liquid air energy storage as a case study. Appl. Energy 2018, 225, 244–257. [CrossRef] Appl. Sci. 2020, 10, 2773 19 of 19 52. Hamdy, S.; Morosuk, T.; Tsatsaronis, G. Cryogenics-based energy storage: Evaluation of cold exergy recovery
cycles. Energy 2017, 138, 1069–1080. [CrossRef] 52. Hamdy, S.; Morosuk, T.; Tsatsaronis, G. Cryogenics-based energy storage: Evaluation of cold exergy recovery
cycles. Energy 2017, 138, 1069–1080. [CrossRef] 53. Hamdy, S.; Morosuk, T.; Tsatsaronis, G. Exergetic and economic assessment of integrated cryogenic energy
storage systems. Cryogenics (Guildf) 2019, 99, 39–50. [CrossRef] 54. Peng, X.; She, X.; Cong, L.; Zhang, T.; Li, C.; Li, Y.; Wang, L.; Tong, L.; Ding, Y. Thermodynamic study on the effect
of cold and heat recovery on performance of liquid air energy storage. Appl. Energy 2018, 221, 86–99. [CrossRef] 54. Peng, X.; She, X.; Cong, L.; Zhang, T.; Li, C.; Li, Y.; Wang, L.; Tong, L.; Ding, Y. Thermodynamic study on the effect
of cold and heat recovery on performance of liquid air energy storage. Appl. Energy 2018, 221, 86–99. [CrossRef]
55. Zhang, T.; Chen, L.; Zhang, X.; Mei, S.; Xue, X.; Zhou, Y. References Thermodynamic analysis of a novel hybrid liquid
air energy storage system based on the utilization of LNG cold energy. Energy 2018, 155, 641–650. [CrossRef]
56. Hüttermann, L.; Span, R. Influence of the heat capacity of the storage material on the efficiency of thermal
regenerators in liquid air energy storage systems. Energy 2019, 174, 236–245. [CrossRef]
57
S i
lli A V
hi A Di
Y Li
id i
(LAES)
i h
k d b d
ld h
l
F 55. Zhang, T.; Chen, L.; Zhang, X.; Mei, S.; Xue, X.; Zhou, Y. Thermodynamic analysis of a novel hybrid liquid
air energy storage system based on the utilization of LNG cold energy. Energy 2018, 155, 641–650. [CrossRef] 56. Hüttermann, L.; Span, R. Influence of the heat capacity of the storage material on the efficiency of thermal
regenerators in liquid air energy storage systems. Energy 2019, 174, 236–245. [CrossRef] 57. Sciacovelli, A.; Vecchi, A.; Ding, Y. Liquid air energy storage (LAES) with packed bed cold thermal storage—From
component to system level performance through dynamic modelling. Appl. Energy 2017, 190, 84–98. [CrossRef] © 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/).
|
https://openalex.org/W2892281709
|
https://peerj.com/articles/5607.pdf
|
English
| null |
Mass fluctuation in breeding females, males, and helpers of the Florida scrub-jay <i>Aphelocoma coerulescens</i>
|
PeerJ
| 2,018
|
cc-by
| 7,282
|
ABSTRACT Much evidence suggests that birds actively regulate their body mass reserves relative to
their energy needs. Energy requirements during reproduction may differ in relation to
sex-specific behavioural roles or, in the case of cooperative breeders, breeders relative
to helpers. We measured body mass of free-living Florida scrub-jays throughout the
nesting season by training them to land on an electronic balance. Jays exhibited a pattern
of diurnal linear mass gain, from morning to afternoon. Day-to-day mass fluctuations,
defined as the difference between mass on two consecutive days, were small (>80%
were within 2 g, less than 3% of the mass of an adult bird) for all classes of jays: female
breeders, male breeders and prebreeding helpers. The jays, which live in subtropical
south-central Florida, did not exhibit changes in day-to-day mass fluctuation relative to
weather or climate variables or calendar date. Day-to-day mass fluctuations influenced
mass fluctuation between the following third and fourth days. These changes were
usually compensatory, indicating that jays are able to regulate their body mass on
a short-term basis, despite strong differences in their roles in reproduction. During
reproduction, jays have a relatively predictable and abundant food supply, thus the
appropriate strategy may be to maintain a stable body mass that balances some energy
reserves against maintaining a low body mass for efficient flight, as required during
reproduction. Submitted 10 March 2018
Accepted 19 August 2018
Published 13 September 2018
Corresponding author
Marco Cucco,
marco.cucco@uniupo.it,
cucco@unipmn.it
Academic editor
Gabriele Sorci
Additional Information and
Declarations can be found on
page 12
DOI 10.7717/peerj.5607 Submitted 10 March 2018
Accepted 19 August 2018
Published 13 September 2018
Corresponding author
Marco Cucco,
marco.cucco@uniupo.it,
cucco@unipmn.it
Academic editor
Gabriele Sorci
Additional Information and
Declarations can be found on
page 12
DOI 10.7717/peerj.5607
Copyright
2018 Cucco and Bowman
Distributed under
Creative Commons CC-BY 4.0 Subjects Animal Behavior, Ecology, Zoology
Keywords Florida scrub-jay, Mass variation, Electronic balance, Helpers, Cooperative breeder,
Reproduction, Parents and helpers, Daily Subjects Animal Behavior, Ecology, Zoology
Keywords Florida scrub-jay, Mass variation, Electronic balance, Helpers, Cooperative breeder,
Reproduction, Parents and helpers, Daily How to cite this article Cucco and Bowman (2018), Mass fluctuation in breeding females, males, and helpers of the Florida scrub-jay
Aphelocoma coerulescens. PeerJ 6:e5607; DOI 10.7717/peerj.5607 Mass fluctuation in breeding females,
males, and helpers of the Florida
scrub-jay Aphelocoma coerulescens Marco Cucco1,* and Reed Bowman2,*
1 DISIT, University of Piemonte Orientale, Alessandria, Italy
2 Avian Ecology Program, Archbold Biological Station, Venus, FL, USA
* These authors contributed equally to this work. Marco Cucco1,* and Reed Bowman2,*
1 DISIT, University of Piemonte Orientale, Alessandria, Italy
2 Avian Ecology Program, Archbold Biological Station, Venus, FL, USA
* These authors contributed equally to this work. Marco Cucco1,* and Reed Bowman2,* INTRODUCTION Changes in body mass of birds should reflect a trade-off between costs and benefits of
energy storage (reviewed in Witter & Cuthill, 1993). Costs of energy storage include a
reduction in flight efficiency and thereby increased risk of predation (Lima, 1986; Rogers,
1987; Gosler, Greenwood & Perrins, 1995); benefits include lower probabilities of starvation
and thermal stress, as well as a higher likelihood to survive in case of diseases and their
related periods of pathogen-induced anorexia (Speakman, 2018). Much evidence suggests
that birds actively regulate energy reserves relative to their needs (reviewed in Witter &
Cuthill, 1993; Witter, Swaddle & Cuthill, 1995; Thomas, 2000), increasing reserves as food
resources become more unpredictable (e.g., Bednekoff & Krebs, 1995; Ekman & Hake, 1990; OPEN ACCESS Hurly, 1992; Ekman & Lilliendahl, 1993; but see Acquarone et al., 2002; Cucco et al., 2002;
Boon, Visser & Daan, 1999) or predictably scarce, as when overnight temperatures decrease
(e.g. Ekman & Hake, 1990). The ability of birds to regulate their body mass might be
compromised during periods of elevated energy expenditure, as during the feeding of
dependent young. The reproductive stress hypothesis invokes this idea to explain the mass
loss during breeding (Bryant, 1979; Moreno, 1989). Alternately, it has been suggested that
birds might deliberately maintain a lower mass to save energy during frequent flight as
when flying back and forth while feeding young (flight adaptation hypothesis; Freed, 1981;
Norberg, 1981). In several studies body mass was positively correlated with fat reserves (see Witter &
Cuthill, 1993), therefore fluctuations in body mass may provide insight into the trade-off
between costs and benefits of fat storage on a daily basis. Most mass-regulation studies have
looked at mass change within one day or change in body mass from before and after some
experimental manipulation. We propose that the amplitude and pattern of day-to-day
fluctuations in body mass over several days also can provide insight into management of
energy reserves by birds. Most mass-regulation studies have focused on temperate-zone birds that experience
food shortages in winter (Lehikoinen, 1987; except Acquarone et al., 2002; Cucco et al.,
2002, which looked at temperate zone birds in spring). Little is known about variation in
body mass of birds living in tropical areas. Limited evidence suggests that under relatively
uniform tropical conditions, seasonal variation in body mass of residents is small (Ward,
1969; Clark Jr, 1979; Nwaogu et al., 2017). Cucco and Bowman (2018), PeerJ, DOI 10.7717/peerj.5607 INTRODUCTION In subtropical Florida scrub-jays, body mass
varies little throughout the year (Woolfenden, 1978). It may be important for birds living
in a mild climate and experiencing relatively predictable foraging conditions to maintain a
stable and low body mass that is optimal for flight efficiency, because conditions in which
energy reserves are useful are infrequent. We measured the body mass of free-living Florida scrub-jays during the breeding
season in south central Florida, USA. Florida scrub-jays breed cooperatively and maintain
permanent, all-purpose territories (Woolfenden & Fitzpatrick, 1996). A strict dominance
hierarchy exists within scrub-jay families in which males dominate females and, within
each sex, breeders dominate helpers (Woolfenden & Fitzpatrick, 1977). A recent study on
long term mass variation for females and males breeders throughout the breeding season
showed that both sexes lost mass during the period of nestling care, but not when feeding
fledglings. Although post-fledging is a period of peak effort (Brand & Bowman, 2012) this
is also the period during which contributions by helpers is at its highest, suggesting that
their contributions might buffer mass losses by breeders. Despite this, few studies have
examined mass loss in non-breeding helpers of cooperative species. We examined variation
in day-to-day mass fluctuation relative to social class (female breeder, male breeder, or
prebreeding helper), stage of the breeding cycle (building, incubation, dependent nestlings,
dependent fledglings) and fortnight of the breeding season. We sought to examine whether
mass fluctuations were greater in birds lower in the social dominance hierarchy (Krams,
2002), and in the periods of higher energy demand, i.e., when nestling feeding occurrs
(Moreno, 1989). We tested for the ability of individuals to maintain a stable mass by Cucco and Bowman (2018), PeerJ, DOI 10.7717/peerj.5607 2/16 looking at the effect of body mass fluctuation between two consecutive days on fluctuation
between the following third and fourth day. Beside the energy demands of parental effort
during reproduction, bird mass could be influenced by local factors, such as predator
presence or food abundance (Krams, 2000; Krams, 2002), and by daily weather conditions
(Wiley & Ridley, 2016). We do not quantify variation in predator abundance among
different scrub-jay territories. Most of the study area is well managed using prescribed fire. We do know that predator abundance increases and jay survival and reproduction declines
with time since fire, but virtually all of our birds occupy habitats that are earlier than this
successional decline in demography. INTRODUCTION From this we assume that predation risk is relatively
evenly spread among all the territories. To test for possible short-term effects of climatic
stress on mass (Lima, 1986), we also investigated whether day-to-day fluctuation in mass
were related to any of six weather variables collected in the study area. Cucco and Bowman (2018), PeerJ, DOI 10.7717/peerj.5607 MATERIALS & METHODS This study was conducted at Archbold Biological Station in south-central Florida (27◦10′N
81◦21′W) as part of the long-term study of the Florida scrub-jay (Mumme et al., 2015;
Fitzpatrick & Bowman; data collected under SFWS permit TE824723-9 issued to R. Bowman). Each jay in the population is uniquely marked with metal and plastic colour
rings (Woolfenden, 1975), and all individuals are easily identifiable in the field. All birds
are sexed genetically at only 11 days post-hatch, but later confirmed behaviourally; only
females incubate and brood and give a characteristic ‘‘hiccup’’ vocalization (Woolfenden &
Fitzpatrick, 1984). Prebreeding helpers, which remain in their natal territories for one or
more years and help the breeders raise young, were distinguished from breeders by their
histories and by behaviour, especially dominance-subordinance relationships (Woolfenden
& Fitzpatrick, 1977). Data were collected during the breeding season of 1996, during which
nesting began in mid-March, and almost all pairs had eggs by mid-April. We collected mass measurements daily from 2 April to 9 June 1996. We placed electronic
balances (accuracy 0.1 g) on the ground several tens of meters from the nest in numerous
territories. The jays, which are remarkably tame to humans and accustomed to receiving
peanut bits from us, were induced to perch on the balance by placing a few bits on the plate. The mass of peanuts provided daily to individual birds was less than 0.2 g, or about 0.3% of
the mass of an adult jay (77 g; Woolfenden & Fitzpatrick, 1996). We used two methods for
obtaining mass measurements. When a stable mass value was visible on the scale display,
we read the scale directly. Otherwise, we inspected a series of mass values (approximately
three per second) collected by a computer attached to the scale to find a stable mass value,
defined as at least three consecutive identical values. All data were collected by the same
observer (MC). We recorded only a single mass value for each visit of a bird to the scale. We
obtained 438 mass values by reading the scale directly and another 494 from the attached
computer for a total of 932 measurements (31 individuals: seven female breeders, 15 male
breeders, and nine prebreeding helpers, sexes combined; mean = 30.1 ± 2.6 measurements
per bird). For all visits, the observer recorded the identity of the bird and the time the mass
value was obtained. MATERIALS & METHODS Cucco and Bowman (2018), PeerJ, DOI 10.7717/peerj.5607 3/16 We divided date into five fortnight intervals (15 days) from 1 April through 15 June. We
divided the breeding cycle into four stages: nest building and egg laying (hereafter referred to
as building), incubation, nestlings, and dependent fledglings. Mass measurements obtained
from birds after the failure of their last nest were excluded. We utilized mixed-effect models
to compare mass values between the fortnight periods, or between the breeding stages. In
the models, fortnight or breeding stage was inserted as fixed factor, and jay identity was
inserted as a random effect to account for repeated measures (lme4 package for R vers. 3.4.3, (R Development Core Team, 2017). Post-hoc comparisons with Tukey correction were
computed by the package multcomp, and group means for fixed factors with confidence
intervals were obtained by the package lmerTest. We define day-to-day mass fluctuation as the difference in mass between two consecutive
days. We define the amplitude of mass fluctuation as the absolute value of the day-to-day
mass fluctuation. We examined day-to-day mass fluctuation relative to date and breeding
stage separately for three social classes, e.g., female and male breeders and prebreeding
helpers. Of the 932 mass values, 595 represented paired measurements of the same
individuals on successive days. Because mass values taken over a sequence of days are
potentially more correlated than masses that are further away in time (Ekstrom, 2012), we
modelled the relationship between mass variation and elapsed days using mixed models
with serial correlation in the nlme package (Pinheiro et al., 2018). In the models, the jay
identity was inserted as a random term, while social class and breeding stage were inserted
as fixed terms. We modelled both linear and quadratic effects. We examined the influence of weather on day-to-day fluctuation in body mass using
air temperature and rainfall: (1) maximum temperature on the day of weighing, (2) mean
maximum temperature on the day of weighing plus the previous day, (3) minimum
temperature on the day of weighing, (4) mean minimum temperature on the day of
weighing plus the previous day, (5) amount of rainfall on the day of weighing, and
(6) amount of rainfall on the day of weighing plus the previous day. Temperature and
rainfall values were collected in situ and obtained from Archbold meteorological archives. MATERIALS & METHODS Relationship between mass fluctuation and weather variables was tested both individually
for each variable and in a multiple regression analysis, followed by stepwise backward
and forward selection. Multivariate models were compared using Akaike information
criterium’s values computed by the nlme package. Cucco and Bowman (2018), PeerJ, DOI 10.7717/peerj.5607 RESULTS Within-day increase in body mass Within-day increase in body mass We observed an increase in body mass daily from morning to afternoon in 27 individuals
that were weighed twice in the same day (Fig. 1). The average increase was 0.205 ± 0.117
g/h, with no significant differences between the three social classes (F2,24 = 2.035, p = 0.15). The mass increase during the examined central hours of the day was best explained by
a linear increase (t = 1.691, P < 0.05), while the addition of a quadratic term was not
significant (t = 0.354, P = 0.35). Cucco and Bowman (2018), PeerJ, DOI 10.7717/peerj.5607 4/16 Figure 1
Mass change of Florida Scrub-Jays within a day. Circles represent female breeders;
diamonds, male breeders; squares, helpers. Full-size
DOI: 10.7717/peerj.5607/fig-1 Figure 1
Mass change of Florida Scrub-Jays within a day. Circles represent female breeders;
diamonds, male breeders; squares, helpers. Full-size
DOI: 10.7717/peerj.56 Figure 1
Mass change of Florida Scrub-Jays within a day. Circles represent female breeders;
diamonds, male breeders; squares, helpers. Full-size
DOI: 10.7717/peerj.5607/fig-1 Mean body mass by fortnight and stage of the breeding cycle Mean body mass by fortnight and stage of the breeding cycle
The mean mass of jays was influenced by date and stage during the breeding season
(Table 1). The mass of females was higher during the first fortnight and the first phase
of the breeding stages, then mass values were significantly lower (mixed model ANOVA,
five fortnights: F4,177 = 52.4, p < 0.001; three stages: F2,162 = 73.1, p < 0.001; Table 1). The mass of females was lower during the nestling stage (t = 5.74, p < 0.001, post hoc
comparison with Tukey correction) and the fledgling stage (t = 7.69, p < 0.001) than during
incubation. The mass of males and helpers showed significant differences in relation to
date (five fortnights, males: F4,511 = 15.9, p < 0.003; helpers: F4,244 = 36.1, p < 0.001)
and to breeding stage (three stages, males: F2,439 = 38.2, p < 0.001; helpers: F2,206 = 38.6,
p < 0.001). However, mass in males showed no trend to decrease with time; their mass
was highest during the middle fortnight (t = 3.38, p < 0.006) and middle stage (nestlings:
t = 2.89, p < 0.004). Within-day increase in body mass The mass of helpers was highest in the third and fifth fortnights
(t = 5.02 and t = 3.19, p < 0.01) and in the last two stages (nestlings, t = 5.77, p < 0.001;
fledglings, t = 5.15, p < 0.001). Cucco and Bowman (2018), PeerJ, DOI 10.7717/peerj.5607 Cucco and Bowman (2018), PeerJ, DOI 10.7717/peerj.5607 Day-to-day fluctuations in mass Most day-to-day fluctuations in mass were small, most (80%) within 2 g, which is less
than 3% of the mass of an adult bird (77 g). The median fluctuation was 0.2 g with a range
from −4.0 to +6.4 g. The amplitude of mass fluctuations (Fig. 2) did not vary by date 5/16 5/16 Cucco and Bowman (2018), PeerJ, DOI 10.7717/peerj.5607 Figure 2
Day-to-day fluctuations in body mass of Florida Scrub-Jays relative to date. Full-size
DOI: 10.7717/peerj.5607/fig-2
Table 1
Body mass (g, mean ± s.e.) of Florida scrub-jays relative to fortnight and breeding stage. Dif-
ferences within a class among time periods are indicated by different superscript letters. Period
Females
Males
Helpers
Fortnight
April 1–15
75.4 ± 1.59a
78.0 ± 1.17a
73.9 ± 0.98a
April 16–30
74.0 ± 1.57b
77.5 ± 1.16a
74.9 ± 0.96a
May 1–15
73.7 ± 1.56b
78.0 ± 1.16b
75.9 ± 0.95b
May 16–31
72.0 ± 1.56c
77.2 ± 1.16a
74.9 ± 0.93a
June 1–15
71.9 ± 1.57c
77.7 ± 1.16a
76.1 ± 0.97b
Breeding stage
Incubation
76.6 ± 1.16a
78.3 ± 1.15a
73.7 ± 1.02a
Nestlings
74.2 ± 1.08b
77.0 ± 1.14b
75.6 ± 1.01b
Fledglings
72.1 ± 1.06c
77.5 ± 1.15c
75.8 ± 1.01b
(Mixed-effect model with serial correlation; Julian date: t = 0.703, p = 0.48; quadratic term
Julian2: t = −0.736, p = 0.46; scrubjay identity inserted as a random effect). We found
no difference in the mean day-to-day mass fluctuation (Fig. 3) or the amplitude of mass
fluctuations between females, males, and helpers (F2,355 = 0.28, p = 0.76; F2,355 = 1.27,
p = 0.28; respectively). Figure 2
Day-to-day fluctuations in body mass of Florida Scrub-Jays relative to date. Full-size
DOI: 10.7717/peerj.5 Figure 2
Day-to-day fluctuations in body mass of Florida Scrub-Jays relative to date. Full-size
DOI: 10.7717/ Table 1
Body mass (g, mean ± s.e.) of Florida scrub-jays relative to fortnight and breeding stage. Dif-
ferences within a class among time periods are indicated by different superscript letters. Table 1
Body mass (g, mean ± s.e.) of Florida scrub-jays relative to fortnight and breeding stage. Dif-
ferences within a class among time periods are indicated by different superscript letters. (Mixed-effect model with serial correlation; Julian date: t = 0.703, p = 0.48; quadratic term
Julian2: t = −0.736, p = 0.46; scrubjay identity inserted as a random effect). We found
no difference in the mean day-to-day mass fluctuation (Fig. Day-to-day fluctuations in mass 3) or the amplitude of mass
fluctuations between females, males, and helpers (F2,355 = 0.28, p = 0.76; F2,355 = 1.27,
p = 0.28; respectively). Cucco and Bowman (2018), PeerJ, DOI 10.7717/peerj.5607 6/16 Figure 3
Variation and extent of day-to-day mass fluctuations in three classes of Florida Scrub-Jay. Black: females; white: males; grey: helpers. Full-size
DOI: 10.7717/peerj.5607/fig-3 Figure 3
Variation and extent of day-to-day mass fluctuations in three classes of Florida Scrub-Jay. Black: females; white: males; grey: helpers. Full-size
DOI: 10.7717/peerj.5607/fig-3 Day-to-day mass fluctuation did not vary by fortnight for females (five fortnights:
F4,62 = 0.57, p = 0.68) and helpers (F4,80 = 0.70, p = 0.59; Supplemental Information 1). Day-to-day mass fluctuations varied for males (F4,201 = 2.46, p = 0.05), but only the first
(April 1–15; ¯x = −0.58±0.42 SD) and last (June 1–15; ¯x = 0.60±0.19 SD) fortnights
were significantly different (Tukey’s multiple comparisons, p = 0.03). The amplitude of
mass fluctuations did not vary by fortnight for females (F4,62 = 0.73, p = 0.58), males
(F4,201 = 1.09, p = 0.36) or helpers (F4,80 = 1.17, p = 0.33; Supplemental Information 2). Day-to-day mass fluctuation did not differ between breeding stages (four stages: χ2 = 1.39,
p = 0.22), for females (χ2 = 6.41, p = 0.09), males (χ2 = 3.56, p = 0.31) or helpers
(F3,77 = 2.31, p = 0.08; Supplemental Information 1). The amplitude of mass fluctuations
did not vary by breeding stage for helpers (F3,77 = 0.13, p = 0.95). However, the amplitude
of mass fluctuations was significantly higher for both females (χ2 = 8.32, p = 0.04) and
males (F3,176 = 4.75, p = 0.003) during the building stage than for any other breeding stage
(Tukey’s test, p < 0.05 for all comparisons, Supplemental Information 2). Day-to-day fluctuation in mass of a scrub-jay was positively associated with the Day-to-day fluctuation in mass of a scrub-jay was positively associated with the
maximum temperature on the first day of weighing, as well as with maximum temperature
of the first and second days of weighing (Table 2). Day-to-day fluctuation in mass was not
associated with minimum temperatures, nor with rainfall. A multivariate analysis of all
climatic variables and period of the breeding cycle or class (female breeder, male breeder,
or helper) resulted in a final model including only the two maximum temperature values. This result was consistent with findings from the single-factor correlations. Cucco and Bowman (2018), PeerJ, DOI 10.7717/peerj.5607 Day-to-day fluctuations in mass Cucco and Bowman (2018), PeerJ, DOI 10.7717/peerj.5607 7/16 Table 2
Correlations between weather variables and day-to-day mass fluctuations in Florida scrub-
jays. Variables
Estimate
Std. Error
t value
P
Single weather variables
1 day maximum temperature
0.0339
0.0109
3.109
0.002**
2 days maximum temperature
0.0245
0.0124
1.972
0.049*
1 day minimum temperature
0.0076
0.0077
0.993
0.32
2 days minimum temperature
0.0048
0.0094
0.512
0.61
1 day rain
0.0128
0.1222
0.105
0.92
2 days rain
0.0282
0.0899
0.314
0.75
Stepwise complete model, AIC = 475.7
Intercept
−2.0743
1.2185
−1.702
0.09
Julian date
−0.0012
0.0049
−0.247
0.80
Breeding stage
−0.0015
0.0026
−0.566
0.57
Status [helper]
−0.0522
0.1980
−0.264
0.79
Status [male]
-0.1315
0.1724
−0.762
0.45
a1 day maximum temperature
0.0683
0.0249
2.747
0.006**
a2 days maximum temperature
−0.0342
0.0278
−1.228
0.22
1 day minimum temperature
0.0087
0.0213
0.411
0.68
2 days minimum temperature
−0.0197
0.0263
−0.748
0.45
1 day rain
−0.0038
0.1728
−0.022
0.98
2 days rain
0.0829
0.1339
0.619
0.54
Notes. aStepwise selected variables (forward and backward selection) AIC = 461.9. Table 2
Correlations between weather variables and day-to-day mass fluctuations in Florida scrub-
jays. Regulation of body mass Day-to-day mass fluctuation influenced mass fluctuation between the second and third
consecutive days (F1,236 = 22.2, p < 0.001, r2
adj. = 0.082). Usually the mass fluctuation
from the second to third day was compensatory (Fig. 4A); however, the influence had
only an immediate, short-term effect, and disappeared by the fourth consecutive day
(Fig. 4B; F1,129 = 0.2, p = 0.65, r2
adj. = −0.006). The effect of day-to-day mass fluctuation
on mass fluctuation between the second and third days was significant for all classes: female
breeders (F1,44 = 7.81, p = 0.008, r2
adj. = 0.131), male breeders (F1,142 = 7.65, p = 0.006,
r2
adj. = 0.044), and helpers (F1,45 = 5.46, p = 0.02, r2
adj. = 0.088). Mixed-effect models with
serial correlation showed that mass fluctuations over three-day series (t = −0.658, p = 0.51)
did not differ from those over a four-day series (t = −0.835, p = 0.40); Supplemental
Information 3). Cucco and Bowman (2018), PeerJ, DOI 10.7717/peerj.5607 Cucco and Bowman (2018), PeerJ, DOI 10.7717/peerj.5607 Temporal patterns of mass variation Florida scrub-jays exhibited a pattern of diurnal mass gain frequently observed in other
diurnal birds (reviewed in Clark Jr, 1979; Haftorn, 1989; Ekman & Lilliendahl, 1993; but see
Manu & Cresswell, 2013). Birds weighed the least in the morning, presumable because of
nighttime fasting, and gained weight throughout the day. Birds in all social classes—female
and male breeders and helpers—exhibited this pattern, although only one helper was Cucco and Bowman (2018), PeerJ, DOI 10.7717/peerj.5607 8/16 8/16 Figure 4
Relationship between mass fluctuation between two consecutive days and the second and
third day (A) and the third and fourth day (B). Full-size
DOI: 10.7717/peerj.5607/fig- Figure 4
Relationship between mass fluctuation between two consecutive days and th
third day (A) and the third and fourth day (B). Full-size
DOI: 10.771 Figure 4
Relationship between mass fluctuation between two consecutive days and the second and
third day (A) and the third and fourth day (B). Full-size
DOI: 10.7717/peerj.5607/fig-4 Figure 4
Relationship between mass fluctuation between two consecutive days and the second and
third day (A) and the third and fourth day (B). Full-size
DOI: 10.7717/peerj.5607/fig-4 Figure 4
Relationship between mass fluctuation between two consecutive days and the second and
third day (A) and the third and fourth day (B). Full-size
DOI: 10.7717/peerj.5607/fig-4 Cucco and Bowman (2018), PeerJ, DOI 10.7717/peerj.5607 measured multiple times within a single day. The 0.205 g gain in mass per hr is great
enough to warrant caution whenever mass measurements taken at different times of day
are compared. In this study we accordingly inserted the time of the day in all models
comparing mass measurements. Time-adjusted measurements of the same birds taken on
consecutive days, possible in this study because individuals were trained to land on an
electronic balance and therefore were measured without capture are a useful alternative
to repeated measurements of birds at the same time of day, for example dawn or dusk,
employed in many laboratory studies (e.g., Thomas, 2000), but very difficult to obtain and
very stressful for free-living birds (Carpenter, Paton & Hixon, 1983; MacLeod et al., 2005;
MacLeod & Gosler, 2006; Moiron, Mathot & Dingemanse, 2018). Breeding stage and calendar date (fortnights) affected the mass of female breeders. Females exhibited the common pattern in passerines of mass loss between the incubation
and nestling stages (reviewed in Moreno, 1989). Mass during the fledgling stage also was
lower than mass during the incubation stage. Temporal patterns of mass variation Male breeders did not show a tendency to
decrease in mass during the breeding period. Their weigh fluctuated and showed some
significant difference when comparing different stages or fortnights, but the differences
were small (<1 g). The patterns of mass variation for female and male breeders in this study
are consistent with mass data for an adjacent study population of the Florida scrub-jay
collected over three years during the building, incubation and nestling stages (Schoech, 1998)
and to data collected in the same population in different years (Brand & Bowman, 2012). However, in these studies the patterns of mass variation in helpers were never examined in
detail before. Helpers exhibited an increase of mass in the last part of the breeding period,
which is somewhat surprising given their energetically demanding contributions to feeding
of nestlings (Stallcup & Woolfenden, 1978) and fledglings (McGowan & Woolfenden, 1990). This suggests helpers may be employing a bet hedging strategy by providing help to their
parents thereby increasing their indirect fitness, yet at the same time attempting to maintain
or even gain mass thereby not potentially reducing their longer-term survival prospects. Several studies documented costs associated with helping in cooperative breeders (Reyer,
1984; Heinsohn & Cockburn, 1994; MacLeod & Clutton-Brock, 2015). Florida scrub-jay
helpers might be attempting to minimizing these costs to protect their long-term direct
fitness potential by surviving to become breeders. Cucco and Bowman (2018), PeerJ, DOI 10.7717/peerj.5607 Day-to-day fluctuations in mass Day-to-day fluctuations in mass might be stochastic variation or might reflect difficulty
in maintaining body mass, such as during unfavorable foraging conditions, cold weather,
or a period of elevated energy expenditure. Consistent with the relative stability of
Florida scrub-jays’ average mass during this study, most day-to-day fluctuations in
mass were small, and overall did not vary between male breeders, female breeders
and helpers despite their different breeding-season activities. Mass fluctuations varied
significantly relative to season only for male breeders, and only between two fortnights,
but these differences were small (−0.58 g during the first fortnight compared to 0.60 g
during the last fortnight) and were not reflected by differences in average mass of males
between fortnights. Also, the amplitude of mass fluctuations did not vary by fortnight. Cucco and Bowman (2018), PeerJ, DOI 10.7717/peerj.5607 In Florida scrub-jays, female breeders perform all incubating and brooding, but feed
nestlings at a relatively low rate compared to the male breeder. Male breeders feed the
female during incubation and brooding, and feed nestlings at a high rate. Both males
and females feed fledglings at an increasing rate that peaks about two weeks post-fledging
(Woolfenden & Fitzpatrick, 1996; Stallcup & Woolfenden, 1978; McGowan & Woolfenden,
1990). We found that despite the different reproductive activities of Florida scrub-jays,
day-to-day mass fluctuations did not differ among social classes in different stages of the
breeding cycle. The amplitude of these fluctuations also did not differ between classes. However, the amplitude of mass fluctuations was higher for female and male breeders
during the building stage than during any other stage. The building stage encompassed
the prelaying period, so the large amplitude of mass fluctuations for females likely reflects
mass gain during the building stage. The average amplitude and fluctuation are equal for
this stage, indicating that all fluctuation measurements were positive. The larger amplitude
for males during the building stage is more difficult to explain. The average fluctuation for
this stage was smaller than the average amplitude, though it was still positive, indicating
that day-to-day mass gains were partly offset by losses. No differences in amplitude existed
for helpers. Weather variables explained less than 2% of the total variation in day-to-day mass
fluctuation. The lack of effect of daily minimum temperature on mass fluctuation suggests
that during the study period the nocturnal energy expenditure of jays was not influenced by
nighttime temperature. Day-to-day fluctuations in mass It is not surprising that Florida scrub-jays in the subtropical climate
of south-central Florida, particularly in the spring months of April, May and June, would
not exhibit fat storage patterns observed in birds that experience colder temperatures (e.g.,
Rogers, 1987; Rogers & Smith, 1993; review in Witter & Cuthill, 1993). Cucco and Bowman (2018), PeerJ, DOI 10.7717/peerj.5607 Regulation of body mass Day-to-day mass fluctuation explained 8% of the variation in mass on the third consecutive
day. Female breeders, male breeders and helpers exhibited similar short-term mass
regulation, with the effect strongest in female breeders (13% of variation explained). Small mass fluctuations over two days, combined with the ability to compensate for these
fluctuations on the third day, indicate that during the breeding season scrub-jays are able to
regulate their body mass on a short-term basis. A number of studies have found differences
in mass regulation strategies between dominant and subordinate birds (Krams, 2000; Krams,
2002). Theory predicts that subordinates should carry greater fat reserves than dominants
(Clark & Ekman, 1995; Gosler, 1996; Ratikainen & Wright, 2013) as insurance against poor
foraging conditions, during which dominants would exercise their priority access to food. Some studies have found that the body mass of subordinates varies less than that of
dominants, likely because smaller adjustments are needed to subordinates’ already larger
reserves (in WillowTits Parus montanus, Ekman & Lilliendahl, 1993; GreatTits Parus major,
Gosler, 1996; and Greenfinches Carduelis chloris, Hake, 1996; but the opposite result in Coal
Tits Parus ater, Polo & Bautista, 2002). In contrast, in Florida scrub-jays, although helpers
are subordinate to male breeders, they exhibited similar day-to-day mass fluctuations,
amplitude of fluctuations and short-term mass regulation. These previous studies were Cucco and Bowman (2018), PeerJ, DOI 10.7717/peerj.5607 11/16 performed on dominance-structured winter flocks of genetically unrelated individuals in
which dominants were able to monopolize food resources, leading to different strategies. In Florida scrub-jays, dominant and subordinate birds within groups are closely related. Jays tend to forage individually primarily on insects and, to a lesser extent, small reptiles,
amphibians, and mammals all well hidden in the vegetation. This reduces the chance for
dominant birds to monopolize food. In fall and winter, each jay feeds primarily on acorns,
cached during the later summer. Each jay scatter-hoards 6-7000 individual acorns (DeGange
et al., 1989). When caching, jays adopt behaviors that appear to minimize kelptoparsitism
by dominant jays, suggesting that it may happen but is minimized within groups (Toomey,
Bowman & Woolfenden, 2007). Thus year-round feeding patterns do not favor despotic
control of food. Since breeder and helper jays both contribute to rearing young, it is not
surprising that in this species, mass regulation strategies did not differ by social status. CONCLUSIONS The mechanism for maintaining a stable body mass in Florida scrub-jays appears to operate
on a daily basis, with birds experiencing a mass gain or loss over two consecutive days
making a compensatory adjustment during the third day. Future studies could investigate
whether or not scrub-jays are able to maintain such a short-term regulation of body mass
in other seasons of the year, if this regulation can be supported in poor quality territories
(Mumme et al., 2015; Fitzpatrick & Bowman, 2016) and in territories were food is less
predictable (Schoech, Bowman & Reynolds, 2004). Regulation of body mass Because the jays rarely experience severe climate or food shortages in spring (Woolfenden
& Fitzpatrick, 1996), a strategy of fattening may be more of a disadvantage (Lima, 1986)
than an advantage. Instead, for this species, the appropriate strategy seems to be maintain a
stable body mass that effectively balance the need to maintain some energy reserves against
the need for efficient flight and foraging, as required during reproduction. Funding This research received financial support from the University of Piemonte Orientale to
Marco Cucco, and from Archbold Biological Station. The funders had no role in study
design, data collection and analysis, decision to publish, or preparation of the manuscript. ACKNOWLEDGEMENTS We dedicate this paper to the memory of Glen E. Woolfenden (1930-2007). Glen began
the long-term study of Florida scrub-jays in 1969 and we were privileged to have worked
on and continue the research. Cucco and Bowman (2018), PeerJ, DOI 10.7717/peerj.5607 Supplemental Information Supplemental information for this article can be found online at http://dx.doi.org/10.7717/
peerj.5607#supplemental-information. Supplemental information for this article can be found online at http://dx.doi.org/10.7717/
peerj.5607#supplemental-information. Grant Disclosures The following grant information was disclosed by the authors: The following grant information was disclosed by the authors:
University of Piemonte Orientale. Archbold Biological Station. The following grant information was disclosed by the authors: The following grant information was disclosed by the authors:
University of Piemonte Orientale. Archbold Biological Station. University of Piemonte Orientale. Archbold Biological Station. Cucco and Bowman (2018), PeerJ, DOI 10.7717/peerj.5607 Competing Interests The authors declare there are no competing interests. Author Contributions • Marco Cucco conceived and designed the experiments, performed the experiments,
analyzed the data, contributed reagents/materials/analysis tools, prepared figures and/or
tables, authored or reviewed drafts of the paper, approved the final draft. • Reed Bowman analyzed the data, contributed reagents/materials/analysis tools, authored
or reviewed drafts of the paper, approved the final draft, managed long-term marked
population. Field Study Permissions The following information was supplied relating to field study approvals (i.e., approving
body and any reference numbers): Data were collected under USFWS permit TE824723-9 issued to R. Bowman. Data Availability The following information was supplied regarding data availability: The raw data are provided in the Supplemental Files. The raw data are provided in the Supplemental Files. Cucco and Bowman (2018), PeerJ, DOI 10.7717/peerj.5607 REFERENCES Acquarone C, Cucco M, Li Cauli SL, Malacarne G. 2002. Effects of food abundance and
predictability on body condition and health parameters: experimental tests with the
Hooded Crow. Ibis 144:E155–E163. Bednekoff PA, Krebs JR. 1995. Great tit fat reserves: effects of changing and unpre-
dictable feeding day length. Functional Ecology 9:457–462 DOI 10.2307/2390009. Boon P, Visser P, Daan S. 1999. Feeding and growth of Japanese quail (Coturnix c. japonica) chicks with unpredictable food access. Netherlands Journal of Zoology
49:233–249 DOI 10.1163/156854299X00164. Brand KB, Bowman R. 2012. Body mass variation in breeding Florida scrub-jays. Journal
of Field Ornithology 83:260–271 DOI 10.1111/j.1557-9263.2012.00374.x. Bryant DM. 1979. Reproductive costs in the house martin (Delichon urbica). Journal of
Animal Ecology 48:655–675 DOI 10.2307/4185. Carpenter FL, Paton DC, Hixon MA. 1983. Weight gain and adjustment of feeding
territory size in migrant hummingbirds. Proceedings of the National Academy of
Sciences of the United States of America 80:7259–7263. Carpenter FL, Paton DC, Hixon MA. 1983. Weight gain and adjustment of feeding
territory size in migrant hummingbirds. Proceedings of the National Academy of
Sciences of the United States of America 80:7259–7263. Clark Jr GA. 1979. Body weights of birds: a review. The Condor 81:193–202
DOI 10.2307/1367288. Clark CW, Ekman J. 1995. Dominant and subordinate fattening strategies—a dynamic
game. Oikos 72:205–212 DOI 10.2307/3546222. Clark CW, Ekman J. 1995. Dominant and subordinate fattening strategies—a dynamic
game. Oikos 72:205–212 DOI 10.2307/3546222. Cucco and Bowman (2018), PeerJ, DOI 10.7717/peerj.5607 Cucco M, Ottonelli R, Raviola M, Malacarne G. 2002. Variations of body mass and
imMune function in response to food unpredictability in magpies. Acta Oecologica
23:271–276 DOI 10.1016/S1146-609X(02)01154-2. DeGange AR, Fitzpatrick JW, Layne JN, Woolfenden GE. 1989. Acorn harvesting by
Florida Scrub Jays. Ecology 70:348–356 DOI 10.2307/1937539. DeGange AR, Fitzpatrick JW, Layne JN, Woolfenden GE. 1989. Acorn harvesting by
Florida Scrub Jays. Ecology 70:348–356 DOI 10.2307/1937539. Ekman JB, Hake MK. 1990. Monitoring starvation risk: adjustments of body reserves in
greenfinches (Carduelis chloris L.) During periods of unpredictable foraging success. Behavioural Ecology Sociobiology 1:62–67 DOI 10.1093/beheco/1.1.62. Ekman JB, Hake MK. 1990. Monitoring starvation risk: adjustments of body reserves in
greenfinches (Carduelis chloris L.) During periods of unpredictable foraging success. Behavioural Ecology Sociobiology 1:62–67 DOI 10.1093/beheco/1.1.62. Ekman JB, Lilliendahl K. 1993. Using priority to food access: fattening strategies in
dominance-structured willow tit (Parus montanus) flocks. Behavioural Ecology
4:232–238 DOI 10.1093/beheco/4.3.232. Ekstrom CT. 2012. The R primer. Boca Raton: Chapman & Hall. Fitzpatrick JW, Bowman R. 2016. Cucco and Bowman (2018), PeerJ, DOI 10.7717/peerj.5607 REFERENCES Florida scrub-jay: oversized territories and group
defense in a fire-maintained habitat. In: Koenig WD, Dickinson JL, eds. Cooperative
breeding in vertebrates: studies of ecology, evolution, and behavior. Cambridge:
Cambridge University Press. Freed LA. 1981. Loss of mass in breeding wrens: stress or adaptation? Ecology
62:1179–1186 DOI 10.2307/1937282. Gosler AG. 1996. Environmental and social determinants of winter fat storage in the
great tit Parus major. Journal of Animal Ecology 65:1–17 DOI 10.2307/5695. Gosler AG, Greenwood JJD, Perrins CM. 1995. Predation risk and the cost of being fat. Nature 377:621–623 DOI 10.1038/377621a0. Haftorn S. 1989. Seasonal and diurnal body weight variations in titmice, based on
analyses of individual birds. Wilson Bulletin 101:217–235. Hake MK. 1996. Fattening strategies in dominance-structured greenfinch (Carduelis
chloris) flocks in winter. Behavioural Ecology Sociobiology 39:71–76
DOI 10.1007/s002650050268. Heinsohn R, Cockburn A. 1994. Helping is costly to young birds in cooperatively
breeding white-winged choughs. Proceedings of the Royal Society of London, Series B
256:293–298 DOI 10.1098/rspb.1994.0083. Hurly TA. 1992. Energetic reserves of marsh tits (Parus palustris): food and fat
storage in response to variable food supply. Behavioural Ecology 3:181–188
DOI 10.1093/beheco/3.2.181. Krams I. 2000. Length of feeding day and body weight of Great Tits in a single- and
a two-predator environment. Behavioral Ecology and Sociobiology 48:147–153
DOI 10.1007/s002650000214. Krams I. 2002. Mass-dependent take-off ability in winterng great tits (Parus major):
comparison of top-ranked adult males and subordinate juvenile females. Behavioral
Ecology and Sociobiology 51:345–349 DOI 10.1007/s00265-002-0452-8. Krams I. 2002. Mass-dependent take-off ability in winterng great tits (Parus major):
comparison of top-ranked adult males and subordinate juvenile females. Behavioral
Ecology and Sociobiology 51:345–349 DOI 10.1007/s00265-002-0452-8. Lehikoinen E. 1987. Seasonality of the daily weight cycle in wintering passerines and its
consequences. Ornis Scandinavica 18:216–226 DOI 10.2307/3676769. Lehikoinen E. 1987. Seasonality of the daily weight cycle in wintering passerines and its
consequences. Ornis Scandinavica 18:216–226 DOI 10.2307/3676769. Lima SL. 1986. Predation risk and unpredictable feeding conditions: determinants of
body mass in wintering birds. Ecology 67:377–385 DOI 10.2307/1938580. Lima SL. 1986. Predation risk and unpredictable feeding conditions: determinants of
body mass in wintering birds. Ecology 67:377–385 DOI 10.2307/1938580. Cucco and Bowman (2018), PeerJ, DOI 10.7717/peerj.5607 14/16 MacLeod R, Barnett P, Clark JA, Cresswell W. 2005. Body mass change strategies in
blackbirds Turdus merula: the starvation-predation risk trade-off. Journal of Animal
Ecology 74:292–302 DOI 10.1111/j.1365-2656.2005.00923.x. MacLeod KJ, Clutton-Brock TH. 2015. Low costs of allonursing in meerkats: mitigation
by behavioral change? Cucco and Bowman (2018), PeerJ, DOI 10.7717/peerj.5607 REFERENCES Behavioral Ecology 26:697–705 DOI 10.1093/beheco/aru205. MacLeod R, Gosler AG. 2006. Capture and mass change: perceived predation risk or
interrupted foraging. Animal Behaviour 71:1081–1087
DOI 10 1016/j anbehav 2005 07 022 Manu S, Cresswell W. 2013. Diurnal patterns of mass gain in tropical granivores suggest
avoidance of high midday temperatures during foraging, rather than the starvation–
predation risk trade-off. Ostrich 84:95–100 DOI 10.2989/00306525.2013.821683. McGowan KJ, Woolfenden GE. 1990. Contributions to fledgling feeding in the Florida
Scrub Jay. Journal of Animal Ecology 59:691–707 DOI 10.2307/4889. Moiron M, Mathot KJ, Dingemanse NJ. 2018. To eat and not be eaten: diurnal mass
gain and foraging strategies in wintering great tits. Proceedings of the Royal Society
B 285:20172868. Moreno J. 1989. Strategies of mass change in breeding birds. Biological Journal of the
Linnean Society 37:297–310 DOI 10.1111/j.1095-8312.1989.tb01907.x. Mumme RL, Bowman R, Pruett MS, Fitzpatrick JW. 2015. Natal territory size, group
size, and body mass affect lifetime fitness in the cooperatively breeding Florida
scrub-jay. Auk 132:634–646 DOI 10.1642/AUK-14-258.1. Norberg RA. 1981. Temporary weight decrease in breeding birds may result in more
fledged young. American Naturalist 118:838–850 DOI 10.1086/283874. Nwaogu CJ, Dietz MW, Tieleman BI, Cresswell W. 2017. Breeding limits foraging time:
evidence of interrupted foraging response from body mass variation in a tropical
environment. Journal of Avian Biology 48:563–569 DOI 10.1111/jav.01132. Pinheiro J, Bates D, DebRoy S, Sarkar D, R Core Team. 2018. nlme: linear and nonlinear
mixed effects models. R package version 3.1-137. Available at https://CRANR-
project.org/package=nlme. Polo V, Bautista LM. 2002. Daily body mass regulation in dominance-structured
coal tit (Parus ater) flocks in response to variable food access: a laboratory study. Behavioural Ecology 13:696–704 DOI 10.1093/beheco/13.5.696. R Development Core Team. 2017. R: a language and environment for statistical com-
puting. Vienna: R Foundation for Statistical Computing. Available at http://www.R-
project.org. Ratikainen II, Wright J. 2013. Adaptive management of body mass by Siberian jays. Animal Behaviour 85:427–434 DOI 10.1016/j.anbehav.2012.12.002. Reyer H-U. 1984. Investment and relatedness: a cost/benefit analysis of breeding and
helping in the pied kingfisher (Ceryle rudis). Animal Behaviour 32:1163–1178
DOI 10.1016/S0003-3472(84)80233-X. Rogers CM. 1987. Predation risk and fasting capacity: do wintering birds maintain
optimal body mass? Ecology 68:1051–1061 DOI 10.2307/1938377. Rogers CM, Smith JNM. 1993. Life-history theory in the nonbreeding period: trade-offs
in avian fat reserves? Ecology 74:419–426 DOI 10.2307/1939303. Cucco and Bowman (2018), PeerJ, DOI 10.7717/peerj.5607 15/16 Schoech SJ. 1998. Physiology of helping in Florida scrub-jays. American Scientist
86:70–77 DOI 10.1511/1998.17.916. Cucco and Bowman (2018), PeerJ, DOI 10.7717/peerj.5607 REFERENCES Schoech SJ, Bowman R, Reynolds SJ. 2004. Food supplementation and possible mecha-
nisms underlying early breeding in the Florida scrub-jay (Aphelocoma coerulescens). Hormones and Behavior 46:565–573 DOI 10.1016/j.yhbeh.2004.06.005. Speakman JR. 2018. The evolution of body fatness: trading off disease and pre-
dation risk. Journal of Experimental Biology 221:Article UNSP jeb167254
DOI 10.1242/jeb.167254. Stallcup JA, Woolfenden GE. 1978. Family status and contributions to breeding by
Florida scrub jays. Animal Behaviour 26:1144–1156 Stallcup JA, Woolfenden GE. 1978. Family status and contributions to breeding by
Florida scrub jays. Animal Behaviour 26:1144–1156
DOI 10.1016/0003-3472(78)90104-5. Thomas RJ. 2000. Strategic diel regulation of body mass in European robins. Animal
Behaviour 59:787–791 DOI 10.1006/anbe.1999.1360. Toomey MB, Bowman R, Woolfenden GE. 2007. The effects of social context on the
food-caching behavior of Florida Scrub-Jays (Aphelocoma coerulescens). Ethology
113:521–527 DOI 10.1111/j.1439-0310.2007.01366.x. Ward P. 1969. Seasonal and diurnal changes in the fat content of an equatorial bird. Physiological Zoology 42:85–89 DOI 10.1086/physzool.42.1.30152469. Wiley EM, Ridley AR. 2016. The effects of temperature on offspring provisioning in a
cooperative breeder. Animal Behaviour 117:187–195 Wiley EM, Ridley AR. 2016. The effects of temperature on offspring provisioning in a
cooperative breeder. Animal Behaviour 117:187–195
DOI 10.1016/j.anbehav.2016.05.009. Witter MS, Cuthill IC. 1993. The ecological costs of avian fat storage. Philosophical
Transactions of the Royal Society of London B 340:73–92 DOI 10.1098/rstb.1993.0050. Witter MS, Swaddle JP, Cuthill IC. 1995. Periodic food availability and strategic
regulation of body mass in the European Starling, Sturnus vulgaris. Functional
Ecology 9:568–574 DOI 10.2307/2390146. Woolfenden GE. 1975. Florida Scrub Jay helpers at the nest. Auk 92:1–15
DOI 10.2307/4084414. Woolfenden GE. 1978. Growth and survival of young Florida scrub jays. Wilson Bulletin
90:1–18. Woolfenden GE, Fitzpatrick JW. 1977. Dominance in the Florida Scrub Jay. The Condor
79:1–12 DOI 10.2307/1367524. Woolfenden GE, Fitzpatrick JW. 1984. The Florida Scrub Jay: demography of a
cooperative-breeding bird. Princeton: Princeton University Press. Woolfenden GE, Fitzpatrick JW. 1996. Florida scrub-jay (Aphelocoma coerulescens). In:
Poole A, Gill F, eds. The birds of North America, (228). Philadelphia: The Academy of
Natural Sciences, and Washington, D.C.: The American Ornithologists’ Union. 16/16
|
https://openalex.org/W4247988529
|
https://acp.copernicus.org/articles/18/17655/2018/acp-18-17655-2018.pdf
|
English
| null |
Unusual vertical structure of the Saharan Air Layer and giant dust particles during AER-D
| null | 2,018
|
cc-by
| 12,558
|
Correspondence: Franco Marenco (franco.marenco@metoffice.gov.uk) Received: 24 July 2018 – Discussion started: 29 August 2018 Received: 24 July 2018 – Discussion started: 29 August 2018
Revised: 28 November 2018 – Accepted: 4 December 2018 – Published: 12 December 2018 Revised: 28 November 2018 – Accepted: 4 December 2018 – Published: 12 December 2018 Abstract. The Saharan Air Layer (SAL) in the summertime
eastern Atlantic is typically well mixed and 3–4 km deep,
overlying the marine boundary layer (MBL). In this paper,
we show experimental evidence that at times a very different
structure can be observed. During the AERosol properties –
Dust (AER-D) airborne campaign in August 2015, the typi-
cal structure described above was observed most of the time,
and was associated with a moderate dust content yielding
an aerosol optical depth (AOD) of 0.3–0.4 at 355 nm. In an
intense event, however, an unprecedented vertical structure
was observed close to the eastern boundary of the basin, dis-
playing an uneven vertical distribution and a very large AOD
(1.5–2), with most of the dust in a much lower level than
usual (0.3–2 km). Estimated dust concentrations and column
loadings for all flights during the campaign spanned 300–
5500 and 0.8–7.5 g m−2, respectively. The shortwave direct
radiative impact of the intense dust event has been evaluated
to be as large as −260 ± 30 and −120 ± 15 W m−2 at the
surface and top of atmosphere (TOA), respectively. We also
report the correlation of this event with anomalous lightning
activity in the Canary Islands. for dust transport over the Atlantic during intense events and
may affect the estimate of dust deposited to the ocean. We be-
lieve that future campaigns could focus more on events with
high aerosol load and that instrumentation capable of detect-
ing giant particles will be key to dust observations in this part
of the world. Atmos. Chem. Phys., 18, 17655–17668, 2018
https://doi.org/10.5194/acp-18-17655-2018
© Author(s) 2018. This work is distributed under
the Creative Commons Attribution 4.0 License. Atmos. Chem. Phys., 18, 17655–17668, 2018
https://doi.org/10.5194/acp-18-17655-2018
© Author(s) 2018. This work is distributed under
the Creative Commons Attribution 4.0 License. 1
Introduction The Saharan Air Layer (SAL) is a deep, hot and dry layer
of air transported over the tropical Atlantic from the west-
ern African coast, above a cool and moist marine bound-
ary layer (MBL) (Carlson and Prospero, 1972; Karyampudi
et al., 1999; Dunion and Velden, 2004). It is generally as-
sociated with a mid-level easterly jet, and it often displays a
large content of mineral dust from northern Africa. Using ob-
servational data and chemical transport model simulations of
dust lifetime, Kok et al. (2017) found that atmospheric dust
is substantially coarser than represented in current global cli-
mate models, i.e. that the particle size distribution (PSD) in
the models has too many fine particles and too few coarse
particles. As coarse dust warms the climate, they also found
that the global dust direct radiative effect is likely to be less
cooling than estimated by models in a current global aerosol
model ensemble and that following this a net warming of the
planet by dust cannot be ruled out. In all cases, our measurements detected a broad distribu-
tion of aerosol sizes, ranging from ∼0.1 to ∼80 µm (diam-
eter), thus highlighting the presence of giant particles. Gi-
ant dust particles were also found in the MBL. We note that
most aerosol models may miss the giant particles due to the
fact that they use size bins up to 10–25 µm. The unusual ver-
tical structure and the giant particles may have implications Franco Marenco1, Claire Ryder2, Victor Estellés3, Debbie O’Sullivan1, Jennifer Brooke1, Luke Orgill2,4, Gary Lloyd5
and Martin Gallagher5 Franco Marenco1, Claire Ryder2, Victor Estellés3, Debbie O’Sullivan1, Jennifer Brooke1, Luke Orgill2,4, Gary Lloyd5,
and Martin Gallagher5 1Met Office, Fizroy Road, Exeter, EX1 3PB, UK
2Department of Meteorology, University of Reading, Reading, RG6 6BB, UK
3Department de Física de la Terra i Termodinàmica, Universitat de València, 46100 Burjassot, Spain
4College of Engineering, Mathematics and Physical Sciences, University of Exeter, Exeter, EX4 4QF, UK
5School of Earth and Environmental Sciences, University of Manchester, Manchester, M13 9PL, UK Correspondence: Franco Marenco (franco.marenco@metoffice.gov.uk) F. Marenco et al.: Unexpected vertical structure of the Saharan Air Layer and giant dust particles There is then a reduction
of the SAL top height, as dust travels across to the Ameri-
cas, accompanied by a rise of its base. The quantity and size
distribution of dust are however not completely understood
(Marsham et al., 2008; Laurent et al., 2010). Moreover, the
dust vertical distribution affects its lifetime, as free tropo-
spheric particles are generally long lived compared to bound-
ary layer particles which are turbulently mixed down to the
surface. Using airborne dust as a tracer, the main properties of the
SAL have been characterised using the spaceborne lidar on-
board CALIPSO. Liu et al. (2008) report that African dust is
transported across the Atlantic all year long, with strong sea-
sonal variations in the transport pathways (mainly in the free
troposphere in summer, and at the low altitudes in winter). They also highlight that transatlantic dust transported at low
altitudes is important for all seasons, especially further across
the ocean. The Atlantic dusty zones were found to be shifted
southward from summer to winter, with a similar southward
shift of dust-generating areas over the continent. Tsamalis
et al. (2013) present a systematic study of the SAL using
CALIPSO over a 5-year period, showing that the SAL can be
identified all year round, with a marked seasonal cycle. They
found that the SAL occurs higher in altitude and at northern
latitudes during summer (5–30◦N and 1–5 km near Africa)
than during winter (5◦S–15◦N and 0–3 km near Africa), fol-
lowing the Intertropical Convergence Zone (which forms its
southern boundary) and the mid-latitude westerlies (which
prevent its further northward development). Tsamalis et al. (2013) also found that the vertical structure of the SAL can
be described as a single layer, of which the mean altitude and
geometric depth decrease towards the Americas. The vertical distribution of dust is paired with its particle
size distribution, as larger particles are thought to be prefer-
entially removed with gravitational settling during transport
across the Atlantic. Using results from the SALTRACE field
experiment, Gasteiger et al. (2017) investigate the possibil-
ity that vertical mixing may occur in the SAL, driven by the
absorption of sunlight by dust in daytime. This hypothesis is
driven, in particular, by the observed lack of vertical change
in the PSD and the presence of large particles near the top of
the SAL. F. Marenco et al.: Unexpected vertical structure of the Saharan Air Layer and giant dust particles F. Marenco et al.: Unexpected vertical structure of the Saharan Air Layer and giant dust particles in three atmospheric models was found to be too strong and
accompanied with an excess of fine particles. A number of experiments have been carried out to char-
acterise the properties of mineral dust and the associated
meteorology, targeting the African continent (Redelsperger
et al., 2006; McConnell et al., 2008; Haywood et al., 2008;
Heintzenberg, 2009; Weinzierl et al., 2009; Haywood et al.,
2011b; Ryder et al., 2015) and the Atlantic region (Reid and
Maring, 2003; Haywood et al., 2003; Chen et al., 2011; Ans-
mann et al., 2011; Pio et al., 2014; Chouza et al., 2016;
Weinzierl et al., 2017; Rittmeister et al., 2017). Senghor et al. (2017) have also studied the spatial and sea-
sonal distribution of mineral aerosols using SeaWiFS, OMI
and CALIPSO and have highlighted a significant change in
the vertical distribution at the western African coastal tran-
sition during summer. This transition can be summarised as
an uplift of the aerosol over the ocean above an altitude of
1–2 km, as opposed to a profile down to the surface over
the continent, and it is not observed in winter. The forma-
tion of this elevated dust layer is also studied in Khan et al. (2015), using WRF-Chem simulations at high resolution, to-
gether with the observations of the SAMUM-1 campaign:
they highlighted the effect of orographic lifting and the inter-
action of the continental outflow with the sea breeze as key
factors. Mortier et al. (2016) have presented nearly a decade
of lidar observations at M’Bour, Senegal, a site located on the
western African coast at a low latitude (14◦N): their study
also highlights a vertical distribution up to ∼5 km during
summertime dust transport events. Lidar measurements at
M’Bour are also described by Veselovskii et al. (2016), and
a vertical distribution up to ∼5 km during summer was also
observed at Cabo Verde in May–June 2008 (Tesche et al.,
2011). According to the conceptual model by Karyampudi et al. (1999), dust is lifted in the Saharan boundary layer in the
source region and then transported westward. This trans-
port mechanism results in a typical vertical structure which
sees a dust-laden SAL between ∼850 hPa (∼1.5 km) and
∼500 hPa (∼6 km) in the eastern Atlantic, characterised by
a uniform potential temperature. Published by Copernicus Publications on behalf of the European Geosciences Union. Published by Copernicus Publications on behalf of the European Geosciences Union. 17656 2
Research flights Between 6 and 25 August 2015, the Facility for Airborne
Atmospheric Measurements (FAAM) research aircraft was
based in Praia, Cabo Verde, in the island of Santiago
(14◦57′ N, 23◦29′ W). AER-D was conducted simultane-
ously with ICE-D (Ice in Clouds Experiment – Dust), aimed
at studying dust–cloud interactions and the evolution of tow-
ering cumulus clouds due to the role of dust as ice nuclei
(Liu et al., 2018). In addition, the Sunphotometer Airborne
Validation Experiment in Dust (SAVEX-D) was also carried
out and is treated here as a component of AER-D. Sixteen re-
search flights were carried out between AER-D and ICE-D. Here we present data from six AER-D flights (see Table 1),
representing nearly 28 h of flight time. All flights were above
the Atlantic Ocean, off the west coast of Africa, and they
targeted studies on the mineral dust transported within the
Saharan Air Layer. The range of conditions was varied, and
dust loadings from moderate to very high were encountered. The area covered is between Cabo Verde and the Canary Is-
lands. y
Three types of research flights have been carried out: 1. Remote sensing (RS) flights, designed mainly to pro-
vide mapping of the dust layer using the airborne lidar
(three flights), and accompanied with additional mea-
surements using dropsondes and radiometers. These
flights typically aimed for the heavy dust outbreaks off
the African coast and travelled a long distance at high
altitude; limited in situ sampling at lower altitudes was
also conducted. The goal of these flights was to provide
a small but valuable dataset, useful for the validation of
satellite retrievals, model forecasts and dust data assim-
ilation schemes. 2. Validation of the retrievals of aerosol microphysical
properties from two types of ground-based sun pho-
tometers (PREDE/SKYNET and CIMEL/AERONET)
under the SAVEX-D project (two flights). For these
flights, we sampled a limited geographic area, as near as
possible to a ground-based site equipped with sun pho-
tometers, and we aimed to fully characterise the atmo-
spheric column by sampling at several different altitude
levels. The aircraft was equipped with in situ and remote sensing
equipment, as described in the following sections. 2
Research flights Forecasts
of Saharan dust and cloud cover from the Met Office Unified
Model (Walters et al., 2011; Mulcahy et al., 2014), as well as
from the Copernicus Atmosphere Monitoring Service based
at the European Centre for Medium-Range Weather Fore-
casts (Morcrette et al., 2009; Benedetti et al., 2009), were
used to plan the research flights. Dust outbreak events could
be predicted several days in advance, and detailed guidance
was provided in real time using Meteosat Second Genera-
tion (MSG)-SEVIRI satellite imagery products, enabling the
flight plans to be adapted just before or during each mission. 3. The validation of products from the Cloud-Aerosol
Transport System lidar (CATS; Yorks et al., 2016) on-
board the International Space Station (ISS) (one flight). This type of flight was coordinated with the predicted
track of the ISS, and a flight pattern similar to SAVEX-
D was adopted (limited geographical area and sampling
at several different altitudes). The meteorology of the campaign has been analysed in
Liu et al. (2018), where two regimes have been identified. In
the first part of the campaign, until 14 August, winds in the
SAL above Cabo Verde were found to be slack (< 10 m s−1
and with an oscillating direction between NE and SE). In-
stead, from 15 August onwards the winds in the SAL above
Cabo Verde were stronger (> 10 m s−1 and from a marked
E direction). This change in regime was associated with the
migration of a high at 700 hPa towards the SE, from west- Note that all times reported in the current paper are UTC. F. Marenco et al.: Unexpected vertical structure of the Saharan Air Layer and giant dust particles The AER-D research flights. a RS: airborne remote sensing (with limited in situ sampling); SAVEX-D: Sunphotometer Airborne Validation Experiment in Dust; CATS: underflight of the
CATS lidar on the ISS. b B923: from Praia (14◦57′ N, 23◦29′ W) to Fuerteventura (28◦27′ N, 13◦52′ W); B924: from Fuerteventura to Praia. ern to central Algeria, leading to a more intense easterly jet. A slacker NE flow (∼5 m s−1) was found in the MBL, con-
trolled by the trade winds. F. Marenco et al.: Unexpected vertical structure of the Saharan Air Layer and giant dust particles Here we present results from the AERosol properties –
Dust (AER-D) airborne campaign, carried out during Au-
gust 2015 over the eastern tropical Atlantic. This campaign
was aimed at characterising mineral dust, for the benefit of
validating modelling and remote sensing (RS) methods, and
for improving the knowledge on optical and microphysical
properties. Our measurements of the particle size distribu-
tion in the coarse and giant mode during summer as well as
the characterisation of an outbreak with large aerosol opti-
cal depth (AOD) contribute with a new perspective to the
knowledge of airborne mineral dust. The AER-D observa-
tions bring an important insight on mineral dust transported
over the basin and provide a wealth of data that are further
analysed in a variety of studies (Liu et al., 2018; Price et al.,
2018; Ryder et al., 2018; O’Sullivan et al., 2018; Estellés
et al., 2018). The spatial distribution of dust over the Atlantic is also
addressed in Rittmeister et al. (2017), using lidar observa-
tions obtained during a transatlantic cruise from Guadeloupe
to Cabo Verde. The properties of the SAL were found to be
homogeneous from base to top, a result which suggests that
particle sedimentation is reduced and/or that upward trans-
port mechanisms are active. These results are further inves-
tigated in Ansmann et al. (2017), where the removal of dust www.atmos-chem-phys.net/18/17655/2018/ Atmos. Chem. Phys., 18, 17655–17668, 2018 F. Marenco et al.: Unexpected vertical structure of the Saharan Air Layer and giant dust particles
176
Table 1. The AER-D research flights. Flight
Date
Time
Latitude
Longitude
SAL Deff (µm)
MBL Deff (µm)
Flight typea
B920
7 August
14:04–18:45
14.6–17.9◦N
21.0–23.6◦W
3.9–4.0
3.4
CATS
B923
12 August
09:02–12:10
14.9–28.4◦N
13.7–23.5◦W
n/a
n/a
RSb
B924
12 August
13:59–19:00
14.9–28.4◦N
14.3–23.5◦W
4.3
4.5
RSb
B928
16 August
14:00–19:08
14.0–16.2◦N
23.4–24.1◦W
3.6–4.7
5.2
SAVEX-D
B932
20 August
08:58–13:52
14.6–20.5◦N
18.6–23.5◦W
3.7–4.3
5.5
RS
B934
25 August
13:58–18:49
14.8–17.7◦N
23.0–23.5◦W
3.8–4.0
4.4
SAVEX-D
a RS: airborne remote sensing (with limited in situ sampling); SAVEX-D: Sunphotometer Airborne Validation Experiment in Dust; CATS: underflight of the
CATS lidar on the ISS. b B923: from Praia (14◦57′ N, 23◦29′ W) to Fuerteventura (28◦27′ N, 13◦52′ W); B924: from Fuerteventura to Praia. F. Marenco et al.: Unexpected vertical structure of the Saharan Air Layer and giant dust particles F. Marenco et al.: Unexpected vertical structure of the Saharan Air Layer and giant dust particles 17657 Table 1. 3
Vertical structure Figure 1 displays the vertical profiles of the aerosol extinc-
tion coefficient at 355 nm during the high-altitude transects. They have been obtained with the on-board elastic backscat-
ter lidar, and they have been evaluated using previously pub- F. Marenco et al.: Unexpected vertical structure of the Saharan Air Layer and giant dust particles F. Marenco et al.: Unexpected vertical structure of the Saharan Air Layer and giant dust particles Figure 1. Vertical profiles of the aerosol extinction coefficient measured by airborne lidar, identified by flight number and time (UTC). The number in parentheses is the AOD resulting from the lidar profile. For flights B923 and B924, a letter (a–h) identifies the transects in
Fig. 4 used to compute the profiles shown in this figure. Panel (a) refers to the moderate dust conditions, most often encountered during the
campaign, whereas panel (b) refers to the heavy dust loads encountered on 12 August. Figure 1. Vertical profiles of the aerosol extinction coefficient measured by airborne lidar, identified by flight number and time (UTC). The number in parentheses is the AOD resulting from the lidar profile. For flights B923 and B924, a letter (a–h) identifies the transects in
Fig. 4 used to compute the profiles shown in this figure. Panel (a) refers to the moderate dust conditions, most often encountered during the
campaign, whereas panel (b) refers to the heavy dust loads encountered on 12 August. During flights B923 and B924, however, a different ver-
tical structure was observed near the western African coast
(Fig. 1b). The AOD was 1.5–2, the MBL was compressed
with a top at ∼0.3 km and the dust extended from the top of
the MBL up to a layer top at ∼5.3 km. The highest loadings
were found at low altitudes (1–2 km), with extinction coeffi-
cients in excess of 1000 Mm−1, and we shall denote this con-
dition as “heavy dust” and/or “anomalous structure”. Tem-
perature, moisture and wind profiles (not shown here) sug-
gest that the upper dust layer (2–5 km) was well mixed (con-
stant potential temperature, θ) and characterised by a moder-
ate ESE flow. On the other hand, the lower layer (0.3–2 km),
where the intense dust concentration was found, was stable
(increasing θ with height and constant temperature) and dis-
played a northeasterly wind (Ryder et al., 2018). We believe
that this observed vertical distribution of dust, with a double
layer and a large concentration very low above a compressed
MBL, reveals a surprising exceptional structure, not previ-
ously encountered during measurements of the SAL over the
Atlantic Ocean, and it is particularly interesting since it co-
incides with a large AOD event. www.atmos-chem-phys.net/18/17655/2018/ www.atmos-chem-phys.net/18/17655/2018/ Atmos. Chem. Phys., 18, 17655–17668, 2018 F. Marenco et al.: Unexpected vertical structure of the Saharan Air Layer and giant dust particles 17658 4
Particle size distribution The layers with the largest concentrations, identified by lidar
or during aircraft ascent and descent, have been sampled in
situ with the aircraft instruments. Figure 2 shows the par-
ticle size distributions (PSDs) obtained during 19 straight
and level runs (SLRs) sampled during the AER-D flights. We have subdivided the PSDs into marine boundary layer,
moderate dust loading and heavy dust loading, based on the
concentrations observed. The heavy dust PSD was collected
in flight B924 (run 5 at 1000 m altitude), at the same loca-
tion where the lidar highlighted the heavy dust condition,
whereas the moderate dust PSD refers to all the other sam-
ples and hence corresponds to the cases clustered as mod-
erate dust in the previous section. The PSDs shown here
have been obtained using three wing-mounted probes which,
when combined together, are capable of sampling the spec-
trum between 0.1 and 1000 µm (diameter): Passive Cavity
Aerosol Spectrometer Probe (PCASP), Cloud Droplet Probe
(CDP) and two-dimensional stereo probe (2DS) (Knollen-
berg, 1981; Liu et al., 1992; Lance et al., 2010; Crosier et al.,
2011; Rosenberg et al., 2012; Ryder et al., 2013). Calibra-
tion of the PCASP was done before and after the campaign,
whereas the CDP was also calibrated before most flights. The CDP size resolution was enhanced at the smaller end
of the spectrum by using custom settings and making use of
the particle-by-particle data. For both probes, particle spec-
tra have been processed for an assumed refractive index of
dust of 1.53 −0.001i, thus correcting for the bin ranges cal-
ibrated using polystyrene latex spheres, and the first bin has
been discarded due to its undefined lower edge. The 2DS is a
shadowing probe with 10 µm resolution, and it does not rely
on refractive index to infer particle size. The AER-D particle
size distributions and the instruments are described in detail
in Ryder et al. (2018). Figure 2. Particles size distributions obtained during in situ straight-
level runs using the PCASP (0.1–3 µm), CDP (4–20 µm) and 2DS
(> 20 µm). Blue: MBL; red: SAL, moderate dust loading; dark
green: SAL, heavy dust loading (flight B924 run 5); dashed blue:
MBL under heavy dust layer (flight B924 run 4). heavy dust case (flight B924). Somewhat surprisingly, how-
ever, some of the SLRs in the MBL exhibit a concentration
of giant particles similar to the heavy dust case. 4
Particle size distribution For the samples taken in dust, giant particles do not rep-
resent a separate mode of the size distribution, but rather an
extension and broadening of the coarse mode. Contrastingly,
for two of the MBL samples the giant particles appear as
a separate mode with diameter between ∼15 and ∼80 µm,
showing a broad peak at 20–40 µm. Table 1 displays the effective diameter (Deff), derived from
the PSDs; the SLRs in dust exhibited a Deff of 3.6–4.7 µm,
whereas in the MBL Deff was 3.4–5.5 µm, thus exhibiting a
larger variability from flight to flight. The in situ measurements from AER-D are discussed in
more detail in Ryder et al. (2018). Moreover, Liu et al. (2018)
describes the measurements of hematite content of dust dur-
ing ICE-D and AER-D, as well as their dependency on dust
age. We note that authors in the geological sciences often con-
sider that 62.5–2000 µm particles are “sand” as opposed to
“dust.” Here, however, we will use the term “dust” for the
particles that we observed, adhering to a terminology in use
in the atmospheric sciences, where “dust” is considered to
be suspended material transported by the wind (Kok et al.,
2012). F. Marenco et al.: Unexpected vertical structure of the Saharan Air Layer and giant dust particles F. Marenco et al.: Unexpected vertical structure of the Saharan Air Layer and giant dust particles 17659 Figure 2. Particles size distributions obtained during in situ straight-
level runs using the PCASP (0.1–3 µm), CDP (4–20 µm) and 2DS
(> 20 µm). Blue: MBL; red: SAL, moderate dust loading; dark
green: SAL, heavy dust loading (flight B924 run 5); dashed blue:
MBL under heavy dust layer (flight B924 run 4). the fact that it was not reported before may suggest that it is
sporadic and limited to heavy dust outbreaks. 5
Exceptional dust event On 12 August a major outbreak of dust occurred west of
the African continent: see the Meteosat Second Generation
(MSG) image shown in Fig. 3. From model predictions, sig-
nificant dust concentrations were expected between West-
ern Sahara and the Canary Islands. A targeted mission was
planned, consisting of a double flight on a single day. Flight
B923 was a 3 h high-altitude mapping flight held in the morn-
ing, from Praia to Fuerteventura, and it was followed by flight
B924 in the afternoon. The latter was a full 5 h scientific
flight, and in addition to dust mapping it also allowed for a
1.5 h long descent in the dust layers, enabling the in situ sam- The volume PSDs are dominated by a very broad coarse
mode centred at 5–6 µm (diameter), which is also where
the volume distributions peak. Giant particles (diameter 20–
80 µm) were detected for 75 % of the samples. Runs in the
MBL exhibit a clearly pronounced fine mode, peaking at
∼0.2 µm diameter, whereas for the dust layers the fine mode
peaks at 0.25–0.3 µm diameter and is less marked. For 25%
of the in-dust SLRs, a distinct fine mode is not observed. As
expected, the largest concentrations were encountered in the F. Marenco et al.: Unexpected vertical structure of the Saharan Air Layer and giant dust particles This observation shows that
the anomalous structure can exist in the near range for Sa-
haran dust transport across the Atlantic (100–300 km from
the coast); however nothing can be inferred for longer trans-
port distances. Moreover, nothing can be inferred concerning
the frequency of occurrence of the anomalous structure, but lished methods (Marenco et al., 2011, 2014; Marenco, 2013;
Marenco et al., 2016). The vertical resolution of the pro-
cessed dataset is 45 m and the integration time is 1 min, cor-
responding to a ∼9 km footprint. The AER-D lidar mea-
surements and their uncertainties are described in more de-
tail in O’Sullivan et al. (2018). In brief, the lidar inver-
sion is based on a double iteration. In the first iteration, a
campaign-mean lidar ratio (extinction-to-backscatter ratio)
is computed, which ensures consistency of the lidar signals
with the layers identified as aerosol-free. Then, the data anal-
ysis is reiterated using this lidar ratio (54 ± 8 sr), and using
the slope-Fernald approach, based on the use of a far-end
reference within the bottom portion of the aerosol layer (see
Marenco, 2013, for details). In most cases, a deep dust layer is identified, with base at
1–2 km and top at 5–6 km altitude, above a MBL also dis-
playing a significant aerosol content (see Fig. 1a). As ex-
pected with aerosol fields, there are day-to-day variations;
however the main properties are consistent: the AOD is in
the 0.3–0.4 range, the aerosol extinction coefficient is of
the order of 100–200 Mm−1 and the depth of the elevated
dust layer is 3–4 km. This observed structure is in agreement
with expectations from the conventional model for Saharan
dust transport over the Atlantic (Carlson and Prospero, 1972;
Karyampudi et al., 1999). We shall classify this typical con-
dition as “moderate dust”. www.atmos-chem-phys.net/18/17655/2018/ Atmos. Chem. Phys., 18, 17655–17668, 2018 F. Marenco et al.: Unexpected vertical structure of the Saharan Air Layer and giant dust particles www.atmos-chem-phys.net/18/17655/2018/ A SLR at 30 m altitude was per-
formed between 15:52 and 16:04 UTC (run 4), and a SLR at 1000 m
took place between 16:09 and 16:29 UTC (run 5). Between 15:26 and 16:48 UTC a descent of the aircraft
into the front was made, at around 24◦N, 18.2◦W. The in
situ sampling levels were initially identified during flight at
high altitude, using the real-time lidar display, and refined
during the descent using our nephelometer. The nephelome-
ter showed that the dust layer extended from 0.3 to 5.2 km,
with a sharp boundary at its base; we consider the air below
this base to be in the MBL. An intense layer was observed be-
tween 0.85 and 1.4 km, with a 550 nm extinction coefficient
of 2100 Mm−1 as determined by the nephelometer in com-
bination with a particle soot absorption photometer, whereas
above 2.6 km the extinction coefficient was only 140 Mm−1. Extinction in the MBL was 100–150 Mm−1. During the SLR
at 1000 m, particles with diameter up to 80 µm were observed
(green line, Fig. 2), with an increased particle concentration
for all sizes. In comparison, the measurements in the MBL
(dashed blue line in Fig. 2) showed a much smaller number
of particles in the 0.25–40 µm diameter range, whereas sim-
ilar particle numbers were observed below ∼0.25 µm and
above ∼40 µm. The most striking feature is the fact that the
size and concentration of giant particles in the MBL is very
similar to the ones observed in the dust layer. pling at two altitude levels, 30 m and 1000 m above sea level. Figure 3 shows the flight tracks, and a red circle is used to
highlight the area of the in situ sampling: it can be seen from
the underlying satellite image that the latter area is ideally
located at the leading edge of the “dust front”. Figure 4 shows the vertical structure of the atmosphere, as
revealed by the lidar during the three high-altitude transects. The plots reveal both the aerosol and the cloud fields, and
the location of the vertical profiles shown in Fig. 1 is indi-
cated with red boxes. This figure clearly shows the contrast
between the pre-front SAL (moderate dust conditions) and
the much more intense dust loading in the post-front SAL
(heavy dust). The pre-front SAL is on the left/south and the
post-front on the right/north. www.atmos-chem-phys.net/18/17655/2018/ Atmos. Chem. Phys., 18, 17655–17668, 2018 F. Marenco et al.: Unexpected vertical structure of the Saharan Air Layer and giant dust particles F. Marenco et al.: Unexpected vertical structure of the Saharan Air Layer and giant dust particles 17660 17660 Figure 3. Meteosat Second Generation “321 RGB” image for
12 August at 16:30 UTC, showing the extent of the dust plume ad-
vected off the west coast of Africa. The track of flights B923 and
B924 is overplotted. A colour scale depicts the lidar-derived AOD,
and a red circle indicates the location where the aircraft descended
to sample the heavy dust in situ. A SLR at 30 m altitude was per-
formed between 15:52 and 16:04 UTC (run 4), and a SLR at 1000 m
took place between 16:09 and 16:29 UTC (run 5). we encountered in the morning). At 21.2◦N, beyond this
band of clouds, we continued overflying a SAL extending be-
tween 1–2 and ∼5 km, exhibiting a moderate AOD (∼0.34)
and a moderate extinction coefficient (∼100 Mm−1). No
further clouds were encountered during this flight. As we
reached a point at 24◦N, 17◦W, the aerosol load and its
vertical profile changed: the AOD was observed to increase
to ∼1.5 and the intensity of the extinction coefficient in-
creased markedly at all altitudes. At its leading (southward)
edge, this dust front exhibited a very intense extinction coef-
ficient, especially in its lower layers (≳1000 Mm−1 at around
∼1 km and of the order of 200–400 Mm−1 up to altitudes of
∼5 km). On the return flight (Fig. 4b, c), the dust front boundary
was crossed again, and similar features were observed once
more. The extinction coefficient at its peak intensity had risen
to ∼1500 Mm−1, and the AOD reached 2. The boundary be-
tween the heavy dust and the moderate dust had advanced
south and west: this southward motion is evident when con-
sidering the succession of Fig. 4a, b and c. Figure 3. Meteosat Second Generation “321 RGB” image for
12 August at 16:30 UTC, showing the extent of the dust plume ad-
vected off the west coast of Africa. The track of flights B923 and
B924 is overplotted. A colour scale depicts the lidar-derived AOD,
and a red circle indicates the location where the aircraft descended
to sample the heavy dust in situ. F. Marenco et al.: Unexpected vertical structure of the Saharan Air Layer and giant dust particles 17661 nco et al.: Unexpected vertical structure of the Saharan Air Layer and giant dust particles p
y
g
p
re 4. Bi-dimensional structure of the atmosphere on 12 August, for the high-altitude transects: (a) flight B923 from 15 to 28.5◦N;
first part of B924, from 28.5 to 23.5◦N; second part of B924, from 24 to 15◦N. This curtain plot is coloured according to the aerosol
nction coefficient measured by lidar at 1 min integration time (∼9 km footprint). The green dots indicate cloud tops detected with the
at 2 s integration time (∼300 m horizontal resolution). The red boxes and letters identify the transect portions that have been used to
ve the profiles displayed in Fig. 1. The arrows indicate the direction of travel of the aircraft. Figure 4. Bi-dimensional structure of the atmosphere on 12 August, for the high-altitude transects: (a) flight B923 from 15 to 28.5◦N;
(b) first part of B924, from 28.5 to 23.5◦N; second part of B924, from 24 to 15◦N. This curtain plot is coloured according to the aerosol
extinction coefficient measured by lidar at 1 min integration time (∼9 km footprint). The green dots indicate cloud tops detected with the
lidar at 2 s integration time (∼300 m horizontal resolution). The red boxes and letters identify the transect portions that have been used to
derive the profiles displayed in Fig. 1. The arrows indicate the direction of travel of the aircraft. on 11 August (not shown here). The 1064 nm total attenu-
ated backscatter image from CATS also revealed a peculiar
vertical distribution, with a layer in the 2–6 km altitude range
and another closer to the surface, not too dissimilar from our
anomalous structure. between 0.3 and 3 µm during straight and level runs. They
have been used in conjunction with a radiative transfer model
to calculate the surface and top-of-atmosphere (TOA) so-
lar direct radiative effect of the exceptional dust event mea-
sured during flight B924. We used the established methodol-
ogy of Haywood et al. (2001, 2003, 2011a). The shortwave
upwelling and downwelling irradiance with aerosol present,
SWUaer and SWDaer, were measured by the pyranometers. The shortwave upwelling and downwelling irradiance with
no aerosol present (clear sky), SWUcs and SWDcs, were cal-
culated from a radiative transfer model. 6
Shortwave radiative effect of the exceptional dust
event. Upward- and downward-facing broadband pyranometers
measured the downwelling and upwelling solar irradiance Atmos. Chem. Phys., 18, 17655–17668, 2018 www.atmos-chem-phys.net/18/17655/2018/ It also shows well that the front
advanced towards the south and that its leading edge featured
a very intense dust layer at low altitude (1–2 km). MSG “dust RGB” imagery permitted us to track the origin
of this dust (see Ryder et al., 2018). The dust that we sam-
pled at 24◦N, 18.2◦W, at the edge of the dust front, seems
to have been uplifted in northern Mali 2 days earlier, during
a haboob generated by a mesoscale convective system, and
to have travelled 2000 km towards the WNW towards the lo-
cation where we sampled it. However, we also found two
other dust uplifting events that may have contributed to the
wider dust outbreak off the African coast on that day: one
of them happened in Central Algeria (2000 km, 2 days trans-
port) and the other one in northern Niger (3000 km, 3 days
transport). The CATS spaceborne lidar detected dust that can
be ascribed to these events, between 00:54 and 00:59 UTC Figure 4a represents the first flight, heading northwards. We initially observed a shallow SAL at 16◦N, identified
through the presence of dust and positioned above the marine
stratocumulus deck. As we continued, the SAL deepened un-
til we reached 20◦N: there, we overflew a high cloud deck,
situated at the top of the SAL and obscuring the layer be-
low. The band of clouds is clearly identified in the 10:30 UTC
MSG imagery (not shown here), and it runs in a southeast–
northwest direction, crossing our track orthogonally. The im-
age in Fig. 3 refers to the afternoon (16:30 UTC), when the
band of clouds had mainly disappeared, although some scat-
tered clouds remain (it still suggests the location of the band www.atmos-chem-phys.net/18/17655/2018/ Atmos. Chem. Phys., 18, 17655–17668, 2018 F. Marenco et al.: Unexpected vertical structure of the Saharan Air Layer and giant dust particles Figure 5. Solar irradiance and instantaneous direct radiative effect
of dust ahead of and within the dust front during flight B924. Ob-
servations are the thin lines, model clear sky calculations are the
bold lines, uncertainties are displayed through dashed lines and li-
dar AODs are indicated with diamonds. (a) Low-level (run 4, 30 m)
measured and modelled shortwave downwelling irradiance; (b) sur-
face direct radiative effect on the shortwave downwelling irradi-
ance; (c) high-altitude shortwave upwelling irradiance for two air-
craft legs (run 3, blue; and run 6, red); (d) high-altitude (TOA) direct
radiative effect on the shortwave upwelling irradiance for runs 3 and
6. The direct radiative effect on SWU at the TOA has been
estimated as follows, using measurements during a high-
level, straight-level run above the dust layer: DRESW, TOA = SWUcs −SWUaer. (1) (1) At the surface, pyranometer irradiance measurements
from a low-level, straight-level run below the layer were sim-
ilarly used to determine the direct solar radiative effect of the
dust at the surface, as follows: DRESW, SURF = SWDaer −SWDcs. (2) (2) For model calculations, the Suite Of Community RA-
diative Transfer codes based on Edwards and Slingo
(SOCRATES) model was used (Edwards and Slingo, 1996;
Randles et al., 2013), configured to use two streams and
six spectral bands to represent the spectral range of the air-
craft pyranometers. Surface albedo values were derived from
pyranometer observations during the low-level run, and so-
lar properties were accounted for. Vertical profiles of atmo-
spheric temperature and composition were taken from a stan-
dard tropical atmosphere (McClatchey et al., 1972), but re-
placed by aircraft in situ measurements for temperature, wa-
ter vapour and ozone for the layers sampled during ascent
and descent (19–6000 m). A range of irradiances was calcu-
lated, where surface albedo was varied between 0.03 and 0.06
(the range measured during the low-level run), solar zenith
angle was varied in a range corresponding to the times of
each relevant run, and the meteorology was varied between
the values measured during aircraft descent and ascent. In
this way, we account for the uncertainty due to spatial vari-
ability in the input parameters. www.atmos-chem-phys.net/18/17655/2018/ renco et al.: Unexpected vertical structure of the Saharan Air Layer and giant dust particles 17662 F. Marenco et al.: Unexpected vertical structure of the Saharan Air Layer and giant dust particles In general, the SAL geometry in the eastern Atlantic in
the season considered was one of a deep layer between
1–2 km and 5–6 km, with an extinction coefficient at 100–
200 Mm−1 and an AOD of the order of 0.3–0.4 (moderate
dust), in agreement with the findings of previous studies such
as Tsamalis et al. (2013) and Rittmeister et al. (2017). Us-
ing the specific extinction estimated by Ryder et al. (2018)
(0.27–0.35 m2 g−1), these extinctions and AODs translate
into estimated dust concentrations around 300–700 µg m−3
and column loadings of 0.8–1.5 g m−2. The latter figure is
comparable with the estimate obtained from the in situ data
of about 1 g m−2 (Ryder et al., 2018). In situ measurements
displayed comparable particle sizes with the ones reported
for the SAMUM-2 campaign (Ansmann et al., 2011) and
highlighted a significant contribution from giant particles. DRESW, TOA values have been combined with the AOD
measurements to determine the dust shortwave radiative ef-
ficiency. Values computed for the TOA vary between −50
and −95 W m−2τ −1. Run 3 shows no latitudinal dependence,
while run 6 shows a clear trend of most negative values,
with −88 W m−2τ −1 in the south and −51 W m−2τ −1 in the
north. This difference between the two runs can be attributed
to the complexity in relating the pyranometer measurements,
with a near-hemispherical view, to the lidar, measuring verti-
cally downwards, and how this relationship may change with
varying solar zenith angle due the phase function of the dust. Surface radiative efficiencies have also been estimated (but
note that the AOD was not measured concurrently to the ir-
radiance): taking AOD and DRESW, SURF values at the be-
ginning and end of the low-level run gives an approximation
of −230 and −170 W m−2τ −1 ahead of and under the dust
front, respectively. g
g
g
g
p
On 12 August 2015 we observed a heavy dust out-
break, uplifted in northwestern Africa 2–3 days earlier,
which featured an AOD of 1.5–2, and a particularly intense
layer at 1–2 km, where the extinction coefficient was 1000–
1500 Mm−1. This corresponds to estimated concentrations
between 3000 and 5500 µg m−3 and column dust loadings
of 4–7.5 g m−2. The latter figure is slightly larger than the
estimate from the in situ measurements (3–6 g m−2, Ryder
et al., 2018). F. Marenco et al.: Unexpected vertical structure of the Saharan Air Layer and giant dust particles 17663 ative value of −260 ± 30 W m−2 in the north, under the dust
front. ative value of −260 ± 30 W m−2 in the north, under the dust
front. ative value of −260 ± 30 W m−2 in the north, under the dust
front. climate. The dust particle size distribution has a role to play
in this because fine particles predominantly scatter solar radi-
ation (cooling effect), whereas for coarse particles absorption
of solar and thermal radiation plays a larger role (warming). By applying experimental constrains to the global dust abun-
dance and particle size, Kok et al. (2017) conclude that the
global dust direct radiative effect is likely to be less cooling
than estimated currently by models, and that a net warming
effect is not to be ruled out. Our finding of very large parti-
cles in the eastern Atlantic, both in the SAL and in the MBL,
supports these conclusions. SWU irradiance measurements above the dust layer are
shown in Fig. 5c, for runs 3 and 6, before and after the de-
scent into the dust layer, respectively. During the time be-
tween these two runs (1.5 h), the solar zenith angle increased
from 30◦to 51◦, and the dust front moved southwards. The
increase in SWU in the location of the larger AOD can be
seen in Fig. 5c, with SWU increasing by around 50 and
35 W m−2 for runs 3 and 6, respectively. Figure 5d shows the
TOA DRESW, TOA, which was more negative over the intense
dust loading, changing from around −50 to −120 W m−2
(run 3) and from −65 to −100 W m−2 (run 6). For the larger
solar zenith angle (run 6), the DRESW, TOA is more negative
due to the greater backscatter fraction, although the lower in-
coming solar radiation means that the change in DRESW, TOA
from ahead of the dust front to over it is smaller in magnitude. Our observations of the SAL vertical structure and parti-
cle size distribution have been classified into two clusters:
moderate dust (encountered most of the time) and heavy dust
(encountered on 12 August, north of 24◦N). F. Marenco et al.: Unexpected vertical structure of the Saharan Air Layer and giant dust particles The vertical distribution for this event is un-
precedented over the Atlantic, and our combination of re-
mote sensing and in situ measurements yields a unique in-
sight into the properties of this event. Note also that, when
observing this layer, we are pushing the observation by lidar
to its limits, as extinction of the signal is large. The PSD for
this intense layer showed the largest numbers and the largest
particles, and it exhibited only one very broad mode. Giant
particles up to ∼80 µm (diameter) were detected, and giant
particles with the same PSD signature were also found in the
underlying shallow MBL, despite a much less intense coarse
mode. In principle, the giant particles in the MBL could be
either dust particles depositing from above or sea spray (or
a combination of both). However, as documented in Ryder
et al. (2018), the analysis of filter samples collected during
the research flights suggests that giant particles observed in 7
Conclusions The AER-D campaign encountered some unprecedented
conditions associated with an outbreak of dust slightly down-
stream of continental Africa. Typical and exceptional prop-
erties of the layer have been documented during the field de-
ployment, and the concentration of giant particles has been
measured. We believe that these results contribute to rein-
force the evidence in favour of a presence of giant and coarse
dust particles in the eastern Atlantic, which may currently be
missed in most aerosol models (see e.g. Table 1 of Huneeus
et al., 2011). The dust size distribution strongly controls the
radiative impact of the aerosols, as well as their interactions
with clouds. The size of particles also controls how far down-
wind they travel and thus their ability to impact biogeochem-
istry downwind of the source region (Mahowald et al., 2014). The magnitude of the dust direct and indirect radiative ef-
fects is still uncertain, and it remains unclear whether atmo-
spheric dust has a net warming or cooling effect on global F. Marenco et al.: Unexpected vertical structure of the Saharan Air Layer and giant dust particles Pyranometer data have been corrected to account for the
pitch and roll of the aircraft as a function of time, using
offsets of the instruments relative to the aircraft fuselage of
−4.6◦and +0.9◦, respectively, determined from a series of
dedicated “box pattern” and “pirouette” manoeuvres during
the campaign (see McConnell, 2009; Haywood et al., 2011a). An uncertainty of 5.5 % was adopted for the pyranometer
measurements based on McConnell (2009), and this includes
a contribution of the levelling corrections. Figure 5. Solar irradiance and instantaneous direct radiative effect
of dust ahead of and within the dust front during flight B924. Ob-
servations are the thin lines, model clear sky calculations are the
bold lines, uncertainties are displayed through dashed lines and li-
dar AODs are indicated with diamonds. (a) Low-level (run 4, 30 m)
measured and modelled shortwave downwelling irradiance; (b) sur-
face direct radiative effect on the shortwave downwelling irradi-
ance; (c) high-altitude shortwave upwelling irradiance for two air-
craft legs (run 3, blue; and run 6, red); (d) high-altitude (TOA) direct
radiative effect on the shortwave upwelling irradiance for runs 3 and
6. Figure 5 shows the low-level (30 m) and high-altitude (6–
6.5 km) irradiance measurements, as well as the AOD from
the aircraft lidar (the latter was determined during the high-
level runs). The southern end of these plots corresponds to
moderate dust conditions, whereas the northern end to heavy
dust conditions. Note that the two high-level runs considered
here overflew the same segment of the low-level measure-
ments, respectively, beforehand and afterwards. 6. In Fig. 5a, it can be seen that the SWDaer measured at
low level (run 4) dropped by 90 W m−2, from around 610
to 520 W m−2 at the northern end of the run, i.e. underneath
the dust front (note the rise in AOD from < 0.7 to 1–1.5). The resulting surface DRESW, SURF is shown in Fig. 5b, and it changes from −170 W m−2 in the south to the larger neg- it changes from −170 W m−2 in the south to the larger neg- Atmos. Chem. Phys., 18, 17655–17668, 2018 www.atmos-chem-phys.net/18/17655/2018/ www.atmos-chem-phys.net/18/17655/2018/ F. Marenco et al.: Unexpected vertical structure of the Saharan Air Layer and giant dust particles www.atmos-chem-phys.net/18/17655/2018/ Atmos. Chem. Phys., 18, 17655–17668, 2018 F. Marenco et al.: Unexpected vertical structure of the Saharan Air Layer and giant dust particles (3) What
may have happened subsequently to the considerable amount
of dust that we encountered at an altitude of 1–2 km during
our intense case? Has it mixed through the SAL, was it de-
posited rapidly into the ocean (as could be suggested by the
finding of giant particles in the underlying MBL) or did it
keep its distinct identity downstream? (4) Does dust play a
role in triggering convection and lightning events over the
Atlantic, like the one that affected the Canary Islands on 12–
13 August 2015? Moreover, the intense dust event was followed by anoma-
lous electric discharges. On 12 and 13 August 2015, the
Spanish Meteorological State Agency’s Lightning Detection
Network (Red de Detección de Rayos de AEMET, REDRA)
recorded nearly 6000 lightning strikes in the Canary Islands
region (Prats et al., 2018). The lightning activity began at
around 16:00 on 12 August and reached its maximum inten-
sity between 19:00 and 02:00 during the night, followed by
additional strikes on the second day. Meteosat Second Gen-
eration imagery shows the formation of convective cells over
the area during the night, which are likely connected to the
electrical activity. This lightning density was described as ex-
traordinary, because in 12 years of operations the network
has only observed a limited number of events (23 days) of
a comparable intensity, all of which were during the autumn
and winter seasons. Answering such questions may be vital for a better under-
standing of the aerosol processes driving deposition, trans-
port, and aerosol–cloud interactions and hence for the im-
provement of models and assessing the climate impact of
dust. Further observations are needed, focusing on the evolu-
tion of aerosol properties during transport across the Atlantic,
and a coordinated experiment on both sides of the basin could
be a means to achieve this. Data availability. The FAAM aircraft datasets collected during
the ICE-D and AER-D campaigns are available from the British
Atmospheric Data Centre, Centre for Environmental Data Analysis
(2018, http://www.ceda.ac.uk/), at the following URL: http:
//catalogue.ceda.ac.uk/uuid/d7e02c75191a4515a28a208c8a069e70
(Bennett, 2018). It is beyond the scope of this paper to establish whether
there is a causal link between the dust event and the electric
discharges. Note that the association of aerosols with light-
ning is still a relatively new field of science, where the under-
standing of the underlying processes is still weak. Yuan et al. F. Marenco et al.: Unexpected vertical structure of the Saharan Air Layer and giant dust particles 17664 the MBL during the AER-D flights are mineral dust, thus
highlighting what is likely the effect of dry deposition. and the aerosols mostly associated to lightning events over
this area were identified as being dust and smoke (Proestakis
et al., 2016). As a word of caution, however, we have to men-
tion that observations over the Amazon basin seem to cast
doubt on a primary role for aerosols in enhancing cloud elec-
trification (Williams et al., 2002). The unusual heavy dust event was associated with a large
direct solar radiative effect, reaching −260±30 and −120±
15 W m−2 at the surface and top of atmosphere, respectively. Moreover, we registered a rapid spatial variation across the
dust front, of the order of 90 and 35–50 W m−2, respectively. Such perturbations to the radiative budget are significant,
and to the authors’ knowledge it is the first time that such
large values have been measured over ocean, in combina-
tion with dust in situ, vertically resolved properties. Slingo
et al. (2006) documented a major dust storm over Niger, with
extremely high AOD peaking 3–4 and a subsequent mid-
day solar direct radiative effect of −100 W m−2 at the TOA
and −250 W m−2 at the surface. Their surface and TOA flux
changes were of a similar magnitude to those measured over
the dust front discussed here; however, the change per AOD
unit that we observed is larger, and this can be explained with
the low ocean albedo. Haywood et al. (2011a) performed
similar estimates, for a moderate AOD of 0.26 over the tropi-
cal eastern Atlantic, finding a smaller radiative effect of −47
and −33 W m−2 at the surface and at the TOA, respectively. Our results trigger some questions and the need for further
research. (1) How frequent is an anomalous vertical structure
like the one we encountered? We are not aware of other mea-
surements in intense outbreaks 100–300 km off the coast of
West Africa, and we believe that further field deployments
targeting this region could offer insights. An analysis of past
satellite observations may also help assess this. (2) How long
lived are giant particles like the ones we observed? Only
few airborne campaigns have been able to measure the full
particle size spectra, and little information is available: once
again, this may be addressed in future campaigns. F. Marenco et al.: Unexpected vertical structure of the Saharan Air Layer and giant dust particles (2011), showed an increased lightning activity east of the
Philippines, associated with secondary sulfates that formed
following the eruption of Mt Anatahan, Mariana Islands,
and demonstrated that aerosols increase lightning activity in
tropical regions through modification of cloud microphysics. Moreover, Thornton et al. (2017) showed that lightning den-
sity can be twice as large over shipping lanes, thus reinforc-
ing the hypothesis that aerosols may lead to a microphysi-
cal enhancement of convection and of storm electrification. Similar observations where also reported over the Mediter-
ranean region, where moreover a correlation was found with
the aerosol extinction coefficient between ∼1 and ∼3 km, Author contributions. FM proposed and coordinated the AER-D
campaign, interpreted the results discussed here and wrote this arti-
cle. VE led the SAVEX-D experiment. FM, CR, VE and JB worked
as the AER-D/SAVEX-D mission science team, implementing the
airborne sampling strategy for aerosol science objectives. DOS and
FM carried out the data analysis of the lidar dataset. CR, GL and
MG analysed the in situ measurements. CR and LO processed the
pyranometer measurements and evaluated the dust radiative effect. All authors read the paper and provided constructive comments. Author contributions. FM proposed and coordinated the AER-D
campaign, interpreted the results discussed here and wrote this arti-
cle. VE led the SAVEX-D experiment. FM, CR, VE and JB worked
as the AER-D/SAVEX-D mission science team, implementing the
airborne sampling strategy for aerosol science objectives. DOS and
FM carried out the data analysis of the lidar dataset. CR, GL and
MG analysed the in situ measurements. CR and LO processed the
pyranometer measurements and evaluated the dust radiative effect. All authors read the paper and provided constructive comments. www.atmos-chem-phys.net/18/17655/2018/ Atmos. Chem. Phys., 18, 17655–17668, 2018 F. Marenco et al.: Unexpected vertical structure of the Saharan Air Layer and giant dust particles F. Marenco et al.: Unexpected vertical structure of the Saharan Air Layer and giant dust particles Atmos. Chem. Phys., 18, 17655–17668, 2018 References Gasteiger, J., Groß, S., Sauer, D., Haarig, M., Ansmann, A.,
and Weinzierl, B.: Particle settling and vertical mixing in the
Saharan Air Layer as seen from an integrated model, lidar,
and in situ perspective, Atmos. Chem. Phys., 17, 297–311,
https://doi.org/10.5194/acp-17-297-2017, 2017. Ansmann, A., Petzold, A., Kandler, K., Tegen, I., Wendisch, M.,
Müller, D., Weinzierl, B., Müller, T., and Heintzenberg, J.: Saha-
ran Mineral Dust Experiments SAMUM-1 and SAMUM-2: what
have we learned?, Tellus, 63B, 403–429, 2011. Ansmann, A., Rittmeister, F., Engelmann, R., Basart, S., Jorba,
O., Spyrou, C., Remy, S., Skupin, A., Baars, H., Seifert, P.,
Senf, F., and Kanitz, T.: Profiling of Saharan dust from the
Caribbean to western Africa – Part 2: Shipborne lidar measure-
ments versus forecasts, Atmos. Chem. Phys., 17, 14987–15006,
https://doi.org/10.5194/acp-17-14987-2017, 2017. Haywood, J., Francis, P., Osborne, S., Glew, M., Loeb, N., High-
wood, E., Tanre, D., Myhre, G., Formenti, P., and Hirst,
E.: Radiative properties and direct radiative effect of Saha-
ran dust measured by the C-130 aircraft during SHADE:
1. Solar spectrum, J. Geophys. Res.-Atmos., 108, 8577,
https://doi.org/10.1029/2002JD002687, 2003. Benedetti, A., Morcrette, J.-J., Boucher, O., Dethof, A., Engelen,
R. J., Fisher, M., Flentje, H., Huneeus, N., Jones, L., Kaiser,
J. W., Kinne, S., Mangold, A., Razinger, M., Simmons, A. J.,
and Suttie, M.: Aerosol analysis and forecast in the European
Centre for Medium-Range Weather Forecasts Integrated Forecast
System: 2. Data assimilation, J. Geophys. Res., 114, D13205,
https://doi.org/10.1029/2008JD011115, 2009. Haywood, J., Johnson, B., Osborne, S., Mulcahy, J., Brooks, M.,
Harrison, M., Milton, S., and Brindley, H.: Observations and
modelling of the solar and terrestrial radiative effects of Saha-
ran dust: a radiative closure case-study over oceans during the
GERBILS campaign, Q. J. Roy. Meteor. Soc., 137, 1211–1226,
2011a. Haywood, J. M., Francis, P. N., Glew, M. D., and Taylor, J.: Opti-
cal properties and direct radiative effect of Saharan dust: A case
study of two Saharan dust outbreaks using aircraft data, J. Geo-
phys. Res., 106, 18417–18430, 2001. Bennett, L.: UK ICE-D: atmospheric measurements dataset
collection,
available
at:
http://catalogue.ceda.ac.uk/uuid/
d7e02c75191a4515a28a208c8a069e70, last access: 11 Decem-
ber 2018. Haywood, J. M., Pelon, J., Formenti, P., Bharmal, N., Brooks,
M., Capes, G., Chazette, P., Chou, C., Christopher, S., Coe, H.,
Cuesta, J., Derimian, Y., Desboeufs, K., Greed, G., Harrison,
M., Heese, B., Highwood, E. J., Johnson, B., Mallet, M., Mar-
ticorena, B., Marsham, J., Milton, S., Myhre, G., Osborne, S. R.,
Parker, D. J., Rajot, J. F. Marenco et al.: Unexpected vertical structure of the Saharan Air Layer and giant dust particles 17665 airborne field campaign, Atmos. Chem. Phys., 11, 723–740,
https://doi.org/10.5194/acp-11-723-2011, 2011. airborne field campaign, Atmos. Chem. Phys., 11, 723–740,
https://doi.org/10.5194/acp-11-723-2011, 2011. Competing interests. The authors declare that they have no conflict
of interest. Chouza, F., Reitebuch, O., Benedetti, A., and Weinzierl, B.: Saharan
dust long-range transport across the Atlantic studied by an air-
borne Doppler wind lidar and the MACC model, Atmos. Chem. Phys., 16, 11581–11600, https://doi.org/10.5194/acp-16-11581-
2016, 2016. Acknowledgements. Airborne data were obtained using the BAe-
146-301 Atmospheric Research Aircraft operated by Directflight
Ltd and managed by the FAAM, which is a joint entity of NERC
and the Met Office. The staff of the Met Office, the University
of Leeds, Manchester and Hertsfordshire, FAAM, Directflight
Ltd, Avalon Engineering and BAE Systems are thanked for
their dedication in making the ICE-D and AER-D campaigns a
success. Claire Ryder was funded by NERC grant NE/M018288/1. SAVEX-D was possible thanks to EUFAR TNA (European Union
Seventh Framework Programme grant agreement 312609) and
projects PROMETEUII/2014/058 and GV/2014/046 from the
Valencia Autonomous Government, as well as CGL2015-70432-R
from the Spanish Ministry of Economy and Competitiveness –
European Regional Development Fund. We thank CAMS/ECMWF
for providing model products in support of the ICE-D and AER-D
campaigns, as well as EUMETSAT for providing imagery from
MSG-SEVIRI in real time. Centre for Environmental Data Analysis: http://www.ceda.ac.uk/,
last access: 11 December 2018. Crosier, J., Bower, K. N., Choularton, T. W., Westbrook, C. D., Con-
nolly, P. J., Cui, Z. Q., Crawford, I. P., Capes, G. L., Coe, H.,
Dorsey, J. R., Williams, P. I., Illingworth, A. J., Gallagher, M. W.,
and Blyth, A. M.: Observations of ice multiplication in a weakly
convective cell embedded in supercooled mid-level stratus, At-
mos. Chem. Phys., 11, 257–273, https://doi.org/10.5194/acp-11-
257-2011, 2011. Dunion, J. P. and Velden, C. S.: The Impact of the Saharan Air Layer
on Atlantic Tropical Cyclone Activity, B. Am. Meteorol. Soc.,
85, 353–365, 2004. Edwards, J. M. and Slingo, A.: Studies with a flexible new radiation
code. I: Choosing a configuration for a large-scale model, Q. J. Roy. Meteor. Soc., 122, 689–719, 1996. Edited by: Yinon Rudich
Reviewed by: two anonymous referees Estellés, V., Marenco, F., Ryder, C., Segura, S., O’Sullivan, D.,
Brooke, J., Campanelli, M., Buxmann, J., and Martínez-Lozano,
J. F. Marenco et al.: Unexpected vertical structure of the Saharan Air Layer and giant dust particles A.: Validation of AERONET and ESR/SKYNET size distri-
butions with airborne insitu measurements in dust conditions
(SAVEX-D), presented at the 9th International Workshop on
Sand / Dust storms and Associated Dustfall, 22–24 May 2018,
Tenerife, Spain, 2018. www.atmos-chem-phys.net/18/17655/2018/ Atmos. Chem. Phys., 18, 17655–17668, 2018 F. Marenco et al.: Unexpected vertical structure of the Saharan Air Layer and giant dust particles 17666 cial Observing Period-0, J. Geophys. Res.-Atmos., 113, D00C17,
https://doi.org/10.1029/2008jd010077, 2008. cial Observing Period-0, J. Geophys. Res.-Atmos., 113, D00C17,
https://doi.org/10.1029/2008jd010077, 2008. ing ICE-D and AER-D, Atmos. Chem. Phys., 18, 3817–3838,
https://doi.org/10.5194/acp-18-3817-2018, 2018. Haywood, J. M., Johnson, B. T., Osborne, S. R., Baran, A. J.,
Brooks, M., Milton, S. F., Mulcahy, J., Walters, D., Allan, R. P.,
Klaver, A., Formenti, P., Brindley, H. E., Christopher, S., and
Gupta, P.: Motivation, rationale and key results from the GER-
BILS Saharan dust measurement campaign, Q. J. Roy. Meteor. Soc., 137, 1106–1116, 2011b. Liu, P. S. K., Leaitch, W. R., Strapp, J. W., and Wasey, M. A.:
Response of particle measuring systems airborne ASASP and
PCASP to NaCl and latex particles, Aerosol Sci. Tech., 16, 83–
95, 1992. Mahowald, N., Albani, S., Kok, J. F., Engelstaeder, S., Scanza, R.,
Ward, D. S., and Flanner, M. G.: The size distribution of desert
dust aerosols and its impact on the Earth system, Aeolian Res.,
15, 53–71, 2014. Heintzenberg, J.: The SAMUM-1 experiment over Southern Mo-
rocco: overview and introduction, Tellus, 61B, 2–11, 2009. Huneeus, N., Schulz, M., Balkanski, Y., Griesfeller, J., Prospero, Marenco,
F.:
Nadir
airborne
lidar
observations
of
deep
aerosol
layers,
Atmos. Meas. Tech.,
6,
2055–2064,
https://doi.org/10.5194/amt-6-2055-2013, 2013. Huneeus, N., Schulz, M., Balkanski, Y., Griesfeller, J., Prospero,
J., Kinne, S., Bauer, S., Boucher, O., Chin, M., Dentener, F.,
Diehl, T., Easter, R., Fillmore, D., Ghan, S., Ginoux, P., Grini,
A., Horowitz, L., Koch, D., Krol, M. C., Landing, W., Liu,
X., Mahowald, N., Miller, R., Morcrette, J.-J., Myhre, G., Pen-
ner, J., Perlwitz, J., Stier, P., Takemura, T., and Zender, C. S.:
Global dust model intercomparison in AeroCom phase I, At-
mos. Chem. Phys., 11, 7781–7816, https://doi.org/10.5194/acp-
11-7781-2011, 2011. Marenco, F., Turnbull, K., Johnson, B., Haywood, J., Newman, S.,
Vance, A., Dorsey, J., and Gallagher, M.: Airborne Observations
of Volcanic Ash in May 2010 from the FAAM Research Aircraft,
Using Remote Sensing and In-situ Probes, Geophys. Res. Abs.,
13, EGU2011–10359, 2011. Marenco, F., Amiridis, V., Marinou, E., Tsekeri, A., and Pelon,
J.: Airborne verification of CALIPSO products over the Ama-
zon: a case study of daytime observations in a complex
atmospheric scene, Atmos. Chem. Phys., 14, 11871–11881,
https://doi.org/10.5194/acp-14-11871-2014, 2014. Karyampudi, V. M., Palm, S. P., Reagen, J. A., Fang, H., Grant,
W. B., Hoff, R. M., Moulin, C., Pierce, H. F., Torres, O., Browell,
E. V., and Melfi, S. F. Marenco et al.: Unexpected vertical structure of the Saharan Air Layer and giant dust particles H.: Validation of the Saharan Dust Plume
Conceptual Model Using Lidar, Meteosat, and ECMWF Data,
B. Am. Meteorol. Soc., 80, 1045–1076, 1999. Marenco, F., Johnson, B., Langridge, J. M., Mulcahy, J., Benedetti,
A., Remy, S., Jones, L., Szpek, K., Haywood, J., Longo, K., and
Artaxo, P.: On the vertical distribution of smoke in the Amazo-
nian atmosphere during the dry season, Atmos. Chem. Phys., 16,
2155–2174, https://doi.org/10.5194/acp-16-2155-2016, 2016. Khan,
B.,
Stenchikov,
G.,
Weinzierl,
B.,
Kalenderski,
S.,
and Osipov, S.: Dust plume formation in the free tropo-
sphere and aerosol size distribution during the Saharan Min-
eral Dust Experiment in North Africa, Tellus, 67B, 27170,
https://doi.org/10.3402/tellusb.v67.27170, 2015. Marsham, J. H., Parker, D. J., Grams, C. M., Johnson, B. T.,
Grey, W. M. F., and Ross, A. N.: Observations of mesoscale
and boundary-layer scale circulations affecting dust transport
and uplift over the Sahara, Atmos. Chem. Phys., 8, 6979–6993,
https://doi.org/10.5194/acp-8-6979-2008, 2008. Knollenberg, R. G.: Techniques for probing cloud microstructure,
in: Clouds, Their Formation, Optical Properties, and Effects,
edited by: Hobbs, P. V. and Deepak, A., 15–91, Academic Press,
New York, USA, 1981. Kok, J. F., Parteli, E. J. R., Michaels, T. I., and Karam, D. B.:
The physics of wind-blown sand and dust, Rep. Progr. Phys., 75,
106901, https://doi.org/10.1088/0034-4885/75/10/106901, 2012. McClatchey, R., Fenn, R., Selby, J., Volz, F., and Garing, J.: Op-
tical properties of the atmosphere (3rd Edition), vol. AFCRL-
72-0497, Air Force Cambridge Research Papers, Bedford, Mas-
sachusetts, 1972. Kok, J. F., Ridley, D. A., Zhou, Q., Miller, R. L., Zhao, C., Heald,
C. L., Ward, D. S., Albani, S., and Haustein, K.: Smaller desert
dust cooling effect estimated from analysis of dust size and abun-
dance, Nat. Geosci., 10, 274–278, 2017. McConnell, C. L.: Aircraft measurements of Saharan Dust, PhD
thesis, University of Reading, Reading, UK, 2009. McConnell, C. L., Highwood, E. J., Coe, H., Formenti, P.,
Anderson, B., Osborne, S., Nava, S., Desboeufs, K., Chen,
G., and Harrison, M. A. J.: Seasonal variations of the
physical and optical characteristics of Saharan dust: Re-
sults from the Dust Outflow and Deposition to the Ocean
(DODO) experiment, J. Geophys. Res.-Atmos., 113, D14S05,
https://doi.org/10.1029/2007jd009606, 2008. Lance, S., Brock, C. A., Rogers, D., and Gordon, J. A.: Wa-
ter droplet calibration of the Cloud Droplet Probe (CDP)
and in-flight performance in liquid, ice and mixed-phase
clouds during ARCPAC, Atmos. Meas. Tech., 3, 1683–1706,
https://doi.org/10.5194/amt-3-1683-2010, 2010. References L., Schulz, M., Slingo, A., Tanre, D.,
and Tulet, P.: Overview of the Dust and Biomass-burning Ex-
periment and African Monsoon Multidisciplinary Analysis Spe- Carlson, T. N. and Prospero, J. M.: The large-scale movement of
Saharan air outbreaks over the Northern equatorial Atlantic, J. Appl. Meteor., 11, 283–297, 1972. Chen, G., Ziemba, L. D., Chu, D. A., Thornhill, K. L., Schus-
ter, G. L., Winstead, E. L., Diskin, G. S., Ferrare, R. A., Bur-
ton, S. P., Ismail, S., Kooi, S. A., Omar, A. H., Slusher, D. L.,
Kleb, M. M., Reid, J. S., Twohy, C. H., Zhang, H., and An-
derson, B. E.: Observations of Saharan dust microphysical and
optical properties from the Eastern Atlantic during NAMMA Atmos. Chem. Phys., 18, 17655–17668, 2018 www.atmos-chem-phys.net/18/17655/2018/ F. Marenco et al.: Unexpected vertical structure of the Saharan Air Layer and giant dust particles 17667 calibration with refractive index correction for light scattering
optical particle counters and impacts upon PCASP and CDP data
collected during the Fennec campaign, Atmos. Meas. Tech., 5,
1147–1163, https://doi.org/10.5194/amt-5-1147-2012, 2012. Mulcahy, J. P., Walters, D. N., Bellouin, N., and Milton, S. F.: Impacts of increasing the aerosol complexity in the Met
Office global numerical weather prediction model, Atmos. Chem. Phys., 14, 4749–4778, https://doi.org/10.5194/acp-14-
4749-2014, 2014. p
g
Ryder, C. L., Marenco, F., Brooke, J. K., Estelles, V., Cotton, R.,
Formenti, P., McQuaid, J. B., Price, H. C., Liu, D., Ausset,
P., Rosenberg, P. D., Taylor, J. W., Choularton, T., Bower, K.,
Coe, H., Gallagher, M., Crosier, J., Lloyd, G., Highwood, E. J., and Murray, B. J.: Coarse-mode mineral dust size distribu-
tions, composition and optical properties from AER-D aircraft
measurements over the tropical eastern Atlantic, Atmos. Chem. Phys., 18, 17225–17257, https://doi.org/10.5194/acp-18-17225-
2018, 2018. O’Sullivan, D., Ryder, C., Pradhan, Y., Kipling, Z., Johnson, B.,
Benedetti, A., Marenco, F., Brooks, M., McGill, M., Yorks, J.,
and Selmer, P.: Models transport Saharan dust too low in the at-
mosphere compared to observations from the AER-D field cam-
paign, in preparation, 2018. Pio, C. A., Cardoso, J. G., Cerqueira, M. A., Calvo, A., Nunes,
T. V., Alves, C. A., Custódio, D., Almeida, S. M., and
Almeida-Silva, M.: Seasonal variability of aerosol concentra-
tion and size distribution in Cape Verde using a continu-
ous aerosol optical spectrometer, Front. Environ. Sci., 2, 15,
https://doi.org/10.3389/fenvs.2014.00015, 2014. Ryder, C. L., Highwood, E. J., Rosenberg, P. D., Trembath, J.,
Brooke, J. K., Bart, M., Dean, A., Crosier, J., Dorsey, J., Brind-
ley, H., Banks, J., Marsham, J. H., McQuaid, J. B., Sodemann, H.,
and Washington, R.: Optical properties of Saharan dust aerosol
and contribution from the coarse mode as measured during the
Fennec 2011 aircraft campaign, Atmos. Chem. Phys., 13, 303–
325, https://doi.org/10.5194/acp-13-303-2013, 2013. Prats, N., González, P., and Sanz, R.: Extraordinary lightning
episode during 12th and 13th of August 2015 in Canary region,
was it the effect of dust aerosols?, presented at the 9th Interna-
tional Workshop on Sand / Dust storms and Associated Dustfall,
22–24 May 2018, Tenerife, Spain, 2018. Ryder, C. L., McQuaid, J. B., Flamant, C., Rosenberg, P. D., Wash-
ington, R., Brindley, H. E., Highwood, E. J., Marsham, J. H.,
Parker, D. J., Todd, M. C., Banks, J. R., Brooke, J. F. Marenco et al.: Unexpected vertical structure of the Saharan Air Layer and giant dust particles K., En-
gelstaedter, S., Estelles, V., Formenti, P., Garcia-Carreras, L.,
Kocha, C., Marenco, F., Sodemann, H., Allen, C. J. T., Bourdon,
A., Bart, M., Cavazos-Guerra, C., Chevaillier, S., Crosier, J., Dar-
byshire, E., Dean, A. R., Dorsey, J. R., Kent, J., O’Sullivan, D.,
Schepanski, K., Szpek, K., Trembath, J., and Woolley, A.: Ad-
vances in understanding mineral dust and boundary layer pro-
cesses over the Sahara from Fennec aircraft observations, At-
mos. Chem. Phys., 15, 8479–8520, https://doi.org/10.5194/acp-
15-8479-2015, 2015. Price, H. C., Baustian, K. J., McQuaid, J. B., Blyth, A., Bower,
K. N., Choularton, T., Cotton, R. J., Cui, Z., Field, P. R., Gal-
lagher, M., Hawker, R., Merrington, A., Miltenberger, A., Neely
III, R. R., Parker, S. T., Rosenberg, P. D., Taylor, J. W., Trembath,
J., Vergara-Temprado, J., Whale, T. F., Wilson, T. W., Young, G.,
and Murray, B. J.: Atmospheric ice-nucleating particles in the
dusty Tropical Atlantic, J. Geophys. Res.-Atmos., 123, 2175–
2193, 2018. Proestakis, E., Kazadzis, S., Lagouvardos, K., Kotroni, V., Amiridis,
V., Marinou, E., Price, C., and Kazantzidis, A.: Aerosols and
lightning activity: The effect of vertical profile and aerosol type,
Atmos. Res., 182, 243–255, 2016. Senghor, H., Machu, É., Hourdin, F., and Gaye, A. T.: Sea-
sonal cycle of desert aerosols in western Africa: analysis of
the coastal transition with passive and active sensors, Atmos. Chem. Phys., 17, 8395–8410, https://doi.org/10.5194/acp-17-
8395-2017, 2017. Randles, C. A., Kinne, S., Myhre, G., Schulz, M., Stier, P., Fischer,
J., Doppler, L., Highwood, E., Ryder, C., Harris, B., Huttunen,
J., Ma, Y., Pinker, R. T., Mayer, B., Neubauer, D., Hitzenberger,
R., Oreopoulos, L., Lee, D., Pitari, G., Di Genova, G., Quaas, J.,
Rose, F. G., Kato, S., Rumbold, S. T., Vardavas, I., Hatzianas-
tassiou, N., Matsoukas, C., Yu, H., Zhang, F., Zhang, H., and
Lu, P.: Intercomparison of shortwave radiative transfer schemes
in global aerosol modeling: results from the AeroCom Radia-
tive Transfer Experiment, Atmos. Chem. Phys., 13, 2347–2379,
https://doi.org/10.5194/acp-13-2347-2013, 2013. Slingo, A., Ackerman, T., Allan, R., Kassianov, E., McFarlane, S.,
Robinson, G., Barnard, J., Miller, M., Harries, J., Russell, J., and
Dewitte, S.: Observations of the impact of a major Saharan dust
storm on the atmospheric radiation balance, Geophys. Res. Lett.,
33, L24817, https://doi.org/10.1029/2006GL027869, 2006. Tesche, M., Gross, S., Ansmann, A., Müller, D., Althausen, D.,
Freudenthaler, V., and Esselborn, M.: Profiling of Saharan dust
and biomass-burning smoke with multiwavelength polarization
Raman lidar at Cape Verde, Tellus, 63B, 649–676, 2011. F. Marenco et al.: Unexpected vertical structure of the Saharan Air Layer and giant dust particles Laurent, B., Tegen, I., Heinold, B., Schepanski, K., Weinzierl, B.,
and Esselborn, M.: A model study of Saharan dust emissions and
distributions during the SAMUM-1 campaign, J. Geophys. Res.-
Atmos., 115, D21210, https://doi.org/10.1029/2009JD012995,
2010. Morcrette, J.-J., Boucher, O., Jones, L., Salmond, D., Bechtold, P.,
Beljaars, A., Benedetti, A., Bonet, A., Kaiser, J. W., Razinger,
M., Schulz, M., Serrar, S., Simmons, A. J., Sofiev, M., Suttie, M.,
Tompkins, A. M., and Untch, A.: Aerosol analysis and forecast
in the European Centre for Medium-Range Weather Forecasts In-
tegrated Forecast System: Forward modeling, J. Geophys. Res.,
114, D06206, https://doi.org/10.1029/2008JD011235, 2009. Liu, D., Wang, Z., Liu, Z., Winker, D., and Trepte, C.: A height re-
solved global view of dust aerosols from the first year CALIPSO
lidar measurements, J. Geophys. Res.-Atmos., 113, D16214,
https://doi.org/10.1029/2007JD009776, 2008. Mortier, A., Goloub, P., Derimian, Y., Tanré, D., Podvin, T., Blarel,
L., Deroo, C., Marticorena, B., Diallo, A., and Ndiaye, T.:
Climatology of aerosol properties and clear-sky shortwave ra-
diative effects using Lidar and Sun photometer observations
in the Dakar site, J. Geophys. Res.-Atmos., 121, 6489–6510,
https://doi.org/10.1002/2015JD024588, 2016. Liu, D., Taylor, J. W., Crosier, J., Marsden, N., Bower, K. N.,
Lloyd, G., Ryder, C. L., Brooke, J. K., Cotton, R., Marenco,
F., Blyth, A., Cui, Z., Estelles, V., Gallagher, M., Coe, H.,
and Choularton, T. W.: Aircraft and ground measurements of
dust aerosols over the west African coast in summer 2015 dur- www.atmos-chem-phys.net/18/17655/2018/ Atmos. Chem. Phys., 18, 17655–17668, 2018 F. Marenco et al.: Unexpected vertical structure of the Saharan Air Layer and giant dust particles 17668 SHADOW campaign in Senegal, Atmos. Chem. Phys., 16, 7013–
7028, https://doi.org/10.5194/acp-16-7013-2016, 2016. SHADOW campaign in Senegal, Atmos. Chem. Phys., 16, 7013–
7028, https://doi.org/10.5194/acp-16-7013-2016, 2016. Williams, E., Rosenfeld, D., Madden, N., Gerlach, J., Gears, N.,
Atkinson, L., Dunnemann, N., Frostrom, G., Antonio, M., Bi-
azon, B., Camargo, R., Franca, H., Gomes, A., Lima, M.,
Machado, R., Manhaes, S., Nachtigall, L., Piva, H., Quintil-
iano, W., Machado, L., Artaxo, P., Roberts, G., Renno, N.,
Blakeslee, R., Bailey, J., Boccippio, D., Betts, A., Wolff, D., Roy,
B., Halverson, J., Rickenbach, T., Fuentes, J., and Avelino, E.:
Contrasting convective regimes over the Amazon: Implications
for cloud electrification, J. Geophys. Res.-Atmos., 107, 8082,
https://doi.org/10.1029/2001JD000380, 2002. Walters, D. N., Best, M. J., Bushell, A. C., Copsey, D., Edwards,
J. M., Falloon, P. D., Harris, C. M., Lock, A. P., Manners, J. C., Morcrette, C. J., Roberts, M. J., Stratton, R. A., Webster, S.,
Wilkinson, J. M., Willett, M. R., Boutle, I. A., Earnshaw, P. D.,
Hill, P. G., MacLachlan, C., Martin, G. M., Moufouma-Okia, W.,
Palmer, M. D., Petch, J. C., Rooney, G. G., Scaife, A. A., and
Williams, K. D.: The Met Office Unified Model Global Atmo-
sphere 3.0/3.1 and JULES Global Land 3.0/3.1 configurations,
Geosci. Model Dev., 4, 919–941, https://doi.org/10.5194/gmd-4-
919-2011, 2011. Yorks, J. E., McGill, M. J., Palm, S. P., Hlavka, D. L., Selmer,
P. A., Nowottnick, E. P., Vaughan, M. A., Rodier, S. D., and Hart,
W. D.: An overview of the CATS level 1 processing algorithms
and data products, Geophys. Res. Lett., 43, 4632–4639, 2016. Weinzierl, B., Petzold, A., Esselborn, M., Wirth, M., Rasp, K., Kan-
dler, K., Schütz, L., Koepke, P., and Fiebig, M.: Airborne mea-
surements of dust layer properties, particle size distribution and
mixing state of Saharan dust during SAMUM 2006, Tellus, 61B,
96–117, 2009. Yuan, T., Remer, L. A., Pickering, K. E., and Yu, H.: Observa-
tional evidence of aerosol enhancement of lightning activity
and convective invigoration, Geophys. Res. Lett., 38, L04701,
https://doi.org/10.1029/2010GL046052, 2011. Weinzierl, B., Ansmann, A., Prospero, J. M., Althausen, D., Benker,
N., Chouza, F., Dollner, M., Farrell, D., Fomba, W. K., Freuden-
thaler, V., Gasteiger, J., Groß, S., Haarig, M., Heinold, B., Kan-
dler, K., Kristensen, T. B., Mayol-Bracero, O. F. Marenco et al.: Unexpected vertical structure of the Saharan Air Layer and giant dust particles Redelsperger, J. L., Thorncroft, C. D., Diedhiou, A., Lebel, T.,
Parker, D. J., and Polcher, J.: African monsoon multidisciplinary
analysis – An international research project and field campaign,
B. Am. Meteorol. Soc., 87, 1739–1746, 2006. Thornton,
J. A.,
Virts,
K. S.,
Holzworth,
R. H.,
and
Mitchell, T. P.: Lightning enhancement over major oceanic
shipping
lanes,
Geophys. Res. Lett.,
44,
9102–9111,
https://doi.org/10.1002/2017GL074982, 2017. Reid, J. S. and Maring, H. B.: Foreword to special section
on the Puerto Rico Dust Experiment (PRIDE), J. Geophys. Res.-Atmos., 108, 8585, https://doi.org/10.1029/2003JD003510,
2003. Tsamalis, C., Chédin, A., Pelon, J., and Capelle, V.: The sea-
sonal vertical distribution of the Saharan Air Layer and its mod-
ulation by the wind, Atmos. Chem. Phys., 13, 11235–11257,
https://doi.org/10.5194/acp-13-11235-2013, 2013. Rittmeister, F., Ansmann, A., Engelmann, R., Skupin, A., Baars,
H., Kanitz, T., and Kinne, S.: Profiling of Saharan dust from
the Caribbean to western Africa – Part 1: Layering struc-
tures and optical properties from shipborne polarization/Raman
lidar observations, Atmos. Chem. Phys., 17, 12963–12983,
https://doi.org/10.5194/acp-17-12963-2017, 2017. Veselovskii, I., Goloub, P., Podvin, T., Bovchaliuk, V., Derimian, Y.,
Augustin, P., Fourmentin, M., Tanre, D., Korenskiy, M., White-
man, D. N., Diallo, A., Ndiaye, T., Kolgotin, A., and Dubovik,
O.: Retrieval of optical and physical properties of African dust
from multiwavelength Raman lidar measurements during the Rosenberg, P. D., Dean, A. R., Williams, P. I., Dorsey, J. R.,
Minikin, A., Pickering, M. A., and Petzold, A.: Particle sizing Atmos. Chem. Phys., 18, 17655–17668, 2018 www.atmos-chem-phys.net/18/17655/2018/ www.atmos-chem-phys.net/18/17655/2018/ Atmos. Chem. Phys., 18, 17655–17668, 2018 F. Marenco et al.: Unexpected vertical structure of the Saharan Air Layer and giant dust particles L., Müller, T., Re-
itebuch, O., Sauer, D., Schäfler, A., Schepanski, K., Spanu, A.,
Tegen, I., Toledano, C., and Walser, A.: The Saharan Aerosol
Long-Range Transport and Aerosol–Cloud-Interaction Experi-
ment: Overview and Selected Highlights, B. Am. Meteorol. Soc.,
98, 1427–1451, 2017. Atmos. Chem. Phys., 18, 17655–17668, 2018 www.atmos-chem-phys.net/18/17655/2018/
|
https://openalex.org/W4245370747
|
https://www.qeios.com/read/4MKCNI/pdf
|
English
| null |
PCSK1 wt Allele
|
Definitions
| 2,020
|
cc-by
| 96
|
Qeios · Definition, February 2, 2020 Open Peer Review on Qeios Open Peer Review on Qeios PCSK1 wt Allele National Cancer Institute National Cancer Institute Qeios ID: 4MKCNI · https://doi.org/10.32388/4MKCNI Source National Cancer Institute. PCSK1 wt Allele. NCI Thesaurus. Code C127853. Human PCSK1 wild-type allele is located within 5q15-q21 and is approximately 44 kb in
length. This allele, which encodes neuroendocrine convertase 1 protein, is involved in the
activation of neuropeptides and protein hormones. Mutation of the gene is associated
with proprotein convertase 1/3 deficiency and increased susceptibility to obesity. Qeios ID: 4MKCNI · https://doi.org/10.32388/4MKCNI 1/1
|
https://openalex.org/W2150965307
|
https://advancesindifferenceequations.springeropen.com/track/pdf/10.1155/S1687183904310071
|
English
| null |
Vector dissipativity theory for discrete-time large-scale nonlinear dynamical systems
|
Advances in difference equations
| 2,004
|
cc-by
| 16,535
|
VECTOR DISSIPATIVITY THEORY FOR DISCRETE-TIME
LARGE-SCALE NONLINEAR DYNAMICAL SYSTEMS
WASSIM M. HADDAD, QING HUI, VIJAYSEKHAR CHELLABOINA,
AND SERGEY NERSESOV Received 15 October 2003 Received 15 October 2003 In analyzing large-scale systems, it is often desirable to treat the overall system as a col-
lection of interconnected subsystems. Solution properties of the large-scale system are
then deduced from the solution properties of the individual subsystems and the na-
ture of the system interconnections. In this paper, we develop an analysis framework for
discrete-time large-scale dynamical systems based on vector dissipativity notions. Specif-
ically, using vector storage functions and vector supply rates, dissipativity properties of
the discrete-time composite large-scale system are shown to be determined from the dissi-
pativity properties of the subsystems and their interconnections. In particular, extended
Kalman-Yakubovich-Popov conditions, in terms of the subsystem dynamics and inter-
connection constraints, characterizing vector dissipativeness via vector system storage
functions are derived. Finally, these results are used to develop feedback interconnection
stability results for discrete-time large-scale nonlinear dynamical systems using vector
Lyapunov functions. Copyright © 2004 Hindawi Publishing Corporation
Advances in Difference Equations 2004:1 (2004) 37–66
2000 Mathematics Subject Classification: 93A15, 93D30, 93C10, 70K20, 93C55
URL: http://dx.doi.org/10.1155/S1687183904310071 1. Introduction Modern complex dynamical systems are highly interconnected and mutually interdepen-
dent, both physically and through a multitude of information and communication net-
work constraints. The sheer size (i.e., dimensionality) and complexity of these large-scale
dynamical systems often necessitate a hierarchical decentralized architecture for analyz-
ing and controlling these systems. Specifically, in the analysis and control-system design
of complex large-scale dynamical systems, it is often desirable to treat the overall system
as a collection of interconnected subsystems. The behavior of the aggregate or compos-
ite (i.e., large-scale) system can then be predicted from the behaviors of the individual
subsystems and their interconnections. The need for decentralized analysis and control
design of large-scale systems is a direct consequence of the physical size and complexity
of the dynamical model. In particular, computational complexity may be too large for
model analysis while severe constraints on communication links between system sensors,
actuators, and processors may render centralized control architectures impractical. 38 Vector dissipativity and discrete-time large-scale systems An approach to analyzing large-scale dynamical systems was introduced by the pio-
neering work of ˇSiljak [19] and involves the notion of connective stability. In particular,
the large-scale dynamical system is decomposed into a collection of subsystems with local
dynamics and uncertain interactions. Then, each subsystem is considered independently
so that the stability of each subsystem is combined with the interconnection constraints
to obtain a vector Lyapunov function for the composite large-scale dynamical system guar-
anteeing connective stability for the overall system. Vector Lyapunov functions were first
introduced by Bellman [2] and Matrosov [17] and further developed by Lakshmikan-
tham et al. [11], with [7, 14, 15, 16, 18, 19, 20] exploiting their utility for analyzing large-
scale systems. The use of vector Lyapunov functions in large-scale system analysis offers
a very flexible framework since each component of the vector Lyapunov function can
satisfy less-rigid requirements as compared to a single scalar Lyapunov function. More-
over, in large-scale systems, several Lyapunov functions arise naturally from the stability
properties of each subsystem. An alternative approach to vector Lyapunov functions for
analyzing large-scale dynamical systems is an input-output approach wherein stability
criteria are derived by assuming that each subsystem is either finite gain, passive, or conic
[1, 12, 13, 21]. Since most physical processes evolve naturally in continuous time, it is not surprising
that the bulk of large-scale dynamical system theory has been developed for continuous-
time systems. 2. Mathematical preliminaries In this section, we introduce notation, several definitions, and some key results needed
for analyzing discrete-time large-scale nonlinear dynamical systems. Let R denote the set
of real numbers, let Z+ denote the set of nonnegative integers, let Rn denote the set of
n × 1 column vectors, let Sn denote the set of n × n symmetric matrices, let Nn (resp.,
Pn) denote the set of n × n nonnegative (resp., positive) definite matrices, let (·)T denote
transpose, and let In or I denote the n × n identity matrix. For v ∈Rq, we write v≥≥0
(resp., v≫0) to indicate that every component of v is nonnegative (resp., positive). In
this case we say that v is nonnegative or positive, respectively. Let R
q
+ and Rq
+ denote the
nonnegative and positive orthants of Rq; that is, if v ∈Rq, then v ∈R
q
+ and v ∈Rq
+ are
equivalent, respectively, to v≥≥0 and v≫0. Finally, we write ∥· ∥for the Euclidean vector
norm, spec(M) for the spectrum of the square matrix M, ρ(M) for the spectral radius of
the square matrix M, ∆V(x(k)) for V(x(k + 1)) −V(x(k)), ε(α), α ∈Rn, ε > 0, for the
open ball centered at α with radius ε, and M ≥0 (resp., M > 0) to denote the fact that the
Hermitian matrix M is nonnegative (resp., positive) definite. The following definition
introduces the notion of nonnegative matrices. Definition 2.1 (see [3, 4, 9]). Let W ∈Rq×q. The matrix W is nonnegative (resp., positive)
if W(i,j) ≥0 (resp., W(i,j) > 0), i, j = 1,...,q. (In this paper it is important to distinguish
between a square nonnegative (resp., positive) matrix and a nonnegative-definite (resp.,
positive-definite) matrix.) The following definition introduces the notion of class functions involving nonde-
creasing functions. Definition 2.2. A function w = [w1,...,wq]T : Rq →Rq is of class if wi(r′) ≤wi(r′′),
i = 1,...,q, for all r′,r′′ ∈Rq such that r′
j ≤r′′
j , j = 1,...,q, where rj denotes the jth com-
ponent of r. Note that if w(r) = Wr, where W ∈Rq×q, then the function w(·) is of class if and
only if W is nonnegative. The following definition introduces the notion of nonnegative
functions [9]. Definition 2.3. Let w = [w1,...,wq]T : →Rq, where is an open subset of Rq that con-
tains R
q
+. 1. Introduction Nevertheless, it is the overwhelming trend to implement controllers digi-
tally. Hence, in this paper we extend the notions of dissipativity theory [22, 23] to de-
velop vector dissipativity notions for large-scale nonlinear discrete-time dynamical sys-
tems; a notion not previously considered in the literature. In particular, we introduce
a generalized definition of dissipativity for large-scale nonlinear discrete-time dynami-
cal systems in terms of a vector inequality involving a vector supply rate, a vector storage
function, and a nonnegative, semistable dissipation matrix. Generalized notions of vector
available storage and vector required supply are also defined and shown to be element-
by-element ordered, nonnegative, and finite. On the subsystem level, the proposed ap-
proach provides a discrete energy flow balance in terms of the stored subsystem energy,
the supplied subsystem energy, the subsystem energy gained from all other subsystems
independent of the subsystem coupling strengths, and the subsystem energy dissipated. Furthermore, for large-scale discrete-time dynamical systems decomposed into intercon-
nected subsystems, dissipativity of the composite system is shown to be determined from
the dissipativity properties of the individual subsystems and the nature of the intercon-
nections. In particular, we develop extended Kalman-Yakubovich-Popov conditions, in
terms of the local subsystem dynamics and the interconnection constraints, for charac-
terizing vector dissipativeness via vector storage functions for large-scale discrete-time
dynamical systems. Finally, using the concepts of vector dissipativity and vector storage
functions as candidate vector Lyapunov functions, we develop feedback interconnection
stability results of large-scale discrete-time nonlinear dynamical systems. General stability
criteria are given for Lyapunov and asymptotic stability of feedback interconnections of
large-scale discrete-time dynamical systems. In the case of vector quadratic supply rates
involving net subsystem powers and input-output subsystem energies, these results pro-
vide a positivity and small gain theorem for large-scale discrete-time systems predicated
on vector Lyapunov functions. Wassim M. Haddad et al. Wassim M. Haddad et al. 39 Wassim M. Haddad et al. Wassim M. Haddad et al. 39 2. Mathematical preliminaries Then w is nonnegative if w(r)≥≥0 for all r ∈R
q
+. Note that if w : Rq →Rq is such that w(·) ∈ and w(0)≥≥0, then w is nonnegative. Note that, if w(r) = Wr, then w(·) is nonnegative if and only if W ∈Rq×q is nonnegative. Proposition 2.4 (see [9]). Suppose R
q
+ ⊂. Then R
q
+ is an invariant set with respect to r(k +1) = w
r(k)
,
r(0) = r0,
k ∈Z+,
(2.1) (2.1) if and only if w : →Rq is nonnegative. The following lemma is needed for developing several of the results in later sections. For the statement of this lemma, the following definition is required. 40 Vector dissipativity and discrete-time large-scale systems Definition 2.5. The equilibrium solution r(k) ≡re of (2.1) is Lyapunov stable if, for ev-
ery ε > 0, there exists δ = δ(ε) > 0 such that if r0 ∈δ(re) ∩R
q
+, then r(k) ∈ε(re) ∩R
q
+,
k ∈Z+. The equilibrium solution r(k) ≡re of (2.1) is semistable if it is Lyapunov stable
and there exists δ > 0 such that if r0 ∈δ(re) ∩R
q
+, then limk→∞r(k) exists and con-
verges to a Lyapunov stable equilibrium point. The equilibrium solution r(k) ≡re of
(2.1) is asymptotically stable if it is Lyapunov stable and there exists δ > 0 such that if
r0 ∈δ(re) ∩R
q
+, then limk→∞r(k) = re. Finally, the equilibrium solution r(k) ≡re of
(2.1) is globally asymptotically stable if the previous statement holds for all r0 ∈R
q
+. Recall that a matrix W ∈Rq×q is semistable if and only if limk→∞Wk exists [9] while
W is asymptotically stable if and only if limk→∞Wk = 0. Lemma 2.6. Suppose W ∈Rq×q is nonsingular and nonnegative. If W is semistable (resp.,
asymptotically stable), then there exist a scalar α ≥1 (resp., α > 1) and a nonnegative vector
p ∈R
q
+, p ̸= 0, (resp., positive vector p ∈Rq
+) such that W−Tp = αp. (2.2) (2.2) Proof. Since W is semistable, it follows from [9, Theorem 3.3] that |λ| < 1 or λ = 1 and
λ = 1 is semisimple, where λ ∈spec(W). Since WT≥≥0, it follows from the Perron-
Frobenius theorem that ρ(W) ∈spec(W) and hence there exists p≥≥0, p ̸= 0, such that
WTp = ρ(W)p. 2. Mathematical preliminaries In addition, since W is nonsingular, ρ(W) > 0. Hence, WTp = α−1p,
where α ≜1/ρ(W), which proves that there exist p≥≥0, p ̸= 0, and α ≥1 such that (2.2)
holds. In the case where W is asymptotically stable, the result is a direct consequence of
the Perron-Frobenius theorem. □ Next, we present a stability result for discrete-time large-scale nonlinear dynamical
systems using vector Lyapunov functions. In particular, we consider discrete-time non-
linear dynamical systems of the form x(k +1) = F
x(k)
,
x
k0
= x0,
k ≥k0,
(2.3) (2.3) where F : →Rn is continuous on , ⊆Rn is an open set with 0 ∈, and F(0) = 0. Here, we assume that (2.3) characterizes a discrete-time large-scale nonlinear dynami-
cal system composed of q interconnected subsystems such that, for all i = 1,...,q, each
element of F(x) is given by Fi(x) = fi(xi) + i(x), where fi : Rni →Rni defines the vec-
tor field of each isolated subsystem of (2.3), i : →Rni defines the structure of inter-
connection dynamics of the ith subsystem with all other subsystems, xi ∈Rni, fi(0) = 0,
i(0) = 0, and
q
i=1ni = n. For the discrete-time large-scale nonlinear dynamical system
(2.3), we note that the subsystem states xi(k), k ≥k0, for all i = 1,...,q, belong to Rni as
long as x(k) ≜[xT
1 (k),...,xTq (k)]T ∈, k ≥k0. The next theorem presents a stability result
for (2.3) via vector Lyapunov functions by relating the stability properties of a compari-
son system to the stability properties of the discrete-time large-scale nonlinear dynamical
system. Theorem 2.7 (see [11]). Consider the discrete-time large-scale nonlinear dynamical system
given by (2.3). Suppose there exist a continuous vector function V : →R
q
+ and a positive Wassim M. Haddad et al. 41 Wassim M. Haddad et al. 2. Mathematical preliminaries 41 vector p ∈Rq
+ such that V(0) = 0, the scalar function v : →R+ defined by v(x) = pTV(x),
x ∈, is such that v(0) = 0, v(x) > 0, x ̸= 0, and vector p ∈Rq
+ such that V(0) = 0, the scalar function v : →R+ defined by v(x) = pTV(x),
x ∈, is such that v(0) = 0, v(x) > 0, x ̸= 0, and V
F(x)
≤≤w
V(x)
,
x ∈,
(2.4) (2.4) where w : R
q
+ →Rq is a class function such that w(0) = 0. Then the stability properties of
the zero solution r(k) ≡0 to r(k +1) = w
r(k)
,
r
k0
= r0,
k ≥k0,
(2.5) (2.5) imply the corresponding stability properties of the zero solution x(k) ≡0 to (2.3). That is, if
the zero solution r(k) ≡0 to (2.5) is Lyapunov (resp., asymptotically) stable, then the zero
solution x(k) ≡0 to (2.3) is Lyapunov (resp., asymptotically) stable. If, in addition, = Rn
and V(x) →∞as ∥x∥→∞, then global asymptotic stability of the zero solution r(k) ≡0 to
(2.5) implies global asymptotic stability of the zero solution x(k) ≡0 to (2.3). imply the corresponding stability properties of the zero solution x(k) ≡0 to (2.3). That is, if
the zero solution r(k) ≡0 to (2.5) is Lyapunov (resp., asymptotically) stable, then the zero
solution x(k) ≡0 to (2.3) is Lyapunov (resp., asymptotically) stable. If, in addition, = Rn
and V(x) →∞as ∥x∥→∞, then global asymptotic stability of the zero solution r(k) ≡0 to
(2.5) implies global asymptotic stability of the zero solution x(k) ≡0 to (2.3). If V : →R
q
+ satisfies the conditions of Theorem 2.7, we say that V(x), x ∈, is a vec-
tor Lyapunov function for the discrete-time large-scale nonlinear dynamical system (2.3). Finally, we recall the notions of dissipativity [6] and geometric dissipativity [8, 9] for
discrete-time nonlinear dynamical systems of the form x(k +1) = f
x(k)
+G
x(k)
u(k),
x
k0
= x0,
k ≥k0,
(2.6)
y(k) = h
x(k)
+J
x(k)
u(k),
(2.7) (2.6)
(2.7) (2.7) where x ∈ ⊆Rn, u ∈ ⊆Rm, y ∈ ⊆Rl, f : →Rn satisfies f (0) = 0, G : →
Rn×m, h : →Rl satisfies h(0) = 0, and J : →Rl×m. 2. Mathematical preliminaries 42
Vector dissipativity and discrete-time large-scale systems 42
Vector dissipativity and discrete-time large-scale systems An equivalent statement for dissipativity of the dynamical system (2.6), (2.7) is An equivalent statement for dissipativity of the dynamical system (2.6), (2.7) is ∆vs
x(k)
≤s
u(k), y(k)
,
k ≥k0, u ∈, y ∈. (2.9) (2.9) Alternatively, an equivalent statement for geometric dissipativity of the dynamical system
(2.6), (2.7) is Alternatively, an equivalent statement for geometric dissipativity of the dynamical system
(2.6), (2.7) is ρvs
x(k +1)
−vs
x(k)
≤ρs
u(k), y(k)
,
k ≥k0, u ∈, y ∈. (2.10) (2.10) 3. Vector dissipativity theory for discrete-time large-scale nonlinear dynamical
systems 3. Vector dissipativity theory for discrete-time large-scale nonlinear dynamical
systems In this section, we extend the notion of dissipative dynamical systems to develop the gen-
eralized notion of vector dissipativity for discrete-time large-scale nonlinear dynamical
systems. We begin by considering discrete-time nonlinear dynamical systems of the
form x(k +1) = F
x(k),u(k)
,
x
k0
= x0,
k ≥k0,
(3.1)
y(k) = H
x(k),u(k)
,
(3.2) (3.2) where x ∈ ⊆Rn, u ∈ ⊆Rm, y ∈ ⊆Rl, F : × →Rn, H : × →, is
an open set with 0 ∈, and F(0,0) = 0. Here, we assume that represents a discrete-
time large-scale dynamical system composed of q interconnected controlled subsystems
i such that, for all i = 1,...,q, where x ∈ ⊆Rn, u ∈ ⊆Rm, y ∈ ⊆Rl, F : × →Rn, H : × →, is
an open set with 0 ∈, and F(0,0) = 0. Here, we assume that represents a discrete-
time large-scale dynamical system composed of q interconnected controlled subsystems
i such that, for all i = 1,...,q, Fi
x,ui
= fi
xi
+i(x) +Gi
xi
ui,
Hi
xi,ui
= hi
xi
+Ji
xi
ui,
(3.3) (3.3) Hi
xi,ui
= hi
xi
+Ji
xi
ui, where xi ∈Rni, ui ∈i ⊆Rmi, yi ≜Hi(xi,ui) ∈i ⊆Rli, (ui, yi) is the input-output pair
for the ith subsystem, fi : Rni →Rni and i : →Rni are continuous and satisfy fi(0) = 0
and i(0) = 0, Gi : Rni →Rni×mi is continuous, hi : Rni →Rli satisfies hi(0) = 0, Ji : Rni →
Rli×mi,
q
i=1ni = n,
q
i=1mi = m, and
q
i=1li = l. Furthermore, for the system we as-
sume that the required properties for the existence and uniqueness of solutions are sat-
isfied. We define the composite input and composite output for the discrete-time large-
scale system as u ≜[uT
1,...,uTq]T and y ≜[yT
1 ,..., yTq ]T, respectively. Note that, in this
case, the set = 1×···×q contains the set of input values and = 1 × ··· × q
contains the set of output values. 2. Mathematical preliminaries For the discrete-time nonlinear dy-
namical system , we assume that the required properties for the existence and unique-
ness of solutions are satisfied; that is, u(·) satisfies sufficient regularity conditions such
that (2.6) has a unique solution forward in time. Note that since all input-output pairs
u ∈, y ∈ of the discrete-time nonlinear dynamical system are defined on Z+, the
supply rate [22] satisfying s(0,0) = 0 is locally summable for all input-output pairs satis-
fying (2.6), (2.7); that is, for all input-output pairs u ∈, y ∈ satisfying (2.6), (2.7),
s(·,·) satisfies
k2
k=k1 |s(u(k), y(k))| < ∞, k1,k2 ∈Z+. where x ∈ ⊆Rn, u ∈ ⊆Rm, y ∈ ⊆Rl, f : →Rn satisfies f (0) = 0, G : →
Rn×m, h : →Rl satisfies h(0) = 0, and J : →Rl×m. For the discrete-time nonlinear dy-
namical system , we assume that the required properties for the existence and unique-
ness of solutions are satisfied; that is, u(·) satisfies sufficient regularity conditions such
that (2.6) has a unique solution forward in time. Note that since all input-output pairs
u ∈, y ∈ of the discrete-time nonlinear dynamical system are defined on Z+, the
supply rate [22] satisfying s(0,0) = 0 is locally summable for all input-output pairs satis-
fying (2.6), (2.7); that is, for all input-output pairs u ∈, y ∈ satisfying (2.6), (2.7),
s(·,·) satisfies
k2
k=k1 |s(u(k), y(k))| < ∞, k1,k2 ∈Z+. Definition 2.8 (see [6, 8]). The discrete-time nonlinear dynamical system given by (2.6),
(2.7) is geometrically dissipative (resp., dissipative) with respect to the supply rate s(u, y)
if there exist a continuous nonnegative-definite function vs : Rn →R+, called a storage
function, and a scalar ρ > 1 (resp., ρ = 1) such that vs(0) = 0 and the dissipation inequality ρk2vs
x
k2
≤ρk1vs
x
k1
+
k2−1
i=k1
ρi+1s
u(i), y(i)
,
k2 ≥k1,
(2.8) (2.8) is satisfied for all k2 ≥k1 ≥k0, where x(k), k ≥k0, is the solution to (2.6) with u ∈. The
discrete-time nonlinear dynamical system given by (2.6), (2.7) is lossless with respect to
the supply rate s(u, y) if the dissipation inequality is satisfied as an equality with ρ = 1 for
all k2 ≥k1 ≥k0. 3. Vector dissipativity theory for discrete-time large-scale nonlinear dynamical
systems where xi ∈Rni, ui ∈i ⊆Rmi, yi ≜Hi(xi,ui) ∈i ⊆Rli, (ui, yi) is the input-output pair
for the ith subsystem, fi : Rni →Rni and i : →Rni are continuous and satisfy fi(0) = 0
and i(0) = 0, Gi : Rni →Rni×mi is continuous, hi : Rni →Rli satisfies hi(0) = 0, Ji : Rni →
Rli×mi,
q
i=1ni = n,
q
i=1mi = m, and
q
i=1li = l. Furthermore, for the system we as-
sume that the required properties for the existence and uniqueness of solutions are sat-
isfied. We define the composite input and composite output for the discrete-time large-
scale system as u ≜[uT
1,...,uTq]T and y ≜[yT
1 ,..., yTq ]T, respectively. Note that, in this
case, the set = 1×···×q contains the set of input values and = 1 × ··· × q
contains the set of output values. sume that the required properties for the existence and uniqueness of solutions are sat-
isfied. We define the composite input and composite output for the discrete-time large-
scale system as u ≜[uT
1,...,uTq]T and y ≜[yT
1 ,..., yTq ]T, respectively. Note that, in this
case, the set = 1×···×q contains the set of input values and = 1 × ··· × q
contains the set of output values. Definition 3.1. For the discrete-time large-scale nonlinear dynamical system given by
(3.1), (3.2), a vector function S = [s1,...,sq]T : × →Rq such that S(u, y) ≜[s1(u1, y1),
...,sq(uq, yq)]T and S(0,0) = 0 is called a vector supply rate. q
q
q
Note that, since all input-output pairs (ui, yi) ∈i × i, i = 1,...,q, satisfying (3.1),
(3.2) are defined on Z+, si(·,·) satisfies
k2
k=k1 |si(ui(k), yi(k))| < ∞, k1,k2 ∈Z+. q
q
q
Note that, since all input-output pairs (ui, yi) ∈i × i, i = 1,...,q, satisfying (3.1),
(3.2) are defined on Z+, si(·,·) satisfies
k2
k=k1 |si(ui(k), yi(k))| < ∞, k1,k2 ∈Z+. Definition 3.2. The discrete-time large-scale nonlinear dynamical system given by (3.1),
(3.2) is vector dissipative (resp., geometrically vector dissipative) with respect to the vector Definition 3.2. The discrete-time large-scale nonlinear dynamical system given by (3.1),
(3.2) is vector dissipative (resp., geometrically vector dissipative) with respect to the vector Definition 3.2. 3. Vector dissipativity theory for discrete-time large-scale nonlinear dynamical
systems The discrete-time large-scale nonlinear dynamical system given by (3.1),
(3.2) is vector dissipative (resp., geometrically vector dissipative) with respect to the vector 43 Wassim M. Haddad et al. 43 Wassim M. Haddad et al. 4 supply rate S(u, y) if there exist a continuous, nonnegative definite vector function Vs =
[vs1,...,vsq]T : →R
q
+, called a vector storage function, and a nonsingular nonnegative
dissipation matrix W ∈Rq×q such that Vs(0) = 0, W is semistable (resp., asymptotically
stable), and the vector dissipation inequality Vs
x(k)
≤≤Wk−k0Vs
x
k0
+
k−1
i=k0
Wk−1−iS
u(i), y(i)
,
k ≥k0,
(3.4) (3.4) is satisfied, where x(k), k ≥k0, is the solution to (3.1) with u ∈. The discrete-time large-
scale nonlinear dynamical system given by (3.1), (3.2) is vector lossless with respect to
the vector supply rate S(u, y) if the vector dissipation inequality is satisfied as an equality
with W semistable. is satisfied, where x(k), k ≥k0, is the solution to (3.1) with u ∈. The discrete-time large-
scale nonlinear dynamical system given by (3.1), (3.2) is vector lossless with respect to
the vector supply rate S(u, y) if the vector dissipation inequality is satisfied as an equality
with W semistable. Note that if the subsystems i of are disconnected, that is, i(x) ≡0 for all i =
1,...,q, and W ∈Rq×q is diagonal, positive definite, and semistable, then it follows from
Definition 3.2 that each of the isolated subsystems i is dissipative or geometrically dis-
sipative in the sense of Definition 2.8. A similar remark holds in the case where q = 1. Next, define the vector available storage of the discrete-time large-scale nonlinear dynam-
ical system by Va
x0
≜
sup
K≥k0, u(·)
−
K−1
k=k0
W−(k+1−k0)S
u(k), y(k)
,
(3.5) (3.5) where x(k), k ≥k0, is the solution to (3.1) with x(k0) = x0 and admissible inputs u ∈
. The supremum in (3.5) is taken componentwise, which implies that, for different
elements of Va(·), the supremum is calculated separately. Note that Va(x0)≥≥0, x0 ∈,
since Va(x0) is the supremum over a set of vectors containing the zero vector (K = k0). To
state the main results of this section, the following definition is required. Definition 3.3 (see [9]). 3. Vector dissipativity theory for discrete-time large-scale nonlinear dynamical
systems The discrete-time large-scale nonlinear dynamical system given
by (3.1), (3.2) is completely reachable if, for all x0 ∈ ⊆Rn, there exist a ki < k0 and
a square summable input u(·) defined on [ki,k0] such that the state x(k), k ≥ki, can
be driven from x(ki) = 0 to x(k0) = x0. A discrete-time large-scale nonlinear dynamical
system is zero-state observable if u(k) ≡0 and y(k) ≡0 imply x(k) ≡0. Theorem 3.4. Consider the discrete-time large-scale nonlinear dynamical system given
by (3.1), (3.2) and assume that is completely reachable. Let W ∈Rq×q be nonsingular,
nonnegative, and semistable (resp., asymptotically stable). Then K−1
k=k0
W−(k+1−k0)S
u(k), y(k)
≥≥0,
K ≥k0, u ∈,
(3.6) (3.6) for x(k0) = 0 if and only if Va(0) = 0 and Va(x) is finite for all x ∈. Moreover, if (3.6)
holds, then Va(x), x ∈, is a vector storage function for and hence is vector dissipative
(resp., geometrically vector dissipative) with respect to the vector supply rate S(u, y). 44
Vector dissipativity and discrete-time large-scale systems 44
Vector dissipativity and discrete-time large-scale systems 44 Proof. Suppose Va(0) = 0 and Va(x), x ∈, is finite. Then 0 = Va(0) =
sup
K≥k0, u(·)
−
K−1
k=k0
W−(k+1−k0)S
u(k), y(k)
,
(3.7) (3.7) which implies (3.6). Next, suppose (3.6) holds. Then, for x(k0) = 0, which implies (3.6). which implies (3.6). which implies (3.6). which implies (3.6). p
(
)
Next, suppose (3.6) holds. Then, for x(k0) = 0, p
Next, suppose (3.6) holds. Then, for x(k0) = 0, sup
K≥k0, u(·)
−
K−1
k=k0
W−(k+1−k0)S
u(k), y(k)
≤≤0,
(3.8) (3.8) which implies that Va(0)≤≤0. However, since Va(x0)≥≥0, x0 ∈, it follows that Va(0) =
0. Moreover, since is completely reachable, it follows that, for every x0 ∈, there exists
ˆk > k0 and an admissible input u(·) defined on [k0, ˆk] such that x(ˆk) = x0. Now, since
(3.6) holds for x(k0) = 0, it follows that, for all admissible u(·) ∈, which implies that Va(0)≤≤0. However, since Va(x0)≥≥0, x0 ∈, it follows that Va(0) =
0. Moreover, since is completely reachable, it follows that, for every x0 ∈, there exists
ˆk > k0 and an admissible input u(·) defined on [k0, ˆk] such that x(ˆk) = x0. 3. Vector dissipativity theory for discrete-time large-scale nonlinear dynamical
systems Now, since
(3.6) holds for x(k0) = 0, it follows that, for all admissible u(·) ∈, K−1
k=k0
W−(k+1−k0)S
u(k), y(k)
≥≥0,
K ≥ˆk,
(3.9) (3.9) or, equivalently, multiplying (3.9) by the nonnegative matrix W ˆk−k0, ˆk > k0, yields or, equivalently, multiplying (3.9) by the nonnegative matrix W ˆk−k0, ˆk > k0, yields −
K−1
k=ˆk
W−(k+1−ˆk)S
u(k), y(k)
≤≤
ˆk−1
k=k0
W−(k+1−ˆk)S
u(k), y(k)
≤≤Q
x0
≪∞,
K ≥ˆk, u ∈,
(3.10) (3.10) ≤≤Q
x0
≪∞,
K ≥ˆk, u ∈, where Q : →Rq. Hence, where Q : →Rq. Hence, where Q : →Rq. Hence, Va
x0
=
sup
K≥ˆk, u(·)
−
K−1
k=ˆk
W−(k+1−ˆk)S
u(k), y(k)
≤≤Q
x0
≪∞,
x0 ∈,
(3.11) which implies that Va(x0), x0 ∈, is finite. which implies that Va(x0), x0 ∈, is finite. p
a( 0),
0
,
Finally, since (3.6) implies that Va(0) = 0 and Va(x), x ∈, is finite, it follows from
the definition of the vector available storage that Finally, since (3.6) implies that Va(0) = 0 and Va(x), x ∈, is finite, it follows from
the definition of the vector available storage that −Va
x0
≤≤
K−1
k=k0
W−(k+1−k0)S
u(k), y(k)
=
kf −1
k=k0
W−(k+1−k0)S
u(k), y(k)
+
K−1
k=kf
W−(k+1−k0)S
u(k), y(k)
,
K ≥k0. (3.12) (3.12) Wassim M. Haddad et a Wassim M. Haddad et al. 45 Now, multiplying (3.12) by the nonnegative matrix Wkf −k0, kf > k0, it follows that Now, multiplying (3.12) by the nonnegative matrix Wkf −k0, kf > k0, it follows that Wkf −k0Va
x0
+
kf −1
k=k0
W−(k+1−kf)S
u(k), y(k)
≥≥
sup
K≥kf, u(·)
−
K−1
k=kf
W−(k+1−kf)S
u(k), y(k)
= Va
x
kf
,
(3.13) which implies that Va(x), x ∈, is a vector storage function and hence is vector dis-
sipative (resp., geometrically vector dissipative) with respect to the vector supply rate
S(u, y). □ It follows from Lemma 2.6 that if W ∈Rq×q is nonsingular, nonnegative, and semi-
stable (resp., asymptotically stable), then there exist a scalar α ≥1 (resp., α > 1) and a
nonnegative vector p ∈R
q
+, p ̸= 0, (resp., p ∈Rq
+) such that (2.2) holds. In this case, pTW−k = αpTW−(k−1) = ··· = αkpT,
k ∈Z+. 0 ≤va(x) ≤vs(x),
x ∈. 3. Vector dissipativity theory for discrete-time large-scale nonlinear dynamical
systems (3.14) (3.14) Using (3.14), we define the (scalar) available storage for the discrete-time large-scale non-
linear dynamical system by va
x0
≜
sup
K≥k0, u(·)
−
K−1
k=k0
pTW−(k+1−k0)S
u(k), y(k)
=
sup
K≥k0, u(·)
−
K−1
k=k0
αk+1−k0s
u(k), y(k)
,
(3.15) (3.15) where s : × →R defined as s(u, y) ≜pTS(u, y) is the (scalar) supply rate for the
discrete-time large-scale nonlinear dynamical system . Clearly, va(x) ≥0 for all x ∈. As in standard dissipativity theory, the available storage va(x), x ∈, denotes the maxi-
mum amount of (scaled) energy that can be extracted from the discrete-time large-scale
nonlinear dynamical system at any instant K. where s : × →R defined as s(u, y) ≜pTS(u, y) is the (scalar) supply rate for the
discrete-time large-scale nonlinear dynamical system . Clearly, va(x) ≥0 for all x ∈. As in standard dissipativity theory, the available storage va(x), x ∈, denotes the maxi-
mum amount of (scaled) energy that can be extracted from the discrete-time large-scale
nonlinear dynamical system at any instant K. The following theorem relates vector storage functions and vector supply rates to scalar
storage functions and scalar supply rates of discrete-time large-scale dynamical systems. Theorem 3.5. Consider the discrete-time large-scale nonlinear dynamical system given by
(3.1), (3.2). Suppose is vector dissipative (resp., geometrically vector dissipative) with re-
spect to the vector supply rate S : × →Rq and with vector storage function Vs : →R
q
+. Then there exists p ∈R
q
+, p ̸= 0, (resp., p ∈Rq
+) such that is dissipative (resp., geometri-
cally dissipative) with respect to the scalar supply rate s(u, y) = pTS(u, y) and with storage
function vs(x) ≜pTVs(x), x ∈. Moreover, in this case, va(x), x ∈, is a storage function
for and 0 ≤va(x) ≤vs(x),
x ∈. (3.16) 0 ≤va(x) ≤vs(x),
x ∈. 0 ≤va(x) ≤vs(x),
x ∈. (3.16) Vector dissipativity and discrete-time large-scale systems 46 Proof. Suppose is vector dissipative (resp., geometrically vector dissipative) with re-
spect to the vector supply rate S(u, y). Then there exist a nonsingular, nonnegative, and
semistable (resp., asymptotically stable) dissipation matrix W and a vector storage func-
tion Vs : →R
q
+ such that the dissipation inequality (3.4) holds. 3. Vector dissipativity theory for discrete-time large-scale nonlinear dynamical
systems Furthermore, it follows
from Lemma 2.6 that there exist α ≥1 (resp., α > 1) and a nonzero vector p ∈R
q
+ (resp.,
p ∈Rq
+) satisfying (2.2). Hence, premultiplying (3.4) by pT and using (3.14), it follows
that vs
x(k)
≤α−(k−k0)vs
x
k0
+
k−1
i=k0
α−(k−1−i)s
u(i), y(i)
,
k ≥k0, u ∈,
(3.17) (3.17) where vs(x) = pTVs(x), x ∈, which implies dissipativity (resp., geometric dissipativ-
ity) of with respect to the supply rate s(u, y) and with storage function vs(x), x ∈. Moreover, since vs(0) = 0, it follows from (3.17) that for x(k0) = 0, k−1
i=k0
αi+1−k0s
u(i), y(i)
≥0,
k ≥k0, u ∈,
(3.18) (3.18) which, using (3.15), implies that va(0) = 0. Now, it can easily be shown that va(x), x ∈,
satisfies (3.17), and hence the available storage defined by (3.15) is a storage function for
. Finally, it follows from (3.17) that which, using (3.15), implies that va(0) = 0. Now, it can easily be shown that va(x), x ∈,
satisfies (3.17), and hence the available storage defined by (3.15) is a storage function for
. Finally, it follows from (3.17) that vs
x
k0
≥αk−k0vs
x(k)
−
k−1
i=k0
αi+1−k0s
u(i), y(i)
≥−
k−1
i=k0
αi+1−k0s
u(i), y(i)
,
k ≥k0, u ∈,
(3.19) vs
x
k0
≥αk−k0vs
x(k)
−
k−1
i=k0
αi+1−k0s
u(i), y(i)
(3.19) i k0
≥−
k−1
i=k0
αi+1−k0s
u(i), y(i)
,
k ≥k0, u ∈,
(3.19) which implies that vs
x
k0
≥
sup
k≥k0, u(·)
−
k−1
i=k0
αi+1−k0s
u(i), y(i)
= va
x
k0
,
(3.20) (3.20) 3.16) holds. □ and hence (3.16) holds. and hence (3.16) holds. □ Remark 3.6. It follows from Theorem 3.4 that if (3.6) holds for x(k0) = 0, then the vector
available storage Va(x), x ∈, is a vector storage function for . In this case, it follows
from Theorem 3.5 that there exists p ∈R
q
+, p ̸= 0, such that vs(x) ≜pTVa(x) is a storage
function for that satisfies (3.17), and hence, by (3.16), va(x) ≤pTVa(x), x ∈. Remark 3.7. It is important to note that it follows from Theorem 3.5 that if is vector Remark 3.7. 3. Vector dissipativity theory for discrete-time large-scale nonlinear dynamical
systems It is important to note that it follows from Theorem 3.5 that if is vector
dissipative, then can either be (scalar) dissipative or (scalar) geometrically dissipative. The following theorem provides sufficient conditions guaranteeing that all scalar stor-
age functions defined in terms of vector storage functions, that is, vs(x) = pTVs(x), of a
given vector dissipative discrete-time large-scale nonlinear dynamical system are positive
definite. Wassim M. Haddad et al. 47 47 Theorem 3.8. Consider the discrete-time large-scale nonlinear dynamical system given
by (3.1), (3.2) and assume that is zero-state observable. Furthermore, assume that is
vector dissipative (resp., geometrically vector dissipative) with respect to the vector supply
rate S(u, y) and there exist α ≥1 and p ∈Rq
+ such that (2.2) holds. In addition, assume that
there exist functions κi : i →i such that κi(0) = 0 and si(κi(yi), yi) < 0, yi ̸= 0, for all
i = 1,...,q. Then, for all vector storage functions Vs : →R
q
+, the storage function vs(x) ≜
pTVs(x), x ∈, is positive definite; that is, vs(0) = 0 and vs(x) > 0, x ∈, x ̸= 0. Proof. It follows from Theorem 3.5 that va(x), x ∈, is a storage function for that
satisfies (3.17). Next, suppose, ad absurdum, there exists x ∈ such that va(x) = 0, x ̸= 0. Then it follows from the definition of va(x), x ∈, that for x(k0) = x, K−1
k=k0
αk+1−k0s
u(k), y(k)
≥0,
K ≥k0, u ∈. (3.21) (3.21) However, for ui = ki(yi), we have si(κi(yi), yi) < 0, yi ̸= 0, for all i = 1,...,q, and since
p≫0, it follows that yi(k) = 0, k ≥k0, i = 1,...,q, which further implies that ui(k) = 0,
k ≥k0, i = 1,...,q. Since is zero-state observable, it follows that x = 0 and hence va(x) =
0 if and only if x = 0. The result now follows from (3.16). Finally, for the geometrically
vector dissipative case, it follows from Lemma 2.6 that p≫0 with the rest of the proof
being identical as above. 3. Vector dissipativity theory for discrete-time large-scale nonlinear dynamical
systems □ However, for ui = ki(yi), we have si(κi(yi), yi) < 0, yi ̸= 0, for all i = 1,...,q, and since
p≫0, it follows that yi(k) = 0, k ≥k0, i = 1,...,q, which further implies that ui(k) = 0,
k ≥k0, i = 1,...,q. Since is zero-state observable, it follows that x = 0 and hence va(x) =
0 if and only if x = 0. The result now follows from (3.16). Finally, for the geometrically
vector dissipative case, it follows from Lemma 2.6 that p≫0 with the rest of the proof
being identical as above. □ Next, we introduce the concept of vector required supply of a discrete-time large-scale
nonlinear dynamical system. Specifically, define the vector required supply of the discrete-
time large-scale dynamical system by Vr
x0
≜
inf
K≥−k0+1, u(·)
k0−1
k=−K
W−(k+1−k0)S
u(k), y(k)
,
(3.22) (3.22) where x(k), k ≥−K, is the solution to (3.1) with x(−K) = 0 and x(k0) = x0. Note that
since, with x(k0) = 0, the infimum in (3.22) is the zero vector, it follows that Vr(0) = 0. Moreover, since is completely reachable, it follows that Vr(x)≪∞, x ∈. Using the
notion of the vector required supply, we present necessary and sufficient conditions for
dissipativity of a large-scale dynamical system with respect to a vector supply rate. Theorem 3.9. Consider the discrete-time large-scale nonlinear dynamical system given
by (3.1), (3.2) and assume that is completely reachable. Then is vector dissipative (resp.,
geometrically vector dissipative) with respect to the vector supply rate S(u, y) if and only if 0≤≤Vr(x)≪∞,
x ∈. (3.23) (3.23) Moreover, if (3.23) holds, then Vr(x), x ∈, is a vector storage function for . Finally, if the
vector available storage Va(x), x ∈, is a vector storage function for , then 0≤≤Va(x)≤≤Vr(x)≪∞,
x ∈. (3.24) (3.24) 0≤≤Va(x)≤≤Vr(x)≪∞,
x ∈. 0≤≤Va(x)≤≤Vr(x)≪∞,
x ∈. 48
Vector dissipativity and discrete-time large-scale systems 48
Vector dissipativity and discrete-time large-scale systems 48 Proof. Suppose (3.23) holds and let x(k), k ∈Z+, satisfy (3.1) with admissible inputs
u(k) ∈, k ∈Z+, and x(k0) = x0. 3. Vector dissipativity theory for discrete-time large-scale nonlinear dynamical
systems (3 31) (3.31) (3.31) (3.31) Since x(k0) = x0 ∈ is arbitrary and, by complete reachability, Vr(x)≪∞, x ∈, (3.31)
implies (3.24). □ Since x(k0) = x0 ∈ is arbitrary and, by complete reachability, Vr(x)≪∞, x ∈, (3.31)
implies (3.24). □ The next result is a direct consequence of Theorems 3.4 and 3.9. Proposition 3.10. Consider the discrete-time large-scale nonlinear dynamical system
given by (3.1), (3.2). Let M = diag[µ1,...,µq] be such that 0 ≤µi ≤1, i = 1,...,q. If Va(x),
x ∈, and Vr(x), x ∈, are vector storage functions for , then Vs(x) = MVa(x)+
Iq −M
Vr(x),
x ∈,
(3.32) (3.32) is a vector storage function for . 3. Vector dissipativity theory for discrete-time large-scale nonlinear dynamical
systems Then it follows from the definition of Vr(·) that for
−K ≤kf ≤k0 −1 and u(·) ∈, Vr
x0
≤≤
k0−1
k=−K
W−(k+1−k0)S
u(k), y(k)
=
kf −1
k=−K
W−(k+1−k0)S
u(k), y(k)
+
k0−1
k=kf
W−(k+1−k0)S
u(k), y(k)
,
(3.25) (3.25) and hence, and hence, Vr
x0
≤≤Wk0−kf
inf
K≥−kf+1, u(·)
kf −1
k=−K
W−(k+1−kf)S
u(k), y(k)
+
k0−1
k=kf
W−(k+1−k0)S
u(k), y(k)
= Wk0−kfVr
x
kf
+
k0−1
k=kf
Wk0−1−kS
u(k), y(k)
,
(3.26) (3.26) which shows that Vr(x), x ∈, is a vector storage function for and hence is vector
dissipative with respect to the vector supply rate S(u, y). which shows that Vr(x), x ∈, is a vector storage function for and hence is vector
dissipative with respect to the vector supply rate S(u, y). Conversely, suppose that is vector dissipative with respect to the vector supply rate
S(u, y). Then there exists a nonnegative vector storage function Vs(x), x ∈, such that
Vs(0) = 0. Since is completely reachable, it follows that for x(k0) = x0, there exist
K > −k0 and u(k), k ∈[−K,k0], such that x(−K) = 0. Hence, it follows from the vec-
tor dissipation inequality (3.4) that 0≤≤Vs
x
k0
≤≤Wk0+KVs
x(−K)
+
k0−1
k=−K
Wk0−1−kS
u(k), y(k)
,
(3.27) (3.27) which implies that for all K ≥−k0 +1 and u ∈, which implies that for all K ≥−k0 +1 and u ∈, 0≤≤
k0−1
k=−K
W−(k+1−k0)S
u(k), y(k)
(3.28) (3.28) or, equivalently, 0≤≤
inf
K≥−k0+1, u(·)
k0−1
k=−K
W−(k+1−k0)S
u(k), y(k)
= Vr
x0
. (3.29) (3.29) Since, by complete reachability, Vr(x)≪∞, x ∈, it follows that (3.23) holds. Since, by complete reachability, Vr(x)≪∞, x ∈, it follows that (3.23) holds. Wassim M. Haddad et al. 49 49 Finally, suppose that Va(x), x ∈, is a vector storage function. Then, for x(−K) = 0,
x(k0) = x0, and u ∈, it follows that Va
x
k0
≤≤Wk0+KVa
x(−K)
+
k0−1
k=−K
Wk0−1−kS
u(k), y(k)
,
(3.30) (3.30) which implies that which implies that 0≤≤Va
x
k0
≤≤
inf
K≥−k0+1, u(·)
k0−1
k=−K
W−(k+1−k0)S
u(k), y(k)
= Vr
x
k0
,
x ∈. is a vector storage function for . Proof. First note that M≥≥0 and Iq −M≥≥0 if and only if M = diag[µ1,...,µq] and
µi ∈[0,1], i = 1,...,q. Now, the result is a direct consequence of the vector dissipation in-
equality (3.4) by noting that if Va(x) and Vr(x) satisfy (3.4), then Vs(x) satisfies (3.4). □ Next, recall that if is vector dissipative (resp., geometrically vector dissipative), then
there exist p ∈R
q
+, p ̸= 0, and α ≥1 (resp., p ∈Rq
+ and α > 1) such that (2.2) and (3.14)
hold. Now, define the (scalar) required supply for the large-scale nonlinear dynamical
system by vr
x0
≜
inf
K≥−k0+1, u(·)
k0−1
k=−K
pTW−(k+1−k0)S
u(k), y(k)
=
inf
K≥−k0+1, u(·)
k0−1
k=−K
αk+1−k0s
u(k), y(k)
,
x0 ∈,
(3.33) where s(u, y) = pTS(u, y) and x(k), k ≥−K, is the solution to (3.1) with x(−K) = 0 and
x(k0) = x0. It follows from (3.33) that the required supply of a discrete-time large-scale
nonlinear dynamical system is the minimum amount of generalized energy which can be
delivered to the discrete-time large-scale system in order to transfer it from an initial state
x(−K) = 0 to a given state x(k0) = x0. Using the same arguments as in case of the vector
required supply, it follows that vr(0) = 0 and vr(x) < ∞, x ∈. 50 Vector dissipativity and discrete-time large-scale systems Next, using the notion of required supply, we show that all storage functions of the
form vs(x) = pTVs(x), where p ∈R
q
+, p ̸= 0, are bounded from above by the required sup-
ply and bounded from below by the available storage. Hence, a dissipative discrete-time
large-scale nonlinear dynamical system can only deliver to its surroundings a fraction of
all of its stored subsystem energies and can only store a fraction of the work done to all of
its subsystems. Corollary 3.11. Consider the discrete-time large-scale nonlinear dynamical system given
by (3.1), (3.2). Assume that is vector dissipative with respect to a vector supply rate S(u, y)
and with vector storage function Vs : →R
q
+. Then vr(x), x ∈, is a storage function for . Moreover, if vs(x) ≜pTVs(x), x ∈, where p ∈R
q
+, p ̸= 0, then 0 ≤va(x) ≤vs(x) ≤vr(x) < ∞,
x ∈. (3.34) (3.34) Proof. is a vector storage function for . It follows from Theorem 3.5 that if is vector dissipative with respect to the vector
supply rate S(u, y) and with a vector storage function Vs : →R
q
+, then there exists p ∈
R
q
+, p ̸= 0, such that is dissipative with respect to the supply rate s(u, y) = pTS(u, y)
and with storage function vs(x) = pTVs(x), x ∈. Hence, it follows from (3.17), with
x(−K) = 0 and x(k0) = x0, that k0−1
k=−K
αk+1−k0s
u(k), y(k)
≥0,
K ≥−k0, u ∈,
(3.35) (3.35) which implies that vr(x0) ≥0, x0 ∈. Furthermore, it is easy to see from the definition
of a required supply that vr(x), x ∈, satisfies the dissipation inequality (3.17). Hence,
vr(x), x ∈, is a storage function for . Moreover, it follows from the dissipation in-
equality (3.17), with x(−K) = 0, x(k0) = x0, and u ∈, that αk0vs
x
k0
≤α−Kvs
x(−K)
+
k0−1
k=−K
αk+1s
u(k), y(k)
=
k0−1
k=−K
αk+1s
u(k), y(k)
,
(3.36) αk0vs
x
k0
≤α−Kvs
x(−K)
+
k0−1
k=−K
αk+1s
u(k), y(k)
(3.36) =
k0−1
k=−K
αk+1s
u(k), y(k)
,
(3.36) which implies that vs
x
k0
≤
inf
K≥−k0+1, u(·)
k0−1
k=−K
αk+1−k0s
u(k), y(k)
= vr
x
k0
. (3.37) (3.37) Finally, it follows from Theorem 3.5 that va(x), x ∈, is a storage function for , and
hence, using (3.16) and (3.37), (3.34) holds. □ Remark 3.12. It follows from Theorem 3.9 that if is vector dissipative with respect to
the vector supply rate S(u, y), then Vr(x), x ∈, is a vector storage function for and, Wassim M. Haddad et al. 51 Wassim M. Haddad et al. by Theorem 3.5, there exists p ∈R
q
+, p ̸= 0, such that vs(x) ≜pTVr(x), x ∈, is a storage
function for satisfying (3.17). Hence, it follows from Corollary 3.11 that pTVr(x) ≤
vr(x), x ∈. by Theorem 3.5, there exists p ∈R
q
+, p ̸= 0, such that vs(x) ≜pTVr(x), x ∈, is a storage
function for satisfying (3.17). Hence, it follows from Corollary 3.11 that pTVr(x) ≤
vr(x), x ∈. The next result relates vector (resp., scalar) available storage and vector (resp., scalar)
required supply for vector lossless discrete-time large-scale dynamical systems. Theorem 3.13. is a vector storage function for . Now, it follows from (3.39) that is vector lossless, there exist a nonzero vector p ∈R
q
+ and a scalar α ≥0 satisfying (2.2). Now, it follows from (3.39) that 0 =
K+−1
k=−K−
pTW−(k+1−k0)S
u(k), y(k)
=
K+−1
k=−K−
αk+1−k0s
u(k), y(k)
=
k0−1
k=−K−
αk+1−k0s
u(k), y(k)
+
K+−1
k=k0
αk+1−k0s
u(k), y(k)
(3.41 0 =
K+−1
k=−K−
pTW−(k+1−k0)S
u(k), y(k)
=
K+−1
k=−K−
αk+1−k0s
u(k), y(k)
(3.41) ≥
inf
K≥−k0+1, u(·)
k0−1
k=−K
αk+1−k0s
u(k), y(k)
+
inf
K≥k0, u(·)
K−1
k=k0
αk+1−k0s
u(k), y(k)
= vr
x0
−va
x0
,
x0 ∈, which along with (3.34) implies that for any (scalar) storage function of the form vs(x) =
pTVs(x), x ∈, the equality va(x) = vs(x) = vr(x), x ∈, holds. Moreover, since is
vector lossless, the inequalities (3.17) and (3.36) are satisfied as equalities and vs
x0
= −
K−1
k=k0
αk+1−k0s
u(k), y(k)
=
k0−1
k=−K
αk+1−k0s
u(k), y(k)
,
(3.42) (3.42) where x(k), k ≥k0, is the solution to (3.1) with u ∈, x(−K) = 0, x(K) = 0, and x(k0) =
x0 ∈. □ where x(k), k ≥k0, is the solution to (3.1) with u ∈, x(−K) = 0, x(K) = 0, and x(k0) =
x0 ∈. □ The next proposition presents a characterization for vector dissipativity of discrete-
time large-scale nonlinear dynamical systems. The next proposition presents a characterization for vector dissipativity of discrete-
time large-scale nonlinear dynamical systems. Proposition 3.14. Consider the discrete-time large-scale nonlinear dynamical system
given by (3.1), (3.2) and assume Vs = [vs1,...,vsq]T : →R
q
+ is a continuous vector storage
function for . Then is vector dissipative with respect to the vector supply rate S(u, y) if
and only if Vs
x(k +1)
≤≤WVs
x(k)
+S
u(k), y(k)
,
k ≥k0, u ∈. (3.43) (3.43) □ Proof. The proof is immediate from (3.4) and hence is omitted. Proof. The proof is immediate from (3.4) and hence is omitted. □ As a special case of vector dissipativity theory, we can analyze the stability of discrete-
time large-scale nonlinear dynamical systems. is a vector storage function for . Consider the discrete-time large-scale nonlinear dynamical system given
by (3.1), (3.2). Assume that is completely reachable to and from the origin. If is vector
lossless with respect to the vector supply rate S(u, y) and Va(x), x ∈, is a vector storage
function, then Va(x) = Vr(x), x ∈. Moreover, if Vs(x), x ∈, is a vector storage function,
then all (scalar) storage functions of the form vs(x) = pTVs(x), x ∈, where p ∈R
q
+, p ̸= 0,
are given by vs
x0
= va
x0
= vr
x0
= −
K−1
k=k0
αk+1−k0s
u(k), y(k)
=
k0−1
k=−K
αk+1−k0s
u(k), y(k)
,
(3 38 (3.38) where x(k), k ≥k0, is the solution to (3.1) with u ∈, x(−K) = 0, x(K) = 0, x(k0) = x0 ∈
, and s(u, y) = pTS(u, y). Proof. Suppose is vector lossless with respect to the vector supply rate S(u, y). Since
is completely reachable to and from the origin, it follows that, for every x0 = x(k0) ∈
, there exist K+ > k0, −K−< k0, and u(k) ∈, k ∈[−K−,K+], such that x(−K−) = 0,
x(K+) = 0, and x(k0) = x0. Now, it follows from the dissipation inequality (3.4) which is
satisfied as an equality that 0 =
K+−1
k=−K−
WK+−1−kS
u(k), y(k)
,
(3.39) (3.39) or, equivalently, 0 =
K+−1
k=−K−
W−(k+1−k0)S
u(k), y(k)
=
k0−1
k=−K−
W−(k+1−k0)S
u(k), y(k)
+
K+−1
k=k0
W−(k+1−k0)S
u(k), y(k)
=
k0−1
k=−K−
W−(k+1−k0)S
u(k), y(k)
+
K+−1
k=k0
W−(k+1−k0)S
u(k), y(k)
≥≥
inf
K≥−k0+1, u(·)
k0−1
k=−K
W−(k+1−k0)S
u(k), y(k)
+
inf
K≥k0, u(·)
K−1
k=k0
W−(k+1−k0)S
u(k), y(k)
= Vr
x0
−Va
x0
,
(3 40) (3.40) which implies that Vr(x0)≤≤Va(x0), x0 ∈. However, it follows from Theorem 3.9 that if
is vector dissipative and Va(x), x ∈, is a vector storage function, then Va(x)≤≤Vr(x),
x ∈, which along with (3.40) implies that Va(x) = Vr(x), x ∈. Furthermore, since 2
Vector dissipativity and discrete-time large-scale systems 52
Vector dissipativity and discrete-time large-scale systems Vector dissipativity and discrete-time large-scale systems 52 is vector lossless, there exist a nonzero vector p ∈R
q
+ and a scalar α ≥0 satisfying (2.2). is a vector storage function for . Specifically, assume that the discrete-time
large-scale dynamical system is vector dissipative (resp., geometrically vector dissipa-
tive) with respect to the vector supply rate S(u, y) and with a continuous vector storage
function Vs : →R
q
+. Moreover, assume that the conditions of Theorem 3.8 are satisfied. Then it follows from Proposition 3.14, with u(k) ≡0 and y(k) ≡0, that Vs
x(k +1)
≤≤WVs
x(k)
,
k ≥k0,
(3.44) (3.44) where x(k), k ≥k0, is a solution to (3.1) with x(k0) = x0 and u(k) ≡0. Now, it follows
from Theorem 2.7, with w(r) = Wr, that the zero solution x(k) ≡0 to (3.1), with u(k) ≡
0, is Lyapunov (resp., asymptotically) stable. 53 Wassim M. Haddad et al. Wassim M. Haddad et al. More generally, the problem of control system design for discrete-time large-scale non-
linear dynamical systems can be addressed within the framework of vector dissipativity
theory. In particular, suppose that there exists a continuous vector function Vs : →R
q
+
such that Vs(0) = 0 and Vs
x(k +1)
≤≤
Vs
x(k)
,u(k)
,
k ≥k0, u ∈,
(3.45) (3.45) where : R
q
+ × Rm →Rq and (0,0) = 0. Then the control system design problem for
a discrete-time large-scale dynamical system reduces to constructing an energy feedback
control law φ : R
q
+ → of the form where : R
q
+ × Rm →Rq and (0,0) = 0. Then the control system design problem for
a discrete-time large-scale dynamical system reduces to constructing an energy feedback
control law φ : R
q
+ → of the form u = φ
Vs(x)
≜
φT
1
Vs(x)
,...,φT
q
Vs(x)
T,
x ∈,
(3.46) (3.46) where φi : R
q
+ →i, φi(0) = 0, i = 1,...,q, such that the zero solution r(k) ≡0 to the
comparison system where φi : R
q
+ →i, φi(0) = 0, i = 1,...,q, such that the zero solution r(k) ≡0 to the
comparison system r(k +1) = w
r(k)
,
r
k0
= Vs
x
k0
,
k ≥k0,
(3.47) (3.47) is rendered asymptotically stable, where w(r) ≜ (r,φ(r)) is of class . is a vector storage function for . In this case, if
there exists p ∈Rq
+ such that vs(x) ≜pTVs(x), x ∈, is positive definite, then it fol-
lows from Theorem 2.7 that the zero solution x(k) ≡0 to (3.1), with u given by (3.46), is
asymptotically stable. As can be seen from the above discussion, using an energy feedback control architec-
ture and exploiting the comparison system within the control design for discrete-time
large-scale nonlinear dynamical systems can significantly reduce the dimensionality of a
control synthesis problem in terms of a number of states that need to be stabilized. It
should be noted however that, for stability analysis of discrete-time large-scale dynamical
systems, the comparison system need not be linear as implied by (3.44). A discrete-time
nonlinear comparison system would still guarantee stability of a discrete-time large-scale
dynamical system provided that the conditions of Theorem 2.7 are satisfied. 4. Extended Kalman-Yakubovich-Popov conditions for discrete-time large-scale non-
linear dynamical systems In this section, we show that vector dissipativeness (resp., geometric vector dissipative-
ness) of a discrete-time large-scale nonlinear dynamical system of the form (3.1), (3.2)
can be characterized in terms of the local subsystem functions fi(·), Gi(·), hi(·), and
Ji(·), along with the interconnection structures i(·) for i = 1,...,q. For the results in this
section, we consider the special case of dissipative systems with quadratic vector supply
rates and set = Rn, i = Rmi, and i = Rli. Specifically, let Ri ∈Smi, Si ∈Rli×mi, and
Qi ∈Sli be given and assume S(u, y) is such that si(ui, yi) = yT
i Qiyi +2yT
i Siui +uT
i Riui, i =
1,...,q. For the statement of the next result, recall that x = [xT
1 ,...,xTq ]T, u = [uT
1,...,uTq]T,
y = [yT
1 ,..., yTq ]T, xi ∈Rni, ui ∈Rmi, yi ∈Rli, i = 1,...,q,
q
i=1ni = n,
q
i=1mi = m, and Vector dissipativity and discrete-time large-scale systems 54 q
i=1li = l. Furthermore, for (3.1), (3.2), define : Rn →Rn, G : Rn →Rn×m, h : Rn →
Rl, and J : Rn →Rl×m by (x) ≜[ T
1(x),..., Tq(x)]T, where i(x) ≜fi(xi) + i(x), i =
1,...,q, G(x) ≜diag[G1(x1),...,Gq(xq)], h(x) ≜[hT
1(x1),...,hTq(xq)]T, and J(x) ≜
diag[J1(x1),...,Jq(xq)]. In addition, for all i = 1,...,q, define ˆRi ∈Sm, ˆSi ∈Rl×m, and
ˆQi ∈Sl such that each of these matrices consists of zero blocks except, respectively, for
the matrix blocks Ri ∈Smi, Si ∈Rli×mi, and Qi ∈Sli on (i,i) position. Finally, we intro-
duce a more general definition of vector dissipativity involving an underlying nonlinear
comparison system. Definition 4.1. 4. Extended Kalman-Yakubovich-Popov conditions for discrete-time large-scale non-
linear dynamical systems The discrete-time large-scale nonlinear dynamical system given by (3.1),
(3.2) is vector dissipative (resp., geometrically vector dissipative) with respect to the vector
supply rate S(u, y) if there exist a continuous, nonnegative definite vector function Vs =
[vs1,...,vsq]T : →R
q
+, called a vector storage function, and a class function w : R
q
+ →
Rq such that Vs(0) = 0, w(0) = 0, the zero solution r(k) ≡0 to the comparison system r(k +1) = w
r(k)
,
r
k0
= r0,
k ≥k0,
(4.1) (4.1) is Lyapunov (resp., asymptotically) stable, and the vector dissipation inequality Vs
x(k +1)
≤≤w
Vs
x(k)
+S
u(k), y(k)
,
k ≥k0,
(4.2) (4.2) is satisfied, where x(k), k ≥k0, is the solution to (3.1) with u ∈. The discrete-time large-
scale nonlinear dynamical system given by (3.1), (3.2) is vector lossless with respect to
the vector supply rate S(u, y) if the vector dissipation inequality is satisfied as an equality
with the zero solution r(k) ≡0 to (4.1) being Lyapunov stable. Remark 4.2. If in Definition 4.1 the function w : R
q
+ →Rq is such that w(r) = Wr, where
W ∈Rq×q, then W is nonnegative and Definition 4.1 collapses to Definition 3.2. Theorem 4.3. Consider the discrete-time large-scale nonlinear dynamical system given
by (3.1), (3.2). Let Ri ∈Smi, Si ∈Rli×mi, and Qi ∈Sli, i = 1,...,q. If there exist functions
Vs = [vs1,...,vsq]T : Rn →R
q
+, P1i : Rn →R1×m, P2i : Rn →Nm, w = [w1,...,wq]T : R
q
+ →
Rq, ℓi : Rn →Rsi, and
i : Rn →Rsi×m, such that vsi(·) is continuous, vsi(0) = 0, i = 1,...,q,
w ∈, w(0) = 0, vsi
(x)+G(x)u
= vsi
(x)
+P1i(x)u +uTP2i(x)u,
x ∈Rn, u ∈Rm,
(4.3) (4.3) the zero solution r(k) ≡0 to (4.1) is Lyapunov (resp., asymptotically) stable, and, for all
x ∈Rn and i = 1,...,q, 0 = vsi
(x)
−hT(x) ˆQih(x) −wi
Vs(x)
+ℓT
i (x)ℓi(x),
0 = 1
2P1i(x) −hT(x)
ˆSi + ˆQiJ(x)
+ℓT
i (x)
i(x),
0 = ˆRi +JT(x) ˆSi + ˆST
i J(x)+JT(x) ˆQiJ(x) −P2i(x) −
T
i (x)
i(x),
(4.4) 0 = 1
2P1i(x) −hT(x)
ˆSi + ˆQiJ(x)
+ℓT
i (x)
i(x),
(4.4) (4.4) 55 Wassim M. Haddad et al. 4. Extended Kalman-Yakubovich-Popov conditions for discrete-time large-scale non-
linear dynamical systems then is vector dissipative (resp., geometrically vector dissipative) with respect to the vector
quadratic supply rate S(u, y), where si(ui, yi) = uT
i Riui +2yT
i Siui + yT
i Qiyi, i = 1,...,q. Proof. Suppose that there exist functions vsi : Rn →R+, ℓi : Rn →Rsi,
i : Rn →Rsi×m,
w : R
q
+ →Rq, P1i : Rn →R1×m, and P2i : Rn →Nm, such that vsi(·) is continuous and
nonnegative-definite, vsi(0) = 0, i = 1,...,q, w(0) = 0, w ∈, the zero solution r(k) ≡0
to (4.1) is Lyapunov (resp., asymptotically) stable, and (4.3) and (4.4) are satisfied. Then
for any u ∈ and x ∈Rn, i = 1,...,q, it follows from (4.3) and (4.4) that si
ui, yi
= uT ˆRiu +2yT ˆSiu + yT ˆQiy
= hT(x) ˆQih(x)+2hT(x)
ˆSi + ˆQiJ(x)
u
+uTJT(x) ˆQiJ(x)+JT(x) ˆSi + ˆST
i J(x)+ ˆRi
u
= vsi
(x)
−wi
Vs(x)
+P1i(x)u +ℓT
i (x)ℓi(x)+2ℓT
i (x)
i(x)u
+uTP2i(x)u +uT
T
i (x)
i(x)u
(4.5) +uTJT(x) ˆQiJ(x)+JT(x) ˆSi + ˆST
i J(x)+ ˆRi
u = vsi
(x)
−wi
Vs(x)
+P1i(x)u +ℓT
i (x)ℓi(x)+2ℓT
i (x)
i(x)u
+uTP2i(x)u +uT
T
i (x)
i(x)u
(4.5) (4.5) +uTP2i(x)u +uT
T
i (x)
i(x)u = vsi
(x)+G(x)u
+
ℓi(x)+
i(x)u
Tℓi(x) +
i(x)u
−wi
Vs(x)
≥vsi
(x)+G(x)u
−wi
Vs(x)
, where x(k), k ≥k0, satisfies (3.1). Now, the result follows from (4.5) with vector storage
function Vs(x) = [vs1(x),...,vsq(x)]T, x ∈Rn. □ where x(k), k ≥k0, satisfies (3.1). Now, the result follows from (4.5) with vector storage
function Vs(x) = [vs1(x),...,vsq(x)]T, x ∈Rn. □ where x(k), k ≥k0, satisfies (3.1). Now, the result follows from (4.5) with vector storage
function Vs(x) = [vs1(x),...,vsq(x)]T, x ∈Rn. 4. Extended Kalman-Yakubovich-Popov conditions for discrete-time large-scale non-
linear dynamical systems where S(0, y)=[s1(0, y1),...,sq(0, yq)]T, si(0, yi(k))= yT
i (k)Qiyi(k) ≤0, k ≥k0, i = 1,...,q,
and x(k), k ≥k0, is the solution to (3.1) with u(k) ≡0. If, in addition, there exists p ∈Rq
+
such that pTVs(x), x ∈Rn, is positive definite, then it follows from Theorem 2.7 that the
undisturbed (u(k) ≡0) large-scale nonlinear dynamical system (3.1) is Lyapunov (resp.,
asymptotically) stable. Next, we extend the notions of passivity and nonexpansivity to vector passivity and
vector nonexpansivity. Definition 4.5. The discrete-time large-scale nonlinear dynamical system given by (3.1),
(3.2) with mi = li, i = 1,...,q, is vector passive (resp., geometrically vector passive) if it is
vector dissipative (resp., geometrically vector dissipative) with respect to the vector supply
rate S(u, y), where si(ui, yi) = 2yT
i ui, i = 1,...,q. Definition 4.6. The discrete-time large-scale nonlinear dynamical system given by (3.1),
(3.2) is vector nonexpansive (resp., geometrically vector nonexpansive) if it is vector dissipa-
tive (resp., geometrically vector dissipative) with respect to the vector supply rate S(u, y),
where si(ui, yi) = γ2
i uT
i ui −yT
i yi, i = 1,...,q, and γi > 0, i = 1,...,q, are given. Remark 4.7. Note that a mixed vector passive nonexpansive formulation of can also
be considered. Specifically, one can consider discrete-time large-scale nonlinear dynam-
ical systems which are vector dissipative with respect to vector supply rate S(u, y),
where si(ui, yi) = 2yT
i ui, i ∈Zp, sj(uj, yj) = γ2
juT
j uj −yT
j yj, γj > 0, j ∈Zne, and Zp ∪
Zne = {1,...,q}. Furthermore, vector supply rates for vector input strict passivity, vector
output strict passivity, and vector input-output strict passivity, generalizing the passivity
notions given in [10], can also be considered. However, for simplicity of exposition, we
do not do so here. The next result presents constructive sufficient conditions guaranteeing vector dissipa-
tivity of with respect to a vector quadratic supply rate for the case where the vector stor-
age function Vs(x), x∈Rn, is component decoupled; that is, Vs(x)=[vs1(x1),...,vsq(xq)]T,
x ∈Rn. Theorem 4.8. Consider the discrete-time large-scale nonlinear dynamical system given
by (3.1), (3.2). 4. Extended Kalman-Yakubovich-Popov conditions for discrete-time large-scale non-
linear dynamical systems □ Using (4.4), it follows that for k ≥k0 and i = 1,...,q, Using (4.4), it follows that for k ≥k0 and i = 1,...,q, Using (4.4), it follows that for k ≥k0 and i = 1,...,q, Using (4.4), it follows that for k ≥k0 and i = 1,...,q, si
ui(k), yi(k)
+
wi
Vs
x(k)
−vsi
x(k)
= ∆vsi
x(k)
+
ℓi
x(k)
+
i
x(k)
u(k)
Tℓi
x(k)
+
i
x(k)
u(k)
,
(4.6) (4.6) where Vs(x) = [vs1(x),...,vsq(x)]T, x ∈Rn, which can be interpreted as a generalized en-
ergy balance equation for the ith subsystem of where ∆vsi(x(k)) is the change in energy
between consecutive discrete times, the two discrete terms on the left are, respectively,
the external supplied energy to the ith subsystem and the energy gained by the ith sub-
system from the net energy flow between all subsystems due to subsystem coupling, and
the second discrete term on the right corresponds to the dissipated energy from the ith
subsystem. where Vs(x) = [vs1(x),...,vsq(x)]T, x ∈Rn, which can be interpreted as a generalized en-
ergy balance equation for the ith subsystem of where ∆vsi(x(k)) is the change in energy
between consecutive discrete times, the two discrete terms on the left are, respectively,
the external supplied energy to the ith subsystem and the energy gained by the ith sub-
system from the net energy flow between all subsystems due to subsystem coupling, and
the second discrete term on the right corresponds to the dissipated energy from the ith
subsystem. Remark 4.4. Note that if with u(k) ≡0 is vector dissipative (resp., geometrically vector
dissipative) with respect to the vector quadratic supply rate where Qi ≤0, i = 1,...,q, then
it follows from the vector dissipation inequality that (4.7) Vs
x(k +1)
≤≤w
Vs
x(k)
+S
0, y(k)
≤≤w
Vs
x(k)
,
k ≥k0, Vector dissipativity and discrete-time large-scale systems 56 where S(0, y)=[s1(0, y1),...,sq(0, yq)]T, si(0, yi(k))= yT
i (k)Qiyi(k) ≤0, k ≥k0, i = 1,...,q,
and x(k), k ≥k0, is the solution to (3.1) with u(k) ≡0. If, in addition, there exists p ∈Rq
+
such that pTVs(x), x ∈Rn, is positive definite, then it follows from Theorem 2.7 that the
undisturbed (u(k) ≡0) large-scale nonlinear dynamical system (3.1) is Lyapunov (resp.,
asymptotically) stable. 4. Extended Kalman-Yakubovich-Popov conditions for discrete-time large-scale non-
linear dynamical systems For any admissible input u = [uT
1,...,uTq]T such that ui ∈Rmi, k ∈Z+, and i =
1,...,q, it follows from (4.8) that si
ui(k), yi(k)
= uT
i (k)Riui(k)+2yT
i (k)Siui(k)+ yT
i (k)Qiyi(k)
= hT
i
xi(k)
Qihi
xi(k)
+2hT
i
xi(k)
Si +QiJi
xi(k)
ui(k)
+uT
i (k)
JT
i
xi(k)
QiJi
xi(k)
+JT
i
xi(k)
Si +ST
i Ji
xi(k)
+Ri
ui(k)
≥vsi
i
x(k)
+P1i
x(k)
ui(k)+ℓT
i
xi(k)
ℓi
xi(k)
+2ℓT
i
xi(k)
i
xi(k)
ui(k)+uT
i (k)P2i
x(k)
ui(k)
+uT
i (k)
T
i
xi(k)
i
xi(k)
ui(k) −wi
Vs
x(k)
≥vsi
xi(k +1)
+
ℓi
xi(k)
+
i
xi(k)
ui(k)
T
×
ℓi
xi(k)
+
i
xi(k)
ui(k)
−wi
Vs
x(k)
≥vsi
xi(k +1)
−wi
Vs
x(k)
,
(
) si
ui(k), yi(k)
= uT
i (k)Riui(k)+2yT
i (k)Siui(k)+ yT
i (k)Qiyi(k)
= hT
i
xi(k)
Qihi
xi(k)
+2hT
i
xi(k)
Si +QiJi
xi(k)
ui(k)
+uT
i (k)
JT
i
xi(k)
QiJi
xi(k)
+JT
i
xi(k)
Si +ST
i Ji
xi(k)
+Ri
ui(k)
≥vsi
i
x(k)
+P1i
x(k)
ui(k)+ℓT
i
xi(k)
ℓi
xi(k)
+2ℓT
i
xi(k)
i
xi(k)
ui(k)+uT
i (k)P2i
x(k)
ui(k)
+uT
i (k)
T
i
xi(k)
i
xi(k)
ui(k) −wi
Vs
x(k)
≥vsi
xi(k +1)
+
ℓi
xi(k)
+
i
xi(k)
ui(k)
T
×
ℓi
xi(k)
+
i
xi(k)
ui(k)
−wi
Vs
x(k)
≥vsi
xi(k +1)
−wi
Vs
x(k)
,
(4 9) +uT
i (k)
T
i
xi(k)
i
xi(k)
ui(k) −wi
Vs
x(k)
+uT
i (k)
T
i
xi(k)
i
xi(k)
ui(k) −wi
Vs
x(k)
≥vsi
xi(k +1)
+
ℓi
xi(k)
+
i
xi(k)
ui(k)
T
×
ℓi
xi(k)
+
i
xi(k)
ui(k)
−wi
Vs
x(k)
≥vsi
xi(k +1)
−wi
Vs
x(k)
, ≥vsi
xi(k +1)
−wi
Vs
x(k)
, ≥vsi
xi(k +1)
−wi
Vs
x(k)
,
(4 9) (4.9) (4.9) where x(k), k ≥k0, satisfies (3.1). Now, the result follows from (4.9) with vector storage
function Vs(x) = [vs1(x1),...,vsq(xq)]T, x ∈Rn. □ ≥k0, satisfies (3.1). Now, the result follows from (4.9) with vector storage
= [vs1(x1),...,vsq(xq)]T, x ∈Rn. □ Finally, we provide necessary and sufficient conditions for the case where the discrete-
time large-scale nonlinear dynamical system is vector lossless with respect to a vector
quadratic supply rate. 4. Extended Kalman-Yakubovich-Popov conditions for discrete-time large-scale non-
linear dynamical systems Assume that there exist functions Vs = [vs1,...,vsq]T : Rn →R
q
+, P1i : Rn →
R1×mi, P2i : Rn →Nmi, w = [w1,...,wq]T : R
q
+ →Rq, ℓi : Rn →Rsi, and
i : Rn →Rsi×mi
such that vsi(·) is continuous, vsi(0) = 0, i = 1,...,q, w ∈, w(0) = 0, the zero solution
r(k) ≡0 to (4.1) is Lyapunov (resp., asymptotically) stable, and, for all x ∈Rn and i =
1,...,q, 0 ≤vsi
i(x)
−vsi
i(x)+Gi
xi
ui
+P1i(x)ui +uT
i P2i(x)ui,
0 ≥vsi
i(x)
−hT
i
xi
Qihi
xi
−wi
Vs(x)
+ℓT
i
xi
ℓi
xi
,
0 = 1
2P1i(x) −hT
i
xi
Si +QiJi
xi
+ℓT
i
xi
i
xi
,
(4.8) 0 ≤vsi
i(x)
−vsi
i(x)+Gi
xi
ui
+P1i(x)ui +uT
i P2i(x)ui,
0 ≥vsi
i(x)
−hT
i
xi
Qihi
xi
−wi
Vs(x)
+ℓT
i
xi
ℓi
xi
, (4.8) 0 = 1
2P1i(x) −hT
i
xi
Si +QiJi
xi
+ℓT
i
xi
i
xi
,
(4.8) 0 ≤Ri +JT
i
xi
Si +ST
i Ji
xi
+JT
i
xi
QiJi
xi
−P2i(x) −
T
i
xi
i
xi
. 0 ≤Ri +JT
i
xi
Si +ST
i Ji
xi
+JT
i
xi
QiJi
xi
−P2i(x) −
T
i
xi
i
xi
. 0 ≤Ri +JT
i
xi
Si +ST
i Ji
xi
+JT
i
xi
QiJi
xi
−P2i(x) −
T
i
xi
i
xi
. Wassim M. Haddad et al. 57 57 Then is vector dissipative (resp., geometrically vector dissipative) with respect to the vector
supply rate S(u, y), where si(ui, yi) = uT
i Riui +2yT
i Siui + yT
i Qiyi, i = 1,...,q. Then is vector dissipative (resp., geometrically vector dissipative) with respect to the vector
supply rate S(u, y), where si(ui, yi) = uT
i Riui +2yT
i Siui + yT
i Qiyi, i = 1,...,q. Proof. For any admissible input u = [uT
1,...,uTq]T such that ui ∈Rmi, k ∈Z+, and i =
1,...,q, it follows from (4.8) that Proof. 8
Vector dissipativity and discrete-time large-scale systems 58 that Vs(0) = 0, the zero solution r(k) ≡0 to (4.1) is Lyapunov stable, and that Vs(0) = 0, the zero solution r(k) ≡0 to (4.1) is Lyapunov stable, and vsi
(x)+G(x)u
= wi
Vs(x)
+si
ui, yi
= wi
Vs(x)
+uT ˆRiu +2yT ˆSiu + yT ˆQiy
= wi
Vs(x)
+hT(x) ˆQih(x)+2hT(x)
ˆQiJ(x) + ˆSi
u
+uT ˆRi + ˆST
i J(x)+JT(x) ˆSi +JT(x) ˆQiJ(x)
u,
x ∈Rn, u ∈Rm. (4 11) vsi
(x)+G(x)u
= wi
Vs(x)
+si
ui, yi
= wi
Vs(x)
+uT ˆRiu +2yT ˆSiu + yT ˆQiy
= wi
Vs(x)
+hT(x) ˆQih(x)+2hT(x)
ˆQiJ(x) + ˆSi
u
+uT ˆRi + ˆST
i J(x)+JT(x) ˆSi +JT(x) ˆQiJ(x)
u,
x ∈Rn, u ∈Rm. (4.11) Since the right-hand side of (4.11) is quadratic in u, it follows that vsi( (x) + G(x)u) is
quadratic in u and hence there exist P1i : Rn →R1×m and P2i : Rn →Nm such that vsi
(x)+G(x)u
= vsi
(x)
+P1i(x)u +uTP2i(x)u,
x ∈Rn, u ∈Rm. (4.12) Now, using (4.12) and equating coefficients of equal powers in (4.11) yield (4.10). □ Now, using (4.12) and equating coefficients of equal powers in (4.11) yield (4.10). □ 4. Extended Kalman-Yakubovich-Popov conditions for discrete-time large-scale non-
linear dynamical systems Theorem 4.9. Consider the discrete-time large-scale nonlinear dynamical system given
by (3.1), (3.2). Let Ri ∈Smi, Si ∈Rli×mi, and Qi ∈Sli, i = 1,...,q. Then is vector lossless
with respect to the vector quadratic supply rate S(u, y), where si(ui, yi) = uT
i Riui +2yT
i Siui +
yT
i Qiyi, i = 1,...,q, if and only if there exist functions Vs = [vs1,...,vsq]T : Rn →R
q
+, P1i :
Rn →R1×m, P2i : Rn →Nm, and w = [w1,...,wq]T : R
q
+ →Rq such that vsi(·) is continuous,
vsi(0) = 0, i = 1,...,q, w ∈, w(0) = 0, the zero solution r(k) ≡0 to (4.1) is Lyapunov
stable, and, for all x ∈Rn, i = 1,...,q, (4.3) holds and 0 = vsi
(x)
−hT(x) ˆQih(x) −wi
Vs(x)
,
0 = 1
2P1i(x) −hT(x)
ˆSi + ˆQiJ(x)
,
0 = ˆRi +JT(x) ˆSi + ˆST
i J(x)+JT(x) ˆQiJ(x) −P2i(x). (4.10) (4.10) Proof. Sufficiency follows as in the proof of Theorem 4.3. To show necessity, suppose that
is lossless with respect to the vector quadratic supply rate S(u, y). Then, there exist
continuous functions Vs = [vs1,...,vsq]T : Rn →R
q
+ and w = [w1,...,wq]T : R
q
+ →Rq such Proof. Sufficiency follows as in the proof of Theorem 4.3. To show necessity, suppose that
is lossless with respect to the vector quadratic supply rate S(u, y). Then, there exist
continuous functions Vs = [vs1,...,vsq]T : Rn →R
q
+ and w = [w1,...,wq]T : R
q
+ →Rq such Vector dissipativity and discrete-time large-scale systems 5. Specialization to discrete-time large-scale linear dynamical systems Sufficiency follows from Theorem 4.3 with (x)=Ax, G(x) = B, h(x) = Cx, J(x) =
D, P1i(x) = 2xTATPiB, P2i(x) = BTPiB, w(r) = Wr, ℓi(x) = Lix,
i(x) = Zi, and vsi(x) =
xTPix, i = 1,...,q. To show necessity, suppose is vector dissipative with respect to the
vector supply rate S(u, y), where si(ui, yi) = uT
i Riui + 2yT
i Siui + yT
i Qiyi, i = 1,...,q. Then,
with w(r) = Wr, there exists Vs : Rn →R
q
+ such that W is nonnegative and semistable
(resp., asymptotically stable), Vs(x) ≜[vs1(x),...,vsq(x)]T, x ∈Rn, Vs(0) = 0, and for all
x ∈Rn, u ∈Rn, Vs(Ax +Bu) −WVs(x)≤≤S(u, y). (5.3) (5.3) Next, it follows from (5.3) that there exists a three-times continuously differentiable vec-
tor function d = [d1,...,dq]T : Rn × Rm →Rq such that d(x,u)≥≥0, d(0,0) = 0, and Next, it follows from (5.3) that there exists a three-times continuously differentiable vec-
tor function d = [d1,...,dq]T : Rn × Rm →Rq such that d(x,u)≥≥0, d(0,0) = 0, and 0 = Vs(Ax +Bu) −WVs(x) −S(u,Cx +Du) +d(x,u). (5.4) (5.4) Now, expanding vsi(·) and di(·,·) via Taylor series expansion about x = 0, u = 0, and us-
ing the fact that vsi(·) and di(·,·) are nonnegative and vsi(0) = 0, di(0,0) = 0, i = 1,...,q,
it follows that there exist Pi ∈Nn, Li ∈Rsi×n, and Zi ∈Rsi×m, i = 1,...,q, such that vsi(x) = xTPix +vsri(x), vsi(x) = x Pix +vsri(x),
di(x,u) =
Lix +Ziu
TLix +Ziu
+dri(x,u),
x ∈Rn, u ∈Rm, i = 1,...,q,
(5.5) (5.5) di(x,u) =
Lix +Ziu
TLix +Ziu
+dri(x,u),
x ∈Rn, u ∈Rm, i = 1,...,q,
(5.5 where vsri : Rn →R and dri : Rn × Rm →R contain the higher-order terms of vsi(·), di(·,·),
respectively. Using the above expressions, (5.4) can be written componentwise as where vsri : Rn →R and dri : Rn × Rm →R contain the higher-order terms of vsi(·), di(·,·),
respectively. 5. Specialization to discrete-time large-scale linear dynamical systems In this section, we specialize the results of Section 4 to the case of discrete-time large-scale
linear dynamical systems. Specifically, we assume that w ∈ is linear so that w(r) =
Wr, where W ∈Rq×q is nonnegative, and consider the discrete-time large-scale linear
dynamical system given by x(k +1) = Ax(k)+Bu(k),
x
k0
= x0,
k ≥k0,
y(k) = Cx(k)+Du(k),
(5.1) (5.1) where A ∈Rn×n and A is partitioned as A ≜[Aij], i, j = 1,...,q, Aij ∈Rni×nj,
q
i=1ni =
n, B = block−diag[B1,...,Bq], C = block−diag[C1,...,Cq], D = block−diag[D1,...,Dq],
Bi ∈Rni×mi, Ci ∈Rli×ni, and Di ∈Rli×mi, i = 1,...,q. Theorem 5.1. Consider the discrete-time large-scale linear dynamical system given by
(5.1). Let Ri ∈Smi, Si ∈Rli×mi, and Qi ∈Sli, i = 1,...,q. Then is vector dissipative (resp.,
geometrically vector dissipative) with respect to the vector supply rate S(u, y), where si(ui, yi)
= uT
i Riui +2yT
i Siui + yT
i Qiyi, i = 1,...,q, and with a three-times continuously differentiable
vector storage function if and only if there exist W ∈Rq×q, Pi ∈Nn, Li ∈Rsi×n, and Zi ∈
Rsi×m, i = 1,...,q, such that W is nonnegative and semistable (resp., asymptotically stable),
and, for all i = 1,...,q, 0 = ATPiA −CT ˆQiC −
q
j=1
W(i,j)Pj +LT
i Li,
0 = ATPiB −CT ˆSi + ˆQiD
+LT
i Zi,
0 = ˆRi +DT ˆSi + ˆST
i D +DT ˆQiD −BTPiB −ZT
i Zi. (5.2) (5.2) 0 = ˆRi +DT ˆSi + ˆST
i D +DT ˆQiD −BTPiB −ZT
i Zi. 59 Wassim M. Haddad et al. 59 Proof. Sufficiency follows from Theorem 4.3 with (x)=Ax, G(x) = B, h(x) = Cx, J(x) =
D, P1i(x) = 2xTATPiB, P2i(x) = BTPiB, w(r) = Wr, ℓi(x) = Lix,
i(x) = Zi, and vsi(x) =
xTPix, i = 1,...,q. To show necessity, suppose is vector dissipative with respect to the
vector supply rate S(u, y), where si(ui, yi) = uT
i Riui + 2yT
i Siui + yT
i Qiyi, i = 1,...,q. Then,
with w(r) = Wr, there exists Vs : Rn →R
q
+ such that W is nonnegative and semistable
(resp., asymptotically stable), Vs(x) ≜[vs1(x),...,vsq(x)]T, x ∈Rn, Vs(0) = 0, and for all
x ∈Rn, u ∈Rn, Proof. 5. Specialization to discrete-time large-scale linear dynamical systems Using the above expressions, (5.4) can be written componentwise as 0 = (Ax +Bu)TPi(Ax +Bu) −
q
j=1
W(i,j)xTPjx
(5 6) (5.6) j=1
−
xTCT ˆQiCx +2xTCT ˆQiDu +uTDT ˆQiDu +2xTCT ˆSiu +2uTDT ˆSiu+uT ˆRiu
+
Lix +Ziu
TLix +Ziu
+δ(x,u),
(5.6) −
xTCT ˆQiCx +2xTCT ˆQiDu +uTDT ˆQiDu +2xTCT ˆSiu +2uTDT ˆSiu+uT ˆRiu
(5.6 −
xTCT ˆQiCx +2xTCT ˆQiDu +uTDT ˆQiDu +2xTCT ˆSiu +2uTDT ˆSiu+uT ˆRiu
+
L x +Z u
TL x +Z u
+δ(x u)
(5.6) +
Lix +Ziu
TLix +Ziu
+δ(x,u), +
Lix +Ziu
TLix +Ziu
+δ(x,u), where δ(x,u) is such that where δ(x,u) is such that lim
∥x∥2+∥u∥2→0
δ(x,u)
∥x∥2 + ∥u∥2 = 0. (5.7) (5.7) Now, viewing (5.6) as the componentwise Taylor series expansion of (5.4) about x = 0
and u = 0, it follows that for all x ∈Rn and u ∈Rm, 0 = xT
ATPiA −
q
j=1
W(i,j)Pj −CT ˆQiC +LT
i Li
x
+2xTATPiB −CT ˆSi −CT ˆQiD +LT
i Zi
u
+uTZT
i Zi −DT ˆQiD −DT ˆSi −ˆST
i D −ˆRi +BTPiB
u,
i = 1,...,q. (5.8) (5.8) Now, equating coefficients of equal powers in (5.8) yields (5.2). □ □ Now, equating coefficients of equal powers in (5.8) yields (5.2). 60
Vector dissipativity and discrete-time large-scale systems 60
Vector dissipativity and discrete-time large-scale systems 60 Remark 5.2. Note that the equations in (5.2) are equivalent to Remark 5.2. Note that the equations in (5.2) are equivalent to
i
i
T
i
i
= −
LT
i
ZT
i
Li
Zi
≤0,
i = 1,...,q,
(5.9) (5.9) where, for all i = 1,...,q, where, for all i = 1,...,q, i = ATPiA −CT ˆQiC −
q
j=1
W(i,j)Pj,
i = ATPiB −CT ˆSi + ˆQiD
,
i = −
ˆRi +DT ˆSi + ˆST
i D +DT ˆQiD −BTPiB
. (5.10) (5.10) Hence, vector dissipativity of discrete-time large-scale linear dynamical systems with re-
spect to vector quadratic supply rates can be characterized via (cascade) linear matrix
inequalities (LMIs) [5]. A similar remark holds for Theorem 5.3 below. Hence, vector dissipativity of discrete-time large-scale linear dynamical systems with re-
spect to vector quadratic supply rates can be characterized via (cascade) linear matrix
inequalities (LMIs) [5]. A similar remark holds for Theorem 5.3 below. 5. Specialization to discrete-time large-scale linear dynamical systems 61 61 all ui ∈Rmi, i = 1,...,q, and k ≥k0, all ui ∈Rmi, i = 1,...,q, and k ≥k0, all ui ∈Rmi, i = 1,...,q, and k ≥k0, all ui ∈Rmi, i = 1,...,q, and k ≥k0, ∈Rmi, i = 1,...,q, and k ≥k0, vsi
xi(k +1)
=
q
j=1
Aijxj(k)+Biui(k)
T
Pi
q
j=1
Aijxj(k) +Biui(k)
≤xT
i (k)
W(i,i)Pi +CT
i QiCi −LT
iiLii −
q
j=1, j̸=i
LT
ijLij
xi(k) −
q
j=1, j̸=i
2xT
i (k)LT
ijZijxj(k)+2xT
i (k)CT
i Siui(k)+2xT
i (k)CT
i QiDiui(k) −
q
j=1, j̸=i
2xT
i (k)LT
ijZijxj(k)+2xT
i (k)CT
i Siui(k)+2xT
i (k)CT
i QiDiui(k) −2xT
i (k)LT
iiZiiui(k)+
q
j=1, j̸=i
xT
j (k)
W(i,j)Pj −ZT
ijZij
xj(k)
+uT
i (k)Riui(k)+2uT
i (k)DT
i Siui(k)
+uT
i (k)DT
i QiDiui(k) −uT
i (k)ZT
iiZiiui(k)
=
q
j=1
W(i,j)vsj
xj(k)
+uT
i (k)Riui(k)+2yT
i (k)Siui(k) + yT
i (k)Qiyi(k)
−
Liixi(k)+Ziiui(k)
TLiixi(k) +Ziiui(k)
−
q
j=1, j̸=i
Lijxi(k)+Zijxj(k)
TLijxi(k) +Zijxj(k)
−
q
j=1, j̸=i
Lijxi(k)+Zijxj(k)
TLijxi(k) +Zijxj(k)
≤si
ui(k), yi(k)
+
q
j=1
W(i,j)vsj
xj(k)
,
(5.13) ≤si
ui(k), yi(k)
+
q
j=1
W(i,j)vsj
xj(k)
,
(5.13)
in ector form (5.13) or, equivalently, in vector form, or, equivalently, in vector form, Vs
x(k +1)
≤≤WVs
x(k)
+S(u, y),
u ∈, k ≥k0,
(5.14) (5.14) where Vs(x) ≜[vs1(x1),...,vsq(xq)]T, x ∈Rn. Now, it follows from Proposition 3.14 that
is vector dissipative (resp., geometrically vector dissipative) with respect to the vector
supply rate S(u, y) and with vector storage function Vs(x), x ∈Rn. □ where Vs(x) ≜[vs1(x1),...,vsq(xq)]T, x ∈Rn. Now, it follows from Proposition 3.14 that
is vector dissipative (resp., geometrically vector dissipative) with respect to the vector
supply rate S(u, y) and with vector storage function Vs(x), x ∈Rn. □ 5. Specialization to discrete-time large-scale linear dynamical systems The next result presents sufficient conditions guaranteeing vector dissipativity of
with respect to a vector quadratic supply rate in the case where the vector storage function
is component decoupled. Theorem 5.3. Consider the discrete-time large-scale linear dynamical system given by
(5.1). Let Ri ∈Smi, Si ∈Rli×mi, and Qi ∈Sli, i = 1,...,q, be given. Assume there exist ma-
trices W ∈Rq×q, Pi ∈Nni, Lii ∈Rsii×ni, Zii ∈Rsii×mi, i = 1,...,q, Lij ∈Rsij×ni, and Zij ∈
Rsij×nj, i, j = 1,...,q, i ̸= j, such that W is nonnegative and semistable (resp., asymptotically
stable), and, for all i = 1,...,q, 0 ≥AT
iiPiAii −CT
i QiCi −W(i,i)Pi +LT
iiLii +
q
j=1, j̸=i
LT
ijLij,
0 = AT
iiPiBi −CT
i Si −CT
i QiDi +LT
iiZii,
0 ≤Ri +DT
i Si +ST
i Di +DT
i QiDi −BT
i PiBi −ZT
iiZii,
(5.11) 0 ≥AT
iiPiAii −CT
i QiCi −W(i,i)Pi +LT
iiLii +
q
j=1, j̸=i
LT
ijLij, (5.11) 0 = AT
iiPiBi −CT
i Si −CT
i QiDi +LT
iiZii,
(5.11) 0 ≤Ri +DT
i Si +ST
i Di +DT
i QiDi −BT
i PiBi −ZT
iiZii, and for j = 1,...,q, l = 1,...,q, j ̸= i, l ̸= i, l ̸= j, and for j = 1,...,q, l = 1,...,q, j ̸= i, l ̸= i, l ̸= j, and for j = 1,...,q, l = 1,...,q, j ̸= i, l ̸= i, l ̸= j, and for j = 1,...,q, l = 1,...,q, j ̸= i, l ̸= i, l ̸= j, 0 = AT
ijPiBi,
0 = AT
ijPiAil,
0 = AT
iiPiAij +LT
ijZij,
0 ≤W(i,j)Pj −ZT
ijZij −AT
ijPiAij. (5.12) 0 = AT
ijPiAil, (5.12) Then is vector dissipative (resp., geometrically vector dissipative) with respect to the vec-
tor supply rate S(u, y) ≜[s1(u1, y1),...,sq(uq, yq)]T, where si(ui, yi) = uT
i Riui + 2yT
i Siui +
yT
i Qiyi, i = 1,...,q. Proof. Since Pi ∈Nni, the function vsi(xi) ≜xT
i Pixi, xi ∈Rni, is nonnegative definite and
vsi(0) = 0. Moreover, since vsi(·) is continuous, it follows from (5.11) and (5.12) that for Wassim M. Haddad et Wassim M. Haddad et al. 62
Vector dissipativity and discrete-time large-scale systems
c
-
+
−
Figure 6.1. Feedback interconnection of large-scale systems and c. Figure 6.1. Feedback interconnection of large-scale systems and c. the large-scale feedback system c given by the large-scale feedback system c given by xc(k +1) = Fc
xc(k),uc(k)
,
xc
k0
= xc0,
k ≥k0,
yc(k) = Hc
xc(k),uc(k)
,
(6.1) (6.1) where Fc : Rnc × c →Rnc, Hc : Rnc × c →c, Fc ≜[FT
c1,...,FTcq]T, Hc ≜[HT
c1,...,HTcq]T,
c ⊆Rl, and c ⊆Rm. Moreover, for all i = 1,...,q, we assume that where Fc : Rnc × c →Rnc, Hc : Rnc × c →c, Fc ≜[FT
c1,...,FTcq]T, Hc ≜[HT
c1,...,HTcq]T,
c ⊆Rl, and c ⊆Rm. Moreover, for all i = 1,...,q, we assume that Fci
xc,uci
= fci
xci
+ci
xc
+Gci
xci
uci,
Hci
xci,uci
= hci
xci
+Jci
xci
uci,
(6.2) (6.2) where uci ∈ci ⊆Rli, yci ≜Hci(xci,uci) ∈i ⊆Rmi, (uci, yci) is the input-output pair for
the ith subsystem of c, fci : Rnci →Rnci and ci : Rnc →Rnci satisfy fci(0) = 0 and ci(0) =
0, Gci : Rnci →Rnci×li, hci : Rnci →Rmi satisfies hci(0) = 0, Jci : Rnci →Rmi×li, and
q
i=1nci =
nc. Furthermore, we define the composite input and composite output for the system c
as uc ≜[uT
c1,...,uTcq]T and yc ≜[yT
c1,..., yTcq]T, respectively. In this case, c = c1 × ··· ×
cq and c = c1 × ··· × cq. Note that, with the feedback interconnection given in
Figure 6.1, uc = y and yc = −u. We assume that the negative feedback interconnection of
and c is well posed; that is, det(Imi + Jci(xci)Ji(xi)) ̸= 0 for all xi ∈Rni, and xci ∈Rnci,
i = 1,...,q. Furthermore, we assume that for the discrete-time large-scale systems and
c, the conditions of Theorem 3.8 are satisfied; that is, if Vs(x), x ∈Rn, and Vcs(xc), xc ∈
Rnc, are vector storage functions for and c, respectively, then there exist p ∈Rq
+ and
pc ∈Rq
+ such that the functions vs(x) = pTVs(x), x ∈Rn, and vcs(xc) = pTc Vcs(xc), xc ∈
Rnc, are positive definite. The following result gives sufficient conditions for Lyapunov
and asymptotic stability of the feedback interconnection given in Figure 6.1. 6. Stability of feedback interconnections of discrete-time large-scale nonlinear
dynamical systems In this section, we consider stability of feedback interconnections of discrete-time large-
scale nonlinear dynamical systems. Specifically, for the discrete-time large-scale dynam-
ical system given by (3.1), (3.2), we consider either a dynamic or static discrete-time
large-scale feedback system c. Then, by appropriately combining vector storage func-
tions for each system, we show stability of the feedback interconnection. We begin by
considering the discrete-time large-scale nonlinear dynamical system (3.1), (3.2) with 62
Vector dissipativity and discrete-time large-scale systems 62
Vector dissipativity and discrete-time large-scale systems 62
Vector dissipativity and discrete-time large-scale systems y p
p
y p
y
(ii) Let Qi ∈Sli, Si ∈Rli×mi, Ri ∈Smi, Qci ∈Smi, Sci ∈Rmi×li, and Rci ∈Sli, and suppose
S(u, y) = [s1(u1, y1),...,sq(uq, yq)]T and Sc(uc, yc) = [sc1(uc1, yc1),...,sq(ucq, ycq)]T, where
si(ui, yi) = uT
i Riui +2yT
i Siui + yT
i Qiyi and sci(uci, yci) = uT
ciRciuci +2yT
ciSciuci + yT
ciQciyci, i =
1,...,q. If there exists Σ ≜diag[σ1,...,σq] > 0 such that for all i = 1,...,q, (ii) Let Qi ∈Sli, Si ∈Rli×mi, Ri ∈Smi, Qci ∈Smi, Sci ∈Rmi×li, and Rci ∈Sli, and suppose
S(u, y) = [s1(u1, y1),...,sq(uq, yq)]T and Sc(uc, yc) = [sc1(uc1, yc1),...,sq(ucq, ycq)]T, where
si(ui, yi) = uT
i Riui +2yT
i Siui + yT
i Qiyi and sci(uci, yci) = uT
ciRciuci +2yT
ciSciuci + yT
ciQciyci, i =
1,...,q. If there exists Σ ≜diag[σ1,...,σq] > 0 such that for all i = 1,...,q, ˜Qi ≜
Qi +σiRci
−Si +σiST
ci
−ST
i +σiSci
Ri +σiQci
≤0
(6.3) (6.3) and
˜W ∈Rq×q is semistable (resp., asymptotically stable), where
˜W(i,j) ≜max{W(i,j),
(ΣWcΣ−1)(i,j)} = max{W(i,j),(σi/σj)Wc(i,j)}, i, j = 1,...,q, then the negative feedback in-
terconnection of and c is Lyapunov (resp., asymptotically) stable. Proof. (i) Consider the vector Lyapunov function candidate V(x,xc) = Vs(x) + ΣVcs(xc),
(x,xc) ∈Rn × Rnc, and note that V
x(k +1),xc(k +1)
= Vs
x(k +1)
+ΣVcs
xc(k +1)
≤≤S
u(k), y(k)
+ΣSc
uc(k), yc(k)
+WVs
x(k)
+ΣWcVcs
xc(k)
≤≤WVs
x(k)
+ΣWcΣ−1ΣVcs
xc(k)
≤≤˜W
Vs
x(k)
+ΣVcs
xc(k)
= ˜WV
x(k) x (k)
x(k) x (k)
∈Rn × Rnc k ≥k0
(6.4) (6.4) = ˜WV
x(k),xc(k)
,
x(k),xc(k)
∈Rn × Rnc, k ≥k0. = ˜WV
x(k),xc(k)
,
x(k),xc(k)
∈Rn × Rnc, k ≥k0. Next, since for Vs(x), x ∈Rn, and Vcs(xc), xc ∈Rnc, there exist, by assumption, p ∈Rq
+
and pc ∈Rq
+ such that the functions vs(x) = pTVs(x), x ∈Rn, and vcs(xc) = pTc Vcs(xc),
xc ∈Rnc, are positive definite, and noting that vcs(xc) ≤maxi=1,...,q{pci}eTVcs(xc), where
pci is the ith element of pc and e = [1,...,1]T, it follows that eTVcs(xc), xc ∈Rnc, is positive
definite. Now, since mini=1,...,q{piσi}eTVcs(xc) ≤pTΣVcs(xc), it follows that pTΣVcs(xc),
xc ∈Rnc, is positive definite. Hence, the function v(x,xc) = pTV(x,xc), (x,xc) ∈Rn × Rnc,
is positive definite. Now, the result is a direct consequence of Theorem 2.7. 62
Vector dissipativity and discrete-time large-scale systems where uci ∈ci ⊆Rli, yci ≜Hci(xci,uci) ∈i ⊆Rmi, (uci, yci) is the input-output pair for
the ith subsystem of c, fci : Rnci →Rnci and ci : Rnc →Rnci satisfy fci(0) = 0 and ci(0) =
0, Gci : Rnci →Rnci×li, hci : Rnci →Rmi satisfies hci(0) = 0, Jci : Rnci →Rmi×li, and
q
i=1nci =
nc. Furthermore, we define the composite input and composite output for the system c
as uc ≜[uT
c1,...,uTcq]T and yc ≜[yT
c1,..., yTcq]T, respectively. In this case, c = c1 × ··· ×
cq and c = c1 × ··· × cq. Note that, with the feedback interconnection given in
Figure 6.1, uc = y and yc = −u. We assume that the negative feedback interconnection of
and c is well posed; that is, det(Imi + Jci(xci)Ji(xi)) ̸= 0 for all xi ∈Rni, and xci ∈Rnci,
i = 1,...,q. Furthermore, we assume that for the discrete-time large-scale systems and
c, the conditions of Theorem 3.8 are satisfied; that is, if Vs(x), x ∈Rn, and Vcs(xc), xc ∈
Rnc, are vector storage functions for and c, respectively, then there exist p ∈Rq
+ and
pc ∈Rq
+ such that the functions vs(x) = pTVs(x), x ∈Rn, and vcs(xc) = pTc Vcs(xc), xc ∈
Rnc, are positive definite. The following result gives sufficient conditions for Lyapunov
and asymptotic stability of the feedback interconnection given in Figure 6.1. Theorem 6.1. Consider the discrete-time large-scale nonlinear dynamical systems and c
given by (3.1), (3.2), and (6.1), respectively. Assume that and c are vector dissipative with
respect to the vector supply rates S(u, y) and Sc(uc, yc), and with continuous vector storage
functions Vs(·) and Vcs(·) and dissipation matrices W ∈Rq×q and Wc ∈Rq×q, respectively. 63 Wassim M. Haddad et al. 63 (i) If there exists Σ ≜diag[σ1,...,σq] > 0 such that S(u, y) + ΣSc(uc, yc)≤≤0 and ˜W ∈
Rq×q is semistable (resp., asymptotically stable), where ˜W(i,j) ≜max{W(i,j),(ΣWcΣ−1)(i,j)}
= max{W(i,j),(σi/σj)Wc(i,j)}, i, j = 1,...,q, then the negative feedback interconnection of
and c is Lyapunov (resp., asymptotically) stable. 7. Conclusion In this paper, we have extended the notion of dissipativity theory to vector dissipativity
theory. Specifically, using vector storage functions and vector supply rates, dissipativity
properties of aggregate large-scale discrete-time dynamical systems are shown to be de-
termined from the dissipativity properties of the individual subsystems and the nature
of their interconnections. In particular, extended Kalman-Yakubovich-Popov conditions,
in terms of the local subsystem dynamics and the subsystem interconnection constraints,
characterizing vector dissipativeness via vector storage functions are derived. In addition,
general stability criteria were given for feedback interconnections of discrete-time large-
scale nonlinear dynamical systems in terms of vector storage functions serving as vector
Lyapunov functions. 62
Vector dissipativity and discrete-time large-scale systems Specifically, (i) follows from
Theorem 6.1 with Ri = 0, Si = Imi, Qi = 0, Rci = 0, Sci = Imi, Qci = 0, i = 1,...,q, and Σ =
Iq; while (ii) follows from Theorem 6.1 with Ri = γ2
i Imi, Si = 0, Qi = −Ili, Rci = γ2
ciIli, Sci =
0, Qci = −Imi, i = 1,...,q, and Σ = Iq. □ Proof. The proof is a direct consequence of Theorem 6.1. Specifically, (i) follows from
Theorem 6.1 with Ri = 0, Si = Imi, Qi = 0, Rci = 0, Sci = Imi, Qci = 0, i = 1,...,q, and Σ =
Iq; while (ii) follows from Theorem 6.1 with Ri = γ2
i Imi, Si = 0, Qi = −Ili, Rci = γ2
ciIli, Sci =
0, Qci = −Imi, i = 1,...,q, and Σ = Iq. □ 0, Qci = −Imi, i = 1,...,q, and Σ = Iq. 62
Vector dissipativity and discrete-time large-scale systems (ii) The proof follows from (i) by noting that, for all i = 1,...,q, si
ui, yi
+σisci
uci, yci
=
y
yc
T
˜Qi
y
yc
,
(6.5) (6.5) □ □ and hence S(u, y)+ΣSc(uc, yc)≤≤0. and hence S(u, y)+ΣSc(uc, yc)≤≤0. 64 Vector dissipativity and discrete-time large-scale systems For the next result, note that if the discrete-time large-scale nonlinear dynamical sys-
tem is vector dissipative with respect to the vector supply rate S(u, y), where si(ui, yi) =
2yT
i ui, i = 1,...,q, then with κi(yi) = −κiyi, where κi > 0, i = 1,...,q, it follows that
si(κi(yi), yi) = −κiyT
i yi < 0, yi ̸= 0, i = 1,...,q. Alternatively, if is vector dissipative with
respect to the vector supply rate S(u, y), where si(ui, yi) = γ2
i uT
i ui −yT
i yi, where γi > 0, i =
1,...,q, then with κi(yi) = 0, it follows that si(κi(yi), yi) = −yT
i yi < 0, yi ̸= 0, i = 1,...,q. Hence, if is zero-state observable and the dissipation matrix W is such that there exist
α ≥1 and p ∈Rq
+ such that (2.2) holds, then it follows from Theorem 3.8 that (scalar)
storage functions of the form vs(x) = pTVs(x), x ∈Rn, where Vs(·) is a vector storage
function for , are positive definite. If is geometrically vector dissipative, then p is
positive. Corollary 6.2. Consider the discrete-time large-scale nonlinear dynamical systems and
c given by (3.1), (3.2) and (6.1), respectively. Assume that and c are zero-state ob-
servable and the dissipation matrices W ∈Rq×q and Wc ∈Rq×q are such that there exist,
respectively, α ≥1, p ∈Rq
+, αc ≥1, and pc ∈Rq
+ such that (2.2) is satisfied. Then the follow-
ing statements hold. (i) If and c are vector passive and ˜W ∈Rq×q is asymptotically stable, where ˜W(i,j) ≜
max{W(i,j),Wc(i,j)}, i, j = 1,...,q, then the negative feedback interconnection of and c is
asymptotically stable. (ii) If and c are vector nonexpansive and ˜W ∈Rq×q is asymptotically stable, where
˜W(i,j) ≜max{W(i,j),Wc(i,j)}, i, j = 1,...,q, then the negative feedback interconnection of
and c is asymptotically stable. Proof. The proof is a direct consequence of Theorem 6.1. References [1]
M. Araki, Input-output stability of composite feedback systems, IEEE Trans. Automatic Control
21 (1976), no. 2, 254–259. [2]
R. Bellman, Vector Lyapunov functions, J. SIAM Control Ser. A 1 (1962), 32–34. [3]
A. Berman and R. J. Plemmons, Nonnegative Matrices in the Mathematical Sciences, Academic
Press, New York, 1979. [4]
D. S. Bernstein and D. C. Hyland, Compartmental modeling and second-moment analysis of state
space systems, SIAM J. Matrix Anal. Appl. 14 (1993), no. 3, 880–901. p
y
pp
[5]
S. Boyd, L. El Ghaoui, E. Feron, and V. Balakrishnan, Linear Matrix Inequalities in System and
Control Theory, SIAM Studies in Applied Mathematics, vol. 15, SIAM, Pennsylvania, 1994. p
y
pp
[5]
S. Boyd, L. El Ghaoui, E. Feron, and V. Balakrishnan, Linear Matrix Inequalities in System and
C
t
l Th
SIAM St di
i A
li d M th
ti
l 15 SIAM P
l
i
1994 [6]
V. Chellaboina and W. M. Haddad, Stability margins of discrete-time nonlinear-nonquadratic
optimal regulators, Internat. J. Systems Sci. 33 (2002), no. 7, 577–584. [7]
L. T. Gruji´c, A. A. Martynyuk, and M. Ribbons-Parella, Large Scale Systems Stability under
Structural and Singular Perturbations, Springer-Verlag, Berlin, 1987. [8]
W. M. Haddad and V. Chellaboina, Nonlinear control of Hammerstein systems with passive non-
linear dynamics, IEEE Trans. Automat. Control 46 (2001), no. 10, 1630–1634. [9]
W. M. Haddad, V. Chellaboina, and E. August, Stability and dissipativity theory for discrete-
time nonnegative and compartmental dynamical systems, Proceedings of the 40th IEEE Con-
ference on Decision and Control (Orlando, Fla), IEEE Control Systems Society, 2002,
pp. 4236–4241. [10]
D. J. Hill and P. J. Moylan, Stability results of nonlinear feedback systems, Automatica 13 (1977),
no. 4, 377–382. [11]
V. Lakshmikantham, V. M. Matrosov, and S. Sivasundaram, Vector Lyapunov Functions and
Stability Analysis of Nonlinear Systems, Mathematics and Its Applications, vol. 63, Kluwer
Academic Publishers, Dordrecht, 1991. [12]
E. L. Lasley and A. N. Michel, Input-output stability of interconnected systems, IEEE Trans. Au-
tomatic Control 21 (1976), no. 1, 84–89. [13]
, L∞- and l∞-stability of interconnected systems, IEEE Trans. Circuits and Systems 23
(1976), no. 5, 261–270. [14]
J. Lunze, Stability analysis of large-scale systems composed of strongly coupled similar subsystems,
Automatica 25 (1989), no. 4, 561–570. [15]
A. A. Martynyuk, Stability by Liapunov’s Matrix Function Method with Applications, Mono-
graphs and Textbooks in Pure and Applied Mathematics, vol. 214, Marcel Dekker, New
York, 1998. Acknowledgment This research was supported in part by the Air Force Office of Scientific Research (AFOSR)
under Grant F49620-03-1-0178 and the National Science Foundation (NSF) under Grant
ECS-0133038. Wassim M. Haddad et al. 65 65 References References [16]
, Qualitative Methods in Nonlinear Novel Approaches to Liapunov’s Matrix Functions
Dynamics, Monographs and Textbooks in Pure and Applied Mathematics, vol. 246, Marcel
Dekker, New York, 2002. [17]
V. M. Matrosov, Method of Lyapunov-vector functions in feedback systems, Automat. Remote
Control 33 (1972), no. 9, part 1, 1458–1468 (Russian). [18]
A. N. Michel and R. K. Miller, Qualitative Analysis of Large Scale Dynamical Systems, Mathe-
matics in Science and Engineering, vol. 134, Academic Press, New York, 1977. ˇ [19]
D. D. ˇSiljak, Large-Scale Dynamic Systems. Stability and Structure, North-Holland Series in Sys-
tem Science and Engineering, vol. 3, North-Holland Publishing, New York, 1979. [20]
Complex dynamical systems: Dimensionality structure and uncertainty Large Scale Sys- tem Science and Engineering, vol. 3, North-Holland Publishing, New York, 1979. [20]
, Complex dynamical systems: Dimensionality, structure and uncertainty, Large Scale Sys-
tems 4 (1983), 279–294. [20]
, Complex dynamical systems: Dimensionality, structure and uncertainty, Large Scale Sys-
tems 4 (1983), 279–294. [21]
M. Vidyasagar, Input-Output Analysis of Large-Scale Interconnected Systems, Lecture Notes in
Control and Information Sciences, vol. 29, Springer-Verlag, Berlin, 1981. [22]
J. C. Willems, Dissipative dynamical systems. I. General theory, Arch. Rational Mech. Anal. 45
(1972), 321–351. 66
Vector dissipativity and discrete-time large-scale systems 66
Vector dissipativity and discrete-time large-scale systems [23]
, Dissipative dynamical systems. II. Linear systems with quadratic supply rates, Arch. Ra-
tional Mech. Anal. 45 (1972), 352–393. Wassim M. Haddad: School of Aerospace Engineering, Georgia Institute of Technology, Atlanta,
GA 30332-0150, USA
E-mail address: wm.haddad@aerospace.gatech.edu Qing Hui: School of Aerospace Engineering, Georgia Institute of Technology, Atlanta, GA 30332-
0150, USA
E-mail address: qing hui@ae.gatech.edu VijaySekhar Chellaboina: Mechanical and Aerospace Engineering, University of Missouri-Colum-
bia, Columbia, MO 65211, USA
il dd
h ll b i
@
i
i d E-mail address: chellaboinav@missouri.edu E-mail address: chellaboinav@missouri.edu Sergey Nersesov: School of Aerospace Engineering, Georgia Institute of Technology, Atlanta, GA
30332-0150, USA Sergey Nersesov: School of Aerospace Engineering, Georgia Institute of Technology, Atlanta, GA
30332-0150, USA
|
https://openalex.org/W2170706561
|
http://www.scielo.br/pdf/rsp/v11n3/03.pdf
|
Portuguese
| null |
Relation of the vaccination status, housing and cultural level of the mother to the immune status to poliomyelitis in a sample of school children from the City of S. Paulo, Brazil
| null | 1,977
|
cc-by
| 3,388
|
* Do Departamento de Epidemiologia da Faculdade Saúde Pública da
USP — Av.
Dr.
Arnaldo, 715 — São Paulo, SP — Brasil
** Do Departamento de Microbiologia e Imunologia do Instituto de Ciências Biomédicas da USP
—
«Setor Saúde Pública» — Av. Dr. Arnaldo, 715 — São Paulo, SP — Brasil.
*** Do Departamento de Saúde Materno-Infantil da Faculdade de Saúde Pública da USP — Av.
Dr. Arnaldo, 715 — São Paulo, SP — Brasil. INTRODUÇÃO tiva da população de alunos da Rede Esco-
lar da Prefeitura Municipal de São Paulo. Desta amostra
foram obtidas, numa pri-
meira
etapa,
as
informações
necessárias
para o estudo de 1.559 crianças, o que
representa 96,7% do total da amostra ca-
sual. Os questionários foram preenchidos
por quatro grupos integrados por educa-
doras e professoras especialmente treina-
das. As informações foram prestadas pelas
mães ou responsáveis das crianças. O his-
tórico vacinal foi também obtido, em pe-
queno número de casos, pela caderneta de
vacinação. Em trabalho anterior14 foram publicados
os resultados de um estudo soro-epidemio-
lógico de uma população de escolares do
1.o grau, sendo apresentados a prevalência
de anticorpos protetores
e os níveis de
imunidade à poliomielite. O referido estudo
foi
subvencionado pelo Departamento
de
Assistência Escolar da Secretaria da Edu-
cação da Prefeitura Municipal de São Pau-
lo e os resultados basearam-se numa amos-
tra representativa dos alunos do 1o grau
da Rede Escolar Municipal. O estudo mos-
trou que, de um modo geral, os níveis de
imunidade foram insuficientes nas 3 zonas
geográficas consideradas — "Centro", "In-
termediária" e "Periférica" — assim como
nas 13 Regionais Administrativas da Pre-
feitura, ficando aquém dos níveis desejáveis
de 75% de indivíduos triplo-imunes. Para a pesquisa de anticorpos protetores
foram
colhidas,
numa
segunda
etapa,
amostras de sangue por extração digital,
que
foram
imediatamente remetidas
ao
laboratório. As provas de neutralização fo-
ram realizadas segundo a microtécnica9. Foi possível obter resultados completos de
um total de 1.489 crianças, o que represen-
ta 95,5% do total de crianças das quais se
obteve as informações necessárias ao pre-
sente estudo. O presente trabalho, que complementa
aquele, tem a finalidade de elucidar melhor
a questão dos níveis de imunidade relativa-
mente baixos que foram encontrados na
maioria dos grupos etários anteriormente
examinados (7 a 15 anos). Para tanto, o
estado imunitário da população escolar foi
relacionado com (1) o estado vacinal das
crianças (2) com o tipo de sua habitação
e (3) com o nível educacional da mãe. 1.
Níveis de imunidade e vacinação oral A Tabela
1 apresenta o estado vacinal
da população infantil estudada, segundo o
número de doses de vacina oral trivalente
recebidas pelas crianças. Verifica-se que,
embora 85,9% das crianças tenham toma-
do a vacina oral, somente 63,7%
(38,4%
+ 25,3%) receberam a série básica de 3
doses e apenas 25,3% obtiveram imuniza-
ção completa de 5 doses de vacina, das
quais duas doses de reforço. RESULTADOS E DISCUSSÃO 1. Níveis de imunidade e vacinação oral ESTADO VACINAL, TIPO DE HABITAÇÃO E NÍVEL CULTURAL DA
MÃE E SUA RELAÇÃO COM O ESTADO IMUNITÁRIO À
POLIOMIELITE, EM UMA AMOSTRA DE ESCOLARES DO
MUNICÍPIO DE SÃO PAULO, BRASIL. Victório Barbosa*
Klaus E. Stewien**
Cornélio P. Rosenburg*** Victório Barbosa*
Klaus E. Stewien**
Cornélio P. Rosenburg*** RSPU-B/364 BARBOSA, V. et al. Estado vacinal, tipo de habitação e nível cultural da mãe
e sua relação com o estado imunitário à poliomielite, em uma amostra de
escolares do município de São Paulo, Brasil. Rev. Saúde públ., S. Paulo,
11:330-7, 1977. RESUMO : Foram determinados numa amostra probabilística da população
escolar do 1o grau da rede da Prefeitura Municipal de São Paulo: (1) o estado
vacinal das crianças — no de doses de vacina de Sabin — (2) o tipo de sua
habitação — residência, favela e cortiço — e (3) o nível cultural da mãe —
analfabeta e alfabetizada. Estes fatores foram relacionados com a presença de
anticorpos protetores e o estado imunitário da mesma população infantil. Os
resultados mostraram a existência de uma correlação entre a presença de anti-
corpos protetores contra os poliovírus dos tipos 1, 2 e 3 e o número de doses
de vacina oral (trivalente) recebidas pelas crianças de 7 e 8 anos de idade. Contudo, as crianças só mostraram níveis satisfatórios de imunidade com 5 e
mais doses de vacina. Nos grupos etários de 9 a 15 e mais anos, o estado
imunitário das crianças não se apresentou mais relacionado com o número de
doses de vacina recebidas, o que deve ser atribuído à imunização das crianças
não vacinadas através de infecções naturais com poliovírus, que circulam nas
comunidades. Quando o estado imunitário das crianças foi relacionado com o
tipo de sua habitação e o nível cultural da mãe, verificou-se que quantidades
substancialmente menores de vacina oral, administradas às crianças cujas mães
são analfabetas, ou que habitam em favelas e cortiços, foram até certo ponto
compensadas, em termos de imunidade, através de infecções naturais com polio-
vírus circulantes. Os autores recomendam um esquema de vacinação contra a
poliomielite que apresente, em sua série básica, pelo menos 5 doses de vacina
de Sabin (trivalente). UNITERMOS: Inquéritos sorológicos, escolares. Poliomielite, São Paulo, Brasil. Imunidade. Vacinação. Vacina Sabin. Embora os dados apresentados na Tabela
1, na maioria das vezes, não se baseiam na
caderneta de vacinação e, sim na informa-
ção da mãe ou responsável
pela criança,
parecem-nos, em grande parte, fidedignas
estas informações por dois motivos. Pri-
meiro, porque a vacina Sabin é a única
administrada por via oral, o que permite
aos pais ou responsáveis distinguí-las das
demais vacinas, facilitando fixar na memó-
ria as aplicações dessa vacina em seus
filhos. Em segundo lugar, esta suposição
confirma-se pelo que podemos observar na
Tabela 2, em que se nota uma
estreita
correlação entre o estado vacinal e o es-
tado imunitário das crianças da população
examinada. le da doença, pelo menos 75% da população
dos grupos etários deve ter sido vacinado,
de modo correto, com essas 3 doses de
vacina, pois, assim, estarão esses grupos
imunes contra a doença. Nestas condições,
é de se ver que a população em estudo,
segundo o histórico vacinal apresentado, é
deficiente quanto ao número de doses bá-
sicas recebidas, pois somente 63,6%
rece-
beram as 3 doses, o que, como vimos, está
aquém do mínimo desejável de 75%. Verifica-se, nessa Tabela, que a preva-
lência de anticorpos aumenta proporcional-
mente, para os 3 tipos de vírus, com o
número de doses de vacina aplicadas. A
relação proporcional entre estado imunitá-
rio e estado vacinal certamente não teria
sido observada se as informações presta-
das sobre o número de doses de vacina não
fossem em sua maioria corretas. As crian-
ças que não receberam nenhuma dose de
vacina se imunizaram através de infecção MATERIAL
E
MÉTODOS Em trabalho anterior (Stewien e col.14
1977)
foram
detalhadamente descritos
o
plano de estudo, a população das crianças
examinadas, sua amostragem probabilística,
assim como a coleta e a apuração das in-
formações prestadas, a colheita das amos-
tras de sangue e os métodos
utilizados
para a determinação dos anticorpos neu-
tralizantes. Admite-se, com base em trabalhos ante-
riores que, em países de clima tropical e
sub-tropical, a criança está adequadamente
imunizada desde que tenha recebido pelo
menos 3 doses básicas de vacina Sabin
( t r i v a l e n t e ) 1 2 , 1 2 , 1 5 . Estes mesmos
traba-
lhos mostraram que, para efeito de contro- Em resumo, mediante a utilização de um
processo
sistemático
de
amostragem
de
classes, obteve-se uma amostra representa- então
demonstrar
a
existência
de
uma
substância inibidora no aparelho
digestivo
das crianças que receberam a vacina oral
de Sabin e não apresentaram "pega" vaci-
nal. Foi observado que o inibidor impe
a implantação e a multiplicação dos vírus
atenuados na mucosa intestinal, sendo res-
ponsável
pelo
maior
número das
falhas
vacinais verificadas. Coube à interferência
viral, ocasionada por enterovírus dos gru-
pos Coxsackie e ECHO, um papel menor
na questão destas falhas. O mesmo estudo
mostrou que os efeitos antagônicos do ini-
bidor e da interferência viral podem ser
superados na
prática
da
vacinação, por
meio da administração de repetidas doses
de vacina. natural com os vírus da poliomielite. Estas
infecções podem ter
sido
em decorrência
do contato com poliovírus
naturais, que
ainda circulam em nosso meio, ou com os
vírus atenuados de Sabin, eliminados pelas
crianças que receberam a vacina. É interessante observar que a imunidade
das
crianças
vacinadas
somente
alcança
níveis satisfatórios a partir de 5 doses de
vacina oral. A presença do tipo 2 chega a
alcançar
um nível superior a 90% e, o
tipo 1, quase 80%. Apenas
a imunidade
contra o tipo 3 fica aquém do nível mínimo
desejável de 75%, o que deve ser atribuído
à capacidade imunogênica menor do vírus
atenuado Leon 12a1b da vacina Sabin, cau-
sando, muitas vezes, níveis séricos de anti-
corpos extremamente baixos. 5 , 7 , 8 , 1 0 , 1 3 , 1 5. Em face ao que foi exposto, é preciso
recomendar, para efeitos práticos, um es-
quema de vacinação contra a poliomielite
que seja constituído, em sua série básica,
de pelo menos 5 doses de vacina oral tri-
valente,
modificando
conceito
até
então
existente de que eram suficientes, nesses
casos, apenas 3 doses básicas. Além disto,
doses de reforço devem ser administradas
em espaços adequados de tempo, para se
manterem elevados os níveis de imunidade
nas comunidades nas quais se introduziu a
vacinação oral. Os resultados do presente trabalho con-
cordam com os encontrados em recente es-
tudo realizado em Vellore, na Índia, em
que as taxas de soro-conversão das crian-
ças, de 6 a 51 semanas de idade, somente
alcançaram níveis elevados de imunidade a
partir da 5a dose de vacina oral trivalente
administrada. 6 O fato foi atribuído a uma
resistência temporária das crianças à "pe-
ga" vacinal, devido a um fato, que veremos
a seguir. A Tabela 5 apresenta os níveis de imu-
nidade, em termos de crianças duplo mais
triplo imunes, da população escolar
estu- Estes resultados certamente con-
trastam com aqueles encontrados em países
altamente desenvolvidos e de clima tempe-
rado, onde duas ou três doses de vacina
são suficientes para se atingir níveis de
imunidade acima dos 90%,
contra os 3
tipos de vírus da poliomielite. O aumento proporcional da imunidade,
contra os 3 tipos de poliovírus, anterior-
mente observado
nas crianças nos grupos
etários de 7 e 8 anos, não foi mais verifi-
cado nas de 9 e mais anos de idade, como
mostra a Tabela 3, onde são apresentados
sumariamente os resultados referentes aos
grupos etários de 9 a 15 e mais anos. A
mais provável explicação deste fato é de
que um número apreciável de crianças não
vacinadas se imunizaram através do con-
tato que tiveram com poliovírus naturais,
que ainda circulam em nossa comunidade,
ou com os vírus atenuados de Sabin, eli-
minados pelos grupos vacinados. Com a finalidade de encontrar as causas
que determinam as baixas taxas de soro-
conversão e, conseqüentemente, níveis insu-
ficientes de imunidade em regiões de clima
quente e em grupos populacionais de pre-
cárias
condições de vida, a Organização
Mundial da Saúde fez realizar recentemen-
te
ampla
investigação
em
Uganda,
na
África 3. A equipe de pesquisadores
pôde 3.
Vacinação oral e nível cultural da mãe 2. Vacinação oral e tipo de habitação
uma e duas doses de vacina, foi até obser- 2. Vacinação oral e tipo de habitação
das crianças uma e duas doses de vacina, foi até obser-
vada uma diferença estatisticamente signi-
ficante, ao nível de p
0,05,
a favor do
grupo de crianças que vivem nas favelas
e cortiços. Na Tabela 4 são comparados os níveis
de imunidade, em termos de crianças duplo
mais triplo imunes, da população
escolar
estudada, de acordo com os três tipos de
habitação em que as crianças vivem: resi-
dência,
favela e
cortiço. Os
resultados
referentes à favela e cortiço não
mostra-
ram
diferenças
significativas
e,
assim,
foram
reunidos, como
mostra
a referida
tabela. Admitindo-se, na melhor das
hipóteses,
que a vacinação oral seja igualmente eficaz
em crianças residentes em favelas e cortiços
ou em residências, somos levados a acre-
ditar que a semelhança entre os níveis de
imunidade desses dois grupos, apesar da
sua
diferença quanto ao estado vacinal,
seja
resultado de um
maior número de
infecções naturais ocasionadas
pelos vírus
da poliomielite nas crianças que vivem em
favelas e cortiços do que nas que moram
em residências, o que obviamente se reflete
nos níveis de imunidade. Esta hipótese é
sustentada pelo fato de ser mais intensa a
circulação de vírus em populações de pre-
cárias condições de vida e saneamento
e
de alta promiscuidade, como diversos estu-
dos puderam mostrar 4 , 1 1 , 1 6. É preciso salientar, inicialmente, que o
grupo de crianças que mora em residências
teve uma cobertura vacinal muito superior
àquele que vive em favelas e cortiços, pois
o primeiro grupo possui a alta percenta-
gem de 79,9% de crianças que receberam
3 ou mais doses de vacina (838
crianças
divididas por 1.269) contra apenas 43,8%
do segundo grupo mencionado (63 crian-
ças
divididas por
144). Entretanto,
isto
não se reflete nos níveis de imunidade, que
foram respectivamente 77,9% e 81,3% de
crianças duplo mais triplo imunes (a dife-
rença não
é estatisticamente
significante,
pelo teste do X2 ao nível de p
0,05). No
caso específico das crianças que receberam dada, segundo o número de doses de vaci-
na administrada e o nível educacional da
mãe. Como se poderia esperar, a cobertura
vacinal foi muito melhor nas crianças de
mães alfabetizadas do que nas crianças de
mães
analfabetas. As
percentagens
de
crianças que receberam 3 e mais doses de
vacina foram, respectivamente, 73,7% (426
crianças divididas por 578) e 57,0%
(475
crianças divididas por 833). Entretanto, os
níveis de imunidade observados no grupo de crianças de mães alfabetizadas foram
surpreendentemente semelhantes aos níveis
verificados no grupo de crianças de mães
analfabetas (as diferenças não são estatis-
ticamente significantes, ao nível de p
0,05
— teste do X2. Partindo da hipótese de que a vacinação
oral tenha a mesma eficácia nos dois gru-
pos examinados, somos levados a concluir
que os hábitos de higiene são mais precá-
rios nas crianças de mães analfabetas do sidade de aplicar um número maior de
doses neste grupo de crianças para obter
níveis de imunidade elevados. Conseqüente-
mente, no presente estudo as crianças de
mães analfabetas deveriam apresentar níveis
de imunidade muito inferiores às de mães
alfabetizadas, primeiramente devido a dife-
rença significativa do número de doses a
favor das crianças deste último grupo e,
em segundo lugar, devido a uma maior
circulação de enterovírus no primeiro gru-
po. Sendo, entretanto, surpreendentemente
semelhantes os níveis encontrados, somos
levados a admitir a hipótese antes apresen-
tada, ou seja, de que as crianças de mães
analfabetas se imunizaram em parte por
infecções naturais, causadas pelos
polio-
vírus circulantes em seu ambiente. que nas de mães alfabetizadas. Em conse-
qüência disto, as crianças de mães analfa-
betas tem
contato
mais
freqüente
com
enterovírus, aumentando com isto o número
de infecções naturais com os vírus da
poliomielite, o que acaba se refletindo nos
níveis de imunidade das crianças. Um es-
tudo recente realizado em Israel mostrou
que a circulação de enterovírus é mais
intensa em crianças de mães com nível
cultural baixo do que em crianças de mães
com nível cultural elevado. 15 A mesma in-
vestigação mostrou também que uma maior
circulação de enterovírus dos grupos Cox-
sackie e ECHO se reflete negativamente nas
taxas de soro-conversão através do fenôme-
no da interferência viral, havendo a neces- RSPU-B/364 BARBOSA, V. et al. UNITERMS:
Serological surveys, school children.
Poliomyelitis, S. Paulo,
Brazil. Immunity. Poliovirus vaccine, oral. [Relation of the vaccination status, housing and cultural level
of the mother to the immune status to poliomyelitis in a sample of school
children from the City of S. Paulo, Brazil.] Rev. Saúde públ., S. Paulo, 11:
330-7, 1977. ABSTRACT: In a probabilistic sample of the elementary school children
belonging to the S. Paulo public school system, a survey was conducted in
order to establish 1) the vaccination status of the children — number of doses
of oral polio vaccine, 2) the kind of housing — private home or slum, 3) the
cultural status of the mother — literate or illiterate. These factors were studied
in relation to the prevalence of neutralizing antibodies and the immune status
to poliomyelitis of those children. The results showed a correlation between the
presence of type 1, 2 and 3 poliovirus antibodies and the number of doses of
trivalent Sabin vaccine fed to children 7 and 8 years old, who exibited satisfac-
tory immunity level only with 5 and more doses of the vaccine. In the age
group of 9 to 15 years and higher, the immune status of the children was no
more related to the number of doses of the vaccine which is considered as a
result of the immunization of the children by means of natural infections with
circulating polioviruses. When the immune status of the children was related
to housing and the cultural level of the mother, the relationship described for
certain age groups (7 and S years) was not observed, which seems to be
explained by the same reasons refered to the 9 to 15 and higher age groups. The authors recommended that the primary course of immunization for
infants
should consist of at least 5 doses of trivalent Sabin vaccine. Poliomyelitis, S. Paulo, UNITERMS:
Serological surveys, school children. Poliomyelitis, S. Paulo,
Brazil. Immunity. Poliovirus vaccine, oral. REFERÊNCIAS
BIBLIOGRÁFICAS 10. LINNEMANN, C.C. et al. Poliovirus anti-
body
in
urban
school
children. J. Pediat., 84:404-6, 1974. 1. BARBOSA. V. & STEWIEN, K.E. Estado
imunitário relativo à poliomielite das
crianças
de 0-12 anos. residentes no
município
de
São
Paulo,
Brasil
e
assistidas pelo Hospital Menino Jesus. Rev. Saúde públ, S. Paulo, 9:137-53,
1975. 11. RAMOS ALVAREZ. M. Poliomyelitis. In:
INTERNATIONAL CONFERENCE ON
VACCINES
AGAINST
VIRAL
AND
RICKETTSIAL
DISEASES OF MAN,
1st, Washington, D.C., 1966. Washing-
ton,
D.C.,
Pan
American
Health
Organization,
1967. p. 213-4. (PAHO-
Scient. publ., 147). 2. COCKBURN, W.C. Poliomyelitis vaccina-
tion in tropical countries. Advanc.exp. med.Biol., 31:223-36, 1972. 3. DÖMÖK, I. et al. Factors
effecting
the
efficacy
of live poliovirus vaccine in
warm climates. Bull.Wld Hlth Org.,
51:333-47, 1974. 12. RAMOS E ALVAREZ, M. et al. Use of
Sabin's live poliovirus vaccine in Me-
xico: results of a large scale trial, in
live poliovirus vaccines. In:
INTER-
NATIONAL CONFERENCE ON LIVE
POLIOVIRUS
VACCINE,
2nd,
Wa-
shington, D.C., 1960. Papers presented. Washington,
D.C.,
Pan
American
Health Organization, 1960. p. 368-409. (PAHO-Scient. publ., 50). 4. FELDMAN,
R.A. et
al. Oral poliovirus
vaccination
in
children:
a
study
suggesting
enterovirus
interference. Pediatrics, 33:526-33, 1964. 5. GOLD, E. et al. Immune status of children
one to
four years of age as
deter-
mined
by
history
and
antibody
measurement. New
Engl. J. Med.,
289:231-5, 1973. 13. RASMUSSEN,
C.M. et
al. Inadequate
poliovirus immunity levels in immu-
nized Illinois children. Amer. J. Dis. Child,
126:465-9, 1973. 14. STEWIEN. K.E. et al. Níveis de imuni-
dade
contra
a
poliomielite em uma
amostra de escolares do município de
São Paulo,
Brasil. Rev. Saúde públ.,
S. Paulo, 11:270-8, 1977. 6. JOHN, T.J. Antibody response of infants
m tropics to five doses of oral polio
vaccine. Brit. Med. J., 1:812, 1976. 7. LAMB, G.A. & FELDMAN, H.A. Rubella
vaccine
responses
and
other
viral
antibodies in Syracuse children. Amer. J. Dis. Child, 122:117-21, 1971. 15. SWARTZ,
T.A. et
al. Routine
adminis-
tration
of oral polio
vaccine
in
a
subtropical
area:
factores
possibly
influencing
sero-conversion rates. J. Hyg., London, 70:719-26, 1972. 8. LENNARTZ, H. & FISCHER, K. Überwa-
chung der Poliomyelitis-Verbreitung in
Hamburg. Arch. Hyg.,
Berl.,
351:
757, 1967. 16. SWARTZ,
T.A. et
al. Non-polio
virus
interference
with oral
polio vaccine
immunization:
possible
influence
of
physical
climate and
socio-economic
status. Advanc. exp. med. Biol., 31:
237-40, 1972. Recebido para publicação em 08/12/1976
Aprovado para publicação em 17/12/1976 16. SWARTZ,
T.A. REFERÊNCIAS
BIBLIOGRÁFICAS et
al. Non-polio
virus
interference
with oral
polio vaccine
immunization:
possible
influence
of
physical
climate and
socio-economic
status. Advanc. exp. med. Biol., 31:
237-40, 1972. 9. LENNETTE, E.H. & SCHMIDT, N.J., ed. Diagnostic procedures for viral and
rickttsial diseases. 4th ed. New York,
American Public
Health
Association,
1969. Aprovado para publicação em 17/12/1976
|
https://openalex.org/W3106690931
|
https://vbn.aau.dk/files/391438075/education_10_00354_v2.pdf
|
English
| null |
Teaching Approaches and Educational Technologies in Teaching Mathematics in Higher Education
|
Education sciences
| 2,020
|
cc-by
| 6,846
|
Aalborg Universitet Teaching approaches and educational technologies in teaching mathematics in higher
education
an international survey
Nantschev, Renate; Feuerstein, Eva; Trujillo González, Rodrigo; Garcia Alonso, Israel; Hackl,
Werner O. ; Petridis, Konstantinos; Triantafyllou, Evangelia; Ammenwerth, Elske
Published in:
Education Sciences
DOI (link to publication from Publisher):
10.3390/educsci10120354
Creative Commons License
CC BY 4.0
Publication date:
2020
Document Version
Publisher's PDF, also known as Version of record
Link to publication from Aalborg University
Citation for published version (APA):
Nantschev, R., Feuerstein, E., Trujillo González, R., Garcia Alonso, I., Hackl, W. O., Petridis, K., Triantafyllou,
E., & Ammenwerth, E. (2020). Teaching approaches and educational technologies in teaching mathematics in
higher education: an international survey. Education Sciences, 10(12), 1-12. Article 354. https://doi.org/10.3390/educsci10120354 DOI (link to publication from Publisher):
10.3390/educsci10120354 Citation for published version (APA):
Nantschev, R., Feuerstein, E., Trujillo González, R., Garcia Alonso, I., Hackl, W. O., Petridis, K., Triantafyllou,
E., & Ammenwerth, E. (2020). Teaching approaches and educational technologies in teaching mathematics in
higher education: an international survey. Education Sciences, 10(12), 1-12. Article 354. https://doi.org/10.3390/educsci10120354 General rights
Copyright and moral rights for the publications made accessible in the public portal are retained by the authors and/or other copyright owners
and it is a condition of accessing publications that users recognise and abide by the legal requirements associated with these rights. General rights
Copyright and moral rights for the publications made accessible in the public portal are retained by the authors and/or other copyright owners
and it is a condition of accessing publications that users recognise and abide by the legal requirements associated with these rights. Citation for published version (APA):
Nantschev, R., Feuerstein, E., Trujillo González, R., Garcia Alonso, I., Hackl, W. O., Petridis, K., Triantafyllou,
E., & Ammenwerth, E. (2020). Teaching approaches and educational technologies in teaching mathematics in
higher education: an international survey. Education Sciences, 10(12), 1-12. Article 354.
https://doi.org/10.3390/educsci10120354 Renate Nantschev 1,*
, Eva Feuerstein 2
, Rodrigo Trujillo González 3, Israel Garcia Alonso 3,
Werner O. Hackl 1
, Konstantinos Petridis 4,5, Evangelia Triantafyllou 6
and Elske Ammenwerth 1 Renate Nantschev 1,*
, Eva Feuerstein 2
, Rodrigo Trujillo González 3, Israel Garcia Alonso 3,
Werner O. Hackl 1
, Konstantinos Petridis 4,5, Evangelia Triantafyllou 6
and Elske Ammenwerth 1 1
Institute of Medical Informatics, UMIT – Private University for Health Sciences, Medical Informatics and
Technology, Eduard Wallnöfer-Zentrum 1, 6060 Hall in Tirol, Austria; werner.hackl@umit.at (W.O.H.);
elske.ammenwerth@umit.at (E.A.) 1
Institute of Medical Informatics, UMIT – Private University for Health Sciences, Medical Informatics and
Technology, Eduard Wallnöfer-Zentrum 1, 6060 Hall in Tirol, Austria; werner.hackl@umit.at (W.O.H.);
elske.ammenwerth@umit.at (E.A.)
2 2
Faculty of Biomedical Engineering, Czech Technical University, Nám. Sítná 3105, 2
Faculty of Biomedical Engineering, Czech Technical University, Nám. Sítná 3105,
272 01 Kladno, Czech Republic; neumaeva@fbmi.cvut.cz 2
Faculty of Biomedical Engineering, Czech Technical University, Nám. Sítná 3105,
272 01 Kladno, Czech Republic; neumaeva@fbmi.cvut.cz 3
Department of Mathematical Analysis, University of La Laguna, 38071 San Cristóbal de La Laguna, Sp
rotrujil@ull.edu.es (R.T.G.); igarcial@ull.edu.es (I.G.A.) 4
Department of Electronic Engineering, Hellenic Mediterranean University, 73100 Chania, Crete, Greece
cpetridis@hmu.gr p
g
5
The European University ATHENA, 71410 Heraklion, Crete, Greece 6
Department of Architecture, Design, and Media Technology, Aalborg University, A. C. Meyers Vænge 6
Department of Architecture, Design, and Media Technology, Aalborg University, A. C. Meyers Vænge 15,
2450 Copenhagen SV, Denmark; evt@create.aau.dk ep
e
o
c
ec
e,
es g ,
e
ec
o ogy,
o g U
e s y,
C
eye s
æ ge 5,
2450 Copenhagen SV, Denmark; evt@create.aau.dk 2450 Copenhagen SV, Denmark; evt@create.aau.dk *
Correspondence: renate.nantschev@umit.at Received: 29 September 2020; Accepted: 19 November 2020; Published: 26 November 2020 Abstract:
The growing use of technology for mathematics in higher education opens new
pedagogical and technological challenges for teachers. The objective of this study was to analyze the
teaching approaches and technology-related pedagogical competencies of 29 mathematics teachers
(15 females and 14 males) from nine European countries. After conducting semi-structured interviews,
the Approaches to Teaching Inventory (ATI-16) and the Technological Pedagogical Content Knowledge
(TPACK) framework survey were applied. The results show large individual variations in teaching
approaches, technological competencies, and institutional support. One-third of teachers apply
a more student-centered approach, one-third a more teacher-centered approach, and one-third a
mixed approach. Educating and supporting teachers in embracing educational technologies thus
needs to be tailored strongly to individual needs and the available institutional support resources
and infrastructure. Keywords: approaches to teaching; educational technologies; mathematics education; quantitative study General rights
C
i h
d - Users may download and print one copy of any publication from the public portal for the purpose of private study or research. - You may not further distribute the material or use it for any profit-making activity or commercial gain - Users may download and print one copy of any publication from the public portal for the purpose of private study or research. - You may not further distribute the material or use it for any profit-making activity or commercial gain - Users may download and print one copy of any publication from the public portal for the purpose of p
Y
t f
th
di t ib t
th
t
i l
it f
fit
ki
ti it
i l
i You may not further distribute the material or use it for any profit making activity o
- You may freely distribute the URL identifying the publication in the public portal - y
y p
g
y
- You may freely distribute the URL identifying the publication in the public portal - Take down policy
If you believe that this document breaches copyright please contact us at vbn@aub.aau.dk providing details, and w
the work immediately and investigate your claim. y
this document breaches copyright please contact us at vbn@aub.aau.dk providing details, and we will remove access to
ely and investigate your claim. education
sciences education
sciences Educ. Sci. 2020, 10, 354; doi:10.3390/educsci10120354 1. Introduction For centuries, mathematics has been associated with traditional blackboard teaching. The current
situation with the COVID-19 pandemic emphasizes the need for mathematics teachers of higher
education to move to online teaching. Educational institutions are thus advised to provide adequate
training for teachers to improve their online teaching skills [1]. Nowadays, teaching mathematics requires not only content knowledge (i.e., knowing what to
teach) but also pedagogical knowledge (i.e., knowing how to teach and how to deal with students’
problems and learning difficulties) [2]. Additionally, teachers should have knowledge of the appropriate
educational technologies and their potential. The use of technologies in mathematics teaching and learning can be classified in two dimensions:
The use of domain-specific mathematics software (e.g., GeoGebra, https://www.geogebra.org/); and the Educ. Sci. 2020, 10, 354; doi:10.3390/educsci10120354 www.mdpi.com/journal/education Educ. Sci. 2020, 10, 354 2 of 12 general use of learning technologies (e.g., Moodle, https://moodle.org/) [3]. Mathematics-specific
software applications are tools with the ability to increase students’ conceptual understanding
mathematical modeling, visualization and simulation [4]. general use of learning technologies (e.g., Moodle, https://moodle.org/) [3]. Mathematics-specific
software applications are tools with the ability to increase students’ conceptual understanding
mathematical modeling, visualization and simulation [4]. Education and technology have become two interdependent concepts in mathematics education [5]. Consequently, a low level of digital literacy among mathematics teachers may hinder the adoption
of modern pedagogical and technological approaches in mathematics learning and teaching [3]. Many teachers are beginning to adopt the perspective that learning can only be successful if learners
construct their knowledge and do not merely extend their knowledge through memorization [5]. Teachers should therefore help students to use and reinforce the knowledge they have and to produce
new knowledge. When they do, the teaching approach shifts from a teacher-centered to a more
student-centered approach. Studies indicate that the integration of technology in teaching has the
potential to move teaching towards a more student-centered approach [6]. Calls for reforming
mathematics education by considering more innovative teaching approaches are often rooted in
constructivist theory [3]. Student-centered teaching approaches play an essential role in this process. Several such teaching approaches (e.g., Problem-Based Learning) have been developed and have
started to gain momentum in mathematics education [3]. To foster innovative pedagogical and technological approaches in mathematics education,
the Erasmus + Capacity Building in the Field of Higher Education (CBHE) project “Innovative Teaching
Education in Mathematics” (ITEM) was launched in 2018 [7]. 1. Introduction It aims at improving mathematics teaching
practice in higher education by applying innovative instructional approaches. Mathematics is essential
in addressing major challenges in science, technology, and engineering. The main objectives of ITEM
are to increase students’ motivation to build their mathematical skills and to raise students’ success
rate in mathematics courses in engineering education. To achieve these objectives, the project aims
to improve teaching quality, enhance the support provided to students to overcome their difficulties
and misconceptions of how to learn mathematics, and enrich the teachers’ toolbox with engaging
teaching techniques. The ITEM project team consists of 16 partners (including ten test institutions)
from higher education in ten different countries (Austria, Czech Republic, Denmark, Greece, Israel,
Kosovo, North Macedonia, Spain, Sweden, Uzbekistan). This paper presents results from studies conducted within the first ITEM phase, focusing on
diagnosis of the teaching approaches and technology-related pedagogical competencies of the math
teachers involved, as a precondition for the design of the training programs for mathematics teachers. Here, the ITEM project has started to plan and implement workshops for mathematics teachers at
the ITEM consortium institutions to train them in student-centered methods such as Problem-Based
Learning (PBL) and Project-Oriented Problem-Based Learning (POPBL). Problem-Based Learning (PBL) is an active pedagogical student-centered learning method. It is a
shift away from the traditional educational practice in which the teacher is at the center. PBL is an
“instructional (and curricular) student-centered approach that empowers students to conduct research,
integrate theory and practice, and apply knowledge and skills to develop a viable solution to a defined
problem” [8]. The central element of PBL is a real-world problem that helps to initiate the learning
process. The assumption is that students are triggered to learn when faced with a problem that cannot
be resolved with the knowledge they have. Since the students do not know the solution to the problem,
they start looking for new sources of information and knowledge to solve it. Another aspect is that
students learn from each other; therefore, working in groups is another fundamental aspect of PBL [8]. In addition to targeted teaching methods, ITEM aims to train teachers in the use of educational
technologies (learning management systems, dynamic learning tools such as GeoGebra, Desmos, etc.)
related to mathematics teaching. To describe what teachers need to know to successfully integrate technology into teaching
mathematics, the Technological Pedagogical Content Knowledge (TPACK) framework can be used. 1. Introduction The TPACK framework comprises seven domains as shown in Figure 1: The Technological
Knowledge (TK), Pedagogical Knowledge (PK), Content Knowledge (CK), Technological Content 3 of 12 Educ. Sci. 2020, 10, 354 e (TCK), Technological Pedagogical Knowledge (TPK), and Technological Pedagogical
nowledge (TPACK) [9]. Knowledge (TCK), Technological Pedagogical Knowledge (TPK), and Technological Pedagogical
Content Knowledge (TPACK) [9]. Figure 1. The Technological Pedagogical Content Knowledge (TPACK) Framework. Reproduced by
permission of the publisher, © 2020 by tpack.org. [10]. Figure 1. The Technological Pedagogical Content Knowledge (TPACK) Framework. Reproduced by
permission of the publisher, © 2020 by tpack.org. [10]. •
Content Knowledge (CK): Content knowledge is about learning and teaching the subject matter
in the field to be taught; •
Pedagogical Knowledge (PK): Teacher knowledge of instructional methods, strategies,
and techniques used in the classroom; •
Technological Knowledge (TK): Teacher knowledge of educational technologies and technical
infrastructures (software, hardware, internet). Technology knowledge refers to the information
and skills that teachers should have with regard to using technology; •
Pedagogical Content Knowledge (PCK): Teacher knowledge of the effective use of teaching
methods and techniques to teach the course contents. The teacher knows how students learn and
how to measure and evaluate their learning outcome; •
Technological Content Knowledge (TCK): Teacher knowledge of the use of appropriate
educational technology for teaching the course content; •
Technological Pedagogical Knowledge (TPK): Teacher knowledge of effective pedagogical use
of educational technology. Technological pedagogical knowledge refers to knowledge of tools
and their functionalities and of the interrelation between tools and tasks; •
Technological Pedagogical Content Knowledge (TPACK): Teacher knowledge of the effective
combination of pedagogy and educational technology for teaching mathematical content. TPACK has been successfully used as a framework to analyze and improve science and mathematics
teaching in higher education [11,12]. In this paper, we aim to explore teaching approaches and technology-related pedagogical
competencies among mathematics teachers involved in the ITEM project to be able to prepare
well-tailored training programs for mathematics teachers within ITEM. The research questions of this
study were: y
Q1: Which teaching approaches are applied by mathematics teachers in higher education? Q2: From the perspective of TPACK, which content-related and technological knowledge do the
mathematics teachers show? 4 of 12 Educ. Sci. 2020, 10, 354 Q3: Based on the results from Q1 and Q2, which areas should be covered in the workshops for
ITEM teachers to better prepare the mathematics teachers for student-centered teaching? 1. Introduction Q3: Based on the results from Q1 and Q2, which areas should be covered in the workshops for
ITEM teachers to better prepare the mathematics teachers for student-centered teaching? 2.1. Interviews on Technology Use and Teaching Approaches in Mathematics Education Participants: We conducted semi-structured interviews with senior mathematic teachers in the
participating ITEM institutions of higher education. Overall, ten mathematics teachers, four women
and six men, from ten higher education institutions in seven countries participated in the interviews. The seven countries were: Kosovo, Uzbekistan, Greece, North Macedonia, Israel, Czech Republic,
Sweden. All teachers were responsible for teaching linear algebra and calculus in the first and second
semester in different engineering study programs. The interviews were conducted via online video
calls between June and September 2019. The duration of interviews was between 15 and 35 min. Instruments and procedure: We developed a semi-structured interview guideline. The interview
guideline focused on two main topics. The first topic was the use of technology in teaching mathematics
and the available technical infrastructure. For example, some of the questions focusing on this topic
were: Do you use special software for teaching mathematics? And if so, which and in which form? Are the students invited to use their smartphones, tablets, or laptops in your classroom? If yes,
for which purpose? Does your classroom offer wifi? Second, the interviews focused on the use of
student-centered teaching approaches. Some of the questions focusing on this topic were: Do you
use real-life examples and problems from other fields (e.g., biology, economics, physics) to teach
mathematics? Are there elective activities where your students have to do research on selected
mathematics topics? Data analysis: Interviews were transcribed verbatim and summarized based on the structure of
the interview guideline. 2. Methods and Materials This study took a quantitative approach to answer the study questions. We used two standardized
surveys: the Approaches to Teaching Inventory (ATI) survey and a TPACK survey. Both questionnaire
are available as Supplementary Materials. The quantitative survey aimed at attaining comparable data
among participating teachers and serves as a pre-measurement for later planned post-measurements
after completion of the teachers’ training programs within the ITEM project. To obtain context
information on the recent use of technology in mathematics teaching and on teaching approaches,
we first conducted semi-structured interviews with senior mathematic teachers of all participating
ITEM institutions. 3.1. Recent Use of Technology in Teaching Mathematics In the first part of the interviews, we focused on the technologies the teachers use in their classes. Regarding general learning technologies, two (of the seven participating institutions for interviews) use
Moodle as a learning management system (LMS). The other institutions use different LMSs (e.g., eClass,
Canvas) and one institution does not use any kind of LMS. Most of the teachers indicated they use
the platforms only to provide slides for the upcoming lessons. (“I scan my handout and give them a file. They can submit their hand-in tasks.”; “For the materials, we use Google Drive.”) Only one teacher uses the
learning platform as an interactive tool with students. A university-wide strategy in using an online
learning platform is not mentioned among any of the interviewed teachers. Regarding domain-specific mathematics software, nearly all interviewed teachers use special
mathematics software to support learning. Often-mentioned tools include Matlab, GeoGebra,
Desmos and Derivative Calculator. (“To use tools in the lectures to illustrate things. We use that to
draw things and drafts. To draw pictures on the board. We use it also for hand-in assignments.”; “It is a quite
useful thing. The students use it also-we try to encourage them.”) All teachers have WiFi available in their classroom. Students mostly bring their private devices
and use them in class. Only one university does not allow the use of smartphones or tablets in class. 2.2. Quantitative Standardized ATI and TPACK Survey Participants: All mathematics teachers within the ITEM project who were nominated to participate
in the proposed ITEM training workshops were invited to the survey. Overall, 61 teachers from
13 different universities in nine countries were invited to fill in the online survey between August and
September 2019. Participants comprised senior lecturers, assistant professors, associate professors,
and full professors. The survey was conducted before the first ITEM teacher training workshop took
place. Participants were asked to answer both surveys by considering the most typical mathematics
course they teach. Overall, 29 mathematics teachers from nine countries responded to the survey
(response rate: 48%), with a female/male ratio of 15:14. With respect to years of teaching experience,
the distribution is as follows: 27% of respondents have more than 20 years teaching experience,
24% between 15 and 19 years, 21% between 10 and 14 years, 14% between five and nine years, and 14%
less than five years, spanning between one and four years. Instruments and procedure: We used the Approaches to Teaching Inventory (ATI-16),
a validated instrument with 16 items that allows us to measure two opposing approaches
to teaching: the Information Transfer/Teacher-Focused (ITTF) approach and the Conceptual
Change/Student-Focused (CCSF) approach [13,14]. Scale reliabilities (Cronbach’s alphas) for ITTF Educ. Sci. 2020, 10, 354 5 of 12 and CCSF scale (ATI-16) is 0.539 and 0.505, respectively [15]. The ITTF approach corresponds to a
more teacher-centered strategy, while the CCSF approach corresponds to a more student-centered
strategy [13]. and CCSF scale (ATI-16) is 0.539 and 0.505, respectively [15]. The ITTF approach corresponds to a
more teacher-centered strategy, while the CCSF approach corresponds to a more student-centered
strategy [13]. gy
To assess the TPACK dimensions of technological, pedagogical, and content knowledge, we used
a modified version of the HE-TPACK instrument [16]. This instrument measures the TPACK level in
higher education [17]. Originally, this instrument contained 57 items. The modified version we used
consisted of 26 items, including demographic information. Both surveys were answered on a five-point Likert scale ranging from 1 (only rarely true) to 5
most always true). Data analysis: For both the ATI CSSF subscale and the ATI ITTF subscale, we calculated the mean
of the respective items for each respondent as well as the difference between the two means. For the
TPACK survey, we used descriptive statistics for all items. 3. Results We first present the results of the semi-structured interviews on using technology in mathematic
teaching. The interview results are summarized in two main categories: use of technologies in
teaching mathematics, and teaching approaches in mathematics. Second, we present the results of
the Approaches to teaching inventory (ATI) and Technological, Pedagogical, Content Knowledge
(TPACK) survey. 3.1. Recent Use of Technology in Teaching Mathematics 3.2. Teaching Approaches in Mathematics This second part of the interviews focused on using student-centered approaches in teaching,
especially on using Problem-Based Learning (PBL) based on real-life examples. Nearly all teachers are
already attempting to work with real-life examples, especially from physics. Only a few use examples
from electronics or engineering. One teacher has the opportunity to work with examples from industry
partners: “In the practice part, the students have to solve real-life questions in teams of four to five.” Most teachers state that they use real-life examples to capture the interest of their students and
to show how mathematics is applied to real-world problems: “So it is a kind of entertaining math. Because students think that math is difficult.”; “We are all changing the way we teach mathematics. We need
applied mathematics for our students.” In the majority of cases, the teacher prepares a list of real-life
examples and the students can then choose which one they want to solve. We also asked the teachers whether they consider their teaching approach to be more
teacher-focused or more student-focused. Most of the teachers described their approach as 6 of 12 Educ. Sci. 2020, 10, 354 student-focused. They explained that they try to encourage students to discuss topics during the
lectures, or that they motivate students to work together in smaller groups to improve learning. Fewer teachers considered their approach to be more teacher-focused, with a focus on the presentation
of content: “The goal is to deliver math courses.” 3.3. Approaches to Teaching Inventory (ATI) Figure 2 shows the aggregated results of the student-centered subscale (CCSF) and the
teacher-centered subscale (ITTF) of the ATI survey for all 29 teachers. The range for the
Conceptual Change/Student-Focused (CCSF) subscale is 1.0 to 4.4. The range for the Information
Transfer/Teacher-Focused (ITTF) subscale is 2.0 to 4.3. Figure 2. Score of each teacher (n = 29) in the category Information Transfer/Teacher-Focused approach
(ITTF) and Conceptual Change/Student-Focused approach (CCSF) of the Approaches to Teaching
Inventory (ATI); 1 = minimum, 5 = maximum. Figure 2. Score of each teacher (n = 29) in the category Information Transfer/Teacher-Focused approach
(ITTF) and Conceptual Change/Student-Focused approach (CCSF) of the Approaches to Teaching
Inventory (ATI); 1 = minimum, 5 = maximum. To better understand the overall teaching approach of each teacher, we subtracted the ITTF score
from the CCSF score (Figure 3). For example, teacher 10 has an ITTF score of 4 and a CCSF score of
2.75. The overall score is 2.75 −4 = −1.25, which is displayed in Figure 2. The higher the calculated
score, the higher the student-centeredness of an individual teacher. Negative values indicate a more
teacher-focused approach, positive values a more student-focused approach. The quantitative clustering of the results in Figure 3 shows three general clusters: first, teachers with
a stronger teacher-focused approach (left part of Figure 3); second, teachers with a balanced approach
(middle part of Figure 3); and third, teachers with a stronger student-focused approach (right part of
Figure 3). These results show large individual variations in teaching approaches. To see whether the
institution plays a role in the teaching approach, we compared results of the institutions participating
in the survey. No meaningful patterns could be found in this sub-analysis. 7 of 12 Educ. Sci. 2020, 10, 354 Figure 3. Differences of each teacher (n = 29) between the ITTF approach and CCSF approach. Negative values indicate a more teacher-centered approach. Positive values indicate a more
student-centered approach. 3.4. Technological, Pedagogical, Content Knowledge (TPACK)
Figures 4 and 5 present the results of the TPACK survey for all 29 respondents. Figure 4. Results in percent for each item of TPACK questions 1 to 10 (n = 29). Figure 3. Differences of each teacher (n = 29) between the ITTF approach and CCSF approach. Negative values indicate a more teacher-centered approach. Positive values indicate a more
student-centered approach. 3.4. 3.3. Approaches to Teaching Inventory (ATI) Technological, Pedagogical, Content Knowledge (TPACK) Figures 4 and 5 present the results of the TPACK survey for all 29 respondents. Figure 4. Results in percent for each item of TPACK questions 1 to 10 (n = 29). Figures 4 and 5 present the results of the TPACK survey for all 29 respondents. Figures 4 and 5 present the results of the TPACK survey for all 29 respondents. Figure 4. Results in percent for each item of TPACK questions 1 to 10 (n = 29). Figure 4. Results in percent for each item of TPACK questions 1 to 10 (n = 29). Educ. Sci. 2020, 10, 354 8 of 12 8 of 12 Figure 5. Results in percent for each item of TPACK questions 11 to 22 (n = 29). Figure 5. Results in percent for each item of TPACK questions 11 to 22 (n = 29). 3.3. Approaches to Teaching Inventory (ATI) Ranking
ITEM
Disagree/
Strongly Disagree
TPACK Question
1
TK6
10%
I know how to troubleshoot technology problems when
they arise. 2
PK2
7%
I am familiar with a wide range of practices, strategies,
and methods that I use in my teaching. 3
TK5
7%
I am familiar with a variety of hardware, software and
technology tools that I can use for teaching. 4
TPACK 18
7%
I integrate educational technologies to increase student
opportunities for interaction with ideas. 5
TPACK 19
7%
I motivate my students to use learning technologies
to support their individual learning. 6
TPACK21
7%
I understand how to integrate technology to build
upon students’
prior knowledge of curriculum content. 7
TPACK 22
7%
I know how to operate classroom technologies and can
incorporate them into my particular discipline to enhance
student learning. 3.3. Approaches to Teaching Inventory (ATI) Survey items for Figure 4: PK 1:
I have a clear understanding of pedagogy (e.g., designing instruction, assessing
students’ learning); PK 1:
I have a clear understanding of pedagogy (e.g., designing instruction, assessing
students’ learning); PK 2: I am familiar with a wide range of practices, strategies, and methods that I use in my teaching K 2: I am familiar with a wide range of practices, strategies, and methods that I use in my teaching;
K 3: I know how to assess student learning; PK 2: I am familiar with a wide range of practices, strategies, and methods that I use in my teaching
PK 3: I know how to assess student learning; PK 3: I know how to assess student learning; PK 4: I know how to motivate students to learn; TK 5: I am familiar with a variety of hardware, software, and technology tools that I can use
teaching; or teaching;
TK 6: I know how to troubleshoot technology problems when they arise; TK 6: I know how to troubleshoot technology problems when they arise; TK 7: I can decide when technology can be beneficial to achieving a learning objective; CK 8: I have a comprehensive understanding of the curriculum I teach; PCK 11: I understand that there is a relationship between content and the teaching methods used
o teach that content; PCK 12: I can anticipate and address students’ preconceptions and misconceptions; PCK 13: I understand what topics or concepts are easy or difficult to learn; TPK 14: I understand how teaching and learning change when certain technologies are use TPK 15: I understand how technology can be integrated into teaching and learning to help
students achieve specific pedagogical goals; TPK 16: I know how to be flexible with my use of technology to support teaching and learning;
TCK 17: I understand how the choice of technologies allows and limits the types of content ideas
that can be taught;
TPACK 18: I integrate educational technologies to increase student opportunities for interaction g
TPACK 18: I integrate educational technologies to increase student opportunities for interaction
with ideas TPACK 19: I motivate my students to use learning technologies to support their individual learning;
C
d
d
h
k
d ffi
l
l
f
d
d h TPACK 19: I motivate my students to use learning technologies to support their individual learning;
TPACK 20: I understand what makes certain concepts difficult to learn for students and how TPACK 19: I motivate my students to use learning technologies to support their individual learning;
TPACK 20: I understand what makes certain concepts difficult to learn for students and how
technology can be used to leverage that knowledge to improve student learning; y
g
g
pp
g
TPACK 20: I understand what makes certain concepts difficult to learn for students and how
technology can be used to leverage that knowledge to improve student learning; gy
g
g
g
TPACK 21: I understand how to integrate technology to build upon students’ prior knowledge of
curriculum content; Educ. 3.3. Approaches to Teaching Inventory (ATI) Sci. 2020, 10, 354 9 of 12 TPACK 22: I know how to operate classroom technologies and can incorporate them into my
particular discipline to enhance student learning. We clustered the seven questions with the highest rate of “strongly agree” and “agree” responses
and the seven questions with the highest rate of “disagree” and “strongly disagree” responses. Details are shown in Tables 1 and 2. Table 1. Items of the TPACK survey that were most often rated as agree and strongly agree (n = 29). Ranking
ITEM
Agree/
Strongly Agree
TPACK Questions
1
CK10
100%
I make connections between the different topics in my discipline. 2
CK9
96%
I explain to students the value of knowing concepts in
my discipline. 3
CK8
96%
I have a comprehensive understanding of the curriculum I teach. 4
PCK13
93%
I understand what topics or concepts are easy or difficult to learn. 5
TPACK20
93%
I understand what makes certain concepts difficult to learn for
students and how technology can be used to leverage that
knowledge to improve student learning. 6
PK4
86%
I know how to motivate students to learn. 7
TPK 14
86%
I understand how teaching and learning change when certain
technologies are used. Table 2. Items of the TPACK survey that were most often rated disagree and strongly disagree (n = 29). Ranking
ITEM
Disagree/
Strongly Disagree
TPACK Question
1
TK6
10%
I know how to troubleshoot technology problems when
they arise. 2
PK2
7%
I am familiar with a wide range of practices, strategies,
and methods that I use in my teaching. 3
TK5
7%
I am familiar with a variety of hardware, software and
technology tools that I can use for teaching. 4
TPACK 18
7%
I integrate educational technologies to increase student
opportunities for interaction with ideas. 5
TPACK 19
7%
I motivate my students to use learning technologies
to support their individual learning. 6
TPACK21
7%
I understand how to integrate technology to build
upon students’
prior knowledge of curriculum content. 7
TPACK 22
7%
I know how to operate classroom technologies and can
incorporate them into my particular discipline to enhance
student learning. Table 1. Items of the TPACK survey that were most often rated as agree and strongly agree (n = 29). Table 2. Items of the TPACK survey that were most often rated disagree and strongly disagree (n = 29). 4. Discussion We analyzed the teaching approaches and the technology pedagogical content knowledge of
29 mathematics teachers from ten higher education institutions in nine countries. In the interviews that
were conducted before the survey, the majority of teachers indicated they use a more student-focused
approach. The ATI survey showed, however, large individual variations, with around one-third of
teachers applying a more student-centered approach, one-third applying a more teacher-centered
approach, and one-third applying a mixed approach. These results confirm findings from other studies
that also found varying approaches to learning and various levels of TPACK in higher education Educ. Sci. 2020, 10, 354 10 of 12 teachers, irrespective of type of university [12,18]. As an indicator of a student-centered approach,
most interviewed teachers said they use real-life problems, mostly from physics. teachers, irrespective of type of university [12,18]. As an indicator of a student-centered approach,
most interviewed teachers said they use real-life problems, mostly from physics. During the interviews, when discussing teaching approaches, we had the impression that many
teachers had not really thought about their approach. For example, when asked whether their teaching
is more student-centered or more teacher-centered, teachers answered that they have a student-based
evaluation of their courses and thus consider their approach to be student-centered. The standardized
ATI survey provides a more precise and standardized picture of the student-centeredness versus
teacher-centeredness of the respondents and shows large variety in student-centeredness. The TPACK survey revealed high approval for content-related items but lower approval for
technology-related items. The interviews showed that learning platforms are mostly used for sharing
materials, but almost never for interactive or self-regulated activities. While WiFi is available in all
classes, it is mostly used by students for following the lecture but not used by the teacher for active
learning in the classroom. Overall, in our study, the support of TPACK items that address the interaction
of technology, pedagogy, and content is lower than items on pedagogical and content knowledge alone. While a direct comparison of TPACK levels from different studies is difficult, as studies use varying or
modified TPACK surveys, earlier research also shows the same trend, with higher pedagogical and
content-related knowledge areas and lower technology-related TPACK knowledge areas [12]. 4. Discussion Based on these results, we see a strong need for continuous training of mathematics teachers in
two fields: first, the use of technology in teaching, especially for fostering student-centered teaching,
and second, the promotion of mathematics teachers’ awareness of current technologies that can support
content-related pedagogy. These findings are already discussed within the ITEM consortium and
will help to shape future teacher training workshops. A recent review of meta-analyses has indeed
shown that TPK, TCK, and TPACK show the highest effect sizes for effectively using technology in the
mathematics classroom and should thus be considered in teachers’ trainings [4]. Other studies have
shown that teachers’ training can indeed improve TPACK levels [12]. As a limitation, the study input comes only from teachers already involved in the ITEM project. As their teaching approaches and institutional contexts are quite diverse, we believe that our findings
might also be relevant for other higher education institutions. However, given the convenience
sampling that we applied, these results cannot be seen as representative of the institutions involved or
for mathematics teaching in general. In this study, we had expected to see some patterns of teaching approaches between institutions,
but the sample size was too small to derive meaningful patterns. For this study, we developed a new approach to subtract the ATI student-centered scale from the
ATI teacher-centered scale to get a better picture of the individual teaching approach. We were not able
to validate this approach based on the ATI literature. Such a formal validation of the resulting score
should therefore be performed in a future study. Training workshops for ITEM teachers are now being planned within the ITEM project. We plan to
repeat the ATI and TPACK survey with the same teachers upon completion of the training. We would
expect an increase in student-centered approaches and in technological as well as technological
pedagogical knowledge. Indeed, earlier research has found that tailored training for teachers can
significantly enhance the integrated TPACK scores [12] and that pedagogical training can foster a more
student-centered approach [19]. 5. Conclusions Our results from a survey of mathematics teacher from seven higher education institutions show
large individual variations in teaching approaches, technological competencies, and institutional
support. Educating and supporting teachers in embracing educational technologies thus needs to
be tailored strongly to the individual needs and the available institutional support resources and
infrastructure. The results especially indicate that teacher training needs to focus on competencies in
the interaction of technology, pedagogy, and content in mathematics teaching. Educ. Sci. 2020, 10, 354 11 of 12 11 of 12 Supplementary Materials: The following are available online at http://www.mdpi.com/2227-7102/10/12/354/s1:
Online Survey ATI 16 and TPACK; Semi-structured Interview Guide. Author Contributions: Conceptualization, R.N.; E.A.; E.F.; R.T.G. and E.T.; methodology, R.N.; E.G.A.; E.F. and E.T.; formal analysis, R.N. and E.A.; investigation, R.N. and W.O.H.; data curation, R.N. and W.O.H.;
writing—original draft preparation, R.N. and E.A.; writing—review and editing, E.A.; E.F.; E.T.; R.T.G.; I.G.A.; K.P. and W.O.H.; supervision E.G.A.; project administration R.N. All authors have read and agreed to the published
version of the manuscript. Funding:
This research has been funded with support from the European Commission (grant number
2018-3265/001-001). This publication reflects the views only of the author, and the Commission cannot be
held responsible for any use which may be made of the information contained therein. Conflicts of Interest: The authors declare no conflict of interest. References 1. Kafyulilo, A.; Fisser, P.; Pieters, J.; Voogt, J. ICT Use in Science and Mathematics Teacher Education in
Tanzania: Developing Technological Pedagogical Content Knowledge. Australas J. Educ. Technol. 2015, 31. [CrossRef] 1. Kafyulilo, A.; Fisser, P.; Pieters, J.; Voogt, J. ICT Use in Science and Mathematics Teacher Education in
Tanzania: Developing Technological Pedagogical Content Knowledge. Australas J. Educ. Technol. 2015, 31. [CrossRef] 2. Yigit, M. A Review of the Literature: How Pre-service Mathematics Teachers Develop Their Technological,
Pedagogical, and Content Knowledge. Int. J. Educ. Math. Sci. Technol. 2014, 2. [CrossRef] 2. Yigit, M. A Review of the Literature: How Pre-service Mathematics Teachers Develop Their Technological,
Pedagogical, and Content Knowledge. Int. J. Educ. Math. Sci. Technol. 2014, 2. [CrossRef] 3. Crawford, A.; Abdulwahed, M.; Jaworski, B. Institutional repository innovative approaches to teaching
mathematics in higher education: A review and critique. Nord. Stud. Math. Educ. 2012, 17, 49–68. 3. Crawford, A.; Abdulwahed, M.; Jaworski, B. Institutional repository innovative approaches to teaching
mathematics in higher education: A review and critique. Nord. Stud. Math. Educ. 2012, 17, 49–68. 4. Young, J.R. Unpacking TPACK in Mathematics Education Research: A Systematic Review of Meta-Analyses. Int. J. Educ. Methodol. 2016, 2, 19–29. [CrossRef] 4. Young, J.R. Unpacking TPACK in Mathematics Education Research: A Systematic Review of Meta-Analyses. Int. J. Educ. Methodol. 2016, 2, 19–29. [CrossRef] 5. Kirikçilar, R.G.; Yıldız, A. Technological Pedagogical Content Knowledge (Tpack) Craft: Utilization of the
TPACK when Designing the Geogebra Activities. Acta Didact. Napoc. 2018, 11, 101–116. [CrossRef] 5. Kirikçilar, R.G.; Yıldız, A. Technological Pedagogical Content Knowledge (Tpack) Craft: Utilization of the
TPACK when Designing the Geogebra Activities. Acta Didact. Napoc. 2018, 11, 101–116. [CrossRef] 6. Tondeur, J.; Van Braak, J.; Ertmer, P.A.; Ottenbreit-Leftwich, A. Understanding the relationship between
teachers’ pedagogical beliefs and technology use in education: A systematic review of qualitative evidence. Educ. Technol. Res. Dev. 2017, 65, 555–575. [CrossRef] 6. Tondeur, J.; Van Braak, J.; Ertmer, P.A.; Ottenbreit-Leftwich, A. Understanding the relationship between
teachers’ pedagogical beliefs and technology use in education: A systematic review of qualitative evidence. Educ. Technol. Res. Dev. 2017, 65, 555–575. [CrossRef] 7. Petridis, K. Innovative Teaching Education in Mathematics—iTEM: Erasmus+ Key Action 2 Joint Project:
Capacity Building in the Field of Higher Education, Project Reference Number: 2018. 598587-EPP-1-2018-
EL-EPPKA2-CBHE-JP-ENV2 for years 2018-2021, Erasmus+ Project Proposal 2018. 8. Savery, J.R. Overview of Problem-based Learning: Definitions and Distinctions. Interdiscip. J. Probl. Learn. 2006, 1, 3. [CrossRef] 9. © 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/). References Mishra, P.; Koehler, M.J. Technological Pedagogical Content Knowledge: A Framework for Teacher Knowledge. Teach. Coll. Rec. 2006, 108, 1017–1054. [CrossRef] 10. mkoehler. Using the TPACK Image. Published on 11 May 2011. Available online: https://matt-koehler.com/
tpack2/using-the-tpack-image/ (accessed on 23 June 2020). 11. Salas-Rueda, R.-A. TPACK: Technological, Pedagogical and Content Model Necessary to Improve the
Educational Process on Mathematics through a Web Application? Int. Electron. J. Math. Educ. 2019, 1, em0551. [CrossRef] 12. Rienties, B.; Brouwer, N.; Carbonell, K.B.; Townsend, D.; Rozendal, A.-P.; Van Der Loo, J.; Dekker, P.;
Lygo-Baker, S. Online training of TPACK skills of higher education scholars: A cross-institutional impact
study. Eur. J. Teach. Educ. 2013, 36, 480–495. [CrossRef] 13. Trigwell, K.; Prosser, M. Development and Use of the Approaches to Teaching Inventory. Educ. Psychol. Rev. 2004, 16, 409–424. [CrossRef] 14. Harshman, J.; Stains, M. A review and evaluation of the internal structure and consistency of the Approaches
to Teaching Inventory. Int. J. Sci. Educ. 2017, 39, 918–936. [CrossRef] 15. Monroy, F.; González-Geraldo, J.L.; Hernández-Pina, F. A psychometric analysis of the Approaches to Teaching
Inventory (ATI) and a proposal for a Spanish version (S-ATI-20). [Análisis psicométrico del cuestionario
Approaches to Teaching Inventory (ATI) y propuesta en castellano (S-ATI-20)]. Anales de Psicología 2015,
31, 20. [CrossRef] 16. Garrett, K.N. A Quantitative Study of Higher Education Faculty Self-Assessments of Technological,
Pedagogical and Content Knowlege (TPACK) and Technology Training. Ph.D. Thesis, University of
Alabama, Tuscaloosa, AL, USA, 2014. 12 of 12 Educ. Sci. 2020, 10, 354 17. Kaplon-Schilis, A.; Lyublinskaya, I. Analysis of Relationship Between Five Domains of TPACK Framework:
TK, PK, CK Math, CK Science, and TPACK of Pre-service Special Education Teachers. Technol. Knowl. Learn. 2019, 25, 25–43. [CrossRef] Iqbal, T.; Saeed, A.; Akhter, M. A Study of University Teachers’ Approaches to Teaching at Undergraduate
Level in Punjab, Pakistan. Bull. Educ. Res. 2019, 41, 147–162. j
19. Postareff, L.; Lindblom-Ylänne, S.; Nevgi, A. A follow-up study of the effect of pedagogical training on
teaching in higher education. High. Educ. 2007, 56, 29–43. [CrossRef] Publisher’s Note: MDPI stays neutral with regard to jurisdictional claims in published maps and institutional
affiliations. © 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/).
|
https://openalex.org/W2162661205
|
https://www.cambridge.org/core/services/aop-cambridge-core/content/view/A3F22ECF5EFD9FB3A5AB94ADCED4D60F/S1744137414000484a.pdf/div-class-title-coasian-and-modern-property-rights-economics-div.pdf
|
English
| null |
Coasian and modern property rights economics
|
Journal of institutional economics
| 2,014
|
public-domain
| 10,990
|
Journal of Institutional Economics (2015), 11: 2, 391–411 Journal of Institutional Economics (2015), 11: 2, 391–411 Journal of Institutional Economics (2015), 11: 2, 391–411
C⃝Millennium Economics Ltd 2014
doi:10.1017/S1744137414000484
First published online 30 September 2014 ∗Email: Kirsten.Foss@nhh.no
∗∗Email: njf.smg@cbs.dk
1 http://www.nobelprize.org/nobel_prizes/economic-sciences/laureates/1991/coase-facts.html Coasian and modern property rights
economics KIRSTEN FOSS
∗
Department of Strategy and Leadership, Norwegian School of Economics, Norway KIRSTEN FOSS
∗
Department of Strategy and Leadership, Norwegian School of Economics, Norway NICOLAI FOSS
∗∗
Department of Strategic Management and Globalization, Copenhagen Business School; Denmark, and Department of
Strategy and Leadership, Norwegian School of Economics, Bergen Department of Strategic Management and Globalization, Copenhagen Business School; Denmark, and Department of
Strategy and Leadership, Norwegian School of Economics, Bergen Abstract: Laying the foundations of property rights economics stands out among
Ronald Coase’s many seminal contributions. This approach had an impact on a
number of fields in economics in, particularly, the 1960s and 1970s. The modern
body of property rights economics mainly originates in the work Oliver Hart and
is quite different in style, scope, and implications from the original property rights
economics of Coase, Demsetz, Alchian, Cheung, Umbeck, Barzel, etc. Based on
our earlier work on the subject (Foss and Foss, 2001), we argue that the change
from Mark I to Mark II property rights economics led to a substantial narrowing
of the scope of property rights economics, somewhat akin to a Kuhnian loss of
content. In particular, Mark II property rights economics make strong
assumptions concerning the definition and enforcement of ownership rights made
which lead to many real life institutions and governance arrangements being
excluded from consideration, and a much more narrow focus than that of the rich
institutional research program initiated by Coase and his followers. 1. Introduction The 1991 Nobel Prize in economics was conferred upon Ronald H. Coase
for his ‘discovery and clarification of the significance of transaction costs
and property rights for the institutional structure and functioning of the
economy’.1 To be sure, notions of property rights were sometimes mentioned
in the economics literature prior to Coase’s 1960 paper, ‘The Problem of
Social Costs’. Thus, perceptive economists hinted that property rights come
in different form and this may influence outcomes. Important, early examples
are Knight’s (1924) property rights-based critique of Pigou’s analysis of how
taxation may address road congestion problems; Mises’ (1936) critique of
how socialist economists neglected the incentive problems that accompany the
property rights arrangements of socialist economies; Berle and Means’ (1932) 391 https://doi.org/10.1017/S1744137414000484 Published online by Cambridge University Press KIRSTEN FOSS AND NICOLAI FOSS 392 notion of the separation of ownership and control in US business; or Alchian’s
(1958) analysis of the economics of the university. However, it was Coase’s
1960 paper (anticipated, of course, by Coase, 1959) that established the property
right as a distinct and important unit of analysis in economics, and outlined a
program for understanding the economic role of organizations and institutions
based on property rights insights. These new insights are based on a fine-grained,
yet expanded understanding of the constraints that agents face, rooted in the
idea that property rights can be held, defined, exchanged, and enforced across
the multiple attributes (uses, functionalities) of assets (Barzel, 1997; Coase,
1960). The introduction of property rights in Coase (1960) was, of course,
accompanied by an emphasis on transaction costs as determinants of how well
property rights are delineated and enforced. Earlier contributions to economics,
such as Pigovian welfare economics (Coase, 1960) or monopoly theory (Demsetz,
1964), was criticized for making unwarranted, implicit assumptions about
transaction costs, notably that were either entirely absent (e.g. the model
of perfect competition) or infinite (e.g. Pigovian welfare economics which
assumes that welfare-increasing trades are not possible between those who cause
externalities and those who suffer them; Coase, 1960).2 Such assumptions make
it difficult to understand how real world agents create institutions and otherwise
solve problems related to the allocation and enforcement of property rights. 2 Pagano (2000) argues that Mark II PRE works with a ‘Swiss cheese assumption’: Holes of infinite
transaction costs are carved in an otherwise smooth surface of zero transaction costs. Coasian and modern property rights economics In hindsight, one may question whether Furubotn and Pejovich were right—in
particular with respect to whether the approach exhibited ‘continuing vitality’
and ‘accomplishment’. On the one hand, influential economists, like Armen
Alchian, Yoram Barzel, Stephen Cheung, Harold Demsetz, Eirik Furubotn, and
John Umbeck, were directly associated with PRE, and Nobel Prize-winning
economists Douglass North and Elinor Ostrom were active users of PRE
their applied work. On the other hand, however, few economists today define
themselves as working in the tradition of the PRE of the 1960s3—a tradition
that we here call ‘Mark I PRE’. However, this is not to say that notions
of property rights are unimportant in contemporary economics. In fact, the
arguably dominant contemporary approach to the economics of the firm is often
called ‘property rights theory’ (Grossman and Hart, 1986; Hart and Moore,
1990; Segal and Whinston, 2012), what we call ‘Mark II PRE’. However,
contributors to the Mark II research stream provide at best sparse reference to
the older property rights literature. For example, a recent authoritative chapter
on ‘property rights’ (Segal and Whinston, 2012) published in the prestigious
Handbook of Organizational Economics (Gibbons and Roberts, 2012) only
mentions Coase (1960) and Demsetz (1967) in passing, and then concentrate all
the attention on the modern, Mark II approach, associated in particular with
the work of Oliver Hart (Grossman and Hart, 1986; Hart and Moore, 1990). In the modern literature, key contributors to the Mark I PRE, like Alchian and
Demsetz, are typically cited for their contributions to the economics of the firm
(Alchian and Demsetz, 1972; Klein et al. 1978) rather than for their contributions
to ‘pure’ PRE. This lack of attention to older work on property rights may seem puzzling. The puzzle vanishes, however, when it is realized that the economics of property
rights Mark I was only one among many other advances in a decade, namely,
the 1960s, that was extraordinarily rich in theoretical innovation in economics. Modern PRE finds its origins in some of these other advances rather than in
Mark I PRE. Moreover, Mark I property rights theorists largely worked in the
nonmathematical mode of theorizing sometimes referred to as ‘UCLA-Chicago
price theory’ (e.g. Green, 1986). 3 Examples of currently active Mark I scholars include Douglas Allen, Lee Alston, Thrainn Eggertson,
Gary Libecap, and Dean Lueck. 1. Introduction These ideas spawned a literature on property rights economics (henceforth,
‘PRE’) that spanned across economic history (Alchian and Demsetz, 1973; North,
1990), industrial organization (e.g., Alchian and Demsetz, 1972; Alessi, 1983),
contract economics (Cheung, 1969, 1970), resource and agricultural economics
(Allen and Lueck, 1998; Anderson and Hill, 1990; Libecap, 1989; Schlager and
Ostrom, 1992, law and economics (e.g., Calabresi and Melamed, 1972; Lueck,
1995), and comparative systems (Furubotn and Pejovich, 1972). Much of the early property rights literature focused on identifying differences
in outcomes (i.e. allocative efficiency) of alternative systems of property rights. This literature also addressed the emergence and transformation of property
rights (Demsetz, 1967), the connectedness of property rights in systems (Alchian,
1965), and their connections to law, norms, and customs (Demsetz, 1964). Toward the end of the 1960s, it would be warranted to think of the ‘economics
of property rights’ as a clearly successful approach. Thus, in a 1972 review
article Furubotn and Pejovich (1972: 1156) declared that ‘property rights
analysis does offer a fresh and useful way of looking at economic problems. Substantial advances have already been achieved and the literature gives evidence
of continuing vitality and promise of future accomplishment’. https://doi.org/10.1017/S1744137414000484 Published online by Cambridge University Press 393 Coasian and modern property rights economics https://doi.org/10.1017/S1744137414000484 Published online by Cambridge University Press Coasian and modern property rights economics In contrast many of the other advances of the
1960s, such as the economics of uncertainty and information, human capital
theory, and the first stabs at what would later be called ‘agency theory’ and
‘mechanism design’, were made within the confines of the general equilibrium
theory that dominated pure theory. Mark II PRE is directly placed within this
tradition, as filtered through the game theoretical revolution of the 1980s. This
helps explain the fact that Mark I property rights theorists are seldom cited
in modern research on property rights of the Mark II variety; the ‘style’ of
doing research is arguably too different. More broadly, it may explain why https://doi.org/10.1017/S1744137414000484 Published online by Cambridge University Press KIRSTEN FOSS AND NICOLAI FOSS 394 the dominant analytical lens on property rights shifted from the Mark I to the
Mark II approach, because the increasing emphasis on formalization meant that
earlier insights expressed in a purely mode were either subsumed under a formal
approach or banished from economics. Thus, more is at stake here than whether the earlier economists who
contributed the founding, seminal insights get the credit they are due. To be sure,
much of Mark I PRE analysis has been absorbed in the economic mainstream (e.g. the basic idea that externality problems are caused by ill-defined and/or costly-
to-trade property rights). But not all that was important has been absorbed, and
modern PRE is considerably narrower than the approach pioneered by Coase. In fact, we argue that the change from Mark I to Mark II PRE has some of the
features of a Kuhnian ‘loss of content’ of paradigmatic change (Kuhn, 1996). We do not want to press the claim that we are, in fact, talking about a genuine
Kuhnian loss of content, first, because PRE hardly qualifies as a paradigm in
the sense of Kuhn, and, second, because Mark I PRE, while superseded by
Mark II PRE, is still in use among practicing economists. For example, it is
used by agricultural and resource economists and economic historians (e.g.,
Allen and Lueck, 1998; Anderson and Hill, 1990). However, the loss of content
terminology is fitting for a number of reasons. gy
g
First, PRE Mark II represents a substantially narrower approach in terms of
the phenomena it investigates, namely why it matters who owns the asset(s) in a
relation that spans at least two stages of production in a value chain. 4 Consider the Coase theorem. Focusing solely on asset ownership allows only for one market solution
to externalities, namely a redistribution of ownership (integration). In contrast, the Mark I PRE allows
for a much more nuanced analysis, as assets are perceived of as bundles of property rights that may be
held by different individuals as well as constrained in various ways. (Alchian, 1965; Barzel, 1997; Coase,
1960). Coasian and modern property rights economics The analysis
is typically, if not exclusively, cast in the context of vertical firm boundaries
(Grossman and Hart, 1986; Hart and Moore, 1990) and internal organization
(e.g., Rajan and Zingales, 1998). Second, and more importantly Mark II PRE
deals predominantly with ownership rather than with the analytically different
(and arguably broader) category of property rights. In Mark II PRE, ownership
is seen as conferred by holding legal title to an asset, and gives owner ‘residual
rights of control’, that is, rights to make decisions in situations that are not
covered by contract. This implies that the scope of the analysis becomes more
narrow.4 Third, in Mark II PRE ownership is seen as unambiguous and is
assumed to be indivisible, perfectly defined and enforced. These assumptions
make it unnecessary to inquire into the legal and other institutions that support
asset ownership. In contrast, Mark I PRE stress that effective ownership is
dependent on private and legal enforcement of claims to ownership, establishing
a broader link to institutions (Hansman, 1996; Sened, 1997). In the following
we substantiate these arguments. https://doi.org/10.1017/S1744137414000484 Published online by Cambridge University Press 395 Coasian and modern property rights economics Mark I property rights economics: overall characteristics Overviews of Mark I PRE (e.g. Alessi, 1990; Eggertson, 1990; Furubotn and
Pejovich, 1972) typically portray the approach as a rather straightforward
extension of basic price theory, or applied neoclassical economics. Specifically,
PRE Mark I is characterized by the key heuristics that (1) the utility maximization
hypothesis should be applied to literally all choices (Alchian, 1958, 1965; Barzel,
1997); (2) all of the constraints implied by the prevailing structure of property
rights and transaction costs must be taken into account (e.g. Demsetz, 1964;
and (3) the contractual, organizational, and institutional implications of (1) and
(2) must be identified and explained (Alessi, 1990). To put it in a compact
manner, PRE is about the explanatory consequences of an expanded and refined
understanding of individuals’ opportunity sets relative to standard price theory
(Umbeck, 1981). Property rights may be seen as the explanatory vehicle that is
deployed to unfold this view (Barzel, 1997). The older property rights literature typically defines property rights as the
rights to exercise choices over productive resources and to keep the income
derived from their use (Alchian, 1965).5 In other words, at the heart of
the (economic) notion of property right is effective control (Barzel, 1997). Transaction costs, in this conception, are not simply the ‘frictions’ associated
with trading—finding trading partners, writing contracts, hiring lawyers—, but
are more generally the resources spent on delineating, protecting, and capturing
de facto property rights (Barzel, 1994, 1997; Eggertson, 1990), whether these
rights are being traded or not.6 5 Legal scholars distinguish between ‘property’ and ‘possession’. The early property rights economists
typically side-stepped this distinction. This has led to the arguably confusing use of the notion of ‘property
right’ for what is essentially ‘effective control’, which, however, may not, properly speaking be a ‘right’
(e.g. a criminal can exercise effective control over assets, even if this control is not socially sanctioned).
We discuss this later. 6 Allen (1991) usefully distinguishes between a narrow, trade-based notion of transaction costs,
which he calls the ‘neoclassical approach’, and a broader, property-rights view. In the neoclassical view,
transaction costs are analogous to search costs or transportation costs, and can be analyzed as any other
cost of doing business. https://doi.org/10.1017/S1744137414000484 Published online by Cambridge University Press 2. The development of property rights economics Mark I property rights economics: overall characteristics 5 Legal scholars distinguish between ‘property’ and ‘possession’. The early property rights economists
typically side-stepped this distinction. This has led to the arguably confusing use of the notion of ‘property
right’ for what is essentially ‘effective control’, which, however, may not, properly speaking be a ‘right’
(e.g. a criminal can exercise effective control over assets, even if this control is not socially sanctioned).
We discuss this later.
6 Allen (1991) usefully distinguishes between a narrow, trade-based notion of transaction costs,
which he calls the ‘neoclassical approach’, and a broader, property-rights view. In the neoclassical view,
transaction costs are analogous to search costs or transportation costs, and can be analyzed as any other
cost of doing business. The property right: a new unit of analysis The arguably central analytical innovation of Coase (1960) is the introduction
of a new unit of analysis, namely the property right, and the ‘corollary’ notion
of exchange as involving the more or less costly exchange of more or less well-
defined property rights. The specific context for the introduction of property
rights as a new analytical unit is a discussion of the economic implications of
different allocations of legally delineated rights (liability rights) to a subset of
the total uses of an asset, namely those that have external effects on the value of
other agents’ abilities to exercise their use rights over assets. In his critique of the
Pigovian approach in welfare economics, Coase (1960: 155) notes that a reason
for the failure of this approach to come fully to grips with externality issues lies
in its ‘faulty concept of a factor of production’ which is ‘usually thought of as a
physical entity which the business-man acquires and uses‘. According to Coase
(1960: 144), it is often more productive to think of a production factor, not as
a physical entity but as a right to perform certain actions: ‘We may speak of a
person owing land and using it as a factor of production but what the land-owner
in fact possesses is the right to carry out a circumscribed list of actions’. Coase
explicitly motivates the introduction of property rights as a new analytical unit
by stating that ‘it becomes easier to understand that the right to do something
which has a harmful effect (such as the creation of smoke, noise, smells, etc.) is
also a factor of production’ (ibid.). An important difference between assets (understood as factors of production)
and property rights is that the property rights notion allows for a more nuanced
analysis of the link between asset uses and the creation of value under different
social settings and legal and other social institutions. Thus, the value that an asset
can produce in a particular use does not only depend on its quality, but also one
the restrictions facing the owner in that particular use or setting in which it is
deployed. Coase (1960: 145) explicitly discusses this in connection with land as a factor
of production. He points out that the rights of a land-owner are not unlimited. It is not even always possible for him
to remove the land to another place. Coase (1960) PRE was founded with the explicit introduction of a new unit of analysis—
namely, the property right—in a relatively specific context, namely the analysis of
externalities in Coase (1960). The three characteristics of Mark I PRE mentioned
above unfolded only gradually over the following two decades, building from
Coase’s (1960) breakthrough. For example, the full implications of what trade
can accomplish under the zero transaction costs assumption [e.g. monopolies do
not influence resource allocation (Demsetz, 1964), all institutional alternatives 5 Legal scholars distinguish between ‘property’ and ‘possession’. The early property rights economists
typically side-stepped this distinction. This has led to the arguably confusing use of the notion of ‘property
right’ for what is essentially ‘effective control’, which, however, may not, properly speaking be a ‘right’
(e.g. a criminal can exercise effective control over assets, even if this control is not socially sanctioned). We discuss this later. 6 Allen (1991) usefully distinguishes between a narrow, trade-based notion of transaction costs,
which he calls the ‘neoclassical approach’, and a broader, property-rights view. In the neoclassical view,
transaction costs are analogous to search costs or transportation costs, and can be analyzed as any other
cost of doing business. https://doi.org/10.1017/S1744137414000484 Published online by Cambridge University Press KIRSTEN FOSS AND NICOLAI FOSS 396 are efficient (Cheung, 1969), market structure is indeterminate (Furubotn, 1999),
etc.] emerged as a result of critical reflection on the analytical benchmark in
Coase (1960). While that benchmark has attracted massive attention, Coase
himself toned down the importance of the ‘Coase theorem’. What matters, Coase
has repeatedly stated, is exploring the many legal, contractual, and institutional
ramifications of transaction costs (Coase, 1988). As late as in 1992, Coase argued
that this research program was still in its infancy (Coase, 1992). The evolution of Mark I property rights economics since Coase (1960) The understanding of property rights evolved within Mark I PRE since Coase
(1960). For example, Demsetz (1964) and Alchian (1965) went beyond Coase’s
focus on use rights, defining property rights as individuals’ rights to use, derive
income from, and alienating assets, a definition corresponding to the partition
in Roman law between usus, fructus, and abusus, respectively. The relation
to property law was also debated.7 It became an increasingly commonly held
view that property rights can be meaningfully analyzed separately from legal
considerations (some scholars therefore talk about ‘economic rights’, e.g. Barzel,
1997). In fact, some scholars argued that property rights may exist in the absence
of the state, that is, under wholly anarchic conditions (Bush and Mayer, 1974;
Umbeck, 1981). Physical force or strong social norms may guarantee de facto
control over the uses of and income from a resource. Finally, Mark I property
rights theorists argued that from an economic perspective property rights can
be understood in value terms and that agents seek to maximize the value of the
control they hold over assets. In line with such ideas, Alchian and Allen (1969: 158) offered a highly compact
definition of property rights as ‘the expectations a person has that his decision
about the uses of certain resources will be effective’ (see also Cheung, 1970). This understanding places all of the emphasis on effective control and completely
deemphasizes any legal connotations of the property rights construct.8 In a more
recent statement, Barzel (1994: 394; emphasis in original) defines property rights
as as an individual’s net valuation, in expected terms, of the ability to directly
consume the services of the asset, or to consume it indirectly through exchange. A key word is ability: The definition is concerned not with what people are
legally entitled to do but with what they believe they can do. an individual’s net valuation, in expected terms, of the ability to directly
consume the services of the asset, or to consume it indirectly through exchange. A key word is ability: The definition is concerned not with what people are
legally entitled to do but with what they believe they can do. consume the services of the asset, or to consume it indirectly through exchange. A key word is ability: The definition is concerned not with what people are
legally entitled to do but with what they believe they can do. 8 This may be contrasted with Honor`e’s (1961: 115) position that to ‘have worked out the notion of
“having a right to” as distinct from merely “having” . . . was a major intellectual achievement. Without
it society would be impossible’. 7 It is, however, questionable how much these discussions were informed legal theory. As an
illustration legal scholar Honor`e (1961) identified no less than eleven different types of property rights, a
number of which are not captured by the types identified by PRE scholars. Coasian and modern property rights economics Coasian and modern property rights economics of buildings or to grow certain crops or to use particular drainage systems on
the land. This does not come about simply because of Government regulation. It would be equally true under the common law. In fact it would be true under
any system of law. A system in which the rights of individuals were unlimited
would be one in which there were no rights to acquire. The property right: a new unit of analysis For instance, by carrying it. And although
it may be possible for him to exclude some people from using ‘his’ land, this
may not be true of others. For example, some people may have the right to
cross the land. Furthermore, it may or may not be possible to erect certain types https://doi.org/10.1017/S1744137414000484 Published online by Cambridge University Press 397 7 It is, however, questionable how much these discussions were informed legal theory. As an
illustration legal scholar Honor`e (1961) identified no less than eleven different types of property rights, a
number of which are not captured by the types identified by PRE scholars.
8 This may be contrasted with Honor`e’s (1961: 115) position that to ‘have worked out the notion of
“having a right to” as distinct from merely “having” . . . was a major intellectual achievement. Without https://doi.org/10.1017/S1744137414000484 Published online by Cambridge University Press 9 Much subsequent work within property rights economics has refined this insight, applying it to
issues like public ownership and the public corporation. Barzel’s (1997) work in particular has been taken
up with examining the behavioral and allocative consequences of the multi-attribute nature of most assets. The evolution of Mark I property rights economics since Coase (1960) Property rights in such definitions refer to an individual’s expected opportunity
set, that is, to the multiple margins on which economizing may take place. Moreover, in contrast to, for example, the stress on property rights as socially https://doi.org/10.1017/S1744137414000484 Published online by Cambridge University Press KIRSTEN FOSS AND NICOLAI FOSS 398 sanctioned relations between individuals in Demsetz (1967), property rights in
these definitions imply that even Robinson Crusoe will hold property rights. Thus, Demsetz (1967: 347) explicitly argues that sanctioned relations between individuals in Demsetz (1967), property rights in
these definitions imply that even Robinson Crusoe will hold property rights. Thus, Demsetz (1967: 347) explicitly argues that [i]n the world of Robinson Crusoe property rights play no role. Property rights
are an instrument of society and derive their significance from the fact that
they help a man form those expectations which he can reasonably hold in his
dealings with others. These expectations find expression in the laws, customs,
and mores of a society. An owner of property rights possesses the consent
of fellowmen to allow him to act in particular ways. An owner expects the
community to prevent others from interfering with his actions, provided that
these actions are not prohibited in the specifications of his rights. However, other scholars, notably as Alchian, Cheung and Barzel, effectively
divorced the definition of a property right from legal considerations. Thus, in this
understand, a thief holds property rights to the asset he stole to the extent that
he effectively controls it, (Barzel, 1997; Hodgson, 2013). Still, although these
scholars maintain the meaningfulness of talking about property rights even in
the complete absence of law, they do recognize that in actuality such rights have
a legal dimension, and in particular that the value of property rights is influenced
by legal sanction and enforcement (Barzel, 1997). https://doi.org/10.1017/S1744137414000484 Published online by Cambridge University Press Ownership in Mark I property rights economics The introduction of property rights as analytical category created a novel
understanding of the link between assets, value creation, and the legal and other
social institutions that underpin property rights. However, while the introduction
of property rights made it possible to understand many more types of transactions
than those involving the exchange of assets (or factors of production), it also
implied a less clear cut understanding of what it means to own an asset. Mark I PRE typically describes assets in terms of bundles of attributes (uses of
the assets) to which property rights can be held. In this scheme, asset ownership
can be described as the possessing the ‘right to carry out a circumscribed list of
actions’ (1960: 144).9 The vector of rights is circumscribed partly by legal or
governmental restrictions, and, as stressed in the works of particularly Umbeck
(1981) and Barzel (1997), partly by the ability of the holder to exclude others
from the specific uses defined by the rights. Thus, in a Coasian view ownership
does not provide the owner with unlimited rights to assets, only to certain uses of
the asset. In the zero transaction cost setting underlying the Coase Theorem, all
possible uses (including future ones) of assets are known and can be contracted
for (Barzel, 1997; Furubotn, 1991), such that it will be fully clear to an owner of
an asset what actions can be carried out and at what costs. In fact, it is only in https://doi.org/10.1017/S1744137414000484 Published online by Cambridge University Press Coasian and modern property rights economics 399 the setting underlying the Coase Theorem that an actor has a well-defined and
absolute list of the set of actions that follow from the ownership of that asset. Since the zero transaction cost setting is an unrealistic benchmark, ownership
per se is not what is of primary interest in Coase (1960). Indeed, a reading
of that paper leaves one with the impression that ownership is something of
an epiphenomenon, at best derived from the more fundamental notion of use
rights (so that holding a certain minimum bundle of non-trivial use rights make
one the effective owner). Mark I PRE suggests that it is possible to examine
the consequences for allocative efficiency of a contractual allocation of property
rights without involving the notion of ownership at all. Perhaps for this reason,
ownership remained a fuzzy analytical category within Mark I PRE. Why ownership matters A possible unifying interpretation of what asset ownership is about in Mark
I PRE is that it refers to list of unspecified use and thus income rights,
where excludability can be enforced to different degrees, depending on the
particular social arrangement and on who holds ownership. Ownership is thus
fundamentally contingent, not absolute, because it is dependent on private and
legal enforcement. Although ownership is never complete or absolute, it still
has economic importance because it determines who can take action to exclude
non-owners. Such exclusion matters, for example, because it allows prices to be
used as a way of rationing the use of resources and thereby reduces commons
type problems (Barzel, 1997). Ownership also matters because it determines
who can alienate (sell, transfer) assets. The obvious importance of this is that
alienability reduces the transaction costs of taking advantage of opportunities
for wealth creation through exchange (Alchian, 1965). Ownership furthermore
matters because it determines who as a default can decide on new types of uses of
an asset. This matters because it reduces the transaction costs of taking advantage
of hitherto undiscovered or new uses of assets. Finally, ownership determines
how can decide on the use of an asset in case of unforeseen contingencies, which
is of importance as it may act to increase the bargaining power of the owner in a
contractual relation. This final point represents the key insight of Mark II PRE. The ownership conundrum While Mark I PRE increasingly converged on a compact definition of property
rights as effective control, it did not definitively resolve a puzzle that Coase
had left unaddressed: What exactly is the economic meaning and function of
ownership of assets? Until the emergence of the Mark II PRE, the literature has
typically defined the construct opportunistically, that is, depending on the specific
explanatory purpose at hand. For example, Demsetz and Alchian both put much
emphasis on the rights to exclude and alienate as the relevant criteria of private
ownership in their work on systems of property rights. In this work, owners are
the individuals who can exercise these rights (Alchian, 1965; Demsetz, 1967). However, interestingly these authors change their understanding of ownership
when they analyze the organization of the firm and corporate governance, where
owners are defined as those individuals possessing control rights (Demsetz, 1967)
or residual income rights (Alchian and Demsetz, 1972). The modern corporate
finance literature, which to a large extent originates in Mark I PRE (i.e., Alchian
and Demsetz, 1972; Fama and Jensen, 1983; Jensen and Meckling, 1976; Manne,
1965) has tended to define ownership in terms of residual income rights. More
generally, the older property rights literature left unresolved the precise role
played by other types of economic rights besides the use rights stressed by Coase
(1960) (e.g. rights to exclude, alienate and derive income from assets) in the
function of ownership. In fact, Demsetz (1988: 19) argued that the meaning
of ownership is inherently ‘vague’ because there is no bound on the number
of attributes of an asset that can be owned, although he thinks that ‘certain
rights of action loom more important than others. Exclusivity and alienability
are among them’. Indeed, exclusivity and alienability loom large in discussions of
ownership in Mark I PRE. For example, Umbeck (1981: 39) identifies ownership
with the ‘ . . . abilities of individuals, or groups of individuals, to forcefully
maintain exclusivity’. In actuality, such ‘abilities’ depend, of course, on what
are recognized as legitimate claims, and therefore involve historically contingent
circumstances relating to the positions of power and the ability to exercise force
that define and enforce the rights of the owner (Sened, 1997). https://doi.org/10.1017/S1744137414000484 Published online by Cambridge University Press KIRSTEN FOSS AND NICOLAI FOSS 400 10 Early Mark II work is summarized in Hart (1995), while Segal and Whinston (2012) also describe
more recent developments. Coasian and modern property rights economics 401 making sense of ownership, this is seen as a key point by Mark II property rights
theorists: When contracts are incomplete, there will be some contingencies that
are not regulated by the contract. The institution of private ownership of assets
allocates residual use rights to assets owners allowing them to decide on how to
fill the holes of the contract.11 However, saving on the cost of renegotiating contracts is not the main
economic functioning of asset ownership in Mark II property rights theories. Rather, the economic importance of asset ownership stems from the effect that
ownership of nonhuman assets has on contracting parties’ incentives to invest
in human assets. Investments in human assets are assumed to be nonverifiable
by a third party (e.g. courts) and for that reason contracting parties cannot
contract over the costs or the outcomes of such investments. Instead, bargaining
determines the returns from the nonverifiable investments, so that each party gets
his opportunity cost plus a share (assumed equal) of the (verifiable) profit stream. Owning the assets that are complementary to the human capital investment
provides a bargaining lever in an ex post bargaining situation and thus influences
how the surplus from the relation is split. The allocation of ownership to assets
therefore influences the contracting parties’ incentives to make investment in
human assets. A reallocation of ownership of physical assets alters the parties’
opportunity costs of noncooperation after specific investments have been made,
changing the expected payoffs from the human asset investments. A reallocation
of asset ownership may increase the total surplus in the relation, but this comes
about at the cost of reducing one of the parties’ investment incentives (excepting
the situation in which the parties’ marginal costs of investment are equal). This
trade-off determines the efficient allocation of ownership. Mark II PRE starts from the idea that firms are collections of assets and that
joint ownership of nonhuman, alienable assets is what defines the boundaries of
a firm. The role of firms becomes one of solving a particular externality problem
arising from the nonverifiability of human capital: When such investments
cannot be contracted over, private returns differ from social returns. Agents
are sufficiently farsighted to foresee this, and, hence, their investments will be
inefficient. The central issue thus becomes: Who should own the (nonhuman)
asset for (second-best) efficiency to obtain? 11 A now classic critique by Maskin and Tirole (1999) suggests, however, that this is a non sequitur: If
contracting parties can probabilistically anticipate their future payoffs (as assumed by Mark II theorists),
they can also design mechanisms that guarantee efficient contracting and investment levels (which Mark
II PRE denies). https://doi.org/10.1017/S1744137414000484 Published online by Cambridge University Press Mark II property rights economics Whereas the emergence of PRE Mark I may be dated to the publication of Coase
(1960), the emergence of the Mark II stream can be dated to the publication
of Grossman and Hart (1986), an article that has come to define how modern
economists conceptualize ownership and analyze its behavioral and allocative
consequences.10 The impetus to Coase (1960) was the questioning of how to
efficiently allocate use rights to assets like the radio spectrum or cornfields
across multiple potential users, implying multiple potential rival uses. Mark
II PRE emerged in the context of a more narrow problem: What explains the
vertical boundaries of the firm; in particular, what is the role of asset ownership
with respect to explaining firm boundaries? The issue of the boundaries of the
firm is of course a staple of transaction cost economics, and Mark II PRE is
sometimes portrayed as a formal version of Williamsonian transaction cost
economics (Williamson, 1996). Although this is an incorrect characterization (cf. Kreps, 1996; Williamson, 2000), Mark II PRE does borrow one key construct
from transaction cost economics, namely incomplete contracts (a construct that
is not explicitly present in Mark I PRE) (Williamson, 1996). In the context of https://doi.org/10.1017/S1744137414000484 Published online by Cambridge University Press Coasian and modern property rights economics Coasian and modern property rights economics Note that this tacitly assumes that it is possible to unambiguously identify the
owner of an asset. Specifically, Mark II PRE does not address (alienable) assets
that are in the ‘public domain’ (Barzel, 1997) in the sense that other individuals
may spend resources on capturing them without compensating anyone (as in
theft, homesteading, etc.). Thus, all alienable assets are assumed to be fully in https://doi.org/10.1017/S1744137414000484 Published online by Cambridge University Press KIRSTEN FOSS AND NICOLAI FOSS 402 the private domain in the sense that ownership titles are perfectly defined and
perfectly enforced. Mark II PRE scholars seek to ground their understanding of
asset ownership in legal thinking. Thus, Hart (1995: 30n) approvingly quotes
Oliver Wendell Holmes’ understanding of ownership in support of his own view:
‘But what are the rights of ownership? They are substantially the same as those
incidents to possession. Within the limits prescribed by policy, the owner is
allowed to exercise his natural powers over the subject-matter uninterfered with,
and is more or less protected in excluding other people from such interference. The owner is allowed to exclude all, and is accountable to no one’. Solving the ownership conundrum? In Mark II PRE a fundamental distinction obtains between specific rights of
control that can be allocated by contract and residual rights of control that
are allocated by ownership. Ownership is defined as the legally defined and
enforced possession of an asset. Specific rights of control are delineated and
directly allocated through contract, while residual rights of control are obtained
through the legal ownership of assets and imply the ‘right to decide usages of the
asset in uncontracted-for contingencies’ (Hart, 1996: 371), as well as the right
to ‘decide when or even whether to sell the asset’ (Hart, 1995: 65). The notion that ownership is what allocates residual rights of control would
seem to be a legally grounded solution to the ownership conundrum in Mark
I PRE. However, the solution comes about by means of strong simplifications
(Demsetz, 1998; Foss and Foss, 2001), specifically by making the two closely
related implicit assumptions that ownership is (1) well-defined and (2) perfectly
enforced/noncontestable. These assumptions ease analysis because they imply
that an owner of an asset has full control over the use of the assets in situations
that are not covered by a contract (this simplifies the analysis of the bargaining
situations), and because firm boundaries can be identified unambiguously
(namely in terms of who owns which assets). However, these assumptions are
also at variance with Mark I PRE. In his review of Hart (1995), Demsetz (1998: 449; emphasis in original) points
out that ‘Hart writes as though he thinks that asset ownership is an unambiguous
concept’. Mark I PRE theorists such as Demsetz generally question whether
asset ownership is that ‘unambiguous’ or even well-defined. For example, Barzel
(1997) argues it is often more fruitful to focus on the property rights to attributes
of assets rather than on the ownership of assets. The reason is that most assets
have so many attributes (many may be nonspecified or as yet unknown) that
the notion of ownership of assets is vague. Likewise, Demsetz argues that ‘full
private ownership’ over assets is vague, and ‘ . . . must always remain so, for
there is an infinity of potential rights of actions that can be owned . . . It is
impossible to describe the complete set of rights that are potentially ownable’
(Demsetz, 1988: 19). Solving the ownership conundrum? Thus, ignorance about the full set of uses, present and https://doi.org/10.1017/S1744137414000484 Published online by Cambridge University Press https://doi.org/10.1017/S1744137414000484 Published online by Cambridge University Press Coasian and modern property rights economics 403 future, of assets suggests that neither the owner nor the contracting partner can
have precise expectations regarding the value of the residual control rights.12 In Mark II PRE, the key issue is why it matters who owns the asset. Assuming
that ownership is unambiguous is, of course, highly convenient as it allows for
an equally unambiguous identification of the owner of any given (owned) asset
and therefore in turn allows the boundaries of the firm to be unambiguously
defined. As already discussed, the logic by which ownership comes to be seen as
being an unambiguous construct is, however, not entirely transparent. The main rival in the literature to the understanding of ownership as the
legally defined and enforced possession of residual control rights is the notion of
ownership as the possession of residual income rights, typically associated with
the corporate finance literature (e.g. Laporta et al. 1999). Hart (1995: 63–66)
suggests that the residual income notion is ‘ . . . not a very robust or interesting
theoretical concept’ (1995: 64). Residual income rights are not useful as a notion
of ownership, since they can easily be divided which residual control rights
cannot ‘in the same way’ (1995: 64n). Perhaps Hart means that residual rights
of control cannot be allocated ex ante between parties (Foss and Foss, 2001). In
contrast, residual rights to income can in principle be allocated ex ante in any
way between the parties. While it is true that a given residual control right to a
specific set of uses of an asset can be difficult to share between parties (Demsetz,
1998), this does not mean that residual control rights to assets are necessarily
nonshareable between individuals. One can imagine arrangements where an
individual effectively controls an asset (e.g. a taxi) on specific weekdays whereas
another individual controls it on other weekdays. Hart admits that residual
rights of control are in fact divisible in such a way (e.g. he talks about ‘forms
of intermediate ownership’ that cover this; Hart, 1995: p 61). Of course, while
control rights may be divisible someone has to be the ‘ultimate’ owner in the
sense that only she can veto the use of an asset. Or, so it would seem. 12 This point was suggested to us by an anonymous reviewer.
13 In the context of corporate governance research Chassagnon and Hollandts (2013) argue that the
issue of who owns the firm remains a vexing one. In fact, they conclude that legal scholarship lends
support to the notion that no one in particular owns the firm. Moreover, no one ‘ . . . owns the firm
because beyond the formal aspects of it that are recognized by law, the firm is a social organization that is
institutionalized separately from the law’ (Chassagnon and Hollandts, 2013: p 10). This does not mean
that an economic analysis of the corporation is ruled out; on the contrary, the authors recommend placing 12 This point was suggested to us by an anonymous reviewer. https://doi.org/10.1017/S1744137414000484 Published online by Cambridge University Press ‘power’ centrally in the analysis of firm boundaries and internal organization. Their notion of power is
close to the notion of effective control highlighted by Mark I PRE as the hallmark of property rights
(Barzel, 1997). Solving the ownership conundrum? Consider
a cooperative or a partnership. In these contractual arrangements, control is
exercised by means of majority rule. In effect, any majority that may happen
to form decides on what shall be done with assets in situations that are not
covered by contract. Obviously, such majorities can change over time in terms
of their composition. But this means that it is not possible to unambiguously
link residual rights of control to any single identifiable individual, and in fact,
the whole strategy of assuming that it is possible to unambiguously identify the
owner of an asset is called into question.13 https://doi.org/10.1017/S1744137414000484 Published online by Cambridge University Press 404 KIRSTEN FOSS AND NICOLAI FOSS A further reason why ownership may in actuality be ill-defined has to do
with enforcement issues. Mark I PRE suggests that all property is potentially
partly in the public domain as the definition and enforcement of property
rights are never perfect in a world of positive transaction costs (Barzel, 1997;
Umbeck, 1981). This gives substance to the Mark I PRE argument that there is a
distinction between legal rights (what legal scholars would call ‘property rights’)
and economic rights (i.e., effective control) (Alchian, 1965; Barzel, 1997). Legal
rights to an asset may not be fully congruent with the economic rights to that
asset, because the latter can only be enforced at high cost. Or, legal rights may be
fully congruent with economic rights, because the costs of capturing economic
rights are small but the costs of securing legal title to those rights are high. In the
presence of such transaction costs, the distinction between legal and economic
rights becomes meaningful with respect to potentially any asset, whether human
capital assets or nonhuman capital assets (Barzel, 1997). Thus, while an owner
may decide to use his asset in a particular use, the economic outcome of exploring
this particular use right depends on his cost of enforcing exclusive use rights and
income rights. In other words, externalities may not be perfectly internalized in
all asset uses. For this reason, Demsetz (1998: 450) suggests that the ‘generally
more correct approach is to avoid speaking of asset ownership unless all rights
to the asset are owned by one party’. However, such concentration of rights is
an anomaly; hence, ownership is ill-defined in most real-world situations. Does it matter? Coase (1974) argued that economists had too often been prone to offer verdicts
on what are optimal ownership or financing patterns based on highly stylized
models that are insufficiently grounded in empirical reality. He famously took
the treatment of the lighthouse, seemingly the quintessential public good, in the
economics literature as an example. Thus, many economists had routinely taken
lighthouse services as perfect examples of fully nonexcludable and nonrivalrous
goods. Looking into the relevant historical records, Coase documented how in
the past lighthouse services had in fact been in private supply, for example,
by linking the financing of lighthouse to harbor fees. Thus, an element of
excludability was added by the specific institutional arrangements that were
adopted. In contrast, to simply define lighthouse services as pure public goods
narrows the range of institutional alternatives for ownership and financing
considerably. To some extent, the treatment of asset ownership in Mark II PRE is a
new lighthouse in economics. Thus, economists working within this stream
have adopted a highly stylized notion of ownership that, while it seems to https://doi.org/10.1017/S1744137414000484 Published online by Cambridge University Press Coasian and modern property rights economics 405 conform to legal notions of ownership, involves the problematic assumptions
that ownership is indivisible, perfectly defined, and fully enforceable. By adopting
these assumptions Mark II PRE has difficulties realistically analyzing how
ownership is supported by legal and other institutions. As Mark I property rights
economists have pointed out, such an analysis would reveal that in actuality,
asset ownership is neither indivisible, perfectly defined, or fully enforceable (e.g. Demsetz, 1998). As in the case of the traditional assumptions in the analysis
of the lighthouse, this means that potentially erroneous explanations are put
forward or that there are phenomena that the theory simply cannot address. For example, Foss and Foss (2001) argue that Mark II PRE cannot discriminate
between quasi-vertical integration (i.e. when a firm owns some of the specific
assets deployed by its supplier) and full vertical integration, because the
pattern of asset ownership may be the same under the two arrangements and
therefore bargaining outcomes and incentives will be identical.14 However,
legally these arrangements are completely different (see also Chassagnon, 2011). This difficulty suggests a related difficulty. In Mark II PRE, the source of authority
in an employment relation ultimately is asset ownership. 14 For similar reasons, Holmstr¨om (1999: p 100) says that ‘property rights theory, as articulated in
Hart and Moore (1990) and other representative pieces, says very little about the firm’. Starting from a
Penrosian position, Loasby (1995) makes a very similar point.
15 Thanks to an anonymous reviewer for this point. Does it matter? Such ownership confers
bargaining power over the employee, because the employer can deprive the
employee of the assets that make him (more) productive. However, it is not
clear what is the difference between an employment relation thus conceived and
quasi-vertical integration (cf. also Hodgson, 2002). Again, however, the two
institutions are legally entirely different. In this context, another fundamental
problem is that in a firm setting having formal ownership of assets simply does
not translate into effective control over the use of these assets by employees. In
addition to problems of moral hazard, there are also problems of employee skills
or capabilities.15 It may be argued that Mark II PRE was never designed to explain as broad
a set of phenomenon as those covered by Mark I PRE. In particular, Mark II
PRE primarily applies to the theory of the firm; to Mark I PRE, this was just
one application. The case may be made that within its more narrow field Mark
II PRE represents an instance of theoretical progress compared to Mark I PRE. Thus, Mark II property right theory addresses a well-defined set of externality
problems that arise in contractual relations where efficient investments in human
assets cannot be contracted over. Within this particular setting one may ask if
the theory arrives at the correct answer to the problem it addresses. Given the
assumptions, on which the theory is based, the solutions are logically deduced
from the premises stated in the theory. The optimal allocation of ownership over
physical assets depends on which of the set of different identifiable allocations https://doi.org/10.1017/S1744137414000484 Published online by Cambridge University Press KIRSTEN FOSS AND NICOLAI FOSS 406 of ownership over physical assets that most efficiently reduce the negative
externalities in the transaction between two parties, the efficient ownership
pattern defining the boundaries of the firm. Thus, Mark II implicitly assumes that
the institutional arrangement that we call a firm is meaningfully conceptualized
as common ownership of a bundle of physical assets.16 p
p y
Although Mark I PRE did not provide a single unifying answer to the question
of what determines the boundary of a firm, it is unlikely that an answer would
have involved the notion of asset ownership. Does it matter? As we have argued, to Mark I
PRE theorists, this analytical category simply is too vague in the sense that
its economic significance is contingent, depending on specific legal and social
institutions as well as on private enforcement. To be sure Mark I contributions
to the theory of the firm (e.g., Alchian and Demsetz, 1972; Barzel, 1982; Cheung,
1969) emphasize the difference between the working of the price system in
markets and the use of direction within firms. Similarly, these contributions
perceive of firms as solutions to some kind of externality problem. However,
in contrast to Mark II PRE, they emphasize how transaction costs in a broad
sense (and not the problem of verifiability) are at the root of the problem of
externality. Moreover, Mark I PRE stresses the importance of understanding the
cost associated with the working of different institutional arrangements. Coase
(1960: 17) for example, discusses the use of markets and firms as solutions
to externality problems arising from neighboring effects and concludes that the
‘ . . . firm is not the only possible answer to this problem. The administrative cost
of organizing transactions within the firm may also be high, and particularly so
when diverse activities are brought within the control of a singular organization’. Thus, all relevant cost and benefits must be taken into account before any one
institutional arrangement (such as a firm) is proclaimed as the solution to a
particular problem. 16 Other perspectives on the firm suggests, in the tradition of Marshall (1920), that the firm is more
adequately characterized by its unique knowledge-base. For an excellent early comparative discussion, see
Loasby (1995). Loasby’s views imply an interesting parallel between Coase’s preference for a case-by-case
approach, highlighting specific transaction costs in specific situations, and the knowledge-based view of
the firm which also implies that (while general principles can be invoked) a more detailed, case-by-case
approach is necessitated on account of the idiosyncrasies of individual firms. https://doi.org/10.1017/S1744137414000484 Published online by Cambridge University Press 4. Conclusion Few economists today define themselves as working in the Mark I PRE tradition
(but see, e.g. Allen and Lueck, 1998; Barzel, 1997). The publication of Grossman
and Hart (1986) fundamentally changed the discourse on property rights in
economics and had profound implications for the development of the economics
of the firm. According to its proponents, Mark II PRE have explanatory
advantages relative to the competitors (not only Mark I PRE, but also transaction
cost economics, Williamson, 1996) (Grossman and Hart, 1986; Hart, 1996). The 16 Other perspectives on the firm suggests, in the tradition of Marshall (1920), that the firm is more
adequately characterized by its unique knowledge-base. For an excellent early comparative discussion, see
Loasby (1995). Loasby’s views imply an interesting parallel between Coase’s preference for a case-by-case
approach, highlighting specific transaction costs in specific situations, and the knowledge-based view of
the firm which also implies that (while general principles can be invoked) a more detailed, case-by-case
approach is necessitated on account of the idiosyncrasies of individual firms. https://doi.org/10.1017/S1744137414000484 Published online by Cambridge University Press Coasian and modern property rights economics 407 fact that it is formulated as a formal, game theory approach gave Mark II PRE
a clear advantage relative to the (largely) verbal Mark I PRE. Not surprisingly,
Mark II PRE is currently the dominant approach to the economics of the firm in
the top economics journals.17 Stigler (1983) argued that on efficient research markets, the true theoretical
value of older contributions to economics would be internalized in contemporary
contributions in more rigorous and pure form. Thus, with such markets,
economic science grows with perfect recall, as it were. However, in actuality the
economics profession is forgetful, and this is one reason why research markets
are not efficient. A simple reason why (valid) ideas may be forgotten is that the
discoverer of those ideas dies, becomes interested in other subjects, etc. in other
words, when the relevant ideas are no longer promoted (Anderson and Tollison,
1986). Moreover, even in spite of promotion efforts by the inventor of ideas, the
profession may remain ignorant of the relevant, important ideas if insufficient
alertness (Kirzner, 1973) is exercised by its members. The spread of ideas needs
discoverers and promoters. The history of economics witnesses many cases where new theorizing involved
introducing drastic simplifications and bypassing much of the subtlety of earlier
research traditions. 17 Other, older economics approaches, such as that of Penrose (1959), are also now basically absent
from the top economics journals (while thriving in management research). See Loasby (1995). https://doi.org/10.1017/S1744137414000484 Published online by Cambridge University Press 4. Conclusion For example, the case has been made that the Keynesian
revolution involved suppressing earlier, sophisticated thinking on asymmetric
information and the role of relative prices in directing resource uses (e.g. from
different perspectives, Leijonhufvud, 1981; Lucas, 1977). Many proponents of
heterodox traditions in economics routinely make this case on behalf of their
own revitalized tradition. In this study, we have made a similar case for the change from Mark I
to Mark II PRE. Seemingly, Mark II PRE was able to resolve a number of
unresolved problems in the older approach, such as what it means to own an
asset. The notion of residual rights of control seems to offer a clean answer to this. However, it is an answer that comes at the expense of making strong assumptions
concerning the enforceability of titles to ownership and the divisibility of residual
rights of control. When such assumptions are relaxed, ownership becomes a
much more blurry concept. Although one can still meaningfully talk about
who owns specific rights to use an asset or derive income from it, it may often
not be unambiguous who owns an asset, or indeed the corporation. However,
this directs attention to the many ways through which individuals in actuality
regulate the uses of assets and how agents’ protection as well as capture of rights
are enabled and constrained by real institutions, including legal and political
institutions (Hansman, 1996; Sened, 1997). Examining the multi-facetted nature and many different manifestations of
property rights, and how these can be analyzed as the outcomes of constrained https://doi.org/10.1017/S1744137414000484 Published online by Cambridge University Press KIRSTEN FOSS AND NICOLAI FOSS 408 maximization within an institutional and political matrix, was a central
explanatory task of Mark I PRE. In essence, this is the program defined in
Coase (1960). Compared to this rich and ambitious program, the change from
Mark I to Mark II PRE resulted in a gain in formal precision, which was obtained
a cost of narrow analytical scope. Differently put, the assumptions in Mark II
PRE that asset ownership is indivisible, perfectly defined, or fully enforceable
have eased modeling efforts, but at the cost of explanatory scope and realism. Whether Mark II PRE will eventually embrace the complexity of Mark I PRE is
an open question. Acknowledgments We are grateful to Yoram Barzel and the editor and reviewers of JoIE for
comments on an earlier version of this paper. The usual disclaimer applies. Coasian and modern property rights economics 4 409 Berle, A. A. and G. Means (1932), The Modern Corporation and Private Property, New York:
Macmillan. Bush, W. and L. Mayer (1974), ‘Some Implications of Anarchy for the Distribution of
Property’, Journal of Economic Theory, 8: 401–412. Calabresi, G. and A. D. Melamed (1972), ‘Property Rules, Liability Rules, and Inalienability:
One View of the Cathedral’, Harvard Law Review, 85: 1089–1128. Chassagnon, V. (2011), ‘The Law and Economics of the Modern Firm: A New
Governance Structure of Power Relationships’, Revue d’Economie Industrielle, 134: 25–
50. Chassagnon, V. and X. Hollandts (2013), ‘Who are the owners of the firm: shareholders,
employees or no one?’, Journal of Institutional Economics (forthcoming). Cheung, S. N. S. (1969), ‘Transaction Costs, Risk Aversion, and the Choice of Contractual
Arrangements’, Journal of Law and Economics, 12: 23–42. Cheung, S. N. S. (1970), ‘The Structure of a Contract and the Theory of a Non-Exclusive
Resource’, Journal of Law and Economics, 13: 49–70. Coase, R. H. (1959), ‘The Federal Communications Commission’, Journal of Law and
Economics, 2: 1–40. Coase, R. H. (1960), The Problem of Social Cost, in idem, (1988), The Firm, the Market and
the Law, Chicago: University of Chicago Press. Coase, R. H. (1974), ‘The Lighthouse in Economics’, Journal of Law and Economics, 17:
357–376. Coase, R. H. (1988), ‘Notes on the Problem of Social Cost’, in idem: (1988), The Firm, the
Market and the Law, Chicago: University of Chicago Press. Coase, R. H. (1992), ‘The Institutional Structure of Production’, American Economic Review,
82: 713–719. Demsetz, H. (1964), ‘The Exchange and Enforcement of Property Rights’, Journal of Law
and Economics, 7: 11–26. Demsetz, H. (1967), ‘Toward a Theory of Property Rights’, in H. Demsetz (ed.). Ownership,
Control, and the Firm, Oxford: Basil Blackwell. Demsetz, H. (1988), ‘A Framework for the Study of Ownership’, in H. Demsetz (1988),
Ownership, Control, and the Firm, Oxford: Basil Blackwell. Demsetz, H. (1998), ‘Review: Oliver Hart, Firms, Contracts, and Financial Structure’, Journal
of Political Economy, 106: 446–452. Eggertson, T. (1990), Economic Behavior and Institutions, Cambridge: Cambridge University
Press. Fama, E. and M. C. Jensen (1983), ‘Separation of Ownership and Control’, Journal of Law
and Economics, 26: 301–326. Foss, K. and N. J. Foss (2001), ‘Assets, Attributes, and Ownership’, International Journal of
the Economics of Business, 8: 19–37. Furubotn, E. and S. Pejovich (1972), ‘Property Rights and Economic Theory: A Survey of
Recent Literature’, Journal of Economic Literature, 10: 1137–1162. Furubotn, E. G. References Alchian, A. A. (1958), ‘Private Property and the Relative Cost of Tenure’, in P. D. Bradley
(ed.), The Public Stake in Union Power, Charlottesville, Virginia: University of Virginia
Press. Alchian, A. A. (1965), ‘Some Economics of Property Rights’, in A. A. Alchian (ed.) (1977),
Economics Analysis of Property Rights, Indianapolis: Liberty Press. Alchian, A. A. and W. R. Allen (1969), Exchange and Production: Theory in Use, Belmont:
Wadsworth. Alchian, A. A. and H. Demsetz (1972), ‘Production, Information Costs, and Economic
Organization’, American Economic Review, 62: 772–795. Alchian, A. A. and H. Demsetz (1973), ‘The Property Rights Paradigm’, Journal of Economic
History, 33: 16–27. Alessi, L. (1983), ‘Property Rights, Transaction Costs, and X-Efficiency: An Essay in Economic
Theory’, American Economic Review, 73: 64–81. Alessi, L. (1990), ‘Development of the Property Rights Approach’, Journal of Institutional
and Theoretical Economics, 146: 6–11. Allen, D. W. (1991), ‘What Are Transaction Costs?’, Research in Law and Economics, 14:
1–18. Allen, D. and D. Lueck (1998), ‘The Nature of the Farm’, Journal of Law and Economics,
41: 343–386. Anderson, G. and R. D. Tollison (1986), ‘Dead Men Tell No Tales’, History of Economics
Society Bulletin, 8: 59–68. Anderson, T. L. and P. J. HILL (1990), ‘The Race for Property Rights’, Journal of Law and
Economics, 33: 177–197. Barzel, Y. (1982), ‘Measurement Costs and the Organization of Markets’, Journal of Law
and Economics, 25: 27–48. Barzel, Y. (1994), ‘The Capture of Wealth by Monopolists and the Protection of Property
Rights’, International Review of Law and Economics, 14: 393–409. Barzel, Y. (1997), Economic Analysis of Property Rights, (2nd ed.), Cambridge: Cambridge
University Press. https://doi.org/10.1017/S1744137414000484 Published online by Cambridge University Press Coasian and modern property rights economics 40 Coasian and modern property rights economics 4 (1991), ‘General equilibrium models, transaction costs, and the concept of
efficient allocation in a capitalist economy’, Journal of Institutional and Theoretical
Economics, 147: 662–686. Furubotn, E. (1999), ‘Economic Efficiency in a World of Frictions’, European Journal of Law
and Economics, 8: 179–197. Green, C. (1986), ‘Mainstreams in industrial organization: Challenges and tasks’, Studies in
Industrial Organization, 6: 113–120. https://doi.org/10.1017/S1744137414000484 Published online by Cambridge University Press KIRSTEN FOSS AND NICOLAI FOSS 410 Grossman, S. and O. Hart (1986), ‘The Costs and Benefits of Ownership: A Theory of Lateral
and Vertical Integration’, Journal of Political Economy, 94: 691–719. Hansmann, H. (1996), The Ownership of Enterprise, Harvard: The Belknap Press. Hart, O. (1995), Firms, Contracts and Financial Structure, Oxford: Clarendon Pre Hart, O. (1996), ‘An Economist’s View of Authority’, Rationality and Society, 8: 371–3 Hart, O. and J. Moore (1990), ‘Property Rights and the Nature of the Firm’, Journal of
Political Economy, 98: 1119–1158. Hodgson, G. (2002), ‘The Legal Nature of the Firm and the Myth of the Firm-Market Hybrid’,
International Journal of the Economics of Business, 9: 37–60. Hodgson, G. (2013), ‘Editorial Introduction to “Ownership” by A.M. Honor`e’ (1961),
Journal of Institutional Economics, 9: 223–226. Holmstr¨om, B. (1999), ‘The Firm as a Subeconomy’, Journal of Law, Economics, and
Organization, 15: 74–102. Honor´e, A. M. (1961), ‘Ownership’, in A. G. Guest (ed.), ‘Oxford Essays in Jurisprudence’,
Oxford: Oxford University Press, Reprinted in Journal of Institutional Economics, 9:
227–255. Jensen, M. C. and W. Meckling (1976), ‘Theory of the Firm: Managerial Behavior, Agency
Costs and Ownership Structure’, Journal of Finance, 3: 305–360. Kirzner, I. M. (1973), ‘Competition and Entrepreneurship’, Chicago: University of Chicago
Press. Klein, B., R. G. Crawford, and A. A. Alchain (1978), ‘Vertical Integration, Appropriable
Rents, and the Competitive Contracting Process’, Journal of Law and Economics, 21:
297–326. Knight, F. H. (1924), ‘Some Fallacies in the Interpretation of Social Cost’, Quarterly Journal
of Economics, 38(4): 582–606. Kreps, D. M. (1996), ‘Markets and Hierarchies and (Mathematical) Economic Theory’,
Industrial and Corporate Change, 5: 561–596. Kuhn, T. S. (1996), The Structure of Scientific Revolutions. 3rd edition. Chicago, IL: University
of Chicago Press. Laporta, R., F. Lopez-De-Silanes, and Shleifer, A. (1999), Corporate Ownership Around the
World. The Journal of Finance, 54: 471–517. Leijonhufvud, A. (1981), Information and Coordination: Essays in Macroeconomic Theory. Oxford: Oxford University Press. Libecap, G. P. (1989), Contracting for Property Rights, Cambridge: Cambridge University
Press. Loasby, B. J. Coasian and modern property rights economics 4 (1995), ‘Running a Business: An Appraisal of Economics, Organization, and
Management by Paul Milgrom and John Roberts’, Industrial and Corporate Change,
4: 471–489. Lucas, R. E. (1977), ‘Understanding Business Cycles’, In idem. 1982. ‘Studies in Business
Cycle Theory’, Cambridge, MA: MIT Press. Lueck, D. (1995), ‘The Rule of First Possession and the Design of the Law’, Journal of Law
and Economics, 38: 393–436. Manne, H. (1965), ‘Mergers and the Market for Corporate Control’, Journal of Political
Economy, 73: 110–120. Marshall, A. (1920), Principles of Economics. London: Macmillan, and Edith Penrose. 1959. The Theory of the Growth of the Firm. Oxford: Oxford University Press. ,
(
),
p
f
,
The Theory of the Growth of the Firm. Oxford: Oxford University Press. Maskin, E. and J. Tirole (1999), ‘Unforeseen Contingencies and Incomplete Contracts’, Review
of Economic Studies, 66: 83–114. https://doi.org/10.1017/S1744137414000484 Published online by Cambridge University Press Coasian and modern property rights economics 4 411 Mises, L. V. (1936), Socialism, Indianapolis: Liberty Press. North, D. C. (1990), Institutions, Institutional Change, and Economic Performance,
Cambridge: Cambridge University Press. Pagano, U. (2000), ‘Public Markets, Private Orderings and Corporate Governance’,
International Review of Law and Economics’, 20/4: 453–477. Penrose, E. T. (1959), The Theory of the Growth of the Firm, Oxford: Oxford University
Press. Rajan, R. G. and L. Zingales (1998), ‘Power In A Theory Of The Firm’, The Quarterly Journal
of Economics, MIT Press, vol. 113(2), pp. 387–432, May. Rajan, R. G. and L. Zingales (1998), ‘Power In A Theory Of The Fi
of Economics, MIT Press, vol. 113(2), pp. 387–432, May. Segal, I. and M. D. Whinston (2012), Property Rights. in R. Gibbons, and J. Roberts (eds.),
‘The Handbook of Organizational Economics’, Princeton: Princeton University Press. Sened, I. (1997), The Political Institution of Private Property, Cambridge: Cambridge
University Press. Stigler, G. J. (1983), ‘Nobel Lecture: The Process and Progress of Economics’, Journal of
Political Economy, 91: 529–543. Umbeck, J. (1981), ‘Might Makes Rights: A Theory of the Formation and Initial Distribution
of Property Rights’, Economic Inquiry, 19: 38–59. Williamson, O. E. (1996), The Mechanisms of Governance, Williamson, O. E. (1996), The Mechanisms of Governance, Oxford: Oxford University Press. Williamson, O. E. (1996), The Mechanisms of Governance, Oxford: Oxford University Press. Williamson, O. E. (2000), ‘The New Institutional Economics: Taking Stock, Looking Ahead’, Williamson, O. E. (1996), The Mechanisms of Governance, Oxford: Oxford University Press. Williamson, O. E. (2000), ‘The New Institutional Economics: Taking Stock, Looking Ahead’,
Journal of Economic Literature, 38: 595–613. https://doi.org/10.1017/S1744137414000484 Published online by Cambridge University Press
|
https://openalex.org/W4318624326
|
https://zenodo.org/records/7589409/files/30.pdf
|
English
| null |
A Reviewing Early Vs Later Reconstruction for Post-Mastectomy Cases
|
Zenodo (CERN European Organization for Nuclear Research)
| 2,023
|
cc-by
| 5,954
|
A Reviewing Early Vs Later Reconstruction for Post-Mastectomy Cases Devi Nurpita1, Ahmad Fawzy2
1Hubei University of Science and Technology,China
2Department of Surgery University of Jendral Soedirman, Indonesia Devi Nurpita1, Ahmad Fawzy2
1Hubei University of Science and Technology,China
2Department of Surgery University of Jendral Soedirman, Indonesia 147 Volume 03 Issue 01 Janaury 2023 ABSTRACT Objective: The objective of this study was to compare the advantages and disadvantages of patients
undergoing either immediate or delayed breast reconstruction after mastectomy. Methods: This review was compiled using information from numerous web databases. Scientific
articles were selected based on the inclusion criteria. Data were collected, organized, and summarized. Results: Mastectomy or breast removal is frequently performed as part of breast cancer treatment. Psychological issues following a mastectomy may get better for some patients after breast
reconstruction. The most common type is immediate reconstruction, which preferably uses a nipple-
sparing or skin-sparing mastectomy and implant-based reconstruction (but can also be autologous
reconstruction). Delayed reconstruction is often performed using autologous tissue flaps or implant-
based using either the definitive implant or temporary expanders. Conclusion: Immediate reconstruction creates better cosmetic outcomes, shorter overall costs, quicker
recovery, higher quality of life, and increases the psychological well-being of patients. Besides, delayed
reconstruction is a beneficial option for post-mastectomy radiation therapy (PMRT) cases and reduced
the incidence of postoperative complications than immediate reconstruction. KEYWORDS: Breast Reconstruction, Classification of Breast Reconstruction, Immediate
Reconstruction, Delayed Reconstruction INTRODUCTION reconstruction or early reconstruction refers to reconstruction
done right after a mastectomy, and delayed breast
reconstruction or later reconstruction refers to reconstruction
done several months or even years later from mastectomy5. This study compared early breast reconstruction and later
breast
reconstruction
regarding
the
outcomes
and
complications. The most frequent type of malignancy in women is breast
cancer. One new incidence of breast cancer was predicted to
be diagnosed in 2.3 million women in 2020 or 24.5% of all
malignancies in women are caused by breast cancer1. In
Indonesia, breast cancer is the most prevalent cancer, which
is 19.2% of all cancer cases2. Breast cancer patients may experience treatment-
related side effects, such as side effects from anticancer, also
lymphedema, and mastectomy scars. These consequences can
result in problems with sexual dysfunction, low self-esteem,
and changed body image3. One of the treatments for breast
cancer is breast removal or mastectomy which affects the
social, psychological, and sexual well-being of patients4. Breast reconstruction, also known as a “reverse mastectomy”,
is assumed to aid in restoring physical and mental recovery
following
a
breast
cancer
treatment
crisis. Breast
reconstruction can be done with autologous tissues based,
implant-based, or a combination of both. Also, breast
reconstruction can be classified into immediate breast International Journal of Medical Science and Clinical Research Studies
ISSN(print): 2767-8326, ISSN(online): 2767-8342
Volume 03 Issue 01 January 2023
Page No: 147-154
, Impact Factor: 5.365
30
-
i1
-
https://doi.org/10.47191/ijmscrs/v3
DOI: International Journal of Medical Science and Clinical Research Studies
ISSN(print): 2767-8326, ISSN(online): 2767-8342
Volume 03 Issue 01 January 2023
Page No: 147-154
, Impact Factor: 5.365
30
-
i1
-
https://doi.org/10.47191/ijmscrs/v3
DOI: International Journal of Medical Science and Clinical Research Studies
ISSN(print): 2767-8326, ISSN(online): 2767-8342 Volume 03 Issue 01 January 2023
Page No: 147-154 Published On:
31 January 2023 4. Patey mastectomy Type of mastectomy where breast tissue, axillary nodes, and
the Pectoralis minor muscle are removed. This technique is
for quick and completeness of axillary clearance. Mastectomy
D fi iti
d E id
i l Mastectomy where involved skin and breast tissue are
removed with or without axillary surgery. The axillary tail is
normally always removed and the pectoralis fascia is usually
retained. Simple or total mastectomy is the most common
procedure and is usually used in breast cancer patients who
cannot be handled with breast-conserving therapies, such as
those who have larger tumors than their breast, or patients
who have previously received radiotherapy to the chest wall. Definition and Epidemiology The term mastectomy is derived from the Greek word
‘mastos’, which means “woman’s breast”, and the Latin word
‘Ectomia’, which means “excision of”. Mastectomy is a
medical surgery in which all or portion of the breast is
removed6. Mastectomy is recommended for approximately
50 percent of breast cancer patients in the United States7. In
Indonesia, 57.9% of breast cancer patients had breast surgery,
with the two most common procedures being breast-
conserving surgery (54.7%) and mastectomy (45.3%). Surgery was the main treatment for early-stage breast cancer
and late-stage (stage III and IV) mastectomy was chosen as
intervention8. 3. Radical (Halsted) mastectomy Type of mastectomy where the breast tissue, Pectoralis minor
and major muscle, and all axillary tissue are removed. This
technique is currently only in cases, where the malignancy
has spread to the muscles of the chest wall or recurrent disease
involving the Pectoralis muscles. Types and Techniques There are several types of mastectomies, due to the patient’s
preference, the tumor’s size, or a recurrence after
conservative surgery. Types and techniques of mastectomy,
such as9: 1. Skin-sparring mastectomy Type of mastectomy where skin envelope is preserved but the
breast tissue is removed. This technique is becoming more Table 1. Complications of Mastectomy Techniques9
Technique
Complication
Halsted
Extensive scars, lymphedema, limitation of shoulder mobility
Patey
Seromas, lymphedema, hematomas
Total / Simple
Seromas, haematomas, flap necrosis
Skin-sparring
Recurrence, nipple malposition, or ischemia Table 1. Complications of Mastectomy Techniques9 Recurrence, nipple malposition, or ischemia A Reviewing Early Vs Later Reconstruction for Post-Mastectomy Cases
covered in this literature review. Data were collected,
popular. Th A Reviewing Early Vs Later Reconstruction for Post-Mastectomy Cases
covered in this literature review. Data were collected,
organized, and summarized. popular. Th
small tumo popular. This is only performed on breast cancer patients with
small tumors that are far from the nipple and for preventive
mastectomy. covered in this literature review. Data were collected,
organized, and summarized. 148 Volume 03 Issue 01 Janaury 2023 METHOD This literature review was compiled using information from
numerous web databases, including NCBI, Google Scholar,
Science Direct, and Pubmed. “Mastectomy”, “Breast
Reconstruction”,
“Implant-based
Reconstruction”,
“Autologous
Reconstruction”,
“Immediate
Breast
Reconstruction”, and “Delayed Breast Reconstruction” were
the keywords used in the literature search. Scientific papers
were chosen by the following inclusion criteria: the journal’s
publication year from 2012 to 2022, the journal is open
access, and the articles are matched to the subject matter Corresponding Author: Devi Nurpita Corresponding Author: Devi Nurpita Complications constricting, burning, or lacing type and paresthesia at the
medial aspect of the arm12,13. Changing in body posture post-
mastectomy as a result of movement restriction, back pain,
muscle weakness, and pain associated with severe
postoperative wounds, and compensating for the removal of
the breast10. Complications from a mastectomy can also occur
depending on the mastectomy types and technique used,
which can be seen in Table 1. p
Mastectomy complications can be psychological, physical, or
others. Psychologically, mastectomy can cause changes in
self-concept, emotions, body image, behavior, roles of patient
and family, and family dynamic. Depression and other
depressive disorders are other psychosocial side effects of
mastectomy10. Breast cancer patients post-mastectomy
believe that losing a breast means losing “feminity”. Some
patients may experience a reduction in libido, which is related
to the patients may not feel beautiful after having their breasts
removed. It’s interesting that after a successful breast
reconstruction, patients began to feel more feminine again11. Physically, mastectomy can cause lymphedema, post-
mastectomy pain, limitation of mobility, change of body
posture, brachial plexus injury, and fatigue. Lymphedema is
the swelling of the arm brought on by inadequate lymphatic
outflow into the lymph nodes. Functional ability loss,
cosmetic deformity, physical discomfort, recurrent erysipelas
episodes, and psychological illness are possible outcomes
from lymphedema10. Pain post-mastectomy is described as a Mastectomy complications can be psychological, physical, or
others. Psychologically, mastectomy can cause changes in
self-concept, emotions, body image, behavior, roles of patient
and family, and family dynamic. Depression and other
depressive disorders are other psychosocial side effects of
mastectomy10. Breast cancer patients post-mastectomy
believe that losing a breast means losing “feminity”. Some
patients may experience a reduction in libido, which is related
to the patients may not feel beautiful after having their breasts
removed. It’s interesting that after a successful breast
reconstruction, patients began to feel more feminine again11. Corresponding Author: Devi Nurpita A. Pre-pectoral Prepectoral placement may lessen pain and spasm from
muscle dissection and prevent the chance of a postoperative
animation deformity17. Better control over implant position
and mastectomy flap perfusion in pre-pectoral placement is
provided by a two-stage approach18. The anatomical location to perform AR is from the region
which the tissue flap is sourced15. The use of lower abdomen
tissue is the preferred donor site and technique for AR, for
example, deep inferior epigastric perforator (DIEP) and
transverse rectus abdominis myocutaneous (TRAM)16. Deep
inferior epigastric artery perforator (DIEP) is used in 52% of
AR and has advantages, including aesthetic, well-tolerated,
and long-lasting results even in high-risk populations29. Deep
inferior epigastric artery perforator (DIEP) flaps use skin and
fat from the patient’s abdomen30. Transverse rectus
abdominis myocutaneous (TRAM) is another abdominally-
based microsurgical tissue method used in 21% of AR. Transverse rectus abdominis myocutaneous (TRAM) flaps
include skin, fat, and muscle from the patient’s abdomen31. 1. Implant-based Reconstruction Implant-based reconstruction (IBR) is breast reconstruction
using prosthetic devices meant to increase the size of the
intact breast or to replace surgically excised breast tissue. In
the United States, implants are used in the majority (81%) of
breast reconstruction surgery15. Beginning in the early 1960s,
when Cronin and Gerow develop the silicone prosthesis and
used it therapeutically for augmentation mammoplasty,
prosthetic implants were utilized for breast reconstruction16. There is a technological innovation in IBR, namely the use of
an acellular dermal matrix (ADM). The commonly used
implant materials are silicone, saline, or a combination of
both/double lumen16. Implant-based reconstruction can occur
in immediate breast reconstruction or delayed breast
reconstruction and can occur in either one or two stages15. In
planned single-stage implant placement or direct-to-implant
placement, IBR is completed with a single implantation
operation. And in planned two-stage implant placement, a
tissue expander is first inserted and then a permanent implant
is inserted after some time has passed17. There are three
possible tissue planes for implant placement, such as: 2. Autologous Reconstruction Autologous reconstruction (AR) is a breast reconstruction
that uses the patient’s tissue16. In the United States, AR is
used in 19% of breast reconstruction surgery15. Both
immediate breast reconstruction (IBR) and delayed breast
reconstruction (DBR) are options for AR. Immediate breast
reconstruction (IBR) offers the highest opportunity for an
aesthetic outcome, resource-saving, and fewer operations. In
DBR, mastectomy skin flaps are frequently damaged and less
compliant and a bigger rate of free-flap thrombosis16, 28. B. Dual plane Dual-plane placement or known as dual-plane
direct-to-implant reconstruction (DP-DTI) may lessen
implant rippling and palpability and provides improved soft
tissue coverage of the device17. In the DP-DTI procedure, the
implant is inserted into a combined subpectoral and sub-
ADM pocket19. This method is possible to finish the
reconstruction in a single-stage approach20. Due to anatomical limitations or patient preference, AR
can also be performed using tissue from another area, for
example, latissimus dorsi (LD), profunda artery perforator
(PAP), lateral thigh perforator (LTP), transverse upper
gracilis (TUG), superior gluteal artery perforator (SGAP), or
inferior gluteal artery perforator (IGAP)15, 16, 32. The factors
that should be considered when evaluating donor sites for a
given patient can be seen in Figure 1. In an ideal situation,
donor sites would have the following characteristics, such
as32: A Reviewing Early Vs Later Reconstruction for Post-Mastectomy Cases A Reviewing Early Vs Later Reconstruction for Post-Mastectomy Cases Although implant-based reconstruction is a good
procedure and often used for breast reconstruction, there are
some complications, including impaired wound healing,
seroma, hematoma, capsular contraction, and infection22. Infection can be avoided by preparing the surgical field and
pocket before inserting the tissue expander and implant23. Infection cases can be managed by determining the presence
of infection, administering broad-spectrum antibiotics, and
evaluation24, 25. Another rare complication of implant-based
breast reconstruction (1 in 2.200-86.000) is breast-implant-
associated anaplastic large cell lymphoma (BIA-ALCL). Although uncommon, it is a potentially lethal illness that is
easily treated with the right diagnosis and treatment26, 27. 149 Volume 03 Issue 01 Janaury 2023 Definition and Epidemiology Breast reconstruction is the process of creating a new breast
following a mastectomy procedure for the treatment or
prevention of breast cancer. Between 2010-2016, out of 6.002
patients who had breast cancer and were treated with
mastectomy, 7,6% of patients had breast reconstruction after
mastectomy. Breast reconstruction is more frequently
performed in married patients, with stage III and IV breast
cancer, and the tumor size is 2cm larger than in patients
without breast reconstruction after mastectomy14. Physically, mastectomy can cause lymphedema, post-
mastectomy pain, limitation of mobility, change of body
posture, brachial plexus injury, and fatigue. Lymphedema is
the swelling of the arm brought on by inadequate lymphatic
outflow into the lymph nodes. Functional ability loss,
cosmetic deformity, physical discomfort, recurrent erysipelas
episodes, and psychological illness are possible outcomes
from lymphedema10. Pain post-mastectomy is described as a Corresponding Author: Devi Nurpita A Reviewing Early Vs Later Reconstruction for Post-Mastectomy Cases eviewing Early Vs Later Reconstruction for Post-Mastectomy Cases A Reviewing Early Vs Later Reconstruction for Post-Mastectomy Cases H. Can create a sensate flap. F. Can conceal scar burden at donor sites. F. Can conceal scar burden at donor sites. I. Have fat consistency that mimics normal breast tissue G. Match color/quality skin to breast or chest skin. G. Match color/quality skin to breast or chest skin. Figure 1. Algorithmic Approach to Patient Requires AR32. Figure 1. Algorithmic Approach to Patient Requires AR32. Together, the oncologic surgeon and the plastic surgeon
should perform the preoperative evaluation before immediate
reconstruction. To
choose
between
a
skin-sparing
mastectomy and a nipple-sparing mastectomy, it is important
to carefully consider the tumor’s size, tumor location, and
nipple-areola involvement of the breast cancer40. Also, it is
always crucial to define the patient’s expectations of contour,
sensation, firmness, and consistency of the new breast as
these factors can occasionally result in lower patient
satisfaction in an immediate breast, especially for IBR33. Postoperatively, a nonconstricting surgical bra with soft
compression dressings is utilized to apply very light pressure
over the breast. These interventions have been shown to lower
infection rates and seroma40. The advantage of using AR is can be completed in a single
surgery, contrary to most IBR which need two-stage implant
placement. Also, AR is meant to be permanent breast
reconstruction, while IBR is recommended to be replaced
every 10 years. On the other hand, AR is more extensive
procedure than IBR and may come with more serious
complications, like deep vein thrombosis, hernias, wound
dehiscence, slow wound healing, and scaring31. 1. Immediate reconstruction Immediate reconstruction is a reconstruction performed at the
same time as a mastectomy. The majority of breast cancer
patients in the United States (75%) are given the option of
immediate reconstruction15. This high demand is may be
caused by a rise in curative and prophylactic nipple-sparing
or skin-sparing mastectomy. Also, there are improvements in
bioprosthetic technology with better aesthetic outcomes33. 150 Volume 03 Issue 01 Janaury 2023 Corresponding Author: Devi Nurpita C. Subpectoral This procedure is one of the earliest and most fundamental-
based methods. Subpectoral placement is useful for patients
who may have concerns about their ability to heal and their
tissue’s perfusion. Subpectoral placement enables entire
muscle coverage of a tissue expander without the use of
ADM. Acellular dermal matrix (ADM) is an additional
foreign substance from the body whose use must be careful
with patients with diabetes, or smokers. Subpectoral
placement can reduce pressure on the flaps and is useful,
especially for patients with tenuous mastectomy flaps. Also,
this procedure is required in the majority of delayed breast
reconstruction, where the preoperative chest wall contour is
flat21. In this procedure, the implant is inserted into the
submuscular by releasing the pectoralis major muscle from
the ribs and the implant will be covered by an adequate skin
sheath16. A. Contain sufficient subcutaneous fat to produce an
acceptable breast mound. B. Create minimal donor site functional morbidity C. Provide an adequate size skin paddle to resurface a chest
wall and have the sufficient surface area to mold into a
convex shape. D. Be easily approached in a two-team setting E. Have reliable perforator and feeding vessel anatomy 149 Volume 03 Issue 01 Janaury 2023 Corresponding Author: Devi Nurpita A Reviewing Early Vs Later Reconstruction for Post-Mastectomy Cases suffering. The majority of breast cancer patients reported
better mental stability, also cosmetic satisfaction with their
bodies, and completion of surgical treatment45. Immediate
reconstruction should be considered due to delaying breast
reconstruction potentially significantly affecting patient
expectations of surgical discomfort and recovery46. not suitable options for patients who are obese and present
with a high risk of impaired wound healing and fat necrosis33. Profunda artery perforator (PAP) flaps can also be chosen for
the patient who was thin and had an inadequate abdominal
donor location42. The delayed reconstruction with autologous tissue flaps
has a difficult technic of operating in a scared and radiated
region. Occasionally insufficient recipient vessels and severe
breast asymmetry may reduce aesthetic outcomes. However,
optimal aesthetic outcomes can be attained by42: Although some studies have shown that immediate
reconstruction has better psychological well-being than
delayed reconstruction, the study of Yoon et al 2018 shows
that there is no significant difference between the
psychological well-being of immediate and delayed
reconstruction. This can be a result of the lack of a
mastectomy in patients who are planning immediate
reconstruction. However, patients who opt for delayed
reconstruction have had to deal with the mastectomy scar,
also its psychological and emotional sequelae47. A. Increasing breast volume by deepitheliazing the inferior
mastectomy flap skin rather than removing it. B. Restoration of breast skin envelope with tissue expansion
when possible. C. When adequate breast skin surface area is present,
optimal positioning of small skin paddle to be later
incorporated entirely into a nipple areola reconstruction. Besides the advantages of immediate reconstruction,
there are several complications of immediate reconstruction. Early complications of immediate reconstruction include
seroma, infection, hematoma, skin flap necrosis, delayed
healing,
failed expansion, displacement, or implant
explantation. 57% of immediate breast reconstruction
patients undergo revision surgeries, compared to 27% of
delayed breast reconstruction patients. This is because the
risk of developing capsular contracture after an immediate
reconstruction
is
higher
(40%)
than
after
delayed
reconstruction (17%)33. D. When extensive skin resurfacing is necessary, limit the
reconstruction of the breast mound to two skin tones. E. When both an immediate and delayed bilateral breast
reconstruction is carried out at the same time, eccentric
division of abdominal flaps occurs. F. Performing second-stage breast reconstruction revisions
and fat grafting. Delayed reconstruction can also be implant-based. The
implant-based reconstruction (IBR) can use definitive
implants or temporary expanders. A Reviewing Early Vs Later Reconstruction for Post-Mastectomy Cases The plastic surgeon should
prepare a preoperative strategy that includes a thorough
examination of the healthy breast’s characteristics and the
best technique for treating the breast. First, a clinical and
radiologic preoperative evaluation is essential for accurately
selecting the surgical method. Second, it is also important to
do an oncologic evaluation. It is also necessary to evaluate the
contralateral breast, which should involve mammographic
and ultrasound examinations. After the operation, some
surgeons apply a dressing with elastic straps for three days or
advise the patient to wear a sports bra as a medium
compression immediately on the first postoperative day43. In comparison to immediate reconstruction, delayed
reconstructions have reduced the incidence of postoperative
complications, including delayed wound healing, infection,
mastectomy flap necrosis, reconstruction failure, and tissue
fibrosis47,48. Complication rates for immediate reconstruction,
indicate
the
results
of
two
operations. However,
complications in delayed reconstruction are the result only of
the reconstructive process. So the combination of two
surgeries and longer operative times in immediate
reconstruction may explain in part the increased risk of
complications49. Patients with delayed reconstruction had a
decreased rate of mastectomy skin flap necrosis. It happened
because the time that passed between the mastectomy and the
subsequent
reconstruction
most
likely
allowed
the
mastectomy flaps to revascularize and heal from the initial
trauma of the mastectomy. In these situations, the
mastectomy may function as a preliminary surgical delay of
the skin flaps, making them more tolerant of being
remobilized at the time of the delayed reconstruction48,49. The
advantages and disadvantages of immediate autologous
reconstruction, immediate implant-based reconstruction,
delayed autologous reconstruction, and delayed implant
reconstruction are shown in Table 2. 2. Delayed reconstruction Delayed reconstruction is a breast reconstruction that is
carried out several months to several years after a
mastectomy. This procedure is especially pronounced when
radiotherapy was a part of the treatment for the patient, and
also can be considered when there is decreased skin flap
perfusion caused by the mas mastectomy process or related
comorbidities such as diabetes, obesity, cardiovascular
disease, or smoking33. Delayed reconstruction is allowed at
least six to twelve months after the last radiation therapy
session, to evaluate the deformity and plan the best
reconstruction modality41. The recommended mastectomy technique for immediate
reconstruction is simple skin-sparing mastectomy and nipple-
sparing mastectomy34. Immediate reconstruction can be done
for implant-based breast reconstruction (IBR), especially for
breast cancer patients with small to moderately-sized breast
and low degree of ptosis. Also, a tissular substitute such as a
biological matrix or synthetic mesh can be utilized in place of
the implant to provide support35. Synthetic mesh, ADM, or
dermal autograft can be used to form the implant pocket in
the
partial
submuscular,
complete
submuscular,
or
subcutaneous plane36. Delayed reconstruction is most suited for the use of
autologous tissue flaps42. Latissimus dorsi (LD) flap which is
usually combined with a definitive implant is the most
adequate flap for smokers or patients with diabetes since it
has a low risk of complications. Additionally, it is a good flap
for slim individuals who have a history of abdominal surgery
or who plan to become pregnant in the future. Transverse
rectus abdominis myocutaneous (TRAM) or deep inferior
epigastric artery perforator (DIEP) are good options to
consider for patients with large breast, evident ptosis, and
sufficient abdominal tissue. However, TRAM and DIEP are However, numerous studies have documented the
increased morbidity linked to immediate implant-based
reconstruction in the setting of post-mastectomy radiation
therapy (PMRT)37. Post-mastectomy radiation therapy
(PMRT) has been shown the improve overall survival and
reduce locoregional reccurence38. Therefore, it seems safer to
consider immediate autologous breast reconstruction in the
context of PMRT. One of the anatomy sites that can be used
for autologous breast reconstruction is DIEP39. 150 Volume 03 Issue 01 Janaury 2023 Corresponding Author: Devi Nurpita Immediate Reconstruction and Delayed Reconstruction
Comparison p
In comparison to delayed reconstruction, immediate
reconstruction is thought to produce superior aesthetic
outcomes, lower overall cost, reduced recovery time, a better
quality of life, and improved patient psychological well-
being31. This is at least in part related to the fact that the
mastectomy and breast reconstruction are performed
together, minimizing the number of operations and anesthetic
exposures44. In comparison to patients who underwent
delayed breast reconstruction, those who underwent
immediate reconstruction experienced less pain and 151 Volume 03 Issue 01 Janaury 2023 Corresponding Author: Devi Nurpita A Reviewing Early Vs Later Reconstruction for Post-Mastectomy Cases
Table 2. Advantages and Disadvantages of Common Breast Reconstruction Methods 31,33,44,47,48,49,50. Procedure
Advantages
Disadvantages
Immediate AR - More cost-effective in the short-term
- Placed a breast mound immediately
- In the context of PMRT, safer with fewer
complications than immediate IBR
- Less morbidity compared to IBR
- Higher quality of life scores than delayed
AR
- Scarring across the donor site
- No definitive pathology report was available at the
time of surgery
- Complications: PMRT can result volume loss,
wound contracture, and fat necrosis (especially with
chemotherapy)
Immediate IBR - Placed a breast mound immediately
- Most cost-effective in the short-term
- Best aesthetic outcome if radiotherapy is
not involved
- Relatively higher risk of complications compared to
AR
- No definitive pathology report was available at the
time of surgery
- Complications: PMRT is most frequently associated
with capsular contracture
- Other complications: infection and implant exposure
are further risks
- Increased risk of implant loss is connected with
lymph node dissection. Delayed AR
- Allows more time for high-risk patients or
uncomfortable patients who may be
recommended to delay reconstruction
- Possibly better results if performed 12
months after the PMRT
- Less wound contracture, volume loss, fat
necrosis, and revision operation than
immediate AR
- Delayed cosmetic results
- Two procedures
- Complications: PMRT may cause volume loss, fat
necrosis, and wound contracture
Delayed IBR
- When PMRT is needed, good to excellent
esthetic results. - Gives patients additional time to decide
whether to get an AR or IBR
- Ability to revise any asymmetries or
radiation effects at the time of tissue
expander removal
- Delayed cosmetic results. - Two techniques
- Smokers
more
likely
had
tissue
expander
complications. - Use of expanders for a long time leads to rupture. Immediate Reconstruction and Delayed Reconstruction
Comparison - Increased risk of implant loss is connected with
lymph node dissection. A Reviewing Early Vs Later Reconstruction for Post-Mastectomy Cases Smokers
more
likely
had
tissue
expander
complications. Use of expanders for a long time leads to rupture. Increased risk of implant loss is connected with
lymph node dissection. II. Pusat Data dan Informasi Kementerian Kesehatan
RI. Beban Kanker di Indonesia [Internet]. Jakarta:
Ministryof Health Republic of Indonesia; 2019 [25
November 2022]. Available from:
https://pusdatin.kemkes.go.id/resources/download/
pusdatin/infodatin/Infodatin-Kanker-2019.pdf II. Pusat Data dan Informasi Kementerian Kesehatan
RI. Beban Kanker di Indonesia [Internet]. Jakarta:
Ministryof Health Republic of Indonesia; 2019 [25
November 2022]. Available from:
https://pusdatin.kemkes.go.id/resources/download/
pusdatin/infodatin/Infodatin-Kanker-2019.pdf CONCLUSION Mastectomy is one of the treatments for breast cancer. Breast
reconstruction or known as “reverse mastectomy” can be
performed on an implant-based or autologous tissue. There
are two types of breast reconstruction: immediate and
delayed. Immediate reconstruction provides the benefits of
creating better cosmetic outcomes, shorter overall costs,
quicker recovery, higher quality of life, and increase
psychological well-being of patients. Delayed reconstruction
is a beneficial option for PMRT cases and reduced the
incidence of postoperative complications. III. Prates, A. C. L., Freitas-Junior, R., Prates, M. F. O.,
Veloso, M. F., Barros, N. M. Influence of Body
Image in Women Undergoing Treatment for Breast
Cancer. Revista Brasileira de Ginecologia e
Obstetricia. 2017; 175-83. III. Prates, A. C. L., Freitas-Junior, R., Prates, M. F. O.,
Veloso, M. F., Barros, N. M. Influence of Body
Image in Women Undergoing Treatment for Breast
Cancer. Revista Brasileira de Ginecologia e
Obstetricia. 2017; 175-83. IV. Milas, I., Zore, Z., Roth, A., Oreši´c, T., Eljuga, D.,
Gulan, M., et al. Breast Reconstruction. Oncology
Library. 2014; 42: 29–35. Corresponding Author: Devi Nurpita 152 Volume 03 Issue 01 Janaury 2023 A Reviewing Early Vs Later Reconstruction for Post-Mastectomy Cases VII. Jonczyk, M.M., Jean, J., Graham, R., Chatterjee, A. Surgical Trends in Breast Cancer: A Rise in Novel
Operative Treatment Options Over a 12 Year
Analysis. Breast Cancer Research and Treatment. 2019;173(2):267–74. XIX. Ter-Louw, R.P., Nahabedian, M.Y. Prepectoral
Breast
Reconstruction
Plastic
Reconstructive
Surgery. 2017;1405: 51–9. XX. Nahabedian,
M.Y.,
Cocilovo,
C. Two-stage
Prosthetic Breast Reconstruction: A Comparison
between Prepectoral and Partial Subpectoral
Techniques. Plastic Reconstructive Surgery. 2017;
1406: 22–30. VIII. Gondhowiardjo, S., Soediro, R., Jayalie, V. F.,
Djoerban, Z., Siregar, N. C., Poetiray, E. D. C. Multicenter Management of Breast Cancer in
Indonesia: Ten Years of Experience. 2020; 8 (2):
121-30. XXI. Chao, A. H. Safe, and Efficient Implant-based
Breast Reconstruction. Plastic and Reconstructive
Surgery-Global Open. 2020; 8 (9): e3134. IX. Lazaraviciute, G., Chaturvedi, S. Mastectomy—A
Critical Review. Open Journal of Clinical
Diagnostic. 2017; 7: 58-66. XXII. Leitner, H. S., Pauzenberger, R., Ederer, I. A.,
Radtke, C., Hacker, S. BMI Specific Complications
Following
Implant-Based
BreastReconstruction
after Mastectomy. Journal of Clinical Medicine. 2021; 10 (5665): 1-9. X. Adesina, M. A., Olajire, T. I. Physical and
Psychological Complications of Mastectomy: The
Role of Physiotherapy. World News of Neutral
Sciences. 2020; 29 (3): 212-24. XXIII. Khansa, I., Hendrick, R.G., Shore, A., Meyerson, J.,
Yang, M., Boehmler, J. H. Breast Reconstruction
with Tissue Expanders: Implementation of A
Standardized Best-Practices Protocol to Reduce
Infection Rates. Plastic Reconstructive Surgery. 2014; 134: 11–18. XI. Sukartini, T., Sari, Y. I. P. Women with Breast
Chance Living with One Breast After a Mastectomy. Central European Journal of Nursing and
Midwifery. 2021; 12 (2): 366-75. XII. Oadiel, Y. A., Al-Ba’adani, M. N., Haidar, Q. H. Early Complications Following Modified Radical
Mastectomy. Open Access Library Journal. 2020; 7:
1-11. XXIV. Cohen, J.B., Carroll, C., Tenenbaum, M.M.,
Myckatyn,
T.M. Breast
Implant-Associated
Infections: The Role of The National Surgical
Quality Improvement Program and The Local
Microbiome. Plastic Reconstructive Surgery. 2015;
136: 921–9. XIII. Shaikh, F.B., Memon, A.A., Kumar, M., Soomro, E. Complications of Modified Radical Mastectomy in
Carcinoma Breast Patients. Medical Channel. 2014;
20: 43-46. XXV. Poppler, L.H., Mundschenk, M.B., Linkugel, A.,
Zubovic, E., Dolen, U.C., Myckatyn, T.M. Tissue
Expander Complications Do Not Preclude A Second
Successful Implant-Based Breast Reconstruction. Plastic Reconstructive Surgery. 2019; 143: 24–34. XIV. Xiong, M., Liu, Z., Lv, W., Zhao, C., Wang, Y., Tan,
Y., et al. REFERENCES I. Sung, H., Ferlay, J., Siegel, R.L., Laversanne, M.,
Soerjomataram, I., Jemal, A., et al. Global Cancer
Statistics
2020:
GLOBOCAN
Estimates
of
Incidence and Mortality Worldwide for 36 Cancers
in 185 Countries. A Cancer Journal for Clinicians. 2021; 71: 209-49. V. Othman, D. Immediate Versus Delayed Breast
Reconstruction: A Literature Review and Analysis
of Psychosocial Outcomes. 2017; 2 (1): 1-4. VI. Goethals, A., Rose, J. Mastectomy. Statpearls
[Internet]. [cited 2022Nov25]. Available from:
https://www.ncbi.nlm.nih.gov/books/NBK538212/ 152 Volume 03 Issue 01 Janaury 2023 A Reviewing Early Vs Later Reconstruction for Post-Mastectomy Cases Breast Reconstruction Does Not Affect the
Survival of Patients with Breast Cancer Located in
the Central and Nipple Portion: A Surveillance,
Epidemiology, and End Results Database Analysis. Frontiers in Surgery. 2022; 9: 1-12. XXVI. American Society of Plastic Surgeons. Breast
implant-associated anaplastic large cell lymphoma
(BIA-ALCL)
[Internet]. [cited
2022Nov27]. Available from:
https://www.plasticsurgery.org/patient-
safety/breast-implant-safety/bia-alcl-summary. XXVI. American Society of Plastic Surgeons. Breast
implant-associated anaplastic large cell lymphoma
(BIA-ALCL)
[Internet]. [cited
2022Nov27]. Available from: XV. American Society of Plastic Surgeons. 2019 Plastic
Surgery
Statistics
Report
[Internet]. [cited
2022Nov27]. Available
from:
https://www
.plasticsurgery.org/documents/News/Statistics/2019
/plastic-surgery-statistics-full-report-2019.pdf Corresponding Author: Devi Nurpita A Reviewing Early Vs Later Reconstruction for Post-Mastectomy Cases Prospective
Analysis
of
Outcomes. Plastic
Reconstructive Surgery. 139 (6): 1279-88. XXX. Feng, J., Pardoe, C.I., Mota, A.M., Chui C.H.K.,
Tan, B.K. Two-Stage Latissimus Dorsi Flap with
Implant for Unilateral Breast Reconstruction:
Getting the Size Right. Archives of Plastic Surgery. 2016; 43 (2): 197–203. XL. Raposio, E., Belgrano, V., Santi P. L., Chiorri C. Which is The Ideal Breast Size? Some Social Clues
for Plastic Surgeons. Annals of Plastic Surgery. 2016; 76 (3): 340–5. XLI. Hamdi, M. Oncoplastic and Reconstructive Surgery
of The Breast. The Breast. 2013; 22: 100-5. XXXI. Saldanha, I.J., Cao, W., Broyles, J.M., Adam, G.P.,
Bhuma,
M.R.,
Mehta,
S.,
et
al. Breast
Reconstruction After Mastectomy: A Systematic
Review and Meta-Analysis. Rockville: Agency for
Healthcare Research and Quality (US); 2021. XLII. Dec, W. Optimizing Aesthetic Outcomes in Delayed
Breast Reconstruction. Plastic and Reconstructive
Surgery-Global Open. 2017; 5 (8): e1447. XLIII. Staziaki, P. V., Urban, C., Furlando, V. F. Oncoplastic and Reconstructive Breast Surgery. 1st
ed. Milan: Springer-Verlag Italia; 2013, pp. 305-12. XXXII. Garza, R., Ochoa, O., Chrysopoulo, M. Post-
mastectomy Breast Reconstruction with Autologous
Tissue: Current Methods and Techniques. Plastic
and Reconstructive Surgery-Global Open. 2021; 9
(2): e3433. XLIV. Hershenhouse, K.S., Bick,K., Shauly, O., Kondra,
K., Ye, J., Gould, D.J., et al. Systematic Review and
Meta-Analysis of Immediate Versus Delayed
Autologous Breast Reconstruction in The Setting of
Post-Mastectomy Adjuvant Radiation Therapy. Journal of Plastic, Reconstructive, and Aesthetic
Surgery. 2021; 74 (5): 931-44. XXXIII. Fillip, C.I., Jecan, C.R., Raducu, L., Neau, T.P.,
Florescu, I.P. Immediate Versus Delayed Breast
Reconstruction
for
Postmastectomy
Patients. Controversies and Solutions. Chirurgia. 2017; 112
(4): 378-86. XLV. Pacaric, S., Orkic, Z., Babic, M., Farcic, N.,
Milostic-Srb, A., Lovric, R., et al. Impact of
Immediate and Delayed Breast Reconstruction on
Quality of Life of Breast Cancer Patients. International Journal of Environmental Research
and Public Health. 2022; 19 (8546): 1-12. XXXIV. Cordeiro, P.G., Jazayeri, L. Two-Stage Implant-
Based Breast Reconstruction: An Evolution of The
Conceptual and Technical Approach Over a Two-
Decade Period. Plastic and Reconstructive Surgery. 2016; 138 (1): 1–11. XXXV. Quinn, T.T., Miller, G.S., Rostek, M., Cabalag,
M.S., Rozen, W.M., Hunter-Smith, D.J. Prosthetic
Breast Reconstruction: Indications and Update. Gland Surgery. 2016; 5 (2) :174-86. XLVI. Morzycki,
A.,
Corkum,
J.,
Joukhadar,
N.,
Samargandi, O.,Williams, J., Frank, S. G. The
Impact of Delaying BreastReconstruction on Patient
Expectationsand Health-Related Quality of Life:An
Analysis Using the BREAST-Q. Plastic Surgery. 2019; 28 (4): 1-11. XXXVI. 154 Volume 03 Issue 01 Janaury 2023 A Reviewing Early Vs Later Reconstruction for Post-Mastectomy Cases Nava, M.B., Catanuto, G., Pennati, A., Cividin,
V.V.,
Spano,
A. Expander-Implants
Breast
Reconstruction. Plastic Surgery, 3rd ed. New York:
Elsevier Ltd.; 2013, pp. 336–69. XLVII. Yoon, A.P., Qi, J., Brown, D.L., Kim, H.M., Hamill,
J.B.,Erdmann-Sager, J., et al. Outcomes of
Immediate versus Delayed Breast Reconstruction:
Results of a Multicenter Prospective Study. Breast. 2018; 37L 72-9. XXXVII. El-Sabawi, B., Sosin, M., Carey, J.N., Nahabedian,
M.Y., Patel, K.M. Breast Reconstruction and
Adjuvant Therapy: A Systematic Review of Surgical
Outcomes. Journal of Surgical Oncology. 2015;
112: 458–64. XLVIII. Seth, A.K., Silver, H.R., Hirsch, E.M., Kim, J.Y.,
Fine, N.A. Comparison of Delayed and Immediate
Tissue Expander Breast Reconstruction in The
Setting of Post-Mastectomy Radiation Therapy. Annals of Plastic Surgery. 2015; 75 (5): 503–7. XXXVIII. Jeevan, R., Cromwell, D.A., Browne, J.P., Caddy,
C.M., Pereira, J., Sheppard, C., et al. Findings of a
National Comparative Audit of Mastectomy and
Breast Reconstruction Surgery in England. Journal
of Plastic, Reconstructive and Aesthetic Surgery. 2014; 67 (10): 1333–44. XLIX. Sanati-Mehrizy, P., Massenburg, B.B., Rozehnal,
J.M., Gupta, N., Rosa, J.H., Ingargiola, M.J., et al. A
Comparison
of
Postoperative
Outcomes
in
Immediate Versus Delayed Reconstruction After
Mastectomy. Eplasty. 2015;30(15): e44. L. Yun, J.H., Diaz, R., Orman, A.G. Breast
Reconstruction and Radiation Therapy. Cancer
Control. 2018; 25 (1): 1-15. XLIX. Sanati-Mehrizy, P., Massenburg, B.B., Rozehnal,
J.M., Gupta, N., Rosa, J.H., Ingargiola, M.J., et al. A
Comparison
of
Postoperative
Outcomes
in
Immediate Versus Delayed Reconstruction After
Mastectomy. Eplasty. 2015;30(15): e44. https://www.plasticsurgery.org/patien XXVII. Clemens, M.W., Brody, G.S., Mahabir, R.C,
Miranda, R. N. How to Diagnose and Treat Breast
Implant-Associated
Anaplastic
Large
Cell
Lymphoma. Plastic Reconstructive Surgery. 2018;
141: 586–99. XVI. Marco, G., Nicolo, B., Pio, G.M., Marianna, P.,
Francesco, S., Luigi, S., et al. Breast Reconstruction
with Anatomical Implants: A Review of Indications
and Techniques Based on Current Literature. Annals
of Medicine and Surgery. 2017; 21: 2-29. XXVIII. Masoomi, H., Clark, E.G., Paydar, K.Z., Evans,
G.R.D., Nguyen, A., Kobayashi, M.R., et al. Predictive Risk Factors of Free Flap Thrombosis in
Breast Reconstruction Surgery. Microsurgery. 2014; 34 (8): 589-94. XVII. Nahabedian, M. Y. Current Approaches to
Prepectoral
Breast
Reconstruction. Plastic
Reconstructive Surgery. 2018; 142: 871–80. XVIII. Nealon, K.P., Weitzman, R.E., Sobti, N., Gadd, M.,
Specht, M., Jimenez, R. B., et al. Prepectoral Direct-
to-implant Breast Reconstruction: Safety Outcome
Endpoints and Delineation of Risk Factors. Plastic
Reconstructive Surgery. 2020; 145:898–908. XXIX. Ochoa, O., Chrysopoulo, M., Nastala, C., Ledoux,
P., Pisano, S. Abdominal Wall Stability and Flap
Complications after Deep Inferior Epigastric
Perforator Flap Breast Reconstruction: Does Body
Mass Index Make a Difference? Analysis af 418 153 Volume 03 Issue 01 Janaury 2023 Corresponding Author: Devi Nurpita Corresponding Author: Devi Nurpita A Reviewing Early Vs Later Reconstruction for Post-Mastectomy Cases
Patients and 639 Flaps. Plastic Reconstructive
Surgery. 2012; 130:21–33. P
R XXXIX. XXXIX. Billig, J., Jagsi, R., Qi, J., Hamill, J. B., Kim, H. M.,
Pusic, A. L., et al. Should Immediate Autologous
Breast Reconstruction be considered in Women who
require Post-Mastectomy Radiation Therapy? A L. Yun, J.H., Diaz, R., Orman, A.G. Breast
Reconstruction and Radiation Therapy. Cancer
Control. 2018; 25 (1): 1-15. 154 Volume 03 Issue 01 Janaury 2023 Corresponding Author: Devi Nurpita
|
https://openalex.org/W4388199166
|
https://ojs.uma.ac.id/index.php/perspektif/article/download/9821/5188
|
English
| null |
LG and LGA’s Collaboration in SDGs Implementation of the Geopark of Sawahlunto City, Indonesia
|
Perspektif/Perspektif
| 2,023
|
cc-by-sa
| 6,772
|
School of Government and Public Policy Indonesia, Bogor, Indonesia Submiited: 16 June 2023; Reviewed: 10, September 2023; Accepted: 2, October 2023 PERSPEKTIF Available online http://ojs.uma.ac.id/index.php/perspektif How to Cite: Isabella. Ragamustari, S.K. & Murti, D.C. (2023). LG and LGA’s Collaboration in SDGs
Implementation of the Geopark of Sawahlunto City, Indonesia. PERSPEKTIF, 12 (4): 1107-1116 *Corresponding author:
E-mail: isabellahutasoit29@gmail.comlla@sgpp.ac.id *Corresponding author: PERSPEKTIF, 12(4) (2023): 1107-1116, DOI: 10.31289/perspektif.v12i4.9821 INTRODUCTION to form an effort that allows the goals or
objectives of public policy to be realized as
outcomes. Therefore, implementation involves
creating policy implementers to design and find
tools specifically designed and sought in the
desire to achieve these goals, which are
translated into action programs that can
achieve goals. Local governments are formed as third-
level institutions responsible for managing
small areas and municipalities in a region. Such
small areas can be classified as villages, small
towns, or large cities (Thapa, 2020). This
process of transferring legislative power and
policy from the central and state governments
to local government authorities is considered
decentralization. Local
governments
are
indispensable partners; their full and active
involvement
is
needed
to
maximize
decentralization with minimum overlapping
policies between local, regional, and national
governments. When sectoral policy integration
cannot be realized in most of the SDG’s targets,
space for Local Government Associations
(LGAs) to be involved emerges (Romeo, 2010),
such
as
UCLG
ASPAC,
which
supports
Sawahlunto City with its geopark geotourism. Having learned from the difficulties
experienced by countries to achieve MDGs, it
realized the importance of considering local
government roles from the initial step. SDGs
should be based on local government action
and generate participation from all societal
actors. There are three primary roles of non-
state actors to assist local governments in
achieving SDGs: advocacy, providing services,
and facilitating through programs or projects. The operation of the SDGs at the regional
and sub-regional levels is considered necessary
because they have a framework that can
effectively
push
sustainable
development
policies into concrete actions at the national
level. However, implementing the SDGs is a
complex endeavor at the national and regional
levels, often encountering coherence problems
between the seventeen goals and existing plans,
strategies, and goals. All SDGs have targets
directly or indirectly related to the local
governments and stakeholders' daily work. While the SDGs are global in ambition, their
achievement will depend more on local action
and leadership. The process of adaptation,
implementation, and monitoring of SDGs at the
local level is called localizing the SDGs. The
process of making SDGs a reality at the local
level, in line with the national framework and
with community priorities. To be successful,
localization must be based on the principles of
inclusion,
partnership,
and
multilevel
governance and built on adequate data and
availability of financing at the local level. PERSPEKTIF, 12(4) (2023): 1107-1116 PERSPEKTIF, 12(4) (2023): 1107-1116 Abstract This article elucidates the significance of collaboration between the Local Government (LG) and the
Local Government Association (LGA) in the Sustainable Development Goals (SDGs) implementation
within Sawahlunto City Geopark, Indonesia that aims to explore the role of diverse stakeholders in
shaping policy implementation in Indonesia, particularly in the context of Geopark tourism in
Sawahlunto. The central issue at hand concerns how LGA can assist in surmounting challenges and
bolstering Sawahlunto City's aspiration to elevate its status from a National Geopark to a UNESCO Global
Geopark (UGG). This research employs theoretical frameworks and adopts a qualitative approach using
the quadruple helix investigator model. Data collection was conducted through semi-structured
interviews and the acquisition of information from primary and secondary sources, including Medium-
Term Development Plan (RPJMD), Geopark documentation, Project Documents, and more. The research
findings underscore the pivotal role played by UCLG ASPAC, as an LGA, in collaborating with LG to
optimize the involvement of other stakeholders in advancing RPJMD, particularly in the realm of
tourism aligned with SDG 11.4. Furthermore, this collaboration is crucial for aiding LG in realizing its
aspiration to attain UGG status. Additionally, it emphasizes the imperative for regional governments
with geopark potential to develop their regional assets. Keywords: Localizing SDGs; Local Government Associations; Local Governments; Collaboration;
G
k Keywords: Localizing SDGs; Local Government Associations; Local Governments; Collaboration;
Geopark. How to Cite: Isabella. Ragamustari, S.K. & Murti, D.C. (2023). LG and LGA’s Collaboration in SDGs
Implementation of the Geopark of Sawahlunto City, Indonesia. PERSPEKTIF, 12 (4): 1107-1116 *Corresponding author:
E-mail: isabellahutasoit29@gmail.comlla@sgpp.ac.id ISSN 2549-1660 (Print)
ISSN 2550-1305 (Online) ISSN 2549-1660 (Print)
ISSN 2550-1305 (Online) INTRODUCTION Ragamustari & Desideria Cempaka Murti, LG and LGA’s Collaboration in SDGs
Implementation of the Geopark of Sawahlunto City, Indonesia Groet, followed by Ir. W.H de Greve in 1867. A
thorough investigation was conducted by Ir. R.D.M Varbeck (Dutch mine expert) at the
beginning of the development of Sawahlunto
settlements
(village). The
commercial
development of coal mines in 1891 pushed the
rapid growth of Sawahlunto. It has become the
object of exploitation by the Dutch colonial
government for more than 30 years, from 1898
to 1932. The remains of the former mine can
still be seen today, including Lubang Mbah
Soero and the Ransoem Warehouse Building. After receiving the title of National
Geopark, Sawahlunto was proposed to become
a UGG candidate. The idea of combining mining
and tourism was followed by the issuance of the
Sawahlunto
City
Regional
Regulation
No.1/2019 concerning the Sawahlunto City
Tourism Development Master Plan for 2019-
2033, especially in article 7 point c, it is
explained that one of the missions of the
Sawahlunto City Government based on the
Sawahlunto City Tourism Development Vision
(article 6) is to increase the potential of the
geopark, natural tourism, artificial tourism,
religion,
culture
and
history
(heritage)
holistically and sustainably by involving the
active role of the community. To achieve this
goal, the local government has four agendas,
including institutional capacity, inter-regional
cooperation, improving the quality of cities, and
developing tourist areas. g
The Ombilin coal mine is very famous
from a geological point of view, having the
Ombilin basin, which produced coal that was
formed during the Eocene period around 40-60
million years ago. Rock deposits with a
thickness of about 700 meters formed due to
the
Tanjung-Ampalu
fault
movement. Sawahlunto National Geopark, Ngarai Sianok
Maninjau National Geopark, and Silokek
Sijunjung National Geopark are the three
geoparks in West Sumatra that were approved
as National Geoparks in 2018. 50 sites in
Sawahlunto are part of the package for
establishing this national geopark. This former
mining area, Ombilin Coal Mining Heritage of
Sawahlunto
(OCMHS),
was
previously
designated as a UNESCO World Mining Heritage
at the World Heritage Committee meeting in
Azerbaijan in 2019. The Geopark Management
Agency currently manages the Sawahlunto
National Geopark. Sawahlunto obtained status as a National
Geopark
in
2018. Naturally,
the
local
government wants to upgrade its current status
to become UGG. Unfortunately, this desire has
not been realized because the journey has not
gone smoothly. INTRODUCTION The efforts made have not been
maximized. There are several limitations from
human and non-human resources, such as
financial resources management systems, not
to mention the negative impact of the COVID-19
pandemic in the last three years. In this stage,
advocacy
is
needed
to
provide
the
understanding and promote UGG so that all
parties can synergize in making Sawahlunto
become UGG. A third party or actor other than
the local government is needed to help carry
out impactful advocacy. The findings in this
study can be a recommendation for other LGs to
explore the collaboration ways or activities
between LGs and LGAs, specifically for any LGs
interested in becoming UGG. Other LGs can use
key takeaways as inputs to develop their policy
agenda (RPJMD) aligned with SDG 11.4 and to
advocate for their leaders. Sawahlunto City is known as the oldest
coal mining city in Indonesia, and coal mining
has been the primary source of Sawahlunto's
economy. When the biggest coal company (PT. BA UPO) stopped its open pit mining in 2003,
coal production decreased significantly. While
there are still 14 mining companies operating in
Sawahlunto, the government needs a method of
how
to
develop
possible
future
land
development for the mining area when the
mining industry is closed. The City Government
of Sawahlunto proposed developing post-
mining land use with the theme "Cultural
Mining City" from 2002 to 2020. Mining
tourism is prioritized to develop geological and
mining heritage objects for tourism. By looking
at the tourism potential that can be developed,
the City Government of Sawahlunto began
revitalizing the Sawahlunto area concerning
the Vision and Mission of Regional Regulation
(Perda) number 2 of 2001, which seeks "To
Realize Sawahlunto in 2020 to Become a
Cultured Mining Tourism City". INTRODUCTION One of the potentials of Sawahlunto
tourism is its geological diversity, which should
be a geological heritage and protected from
generation to generation, also used sustainably. Geoparks were initially defined as territories
with clear boundaries, sufficient surface area
for natural territorial economic development,
and a certain number of geosites of particular
importance regarding their scientific quality,
rarity, aesthetic appeal, and educational value. A geopark could also include sites with
archaeological, ecological, historical, or cultural
interests (McKeever & Zouros, 2005). Seeing the tourism potential that can be
developed, the Sawahlunto City Government
began to revitalize the Sawahlunto area by
referring to the Vision and Mission Regional
Regulation (Perda) number 2 of 2001, which
seeks to "Realize Sawahlunto in 2020 into a
Cultured Mining Tourism City". Sawahlunto
became one of three areas in West Sumatra that
received the national geopark title in 2018 as an
effort to develop the potential of the
Sawahlunto Geopark; this geopark has been
proposed to be a candidate for the UNESCO
Global Geopark (UGG). As a UGG candidate, the
geopark must meet various assessment criteria. One
assessment
criterion
is
sustainable
development, referred to Indonesian Law No. 32/2009 on environmental protection and
management. West Sumatra Province already has three
geopark areas with national geopark status
among nine other national geoparks. One of
these geoparks is the Sawahlunto National
Geopark, where the Underground Mining
Training Center (BDTBT) is located. Twenty-
nine tourist objects are directly and indirectly
related to the mining heritage in Sawahlunto. Tourism objects can be classified based on the
ABC or Abiotic, Biotic, and Cultural concepts. Four of twenty-nine are mining-based tourism
in Sawahlunto national geopark: Balai Diklat
Tambang Bawah Tanah, Mbah Suro tunnel,
Kandi animal park, and the forest area. In 1858,
coal was found in the Ombilin Valley by Ir. De Actors in the policy implementation stage
can be from the government, private sector, or
the community and are identified from the
bureaucracy, legislature, judiciary, pressure
groups, and community organizations (Lester &
Stewart, 2000). The implementation function is 1108 Isabella, Safendri K. Ragamustari & Desideria Cempaka Murti, LG and LGA’s Collaboration in SDGs
Implementation of the Geopark of Sawahlunto City, Indonesia Isabella, Safendri K. Ragamustari & Desideria Cempaka Murti, LG and LGA’s Collaboration in SDGs
Implementation of the Geopark of Sawahlunto City, Indonesia Isabella, Safendri K. RESEARCH METHODS This study uses a deductive thinking
approach known as deductive reasoning or
deductive logic. It started with theory,
hypothesis, choosing the case, and then
formulating data collection tools and continued
with data analysis. To obtain the data in this
research, the writer uses qualitative methods
such
as
interviews
(semi-structured
interviews) and obtain data from primary and
secondary sources (e.g., KLHS, RPJMD, Geopark 1109 PERSPEKTIF, 12(4) (2023): 1107-1116 PERSPEKTIF, 12(4) (2023): 1107-1116 To your knowledge, will there be a future monitoring and evaluation
program for this project? BP GN Sawahlunto (Mr. Rachmad Zoraldi)
Please introduce yourself and your National Management Agency
Geopark (BP GN) Sawahlunto role! Where did the initiative to have Geopark come from? How is the involvement of the local community? Does the BP GN have a work plan? How is the local government involved in managing this geopark? Are
they supportive? What is Pokdarwis? How far has Sawahlunto progressed toward UGG? How is the current financing of geopark management in Sawahlunto? It needs to be elaborated more. Who has the link to KNGI? If the two National Geoparks are merged, is there one management
body to manage them or what? UNESCO Representative
(Ms. Ozlem Adiyaman Lopes
- the UNESCO Earth Science
What is your position in UNESCO? Are you involved in the UNESCO Global Geopark? Can you tell us more about UGG? What are the benefits for cities that
get the UGG predicate? ,
g
p
,
Implementation of the Geopark of Sawahlunto City, Indonesia
Interviewee
List of questions
Head of Sawahlunto City
Tourism, Youth & Sports
Department
(Mr. Nova
Erizon, ST, MT)
What do you know about UCLG ASPAC? Is Sawahlunto a member of UCLG ASPAC? What do you know about the LOCALISE SDGs project? What has made Sawahlunto interested in project activities: technical
assistance on tourism recovery? Please elaborate. Are the project activities aligned with the vision, mission, and
priorities (RPJMD/RKA) of Sawahlunto? Please explain further. What policies have been made to support Sawahlunto's role as a
geopark? Is there any budget allocated? Is tourism one of the SDG’s priority targets for the Sawahlunto
municipal government? Where is it written, or can it be found? In RAD
or RPJMD? How do you see the role of UCLG ASPAC so far toward the City
Government of Sawahlunto? Both in general and in particular? Related to Sawahlunto's desire to become UNESCO Global Geopark,
is there any budget allocated? Does UCLG ASPAC's role have any
influence? If yes, please explain further. In your opinion, what are the challenges in the project
implementation? What are your future expectations of this technical
assistance? Do any further actions need to be taken?- e.g., related to
sustainability. Field
Officer
of
UCLG
ASPAC, PIC of the Project
(Ms. Vidya)
How long have you worked at UCLG ASPAC? In which section or
project? Field
Officer
of
UCLG
ASPAC, PIC of the Project
(Ms. Vidya) PERSPEKTIF, 12(4) (2023): 1107-1116 Ragamustari & Desideria Cempaka Murti, LG and LGA’s Collaboration in SDGs
Implementation of the Geopark of Sawahlunto City, Indonesia bella, Safendri K. Ragamustari & Desideria Cempaka Murti, LG and LGA’s Collaboration in SDGs
Implementation of the Geopark of Sawahlunto City, Indonesia Isabella, Safendri K. Ragamustari & Desideria Cempaka Murti, LG and LGA’s Collaboration in SDGs
Implementation of the Geopark of Sawahlunto City, Indonesia
Interviewee
List of questions
Head of Sawahlunto City
Tourism, Youth & Sports
Department
(Mr. Nova
Erizon, ST, MT)
What do you know about UCLG ASPAC? Is Sawahlunto a member of UCLG ASPAC? What do you know about the LOCALISE SDGs project? What has made Sawahlunto interested in project activities: technical
assistance on tourism recovery? Please elaborate. Are the project activities aligned with the vision, mission, and
priorities (RPJMD/RKA) of Sawahlunto? Please explain further. What policies have been made to support Sawahlunto's role as a
geopark? Is there any budget allocated? Is tourism one of the SDG’s priority targets for the Sawahlunto
municipal government? Where is it written, or can it be found? In RAD
or RPJMD? How do you see the role of UCLG ASPAC so far toward the City
Government of Sawahlunto? Both in general and in particular? Related to Sawahlunto's desire to become UNESCO Global Geopark,
is there any budget allocated? Does UCLG ASPAC's role have any
influence? If yes, please explain further. In your opinion, what are the challenges in the project
implementation? What are your future expectations of this technical
assistance? Do any further actions need to be taken?- e.g., related to
sustainability. Field
Officer
of
UCLG
ASPAC, PIC of the Project
(Ms. Vidya)
How long have you worked at UCLG ASPAC? In which section or
project? How familiar are you with the LOCALISE SDGs project? Is there a
particular project that you handle? Regarding technical assistance in the field of tourism recovery carried
out under the LOCALISE SDGs project, what is your role? What do you think about the project activities? Does it have any
impact on the beneficiaries? Do you think the project activities align with the policy priorities of
the city of Sawahlunto? In your opinion, how significant is the role of UCLG ASPAC for the
cities that receive technical assistance? And in what way? Related to Sawahlunto's desire to become UNESCO Global Geopark,
does UCLG ASPAC’s role have any influence? If yes, please explain
further. PERSPEKTIF, 12(4) (2023): 1107-1116 documentation, Project Documents, etc.). The
purpose of data analysis is to simplify the data
interpretation by using descriptive qualitative
methods. Commonly, for data validation, the analysis uses triangulation to guarantee
credibility. Some variables operationalization
based on the LGA concept was obtained from
this research, shown in the table below. Figure 1. Variables Operationalization Figure 1. Variables Operationalization The author uses method triangulation
through a quadruple relationship model and
narrative analysis for this research. The
importance of NGOs was then manifested into a
new
model
called
“Quadruple‐Helix,”
representing the civil society or civil sector as
one participatory domain in SDGs (Maldonado,
2010). This model can help understand the role
of each stakeholder engaged in the tec
assistance tourism recovery of Sawah
Geopark Website Development. Stakeh
are
UCLG
ASPAC
(community/
so
Sawahlunto City (Government), SDGs C
(university/ academic), and the web deve
(business). Figure 2. Quadruple Helix shows the linkage of stakeholders in the Sawahlunto Geopark
Source: Author’s Research (2023) The author uses method triangulation
through a quadruple relationship model and
narrative analysis for this research. The
importance of NGOs was then manifested into a
new
model
called
“Quadruple‐Helix,”
representing the civil society or civil sector as
one participatory domain in SDGs (Maldonado,
2010). This model can help understand the role of each stakeholder engaged in the technical
assistance tourism recovery of Sawahlunto
Geopark Website Development. Stakeholders
are
UCLG
ASPAC
(community/
society),
Sawahlunto City (Government), SDGs Center
(university/ academic), and the web developer
(business). of each stakeholder engaged in the technical
assistance tourism recovery of Sawahlunto
Geopark Website Development. Stakeholders
are
UCLG
ASPAC
(community/
society),
Sawahlunto City (Government), SDGs Center
(university/ academic), and the web developer
(business). )
p
Figure 2. Quadruple Helix shows the linkage of stakeholders in the Sawahlunto Geopark
Source: Author’s Research (2023) Source: Author’s Research (2023) In between data source triangulation
measures based on a literature study and
interviewing with selected parties from the
Local Government Association (UCLG ASPAC,
particularly the person in charge of the project, (Head and personnel of Sawahlunto Tourism,
Youth
&
Sports
Department),
UNESCO
representative, and web developer. The
interviewee and the list of questions can be
seen in the table below: p
y
p
g
p
j
,
the Field Officer of LOCALISE SDGs project), LG
Table 1. List of Interviewees and Questions the Field Officer of LOCALISE SDGs project), LG Table 1. List of Interviewees and Questions 1110 Isabella, Safendri K. PERSPEKTIF, 12(4) (2023): 1107-1116 How familiar are you with the LOCALISE SDGs project? Is there a
particular project that you handle? Regarding technical assistance in the field of tourism recovery carried
out under the LOCALISE SDGs project, what is your role? What do you think about the project activities? Does it have any
impact on the beneficiaries? Do you think the project activities align with the policy priorities of
the city of Sawahlunto? In your opinion, how significant is the role of UCLG ASPAC for the
cities that receive technical assistance? And in what way? Related to Sawahlunto's desire to become UNESCO Global Geopark,
does UCLG ASPAC’s role have any influence? If yes, please explain
further. To your knowledge, will there be a future monitoring and evaluation
program for this project? BP GN Sawahlunto (Mr. Rachmad Zoraldi)
Please introduce yourself and your National Management Agency
Geopark (BP GN) Sawahlunto role! Where did the initiative to have Geopark come from? How is the involvement of the local community? Does the BP GN have a work plan? How is the local government involved in managing this geopark? Are
they supportive? What is Pokdarwis? How far has Sawahlunto progressed toward UGG? How is the current financing of geopark management in Sawahlunto? It needs to be elaborated more. Who has the link to KNGI? If the two National Geoparks are merged, is there one management
body to manage them or what? UNESCO Representative
(Ms. Ozlem Adiyaman Lopes
- the UNESCO Earth Science
What is your position in UNESCO? Are you involved in the UNESCO Global Geopark? Can you tell us more about UGG? What are the benefits for cities that
get the UGG predicate? 1111 PERSPEKTIF, 12(4) (2023): 1107-1116 and
Geo-Hazards
Risk
Reduction Section)
What are the criteria for assessing the feasibility of a geopark
attraction to become a UGG? Is there a registration or other fee for selecting tourist objects to
become UGG? Based on your experience or observations, what challenges are faced
regarding the nomination process of tourist objects to become UGG? In your opinion, do you think there is a link between UGG and SDGs? Do you see any connection with SDG 11.4? Do you think there is a role for non-state actors or local government
associations in encouraging or assisting local governments in realizing
their desire to become UGG? Are there any examples you know? PT. RESULTS AND DISCUSSION sustainable development concept. Cities that
wish to be recognized as UGG must fulfill
several points determined by the UGG
committee. Cities
must
be
prepared
administratively and financially. UGG should
respond to SDGs – and support all of them. Any projects and cooperation related to
SDGs should have objectives that benefit the
communities to support such activities. The
communities must understand why such
activity has been implemented, how it
benefits them, and how they can contribute. In addition, cooperation between regions
should be promoted and implemented by
suitable partners and institutions to achieve
the targets and objectives. The role of this
project is to deliver capacity-building and
communication activities about UNESCO’s
International Geoscience and Geoparks
(IGGP)
program. The
role
of
Local
Government Associations like UCLG ASPAC
is encouraging or assisting local government
for geopark as a people organization with a
bottom-up approach. PERSPEKTIF, 12(4) (2023): 1107-1116 ATN (Reza Permadi)
Do you know about the tourism recovery technical assistance project
undertaken by UCLG ASPAC? What are your roles or responsibilities in these activities? What do you think about coordinating with the City Government of
Sawahlunto so far? With what department? Do you usually
coordinate? Can it be known on average one day, one week, and one month the
number of visitors who access the Sawahlunto Geopark website? Are there any significant challenges so far? If so, can you please
explain? Do you have any input for future improvements? Both in technical and
non-technical terms. Have you ever received requests for similar services from other places? How did it go? Source: Author Analysis (2023) Result of Interview The role of UCLG ASPAC is
limited to matching/match-making cities
with
training
providers
through
this
LOCALISE SDGs project and organizing
webinars to share with other cities in terms
of geotourism. and management of Sawahlunto's geopark. g
g
p
. BP GN Sawahlunto, as Government, informed
that the management body, which was just
legalized through a mayoral decision letter
on 1st of April 2022, has not yet received full
support from the main leader appointed,
namely the Regional Secretary. In 2018, it
received the title of Sawahlunto National
Geopark (GNS); in 2019, it was recognized as
the Ombilin Coal Mining Heritage (OMCH) by
UNESCO. This is a golden opportunity for
Sawahlunto to continue their desire to go to
UGG, but due to the lack of support from the
leadership and unclear funding, this process
is still running in place. BP GN Sawahlunto
began
to
intensify
collaboration
with
universities and started thinking about
seeking CSR funds. The master plan is being
developed as a primary document for
applying CSR funds, so there is no need to
depend entirely on the APBD. Initially, not
many cared about and worked hard to
develop the Geopark in Sawahlunto. This
was an individual like Reza, an expert and
practitioner in the field of Geopark. He
advocated for leaders in Sawahlunto so that
in 2018, Sawahlunto received recognition as
a National Geopark. Reza also introduced
Sawahlunto to UCLG ASPAC and saw an
opportunity to get assistance in making a
Geopark heritage document website, which
is one of the conditions for becoming a UGG. Bangda and BP GN Sawahlunto must
proactively
involve
UCLG
ASPAC
in
developing the Sawahlunto Geopark, using
the worldwide UCLG ASPAC network to
achieve their desire to become UGG. Sawahlunto has joined as a member of UCLG
ASPAC and pays an annual fee, so it is only
natural that Sawahlunto will benefit from his
membership in UCLG ASPAC. 4. g
. The head of Sawahlunto City Tourism, Youth
& Sports Department Government informs
that as a Tourism City recognized as a World
Cultural Heritage and National Geopark,
Sawahlunto requires a lot of input and
brainstorming from various parties. Tourism
is a top priority for Sawahlunto, As stated in
the Regional Regulation on the Vision and
Mission of the City, and has also become the
Vision of the Government for the current
period (2018-2023). Result of Interview From five interviewees, the author
catches some information about the role of each
interviewee and the role of other stakeholders,
especially the role and position of UCLG ASPAC
as LGA in the Sawahlunto project. The table
summary of the information is below. The
interviewee mentioned some actors who also
had an essential role, like APEKSI as the
community/society sector, similar to UCLG
ASPAC but with local coverage (across
Indonesia only) and co-organized activity in the
Sawahlunto project. Some statements mention
promising future actors such as local academies
for making master plans, CSR for funding
outside APBN, local society for maintaining and
sustaining the project, and local region
networks
for
knowledge
exchange
and
advocacies. Here is a summary of the interviewee’s
information: 1. Information from UNESCO’s Representative
as the Academic/ Scientist/ Education
informs that UNESCO Global Geoparks are
single, unified geographical areas where
sites
and
landscapes
of
international
geological significance are managed with a
holistic
protection,
education,
and 2. 2. PT. ATN
as
Business/
Industry/
Entrepreneur informs that PT. UCLG ASPAC
appointed ATN as a training provider for
project matchmaking under LOCALISE SDGs. The government of Sawahlunto is still not 2. PT. ATN
as
Business/
Industry/
Entrepreneur informs that PT. UCLG ASPAC
appointed ATN as a training provider for
project matchmaking under LOCALISE SDGs. The government of Sawahlunto is still not 1112 Isabella, Safendri K. Ragamustari & Desideria Cempaka Murti, LG and LGA’s Collaboration in SDGs
Implementation of the Geopark of Sawahlunto City, Indonesia Isabella, Safendri K. Ragamustari & Desideria Cempaka Murti, LG and LGA’s Collaboration in SDGs
Implementation of the Geopark of Sawahlunto City, Indonesia Isabella, Safendri K. Ragamustari & Desideria Cempaka Murti, LG and LGA’s Collaboration in SDGs
Implementation of the Geopark of Sawahlunto City, Indonesia serious in efforts for the Sawahlunto
Geopark to get UGG recognition. Sawahlunto
received recognition as a National Geopark
site in 2018 and OCMHS in 2019, but until
now, it has not received recognition from
UNESCO as UGG. There are still several UGG
requirements that Sawahlunto has been
unable to fulfill. The BP GN Sawahlunto was
formed in 2018 almost three years vacuum. In 2021 it was reformed. Apart from that, the
main obstacle was that the commitment
from the regional head was not strong. This
affects the unavailability of the regional
budget to finance the operations of the
managing agency and supporting activities
for the development of the Sawahlunto
Geopark area. Result of Interview The Sawahlunto City,
Tourism, Youth & Sports Department,
generally understands UCLG ASPAC and the
LOCALISE SDGs project but may not fully
comprehend their potential benefits for the
city. The obstacle is the lack of human
resources to manage the website to sustain
the
project’s
benefits. Regarding
Sawahlunto's desire to become UGG, it is not
enough to create a Geopark website. The
existence of limited human and financial
resources is an obstacle that needs to be
found a way out. Sawahlunto's journey is still
quite long. UCLG ASPAC can help Sawahlunto
by facilitating Sawahlunto City with other
cities that have previously developed
geoparks. By networking and collaborating
with other cities with experience in
developing geoparks, Sawahlunto may be
able to access resources, knowledge, and
best practices to support their geopark
development efforts. Additionally, UCLG
ASPAC may also be able to provide technical
assistance and support in the development 5. p
5. UCLG
ASPAC
(Local
Government
Association) as Community/ Society informs
that UCLG ASPAC is a local government
association
that
has
a
reasonably
comprehensive coverage in Asia Pacific and
has a role in this project as program initiator
and technical assistance through LOCALISE
SDGs. There are benefits from virtual tour
training for the tour guide, who, before
losing their job due to the pandemic, now
have a new job-creating virtual tour
facilitated by selected vendors such as PT. ATN, and for virtual expo training, they get
facilitation from KA Wisata in marketing the
promotion of their tourism area so that there 1113 PERSPEKTIF, 12(4) (2023): 1107-1116 is already sufficient information regarding
tourism in the region after the pandemic. Especially for the promotion of Sawahlunto
Geopark, the benefit is that the tourism
website can be used to make promotion one
of the stipulations to improve the Geopark to
become UGG. The program implementation
was in cooperation between UCLG ASPAC
and APEKSI, funded by a grant from the EU. For
technical
assistance
purposes,
Sawahlunto is supported by PT. ATN, which
previously had a close relationship with
Sawahlunto, understands the needs better. UCLG ASPAC supports Sawahlunto's efforts
to get the UGG status/acknowledgment
through
involvement
in
international
conferences
and
networks,
submitting
endorsement letters, and linking local
websites to their network website so that it
could disseminate the news to Asia Pacific
(not only in Indonesia). Regarding funding, there are other
solutions to get funding outside the APBN,
which seeks CSR funds from companies. Discussion The relationship of all stakeholders in the
Sawahlunto project is a dynamic relationship
with direct and indirect coordination. The
business party indirectly coordinates with
academics and the government through their
role as funding channel/broker and technical
assistance. They directly coordinate with the
community or society and have an important
role in technical issues. The government has a
role not only as a policy maker but also as a
facilitator, promotion, and advocacy with direct
coordination with community/ society and
academics. This model will make people's
organizations grow and sustain with a bottom-
up
approach,
like
some
interviewees
mentioned above. This dynamic relationship
can be seen in the quadruple helix below. Figure 3. Dynamic Relationship of Stakeholders in
the Sawahlunto Geopark
Source: Author’s Researcher (2023) Figure 3. Dynamic Relationship of Stakeholders in
the Sawahlunto Geopark
Source: Author’s Researcher (2023) Result of Interview However, a
comprehensive master plan
required for each existing site must be attached
to the proposal submitted. Making a master
plan has become another challenge, so the BP
GN needs to collaborate with academics
(universities and experts). This master plan
should outline strategies for conservation,
sustainable tourism, community engagement,
infrastructure development, and other relevant
aspects. It should also include financial
projections
and
a
clear
roadmap
for
implementation. Collaborating with reputable
universities and experts can enhance the
credibility and reputation of the geopark
management agency. This can strengthen
relationships with potential funding partners,
including companies for CSR funds. Also,
universities and experts may have existing
networks and connections that can be
leveraged to establish partnerships and attract
funding. Isabella, Safendri K. Ragamustari & Desideria Cempaka Murti, LG and LGA’s Collaboration in SDGs
Implementation of the Geopark of Sawahlunto City, Indonesia LGs
and
LGAs
should
establish
strong
monitoring and reporting mechanisms to track
progress towards SDG target 11.4, 6) LGs and
LGAs should advocate for policy support at
higher levels of government and support the
implementation of SDG 11.4 at the local level, 7)
LGs and LGAs should actively share best
practices, lessons learned, and success stories
with each other and the wider international
community, 8) LGs and LGAs should mobilize
resources for heritage protection initiatives, 9)
LGs and LGAs should jointly engage in public
awareness campaigns to promote the value of
cultural
and
natural
heritage
and
the
importance of its protection, 10) LGs must
boost
international
cooperation
through
international
networks,
partnerships
and
platforms that promote cooperation in heritage
protection and sustainable development where
LGAs can fully support. Brilha, J. (2016). Inventory and Quantitative
Assessment of Geosites and Geodiversity Sites:
A Review. Geoheritage 8 (2), (pg. 119-134). Brown, C., & Ainley, K. (2009). Understanding
International Relations. Basingstoke and New
York: Palgrave Macmillan Buis, H. (2009). The Role of Local Government
Associations in Increasing The Effectiveness of
City-To-City
Cooperation. Habitat
International. 33(2), (pg. 190-194). Citizen’s Platform for SDGs, Bangladesh, & Centre for
Policy Dialogue (CPD). (2019). Four Years of
SDGs in Bangladesh and The Way Forward,
Looking Through The Prism of Non-State
Actors. Lithograph 41/5 Purana Paltan,
Dhaka 1000. Cowie, J.W. (1993). Report-Working Group on
Geological and Palaeobiological Sites: A
Cooperative Project of UNESCO, IUGS, IGCP,
and IUCN. World Heritage (UNESCO). (pg. 32). Cowie, J. W. & Wimbledon, W.A.P. (1994). The World
Heritage List and Its Relevance to Geology. In
O’Halloran, D, Green, C., Harley, M., Stanley,
M.,& J. Knill (eds.), Geological Landscape
Conservation (pg. 71-73). The researcher realizes that there are still
many things that can be studied further from
this case study which may later be carried out
by other researchers. Some of the things that
can be studied or further analyzed include: Delman, J., & Madsen, S.T. (2007). Nordic Triple Helix
Collaboration in Knowledge, Innovation, and
Business in China and India: A Preliminary
Study. NIAS-Nordic Institute of Asian Studies,
Copenhagen. 1. The evaluation of the effectiveness of
policy
frameworks
in
promoting
sustainable
development
within
the
geopark context. Denzin, N. (1970). Sociological Methods. New
Brunswick: Transaction. Publishers. 2. The stakeholder analysis to identify and
understand the perspectives, roles, and
interests of various stakeholders involved
in SDG implementation within the geopark. This
analysis
should
include
local
government officials, LGAs (e.g. Isabella, Safendri K. Ragamustari & Desideria Cempaka Murti, LG and LGA’s Collaboration in SDGs
Implementation of the Geopark of Sawahlunto City, Indonesia UCLG Asia
Pacific,
APEKSI
representatives),
community
members,
civil
society
organizations, and other relevant actors. Assess their collaboration, communication,
and coordination mechanisms. EGN. (2000). European Geopark Charter. European
Geopark
Network. Retrieved
from
https://www.europeangeopark.org/?page_i
d5357. Accessed on 30 July 2021. Geo-Itoigawa
Website. (n.d). Introduction. Retrieved
from
http://www.geo-
itoigawa.com/eng/sp/introduction/index.ht
ml Granados, F. J., & Noferini, A. (2019). Subnational
Governments
and
the
2040
Agenda:
Strengthening
Policy
Effectiveness
and
Legitimacy with the Localization of the
Sustainable Development Goals. Barcelona:
Institut Barcelona d’Estudis Internacionals. CONCLUSION Local governments that have geopark
potential should be able to develop their
regional potential. LGA, like UCLG ASPAC, was a
strong collaborator for local government to
support and develop their planning. The ten
recommendations for local governments to
collaborate with LGA from this study are as
follow: 1) foster strong partnerships between
LG and LGAs, 2) the LG and LGA should work
together to develop a joint action plan, 3) LGs
and LGAs should invest in capacity building
initiatives
in
heritage
conservation
and
sustainable development practices, 4) LGs and
LGAs must actively engage local communities,
indigenous groups, and cultural heritage
experts
in
planning,
implementing
and
evaluating heritage protection initiatives, 5) It is evident that through the technical
assistance provided to Sawahlunto Geopark
through the LOCALISE SDGs project, UCLG
ASPAC requires another party to perform the
technical role, namely PT. ATN. This aligns with
the relationship between stakeholders in the
Sawahlunto project, where business parties
indirectly coordinate with academics and
government through their role as funding
channel/broker and technical assistance. They
directly coordinate with the community or
society and have an important role in technical
issues. Other actors who can also play a role are
APEKSI as a community/society sector similar
to UCLG ASPAC but with local coverage (across
Indonesia only) and co-organized activity in the
Sawahlunto project. 1114 Isabella, Safendri K. Ragamustari & Desideria Cempaka Murti, LG and LGA’s Collaboration in SDGs
Implementation of the Geopark of Sawahlunto City, Indonesia Isabella, Safendri K. Ragamustari & Desideria Cempaka Murti, LG and LGA’s Collaboration in SDGs
Implementation of the Geopark of Sawahlunto City, Indonesia REFERENCES Gruber, L. (2000). Ruling the World: Power Politics
and the Rise of Supranational Institutions. Princeton, NJ: Princeton University Press. Arts, B. (2001). International Policy Arrangement of
State and Non-State Actors. Arts, B, Noortmann, M., Reinalda, B, (Eds.). Non-State
Actors in International Relations. (pg. 41-58). Aldershot:
(2001). International
Policy
Arrangement of State and Non-State Actors. Hassan M, Lee, & Mokthar. (2018). Streamlining
Non-Governmental Organizations’ Programs
Towards
Achieving
the
Sustainable
Development Goals: A Conceptual Framework. Avant, D.D., Finnemore, M., & Sell, S. K. (2010). Who
Governs
The
Globe? Cambridge
U.K.:
Cambridge University Press. Hay, C. (Ed.). (2010). New Directions in Political
Science: Responding to the Challenges of an
Interdependent World. Basingstoke and New
York: Palgrave Macmillan. Bhamra, S., Nagrath, K., & Niazi, Z. (2015). Role of
Non-State Actors in Monitoring and Review for
Effective Implementation of the Post-2015
Agenda: A Case Study Analysis. Independent
Research Forum 2015, Background Paper 4. Held, D., & McGrew, A. (2007). Globalization/Anti-
Globalization: Beyond the Great Divide. Cambridge and Malden, MA: Polity Press. 1115 PERSPEKTIF, 12(4) (2023): 1107-1116 Heywood, A. (2011). Global Politics. New York:
Palgrave Macmillan. Professor Knoepfel, Peter, Corrine Larrue, &
Frederic Varone. Public Policy Analysis. Bristol. (2011). Online Edition. Policy Press
Scholarship
Online. 22
March
2012. doi:10.1332/policypress/9781861349071.0
01.0001. Accessed on 2 May 2023. Isaac, Nyamweno M. et.al. (2016). An Assessment of
the Role of Non-State Actors in Development of
Community-Based Ecotourism in Kenya’s
Western Tourist Circuit. International Journal
of Liberal Arts and Social Science Vol. 4. No. 2. March. R., Brito,& T. Paola. (2016). Non-Governmental
Organizations (NGOs) in Ecotourism. Griffith
School
of
Environment. https://doi.org
/10.25904/1912/2846. Keohane, R. O., & Nye, J. S. J. (2001). Power and
Interdependence (3rd ed.). New: Longman. Romeo, L. (2010). The Role of Local Government
Associations in Promoting Developmental
Local
Governments. ICLD
Swedish
International Centre for Local Democracy. Kramer, Peter et.al. (2008). Advocacy and Lobbying
by a Local Government Association (LGA). Part
of
a
series
of
documents
for
Local
Government Associations available from VNG
International. Salamon, L. M. (1994). The Rise of the Non-Profit
Sector. Foreign Affairs. 73(4). (pg.109-122). Retrieved from JSTOR database. (Accession
No. 20046747). Lester, J. P., & Stewart, J. (2000). Public policy: An
Evolutionary Approach (2nd Ed.). Belmont,
CA: Wadsworth/Thomson Learning. Local Governments Medium-term Development
Plans (RPJMD) 2018-2023 of Sawahlunto
City. Scholte, J. A. (1994). Globalization: A Critical
Introduction. Basingstoke and New York:
Palgrave Macmillan. Stengel, F.A.,& Baumann, R. (2017). REFERENCES Non-State Actors
and Foreign Policy Encyclopedia of Politics. DOI:
10.1093/acrefore/9780190228637.013.456. Mazmanian, D & Sabatier, P. (1983). Implementation
and Public Policy. Glenview: Scott Foresman. Maldonado. (2010). Book or article title. The
importance of NGOs was then manifested into
a new model called “Quadruple-Helix”
representing the civil society or civil sector as
one participatory domain in SDGs. Thapa, I. (July 2020). Local Government: Concept,
Roles, and Importance for Contemporary
Society. DOI: 10.13140/RG.2.2.23009.33123. United
Nations
General
Assembly. (2015). Transforming Our World: The 2030 Agenda for
Sustainable Development. The resolution was
adopted by the General Assembly on 25
September
2015. Retrieved
from
https://sdgs.un.org/2030agenda. McKeever, P., & Zouros, N. (2005). Geoparks:
Celebrating
Earth
Heritage,
Sustainable
Communities. Eps. 28 (4). (pg. 274-278). Meter, Donald. S. V. & VH, Carl E. (1970). The Policy
Implementation Process, Administration and
Society. 6. (pg. 447). UNESCO. (1999). UNESCO Geopark Programme – A
New Initiative to Promote a Global Network of
Geopark
Safeguarding
and
Developing
Selected Areas Having Significant Geological
Features. Document
156EX/11
Rev/.,
Executive Board, 156th session. UNESCO,
Paris. (pg. 4). Nitoaia P., camara G. (2018). Roles of Actors in
Promoting Sustainable Development. PESD,
Vol. 12, no. 1. DO 10.2478/pesd-2018-0013. Patton, M. Q. (1999). Enhancing the Quality and
Credibility of Qualitative Analysis. HSR: Health
Services Research, 34(5). Part II. (pg. 1189-
1208). Patzak, M.,& Eder, W. (1998). UNESCO GEOPARK. A
New Programme – a new UNESCO label. Geol. Balcan. 28(3-4). (pg. 33-35). UNWTO Website (n.d). Tourism in the 2030 Agenda. Retrieved
from
https://www.unwto.org/tourism-in-2030-
agenda. Pierman, G. (2015). The Grand Strategy of Non-State
Actors: Theory and Implications. Journal of
Strategic Security, 8(4). Winter. Retrieved
from
https://scholarcommons.usf.edu/cgi/viewco
ntent.cgi?referer=https://www.google.com/
&&hhtpsredir=1&article=1452&context=jss Van meter, D. S., & VanHorn, C. E. (1975). The Policy
Implementation Process. Administration and
Society, 6. (pg. 447). Yamamoto, T. (1995). The Growing Role of Non-State
Actors in International Affairs. Japan Center of
International
Exchange. Retrieved
from
http://www,jcie.org/researchpdfs/Role_Non
state/4_Chapter%203.pdf. (pg. 41). P. J., Lester & J., Stewart. (2000). Public Policy: An
Evolutionary Approach. (2nd ed.). Wadsworth
Thomson Learning. Young, S. T., & Dhanda, K. K. (2013). Sustainability:
Essentials for Business. SAGE Publications. Popoola, O.O. M. et.al. (2016). Actors in Decision
Making and Policy Process. Global Journal of
Interdisciplinary Social Sciences, Vol. 5(2),
(pg. 47-51). Published by Global Institute for
Research & Education, G.J.I.S.S.]. Zouros,
N.,&
Valiakos,
I. (2010). Geopark
Management and Assessment. Bulletin of the
Geological Society of Greece, 43(2). (pg. 965-
976). 1116
|
https://openalex.org/W2408129314
|
https://europepmc.org/articles/pmc4873158?pdf=render
|
English
| null |
Systemic Transcriptional Alterations of Innate and Adaptive Immune Signaling Pathways in Atherosclerosis, Ischemia Stroke, and Myocardial Infarction
|
Journal of bioanalysis & biomedicine
| 2,015
|
cc-by
| 4,169
|
Systemic Transcriptional Alterations of Innate and Adaptive
Immune Signaling Pathways in Atherosclerosis, Ischemia
Stroke, and Myocardial Infarction Taura L. Barr1, Reynal L. VanGilder2, Ryan Seiberg3, Ashely Petrone4, Paul D. Chantler5,
and Chiang-Ching Huang6,* 1Department of Health Restoration School of Nursing and Center for Basic and Translational
Stroke Research West Virginia University, USA Author Manuscript 2Department of Health Restoration West Virginia University School of Nursing and Emergency
Medicine, USA 3Feinberg School of Medicine, Northwestern University, USA 3Feinberg School of Medicine, Northwestern University, USA 4School of Medicine, Center for Neuroscience West Virginia University, USA 5Division of Exercise Physiology and Center for Cardiovascular and Respiratory Sciences, School
of Medicine, West Virginia University, USA 5Division of Exercise Physiology and Center for Cardiovascular and Respiratory Sciences, School
of Medicine, West Virginia University, USA 6Joseph J. Zilber School of Public Health, University of Wisconsin, Milwaukee, USA Author Manuscript 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. Author Manuscript Published in final edited form as: J Bioanal Biomed. 2015 April ; 7(2): 029–034. doi:10.4172/1948-593X.1000120. rresponding author: Chiang-Ching Huang, Joseph J. Zilber School of Public Health, University of Wisconsin, Milwaukee, 1
h Street Milwaukee, Wisconsin 53201-0413, USA, Tel: +414 227-5006; ; Email: huangcc@uwm.edu. Abstract Background—Transcriptional profiles are available for a variety of cardiovascular-related
diseases. The goal of this study was to compare blood transcriptional profiles of the Toll-like
receptor (TLR), T-cell receptor (TCR), and B-cell receptor (BCR) signaling pathways in
asymptomatic atherosclerosis, acute ischemic stroke, and myocardial infarction patients to identify
common mechanisms of immune regulation and their association with epigenetic regulation. Methods and results—Peripheral blood gene expression profiles from human atherosclerosis-
related diseases and healthy controls were downloaded from Gene Expression Omnibus (GEO). Genes in the TLR, TCR, and BCR pathways were retrieved from the NCBI BioSystems database. Significance of gene enrichment and concordance of expression changes in each pathway was
compared between studies. Gene expression was significantly correlated across the three disease
conditions (p<10−15) and the proportion of significant genes was high (30~60%, p<0.001). Hub
genes identified by weighted gene co-expression network analysis (WGCNA) in the TCR/BCR
sub-network, including CD81 and TCR-CD3ζ, were significantly down-regulated and highly
correlated with DNA (cytosine-5-)-methyltransferase 1 (DNMT1). Author Manuscript Author Manuscript Conclusion—Common biologically relevant networks associated with immune regulation in
stroke, atherosclerosis, and myocardial infarction were discovered. Given the high correlation of Page 2 Barr et al. DNMT1 with these immune signaling pathways, epigenetic regulation may contribute to the
coordination of innate and adaptive immune response in all CVD disease states. Down-regulation
of the TCR-BCR axis in the adaptive immune system offers critical information for the
investigation of the functional mechanisms underlying chronic inflammation-induced immune
suppression in cardiovascular disease and stroke. DNMT1 with these immune signaling pathways, epigenetic regulation may contribute to the
coordination of innate and adaptive immune response in all CVD disease states. Down-regulation
of the TCR-BCR axis in the adaptive immune system offers critical information for the
investigation of the functional mechanisms underlying chronic inflammation-induced immune
suppression in cardiovascular disease and stroke. Author Manuscript Keywords Atherosclerosis; Stroke; Gene expression; Immune system J Bioanal Biomed. Author manuscript; available in PMC 2016 May 19. Introduction Atherosclerosis is one of the most common causes of death and disability in the United
States [1]. Atherosclerosis is a complex process associated with the accumulation of plaque
and arterial remodeling. The atherosclerotic process involves an ongoing, interaction
between chronic inflammation and altered immune function [2,3]. The intertwined
determinants of the disease require the use of analytic strategies that can simultaneously
assess the contribution of multiple genes to the onset and progression of atherosclerosis [4–
6]. Author Manuscript Author Manuscript In most clinical cases, ischemic stroke (IS) and myocardial infarction (MI) result from long
standing atherosclerotic disease [7], thus it can be expected that similarities in immune
regulation exist among the three disease states. In fact, previous studies using gene
expression profiling indicate that increased expression of genes involved in the toll-like
receptor (TLR) signaling pathway are common in patients with asymptomatic
atherosclerotic cardiovascular disease [4] and acute IS [5]. However, there are clinical
differences in disease pathology between atherosclerosis, IS and MI. Experimental studies
show that activation of TLRs can induce diverse inflammatory responses through specific
epigenetic modification [8]. Remodeling of DNA methylation is a prominent epigenetic
mechanism of adaptive immune responses, resulting in progressive loss of transcriptional
adaption of T cells [9–12]. Therefore, it is likely that epigenetic modification may play a key
role in coordinating the innate and adaptive immune response. Despite these novel
discoveries, the interplay between DNA methylation and immune signaling pathways in
atherosclerotic diseases has largely been unexplored outside the controlled laboratory
setting. Furthermore, the molecular pathophysiology linking atherogenesis, immune
dysregulation, epigenetic alteration, and risk for IS and MI is virtually unknown. This
information may lead to improved diagnostic strategies to identify patients with
atherosclerotic disease at high risk for IS and/or MI. Author Manuscript One strategy to address these gaps is to examine transcriptomic data of methylation
regulation and immune signaling pathways through blood transcriptional profiling. The
purpose of this study was to determine the extent of overlap in transcriptional patterns for
TLR, TCR, and BCR signaling pathways and DNA methyltransferase 1 (DNMT1), a key
molecule controlling DNA methylation pattern, among asymptomatic atherosclerotic, acute
IS, and MI patients. We have found a significant overlap in expression among immune
pathways in three cardiovascular disease states, with novel information suggesting that Barr et al. Page 3 Barr et al. epigenetics may contribute to immune suppression in all three disease states. Introduction The detection
of these significant transcriptional patterns may provide insights into the mechanisms of
chronic inflammation-induced immune suppression in atherosclerosis-related diseases that
can be further studied at the bench. Author Manuscript Materials and Methods Gene expression profiles of peripheral whole blood in human atherosclerosis-related
diseases were downloaded from Gene Expression Omnibus (GEO): Atherosclerosis
(GSE20129), Ischemic stroke (GSE16561), myocardial infarction (GSE29111). The
characteristics of study samples in GSE 20129 and GSE16561 have been described
previously [4,5]. Study GSE29111 includes two time points (7 and 28 hours) after MI for
each of the 18 patients. The raw expression data were normalized by quantile normalization
for the Illumina microarray chips (GSE20129 and GSE16561) and the Robust Multiarray,
averaging method for the Affymetrix microarray chips (GSE29111). Genes in the toll-like
receptor (TLR, 106 genes), T-cell receptor (TCR, 104 genes), and B-cell receptor (BCR, 72
genes) signaling pathways were retrieved from the NCBI BioSystems database [13] (BSID
83076, 83080, 83081). For genes with multiple probes or probesets, those with the most
significant difference in expression between cases and controls or between 7 days and 28
days after MI events (for GSE 29111) were selected for study. A permutation test was used
to evaluate the statistical significance of gene enrichment in each signaling pathway for each
microarray study. Pearson correlation analysis was used to evaluate the similarity of
expression changes across studies. Weighted gene co-expression network analysis
(WGCNA) was used to identify gene modules and hub genes in the TLR/TCR/BCR
pathways [14]. The false discovery rate (FDR) was calculated to account for multiple testing
to identify pairs of genes with significant topological overlap [15]. To investigate common
epigenetic control of immune response among the disease states, Pearson correlation
analysis was used to examine the relationships between the expression of DNMT1 and all of
the genes in the TLR, TCR, and BCR pathways across the studies. Author Manuscript Author Manuscript J Bioanal Biomed. Author manuscript; available in PMC 2016 May 19. Results We sought to advance the understanding of common immune regulatory networks in patients
with IS, MI, and subclinical atherosclerosis. There was high correlation among all three
immune pathways and disease states. Differentially expressed genes were enriched in all
three immune pathways in atherosclerosis, stroke, and myocardial infarction (p<0.001)
(Table 1). Additionally, the changes of gene expression, indicated by t statistics, in all three
pathways across the studies were highly concordant. The correlation of t statistics between
each pair of studies ranged from 0.71–0.76 for TCR pathways, 0.57–0.71 for TLR pathway,
and 0.53 to 0.76 for BCR pathway (p<10−15) (Figure 1). Author Manuscript We identified specific features of the immune network structure using the topological
overlap matrix (TOM)-based connectivity measure. As expected, genes in the three immune
pathways were highly connected in all three disease conditions. To illustrate the TOM-based
connectivity networks, for each disease condition we selected the top 3% of pairs of genes
with the highest topological overlap (FDR<0.1%) as shown in Figure 2. A consistent pattern Page 4 Barr et al. of these networks among the three disease conditions was found in which two major sub-
networks contained genes with decreased expression in the TCR pathway and genes with
increased expression in the TLR pathway. The TCR subnetwork featured molecules in TCR-
CD3ζ complex and CD81, while the TLR sub-network highlighted several TLR receptors
(Figure 2). A third sub-network was highlighted by molecules that are crucial in BCR
signaling, including CD79A, CD79B, CD19, CD22, and CD72. This sub-network also
demonstrated significantly decreased expression in atherosclerosis and stroke, but not in
myocardial infarction. As the TOM-based connectivity measure of a gene reflects the level
of its overlap with other genes, we hypothesized that high TOM-based connectivity is
associated with the significance of gene expression change between disease and control as
indicated by −log10(p), where p denotes the p-value from a t test. This was indeed the case
for the myocardial infarction data (Figure 3A: correlation 0.74, p<0.00001). We noticed that
CD81 and genes in TCR-CD3 complex were among those with the highest TOM-based
connectivity (Table S1). Such an association remained strong (correlation: 0.57, p<0.00001)
for the stroke data; however, a bifurcation trend was observed (Figure 3B). The p-values,
although still less than a 0.05 level, were relatively larger for some genes with the largest
TOM-base connectivity measures. J Bioanal Biomed. Author manuscript; available in PMC 2016 May 19. Results We found that most of these genes were downstream of
the TCR or BCR signaling pathways (Table S1). For the atherosclerosis data, the positive
association was less evident, albeit still significant (Figure 3C; correlation 0.42, p<0.0001). Author Manuscript Author Manuscript Author Manuscript In light of the inverse relationship of expression pattern among genes that control the innate
and adaptive immune systems, we sought to test whether epigenetic regulation is associated
with immune regulation. We found that genes that were most correlated with DNMT1 were
molecules that control and sustain T- and B-cell activation, including CD81, CD247 (CD3
zeta), ITK, CD3D, LAT, CTLA4, CD79B (Table S1). In line with the finding above,
DNMT1 is most correlated with the hub genes in the TCR and BCR sub-networks. In
general, DNMT1 expression was negatively correlated with TLR signaling while positively
correlated with TCR/BCR signaling. In addition, DNMT1 expression was significantly
decreased in patients with IS, atherosclerosis and MI (P=6•10−6 for atherosclerosis;
P=6•10−8 for IS; P=8•10−5 for MI). Author Manuscript Discussion In this study we compared peripheral blood transcription patterns of three major immune
signaling pathways from patients with subclinical atherosclerosis, IS, and MI. We found a
consistent pattern of increased TLR signaling and decreased TCR signaling across all
cardiovascular conditions. Our data also suggests that DNA methylation is a critical
regulator of TCR and BCR signaling in these cardiovascular conditions. This data serves as
a foundation for the study of novel gene networks and critical hub genes regulating innate
and adaptive immunity in complex cardiovascular diseases. Author Manuscript The immune system plays a critical role in orchestrating and effecting the chronic
inflammatory response associated with atherosclerotic diseases. Stimulation of the innate
immune system by damage or pathogen-associated patterns produces an immediate but non-
specific inflammatory response via TLR signaling. Our data suggests that TLRs are
chronically activated in cardiovascular disease, associated with a decrease in TCR and BCR Page 5 Barr et al. expression in the peripheral blood. This expression pattern may be the result of chronic
tissue damage, attempts to resolve chronic inflammation, and decreased immune system
reserve [16]. A hallmark of atherosclerotic disease is the accumulation of T cells within the
atherosclerotic lesion where they play a direct role in plaque rupture [17]. With chronic
inflammation occurring over decades, circulating T cells continuously migrate to the site of
atherosclerotic lesions, resulting in a decrease of the T cell repertoire and expression in the
peripheral blood, as shown by our data. To date, very little is known about how the adaptive
immune system response changes in chronic cardiovascular disease. Given our data, we
hypothesize that over time the adaptive immune system will respond differently to chronic
inflammatory signals to conserve energy and maintain tissue homeostasis, resulting in
immune senescence, as seen in several other chronic inflammatory diseases and cancer [18–
20]. During the last two decades, various reports confirm that T cells are functionally
impaired in several chronic inflammatory diseases, displaying a decreased expression of the
TCR-ζ chain/CD3 complex [21–23]. Our data reveal a consistent pattern of down-regulation
of the TCR-ζ chain/CD3 complex in all three diseases states, supporting the hypothesis that
immune senescence is a pathophysiological consequence of chronic inflammation in
atherosclerosis. It will be important to determine the effects of immune senescence on post-
event immune suppression, as this will have implications for the treatment and recovery of
IS or MI. J Bioanal Biomed. Author manuscript; available in PMC 2016 May 19. Discussion Author Manuscript Author Manuscript Author Manuscript Global hypomethylation has been implicated in oncogenesis and autoimmune diseases
[24,25]. DNA from CD4+ T cells is hypomethylated in aged mice contributing to higher
Treg-mediated activity and increased immune suppression [20]. DNMT1 is responsible for
the maintenance of DNA methylation, playing a critical role in epigenetic regulation of gene
expression. DNMT1 deletion in the Treg lineage leads to lethal autoimmunity [26]. The role
of T regulatory cells in IS and atherosclerosis is currently under significant investigation,
primarily for their potential contribution to autoimmunity. In this study, DNMT1 expression
was down-regulated in atherosclerosis, MI, and IS patients (signifying hypomethylation) and
positively correlated with expression of markers in TCR signaling (i.e, CD81, CD3). Our
findings suggest that the severity and duration of atherosclerosis contributes to changes in
DNMT1 expression. We found a positive correlation between DNMT1 expression and
TCR/BCR expression. As DNMT1, a global marker of methylation, may regulate adaptor
proteins, cytokines and chemokines that play a role in activating T and B cell responses,
given our results, it is also of interest to determine whether crosstalk between TLR and TCR
signaling occurs through epigenetic modification of effector genes, such as CD3 or cytotoxic
T-lymphocyte antigen 4 (CTLA4). Future studies are needed to determine the functional
pathways mediating these relationships. Author Manuscript We recognize there are limitations to our current study, most notably the lack of functional
data to validate our findings. However, WGCNA is a powerful bioinformatics tool that has
been used to successfully identify functional mechanisms of various diseases. Our data
supports current literature, suggesting significant relationships between epigenetic
modification and immune senescence in chronic cardiovascular disease. We provide no
evidence for a similar immune response in the brain. Thus, it will be important to determine
how T-cell responses in the brain differ under various CVD states. IS and MI have systemic
immune consequences and future studies should consider the contributions of the immune Barr et al. Page 6 system and long-standing atherosclerosis on treatment. Our data provides many functional
therapeutic targets to study at the bench. Author Manuscript Conclusion For the first time we compare blood transcriptional profiles of major immune signaling
pathways among asymptomatic atherosclerotic disease, IS, and MI. We report significant
overlap among TLR, TCR, and BCR signaling in these three pathologically similar but
clinically different disease states and suggest that DNA methylation plays a central role in
mediating the immune response to acute IS and MI. Our findings have the potential to guide
functional studies of immune dysregulation to improve clinical risk stratification and
development of novel treatment strategies for these conditions. Acknowledgments Author Manuscript This study was partially funded by a Robert Wood Johnson Foundation Nurse Faculty Scholar award to Taura Barr
ID: 70319, WVU Stroke COBRE Award Sub-Projects 1P20 GM109098 to Taura Barr and Paul Chantler, and IDeA
CTR support to West Virginia University NIH/NIGMS Award Number U54GM104942. J Bioanal Biomed. Author manuscript; available in PMC 2016 May 19. References 1. Go AS, Mozaffarian D, Roger VL, Benjamin EJ, Berry JD, et al. Heart disease and stroke
statistics--2014 update: a report from the American Heart Association. Circulation. 2014; 129:e28–
e292. [PubMed: 24352519] 2. Lim H, Kim YU, Sun H, Lee JH, Reynolds JM, et al. Proatherogenic conditions promote
autoimmune T helper 17 cell responses in vivo. Immunity. 2014; 40:153–165. [PubMed: 24412615] 3. Marinković N, Pasalić D, Potocki S. Polymorphisms of genes involved in polycyclic aromatic
hydrocarbons’ biotransformation and atherosclerosis. Biochem Med (Zagreb). 2013; 23:255–265. [PubMed: 24266295] Author Manuscript 4. Huang CC, Liu K, Pope RM, Du P, Lin S, et al. Activated TLR signaling in atherosclerosis among
women with lower Framingham risk score: the multiethnic study of atherosclerosis. PLoS One. 2011; 6:e21067. [PubMed: 21698167] 5. Barr TL, Conley Y, Ding J, Dillman A, Warach S, et al. Genomic biomarkers and cellular pathways
of ischemic stroke by RNA gene expression profiling. Neurology. 2010; 75:1009–1014. [PubMed:
20837969] 6. Phan JH, Quo CF, Wang MD. Cardiovascular genomics: a biomarker identification pipeline. IEEE
Trans Inf Technol Biomed. 2012; 16:809–822. [PubMed: 22614726] 7. Sirimarco G, Lavallée PC, Labreuche J, Meseguer E, Cabrejo L, et al. Overlap of diseases
underlying ischemic stroke: the ASCOD phenotyping. Stroke. 2013; 44:2427–2433. [PubMed:
23860300] 8. Foster SL, Hargreaves DC, Medzhitov R. Gene-specific control of inflammation by TLR-induced
chromatin modifications. Nature. 2007; 447:972–978. [PubMed: 17538624] 9. Scharer CD, Barwick BG, Youngblood BA, Ahmed R, Boss JM. Global DNA methylation
remodeling accompanies CD8 T cell effector function. J Immunol. 2013; 191:3419–3429. [PubMed:
23956425] Author Manuscript 10. Wilson CB, Makar KW, Shnyreva M, Fitzpatrick DR. DNA methylation and the expanding
epigenetics of T cell lineage commitment. SeminImmunol. 2005; 17:105–119. 11. Youngblood B, Hale JS, Ahmed R. T-cell memory differentiation: insights from transcriptional
signatures and epigenetics. Immunology. 2013; 139:277–284. [PubMed: 23347146] 12. He S, Tong Q, Bishop DK, Zhang Y. Histone methyltransferase and histone methylation in
inflammatory T-cell responses. Immunotherapy. 2013; 5:989–1004. [PubMed: 23998733] J Bioanal Biomed. Author manuscript; available in PMC 2016 May 19. Barr et al. Page 7 13. Geer LY, Marchler-Bauer A, Geer RC, Han L, He J, et al. The NCBI BioSystems database. Nucleic
Acids Res. 2010; 38:D492–496. [PubMed: 19854944] Author Manuscript 14. Langfelder P, Horvath S. WGCNA: an R package for weighted correlation network analysis. BMC
Bioinformatics. 2008; 9:559. [PubMed: 19114008] 15. Tusher VG, Tibshirani R, Chu G. Significance analysis of microarrays applied to the ionizing
radiation response. J Bioanal Biomed. Author manuscript; available in PMC 2016 May 19. J Bioanal Biomed. Author manuscript; available in PMC 2016 May 19. References Proc Natl Acad Sci USA. 2001; 98:5116–5121. [PubMed: 11309499] 16. Björkbacka H. Is Toll-like receptor responsiveness a marker and predictor of coronary artery
disease? Atherosclerosis. 2014; 232:197–198. [PubMed: 24401237] 17. Liuzzo G, Goronzy JJ, Yang H, Kopecky SL, Holmes DR, et al. Monoclonal T-cell proliferation
and plaque instability in acute coronary syndromes. Circulation. 2000; 101:2883–2888. [PubMed:
10869258] 18. Berghella AM, Contasta I, Marulli G, D’Innocenzo C, Garofalo F, et al. Ageing gender-specific
“Biomarkers of Homeostasis”, to protect ourselves against the diseases of the old age. Immun
Ageing. 2014; 11:3. [PubMed: 24498974] 19. Schoneveld AH, Hoefer I, Sluijter JP, Laman JD, de Kleijn DP, et al. Atherosclerotic lesion
development and Toll like receptor 2 and 4 responsiveness. Atherosclerosis. 2008; 197:95–104. [PubMed: 17888930] Author Manuscript Author Manuscript 20. Garg SK, Delaney C, Toubai T, Ghosh A, Reddy P, et al. Aging is associated with increased
regulatory T-cell function. Aging Cell. 2014; 13:441–448. [PubMed: 24325345] 21. Eleftheriadis T, Kartsios C, Yiannaki E, Kazila P, Antoniadi G, et al. Chronic inflammation and T
cell zeta-chain downregulation in hemodialysis patients. Am J Nephrol. 2008; 28:152–157. [PubMed: 17951997] 22. Baniyash M. TCR zeta-chain downregulation: curtailing an excessive inflammatory immune
response. Nat Rev Immunol. 2004; 4:675–687. [PubMed: 15343367] 23. Grundy S, Plumb J, Lea S, Kaur M, Ray D, et al. Down regulation of T cell receptor expression in
COPD pulmonary CD8 cells. PLoS One. 2013; 8:e71629. [PubMed: 23977094] 24. Benencia F, Courrèges MC, Coulombié FC. Trichiliaglabra: effect on the phagocytic activity and
respiratory burst response of peritoneal macrophages. Immunopharmacology. 1999; 41:45–53. [PubMed: 9950268] 25. Richardson B, Scheinbart L, Strahler J, Gross L, Hanash S, et al. Evidence for impaired T cell
DNA methylation in systemic lupus erythematosus and rheumatoid arthritis. Arthritis Rheum. 1990; 33:1665–1673. [PubMed: 2242063] Author Manuscript 26. Wang L, Liu Y, Beier UH, Han R, Bhatti TR, et al. Foxp3+ T-regulatory cells require DNA
methyltransferase 1 expression to prevent development of lethal autoimmunity. Blood. 2013;
121:3631–3639. [PubMed: 23444399] Author Manuscript Barr et al. Page 8 Figure 1. Concordance of expression changes (indicated by t statistics) in the TLR, TCR, and BCR
pathways between cases and controls in atherosclerosis and stroke studies or between 7
hours and 28 hours after myocardial infarction. The number in each panel is the Pearson
correlation coefficient. The red dash line is the identity line. Author Manuscript Author Manuscript
Aut Author Manuscript J Bioanal Biomed. Author manuscript; available in PMC 2016 May 19. Figure 1. g
Concordance of expression changes (indicated by t statistics) in the TLR, TCR, and BCR
pathways between cases and controls in atherosclerosis and stroke studies or between 7
hours and 28 hours after myocardial infarction. The number in each panel is the Pearson
correlation coefficient. The red dash line is the identity line. Author Manuscript Author Manuscript Barr et al. Page 9 Page 9 rlap matrix (TOM)-based connectivity network in the TLR, TCR, and BCR
hways. Top 3% of gene pairs with largest TOM-based measures were selected
ese networks. Red (yellow) dot: gene with significant increase (decrease) in
cases; circle: gene that is not differentially expressed between cases and
therosclerosis; B: Ischemic Stroke; C: Myocardial Infarction. Author Manuscript Author Manuscript gure 2. opology-overlap matrix (TOM)-based connectivity network in the TLR, TCR, and BCR
gnaling pathways. Top 3% of gene pairs with largest TOM-based measures were selected
generate these networks. Red (yellow) dot: gene with significant increase (decrease) in
xpression in cases; circle: gene that is not differentially expressed between cases and
ontrols. A: atherosclerosis; B: Ischemic Stroke; C: Myocardial Infarction. Author Manuscript Author Manuscript J Bioanal Biomed. Author manuscript; available in PMC 2016 May 19. Figure 2. Figure 2. Topology-overlap matrix (TOM)-based connectivity network in the TLR, TCR, and BCR
signaling pathways. Top 3% of gene pairs with largest TOM-based measures were selected
to generate these networks. Red (yellow) dot: gene with significant increase (decrease) in
expression in cases; circle: gene that is not differentially expressed between cases and
controls. A: atherosclerosis; B: Ischemic Stroke; C: Myocardial Infarction. Figure 2. Topology-overlap matrix (TOM)-based connectivity network in the TLR, TCR, and BCR
signaling pathways. Top 3% of gene pairs with largest TOM-based measures were selected
to generate these networks. Red (yellow) dot: gene with significant increase (decrease) in
expression in cases; circle: gene that is not differentially expressed between cases and
controls. A: atherosclerosis; B: Ischemic Stroke; C: Myocardial Infarction. g
Topology-overlap matrix (TOM)-based connectivity network in the TLR, TCR, and BCR
signaling pathways. Top 3% of gene pairs with largest TOM-based measures were selected
to generate these networks. Red (yellow) dot: gene with significant increase (decrease) in
expression in cases; circle: gene that is not differentially expressed between cases and
controls. A: atherosclerosis; B: Ischemic Stroke; C: Myocardial Infarction. Author Manuscript Page 10 Barr et al. Page 10 ignificance of differential expression (x-axis) and TOM-base
s) in atherosclerosis, ischemia stroke, and myocardial infarct
tion is 0.74 for MI (A), 0.57 for IS (B), and 0.42 (C) for athe 3. ation of significance of differential expression (x-axis) and TOM-based connectivity
es (y-axis) in atherosclerosis, ischemia stroke, and myocardial infarction studies. n correlation is 0.74 for MI (A), 0.57 for IS (B), and 0.42 (C) for atherosclerosis. Author Manuscript Author Manuscript Author Manuscript Author Manuscript J Bioanal Biomed. Author manuscript; available in PMC 2016 May 19. Figure 3. Figure 3. Correlation of significance of differential expression (x-axis) and TOM-based connectivity
measures (y-axis) in atherosclerosis, ischemia stroke, and myocardial infarction studies. Pearson correlation is 0.74 for MI (A), 0.57 for IS (B), and 0.42 (C) for atherosclerosis. Author Manuscript Page 11 Page 11 Barr et al. Table 1 Significant enrichment of differentially expressed genes in each immune signaling pathway for the three
diseases conditions. Number in denominator is total number of genes mapped to the pathway from the
BioSystem database. Number in the numerator is the genes with P<0.05 when comparing disease vs control
(atherosclerosis or IS) or 7 days vs 28 days after MI. Author Manuscript Pathway
Atherosclerosis
Ischemia Stroke
Myocardial Infarction
TLR
39/104 (38%)
48/102 (47%)
30/100 (30%)
TCR
53/104 (51%)
55/101 (54%)
55/103 (53%)
BCR
41/72 (57%)
42/70 (60%)
31/71 (43%) Author Manuscript Author Manuscript
|
https://openalex.org/W4300465577
|
https://drops.dagstuhl.de/opus/volltexte/2018/9478/pdf/LIPIcs-ESA-2018-15.pdf
|
English
| null |
A Unified PTAS for Prize Collecting TSP and Steiner Tree Problem in Doubling Metrics
|
arXiv (Cornell University)
| 2,017
|
cc-by
| 9,743
|
A Unified PTAS for Prize Collecting TSP and
Steiner Tree Problem in Doubling Metrics T-H. Hubert Chan1
Department of Computer Science, The University of Hong Kong, Hong Kong, China
hubert@cs.hku.hk T-H. Hubert Chan1 T-H. Hubert Chan1
Department of Computer Science, The University of Hong Kong, Hong Kong, China
hubert@cs.hku.hk Department of Computer Science, The University of Hong Kong, Hong Kong, China
hubert@cs.hku.hk © T-H. Hubert Chan, Haotian Jiang, and Shaofeng H.-C. Jiang;
licensed under Creative Commons License CC-BY
26th Annual European Symposium on Algorithms (ESA 2018).
Editors: Yossi Azar, Hannah Bast, and Grzegorz Herman; Article No. 15; pp. 15:1–15:13
Leibniz International Proceedings in Informatics
Schloss Dagstuhl – Leibniz-Zentrum für Informatik, Dagstuhl Publishing, Germany 2 This research is supported in part by the National Basic Research Program of China Grant 2015CB358700,
the National Natural Science Foundation of China Grant 61772297, 61632016, 61761146003, and a grant
from Microsoft Research Asia. 1 This work was partially supported by the Hong Kong RGC under the grant 17217716.
2 p
y
p
g
(
)
ors: Yossi Azar, Hannah Bast, and Grzegorz Herman; Article No. 15; pp. 15:1–15:13 Haotian Jiang2 Haotian Jiang2
Department of Physics, Tsinghua University, Beijing, China
jht14@mails.tsinghua.edu.cn Department of Physics, Tsinghua University, Beijing, China
jht14@mails.tsinghua.edu.cn Shaofeng H.-C. Jiang
The Weizmann Institute of Science, Rehovot, Israel
shaofeng.jiang@weizmann.ac.il
https://orcid.org/0000-0001-7972-827X Shaofeng H.-C. Jiang
The Weizmann Institute of Science, Rehovot, Israel
shaofeng.jiang@weizmann.ac.il
https://orcid.org/0000-0001-7972-827X 1 This work was partially supported by the Hong Kong RGC under the grant 17217716.
2 This research is supported in part by the National Basic Research Program of China Grant 2015CB35 1
Introduction We study prize collecting versions of two important optimization problems: the prize collecting
traveling salesman problem (PCTSP) and the prize collecting Steiner tree problem (PCSTP). In both problems, we are given a metric space and a set of points called terminals, and a
non-negative penalty function on the terminals. A solution for either problem is a connected
subgraph with vertex set from the metric. In addition, it needs to be an Eulerian (multi-
)graph3for PCTSP and a tree for PCSTP. The cost of a solution is the sum of the weights of
edges in the solution plus the sum of penalties due to terminals not visited by the solution. Prize Collecting Problems in General Metrics. The prize collecting setting was first
considered by Balas [4], who proposed the prize collecting TSP. However, the version that
Balas considered is actually more general, in the sense that each terminal is also associated
with a reward, and the goal is to find a tour that minimizes the tour length plus the penalties,
and collects at least a certain amount of rewards. The setting that we consider was suggested
by Bienstock et al. [8], and they used LP rounding to give a 2.5-approximation algorithm for
the PCTSP and a 3-approximation for the PCSTP. Later on, a unified primal-dual approach for
several network design problems was proposed [17]; this approach improves the approximation
ratios for both PCTSP and PCSTP to 2 in general metrics. The 2-approximation had remained
the state of the art for more than a decade, until Archer et al. [1] finally broke the 2 barrier
for both problems. Subsequently, in a note [16], Goemans combined their argument with
other algorithms, and gave a 1.915-approximation for the PCTSP, which is the state of the
art. Prize Collecting Problems in Bounded Dimensional Euclidean Spaces. PCTSP and PCSTP
are APX-hard in general metrics, because even the special cases, the TSP and the Steiner
tree problem, are APX-hard. Although the seminal result by Arora [2] showed that both TSP
and STP have PTAS’s in bounded dimensional Euclidean spaces, the prize collecting setting
was not discussed. However, we do believe that their approach may be directly applied to get
PTAS’s for the prize collecting versions of both problems, with a slight modification to the
dynamic programming algorithms. Later, A PTAS for the Steiner Forest Problem (which
generalizes the STP) was discovered by Borradaile et al. [9]. 3 An undirected connected multi-graph is Eulerian, if every vertex has even degree. Abstract We present a unified (randomized) polynomial-time approximation scheme (PTAS) for the prize
collecting traveling salesman problem (PCTSP) and the prize collecting Steiner tree problem
(PCSTP) in doubling metrics. Given a metric space and a penalty function on a subset of points
known as terminals, a solution is a subgraph on points in the metric space, whose cost is the
weight of its edges plus the penalty due to terminals not covered by the subgraph. Under our
unified framework, the solution subgraph needs to be Eulerian for PCTSP, while it needs to be
a tree for PCSTP. Before our work, even a QPTAS for the problems in doubling metrics is not
known. Our unified PTAS is based on the previous dynamic programming frameworks proposed in
[Talwar STOC 2004] and [Bartal, Gottlieb, Krauthgamer STOC 2012]. However, since it is
unknown which part of the optimal cost is due to edge lengths and which part is due to penalties
of uncovered terminals, we need to develop new techniques to apply previous divide-and-conquer
strategies and sparse instance decompositions. 2012 ACM Subject Classification Theory of computation →Routing and network design prob-
lems Keywords and phrases Doubling Dimension, Traveling Salesman Problem, Polynomial Time
Approximation Scheme, Steiner Tree Problem, Prize Collecting Digital Object Identifier 10.4230/LIPIcs.ESA.2018.15 Related Version A full version of the paper can be found at [11], https://arxiv.org/abs/1710. 07774. 1 This work was partially supported by the Hong Kong RGC under the grant 17217716. 2 2 This research is supported in part by the National Basic Research Program of China Grant 2015CB358700,
the National Natural Science Foundation of China Grant 61772297, 61632016, 61761146003, and a grant
from Microsoft Research Asia. 26th Annual
Editors: Yos 15:2 PTAS for Prize Collecting TSP and Steiner Tree in Doubling Metrics and returns a solution that is a (1 + ϵ)-approximation with constant probability. nd returns a solution that is a (1 + ϵ)-approximation with constant probability. Technical Issues. As a first trial, one might try to adapt the sparsity framework used in
previous PTAS’s for the TSP and Steiner forest problems [5, 12, 10] in doubling metrics. The framework typically uses a polynomial-time estimator H on any ball B, which gives
a constant approximation for PCX on some appropriately defined sub-instance around B. Intuitively, the estimator works because the local behavior of a (nearly) optimal solution
can be well estimated by looking at the sub-instance locally. In particular, the following
properties are needed in this framework: The framework typically uses a polynomial-time estimator H on any ball B, which gives
a constant approximation for PCX on some appropriately defined sub-instance around B. Intuitively, the estimator works because the local behavior of a (nearly) optimal solution
can be well estimated by looking at the sub-instance locally. In particular, the following
properties are needed in this framework: If H(B) is large, then the optimal solution for the sub-instance induced on B is large;
moreover, any (nearly) optimal solution for the global instance would have a large part
of its cost due to B. If H(B) is large, then the optimal solution for the sub-instance induced on B is large;
moreover, any (nearly) optimal solution for the global instance would have a large part
of its cost due to B. If H(B) is small, then for any (nearly) optimal solution F for the global instance, the
cost of F contributed by the sub-instance due to B should be small. While the first property is somehow straightforward, the following example shows that
the second property is non-trivial to achieve in PCX. Example Instance: Figure 1. The example is defined on the real line. The terminals are
grouped into two clusters. The left cluster contains 2m terminals, and the right cluster
contains m terminals. Within each cluster, the distance between adjacent terminals is 1. The two clusters are at distance l apart. The penalty for each terminal is t. The parameters
are chosen such that l ≫mt and t ≫m. Observe that for PCX, the optimal solution is to
visit all the terminals in the left cluster with total edge weights O(m) and incur the penalty
mt for the terminals in the right cluster. T. H. Chan, H. Jiang, and S. Jiang Generalizing Euclidean Dimension. Going beyond Euclidean spaces, doubling dimension [3,
13, 18] is a popular notion of dimensionality. It captures the bounded local growth of Euclidean
spaces, and does not require any specific Euclidean properties such as vector representation or
dot product. A metric space has doubling dimension at most k, if every ball can be covered
by at most 2k balls of half the radius. This notion generalizes the Euclidean dimension, in
that every subset of Rd equipped with ℓ2 has doubling dimension O(d). Although doubling
metrics are more general than Euclidean spaces, recent results show that many optimization
problems have similar approximation guarantees for both spaces: there exist PTAS’s for
the TSP [5], a certain version of the TSP with neighborhoods [12], and the Steiner forest
problem [10], in doubling metrics. Our Contributions. In this paper, we extend this line of research, and give a unified PTAS
framework for both PCTSP and PCSTP. We use PCX when the description applies to either
problem. Our main result is Theorem 1. ▶Theorem 1. For any 0 < ϵ < 1, there exists an algorithm that, for any PCX instance
with n terminal points in a metric space with doubling dimension at most k, runs in time nO(1)O(k) · exp(
p
log n · O(k
ϵ )O(k)), 1
Introduction Based on this result, Bateni et
al. [7] studied the Prize Collecting Steiner Forest Problem, and gave a PTAS for the special
case when the penalties are multiplicative, but this does not readily imply a PTAS for the
PCTSP or the PCSTP. Prize Collecting Problems in Special Graphs. Planar graphs is an important class of
graphs. Both problems are considered in planar graphs, and a PTAS is presented by Bateni
et al. [6] for PCTSP and PCSTP. Moreover, they noted that both problems are solvable in
polynomial time in bounded treewidth graphs, and their PTAS relies on a reduction to the
bounded treewidth cases. They also showed that the Prize Collecting Steiner Forest Problem,
which is a generalization of the PCSTP, is significantly harder, and it is APX-hard in planar
graphs and Euclidean instances. As for the minor forbidden graphs, which generalizes planar
graphs, there are PTAS’s for various optimization problems, such as TSP by Demaine et
al. [14]. However, the PTAS’s for prize collecting problems, to the best of our knowledge, are
unknown. 15:3 T. H. Chan, H. Jiang, and S. Jiang and returns a solution that is a (1 + ϵ)-approximation with constant probability. The reason is that it will be too costly to add an
edge to connect terminals from different clusters, and it is better to visit the cluster with
more terminals and suffer the penalty for the cluster with fewer terminals. ESA 2018 PTAS for Prize Collecting TSP and Steiner Tree in Doubling Metrics 15:4 Figure 1 Example instance for PCX. Figure 1 Example instance for PCX. Local Estimator Fails on the Example Instance. Suppose the estimator is applied around
a ball B centered at some terminal in the right cluster with radius r. Then, any constant-
approximate solution for the sub-instance needs to connect all Θ(r) terminals in the ball,
since the penalty for any single terminal is too large. This costs Θ(r). However, in the
optimal solution, no terminal in the right cluster is visited and all penalties are taken, which
has cost Ω(tr). Hence, the estimator fails to serve as an upper bound for the contribution by
ball B to the cost of an optimal solution. The conclusion is that the optimal solution of a local sub-instance can differ a lot from
how an optimal global solution behaves for that sub-instance. Our Insight: Trading between Weight and Penalty. Our example in Figure 1 shows that
what points a local optimal solution visits in a sub-instance can be very different from the
points in the sub-instance visited by a global optimal solution. Our intuition is that the
optimal cost of a sub-instance should reflect part of the cost in a global optimal solution
due to the sub-instance. In other words, if a sub-instance has large optimal cost, then any
global solution either (1) has a large weight within the sub-instance, or (2) suffers a large
penalty due to unvisited terminals in the sub-instance. This insight leads to the following
key ingredients to our solution. 1. Inferring Local Behavior from Estimator. In Lemma 5, we show that the value
returned by the local estimator (which consists of both the weight and the penalty) on
a ball B gives an upper bound on the weight w(F|B) of any (near) optimal solution F
inside ball B. We emphasize that this estimator is an upper bound for the weight w(F|B)
only, and is not an upper bound for both the weight and penalty of the optimal solution
inside the ball. T. H. Chan, H. Jiang, and S. Jiang 2. Adaptive Recursion. In all previous applications of the sparsity decomposition frame-
work, after a critical ball B around some center u is identified, the original instance is
decomposed into sub-instances W1 and W2 that can be solved independently. 2. Adaptive Recursion. In all previous applications of the sparsity decomposition frame-
work, after a critical ball B around some center u is identified, the original instance is
decomposed into sub-instances W1 and W2 that can be solved independently. 2. Adaptive Recursion. In all previous applications of the sparsity decomposition frame-
work, after a critical ball B around some center u is identified, the original instance is
decomposed into sub-instances W1 and W2 that can be solved independently. An issue in applying this framework is that after obtaining solutions F1 and F2 for the
sub-instances, in the case that F1 and F2 are far away from each other as in our example
in Figure 1 where it is too costly to connect them directly, it is not clear immediately
which of F1 and F2 should be the weight part of the global solution and which would
become the penalty part. An issue in applying this framework is that after obtaining solutions F1 and F2 for the
sub-instances, in the case that F1 and F2 are far away from each other as in our example
in Figure 1 where it is too costly to connect them directly, it is not clear immediately
which of F1 and F2 should be the weight part of the global solution and which would
become the penalty part. We use a novel idea of the adaptive recursion, in which W2 depends on the solution F1
returned for W1. The high level idea is that in defining the instance W2, we add an extra
terminal point at u, which becomes a representative for solution F1. The penalty of u
in W2 is the sum of the penalties of terminals in W1 minus the cost c(F1) of solution F1. After a solution F2 for W2 is returned, if F2 does not visit the terminal u, then edges in F1
are discarded, otherwise the edges in F1 and F2 are combined to return a global solution. We can see that in either case, the sum c(F1) + c(F2) of the costs of the two solutions
reflect the cost of the global solution. and returns a solution that is a (1 + ϵ)-approximation with constant probability. In the example in Figure 1, a global optimal solution does not visit the
right cluster at all, and hence, the local estimator on the right cluster does give an upper
bound on the weight part of the global solution due to the right cluster. This turns out to
be sufficient because the sparsity of a solution is defined with respect to only the weight
part (and not the penalty part). Hence, the local estimator can be used in the sparsity decomposition framework [5, 12, 10]
to identify a critical instance W1 (i.e., the local estimator reaches some threshold, but
still not too large) around some ball B. Since the instance W1 is sparse enough, an
approximate solution F1 can be obtained by the dynamic program framework. Then,
one can recursively solve for an approximate solution F2 for the remaining instance W2. However, we need to carefully define W2 and combine the solutions F1 and F2, because,
as we remarked before, even if the approximate algorithm returns F1 for the instance W1,
a near optimal global solution might not visit any terminals in W1. 15:5 T. H. Chan, H. Jiang, and S. Jiang In the first case, F2 does not visit u and hence,
c(F2) contains the penalty due to u, which is the penalties of unvisited terminals in W1
minus c(F1). Therefore, when c(F1) is added back, the sum simply contains the original
penalties of unvisited terminals in W1. In the second case, F2 does visit u and does not incur a penalty due to u. Therefore,
c(F1) + c(F2) does reflect the cost of the global solution after combining F1 and F2. Revisiting the Sparsity Structural Lemma. Many PTAS’s in the literature for TSP-like
problems in doubling metrics rely on the sparsity structural lemma [5, Lemma 3.1]. Intuitively,
it says that if a solution is sparse, then there exists a structurally light solution that is
(1 + ϵ)-approximate. Hence, one can restrict the search space to structurally light solutions,
which can be explored by a dynamic program algorithm. Because of the significance of this
lemma, we believe that it is worthwhile to give it a more formal inspection, and in particular,
resolve some significant technical issues as follows. Issue with Conditioning on the Randomness of Hierarchical Decomposition. Given a
hierarchical decomposition and a solution T, the first step is to reroute the solution such
that every cluster is only visited through some designated points known as portals. The
randomness in the hierarchical decomposition is used to argue that the expected increase
in cost to make the solution portal-respecting is small. However, typically the randomness in the hierarchical decomposition is still needed in
subsequent arguments. Hence, if one analyzes the portal-respecting procedure as a
conceptually separate step, then subsequent uses of the randomness of the hierarchical
decomposition need to condition on the event that the portal-respecting step does not
increase the cost too much. Moreover, edges added in the portal-respecting step are
actually random objects depending on the hierarchical decomposition, and hence, will in
fact cross some clusters with probability 1. Unfortunately, even in the original paper by
Talwar [20] on the QPTAS for TSP in doubling metrics, these issues were not addressed
properly. Issue with Conditioning on the Randomness of Hierarchical Decomposition. Given a
hierarchical decomposition and a solution T, the first step is to reroute the solution such
that every cluster is only visited through some designated points known as portals. PTAS for Prize Collecting TSP and Steiner Tree in Doubling Metrics PTAS for Prize Collecting TSP and Steiner Tree in Doubling Metrics From the above discussion, it is evident that one should consider the portal-respecting
step and the patching procedure together, because they both rely on the randomness of
the hierarchical decomposition. To make our arguments formal, we need a more precise
notation to describe portals, and we actually revisit the whole randomized hierarchical
decomposition to make all relevant definitions precise. We analyze the portal-respecting step
and the patching procedure together through a sophisticated accounting argument so that
the patching cost is eventually charged back to the original solution (as opposed to stopping
at the transformed portal-respecting solution). Moreover, we give a unified patching lemma that works for both PCTSP and PCSTP. Even
though our proofs use similar ideas as previous works, the charging argument is significantly
different. Specifically, our argument does not rely on the small MST lemma [20, Lemma 6],
which was also used in [5]. Paper Organization. Section 2 gives the formal notation and describes the outline of
the sparsity decomposition framework to solve PCX. Section 3 gives the properties of the
local sparsity estimator. Section 4 gives the technical details of the sparsity decomposition
and shows that approximate solutions in sub-instances can be combined to give a good
approximation to the global instance. Some proofs, together with other sections, are omitted
due to space limit, and they can be found in the full version [11]. 5 To have a complete description, we also need the notion of self-loop, which is simply a singleton {x}. 4 Such an oracle is trivial to construct for finite metric spaces. It may also be efficiently constructed for
many special infinite metric spaces, such as bounded dimensional Euclidean spaces.
5 T. H. Chan, H. Jiang, and S. Jiang The
randomness in the hierarchical decomposition is used to argue that the expected increase
in cost to make the solution portal-respecting is small. Issue with Conditioning on the Randomness of Hierarchical Decomposition. Given a
hierarchical decomposition and a solution T, the first step is to reroute the solution such
that every cluster is only visited through some designated points known as portals. The
randomness in the hierarchical decomposition is used to argue that the expected increase
in cost to make the solution portal-respecting is small. p
p
g
However, typically the randomness in the hierarchical decomposition is still needed in
subsequent arguments. Hence, if one analyzes the portal-respecting procedure as a
conceptually separate step, then subsequent uses of the randomness of the hierarchical
decomposition need to condition on the event that the portal-respecting step does not
increase the cost too much. Moreover, edges added in the portal-respecting step are
actually random objects depending on the hierarchical decomposition, and hence, will in
fact cross some clusters with probability 1. Unfortunately, even in the original paper by
Talwar [20] on the QPTAS for TSP in doubling metrics, these issues were not addressed
properly. Issues with Patching Procedure. A patching procedure is typically used to reduce the
number of times a cluster is crossed. In the literature, after reducing the number of
crossings, the triangle inequality is used to implicitly add some shortcutting edges outside
the cluster. However, it is never argued whether these new shortcutting edges are still
portal-respecting. It is plausible that making them portal-respecting might introduce
new crossings. Issues with Patching Procedure. A patching procedure is typically used to reduce the
number of times a cluster is crossed. In the literature, after reducing the number of
crossings, the triangle inequality is used to implicitly add some shortcutting edges outside
the cluster. However, it is never argued whether these new shortcutting edges are still
portal-respecting. It is plausible that making them portal-respecting might introduce
new crossings. ESA 2018 15:6 4 Such an oracle is trivial to construct for finite metric spaces. It may also be efficiently constructed for
many special infinite metric spaces, such as bounded dimensional Euclidean spaces.
5 To have a complete description, we also need the notion of self-loop, which is simply a singleton {x}. T. H. Chan, H. Jiang, and S. Jiang Problem Definition. We give a unifying framework for the prize collecting traveling salesman
problem (PCTSP) and the prize collecting Steiner tree problem (PCSTP), and we use PCX
when the description applies to both problems. An instance W = (T, π) of PCX consists of a
set T ⊂X of terminals (where |W| := |T| = n) and a penalty function π : T →R+. The goal
is to find a (multi-)set F ⊂
X
2
of edges with minimum cost6 cW (F) := w(F) + π(T \ F),
such that the following additional conditions are satisfied for each specific problem: For PCTSP, the edges in the multi-set F form a circuit on V (F); for |V (F)| = 1, F
contains only a single self-loop (with zero weight). For PCSTP, the edges F form a connected graph on V (F), where we also allow the
degenerate case when F is a singleton containing a self-loop. The vertices in V (F) \ T
are known as Steiner points. Simplifying Assumptions and Rescaling Instance. Fix some constant ϵ > 0. Since we
consider asymptotic running time to obtain (1 + ϵ)-approximation for PCX, we consider
sufficiently large n > 1
ϵ . Since F can contain a self-loop, an optimal solution covers at least
one terminal u. Moreover, there is some terminal v (which could be the same as u) such that
the solution covers v and does not cover any terminal v′ with d(u, v′) > d(u, v). Since we aim
for polynomial time algorithms, we can afford to enumerate the O(n2) choices for u and v. For some choice of u and v, suppose R := d(u, v). Then, R is a lower bound on the
cost of an optimal solution. Moreover, the optimal solution F has weight w(F) at most nR,
and hence, we do not need to consider points at distances larger than nR from u. Since F
contains at most 2n edges (because of Steiner points in PCSTP), if we consider an
ϵR
32n2 -net
S for X and replace every point in F with its closest net-point in S, the cost increases by
at most ϵ · OPT. Hence, after rescaling, we can assume that inter-point distance is at least
1 and we consider distances up to O( n3
ϵ ) = poly(n). 6 When the context is clear, we drop the subscript in cW (·). T. H. Chan, H. Jiang, and S. Jiang By the packing property of doubling
dimension (Fact 2), we can hence assume |X| ≤O( n
ϵ )O(k) ≤O(n)O(k). Hierarchical Nets. As in [5], we consider some parameter s = (log n)
c
k ≥4, where 0 < c < 1
is a universal constant that is sufficiently small. Set L := O(logs n) = O( k log n
log log n). A greedy
algorithm can construct NL ⊆NL−1 ⊆· · · ⊆N1 ⊆N0 = N−1 = · · · = X such that for each
i, Ni is an si-net for Ni−1, where we say distance scale si is of height i. Net-Respecting Solution. As defined in [5], a graph F is net-respecting with respect
to {Ni}i∈[L] and ϵ > 0 if for every edge {x, y} in F, both x and y belong to Ni, where
si ≤ϵ · d(x, y) < si+1. By [5, Lemma 1.6], any graph F may be converted to a net-respecting
F ′ visiting all points that F visits, and w(F ′) ≤(1 + O(ϵ)) · w(F). Given an instance W of a problem, let OPT(W) be an optimal solution; when the context
is clear, we also use OPT(W) to denote the cost c(OPT(W)), which includes both its weight
and the incurred penalty; similarly, OPTnr(W) refers to an optimal net-respecting solution. 2
Preliminaries 15:7 2
Preliminaries We consider a metric space M = (X, d) (see [15, 19] for more details on metric spaces), where
we refer to an element x ∈X as a point or a vertex. For x ∈X and ρ ≥0, a ball B(x, ρ) is the
set {y ∈X | d(x, y) ≤ρ}. The diameter Diam(Z) of a set Z ⊂X is the maximum distance
between points in Z. For S, T ⊂X, we denote d(S, T) := min{d(x, y) : x ∈S, y ∈T}, and
for u ∈X, d(u, T) := d({u}, T). Given a positive integer m, we denote [m] := {1, 2, . . . , m}. A set S ⊆X is a ρ-packing, if any two distinct points in S are at a distance more than ρ
away from each other. A set S is a ρ-cover for Z ⊆X, if for any z ∈Z, there exists x ∈S
such that d(x, z) ≤ρ. A set S is a ρ-net for Z, if S is a ρ-packing and a ρ-cover for Z. We
assume the access to an oracle that takes a series of balls {Bi}i where each Bi is identified by
the center and radius, and returns a point x ∈X such that ∀i, x /∈Si4. A greedy algorithm
can construct a ρ-net efficiently given the access to this oracle. We consider metric spaces with doubling dimension [3, 18] at most k; this means that
for all x ∈X, for all ρ > 0, every ball B(x, 2ρ) can be covered by the union of at most 2k
balls of the form B(z, ρ), where z ∈X. The following fact captures a standard property of
doubling metrics. ▶Fact 2 (Packing in Doubling Metrics [18]). Suppose in a metric space with doubling
dimension at most k, a ρ-packing S has diameter at most R. Then, |S| ≤( 2R
ρ )k. Edges. An edge5 e is an unordered pair e = {x, y} ∈
X
2
whose weight w(e) = d(x, y) is
induced by the metric space (X, d). Given a set F of edges, its vertex set V (F) := ∪e∈F e ⊂X
is the vertices covered (or visited) by the edges in F. If T ⊂X is a set of vertices, we use
the shorthand T \ F := T \ V (F) to denote the vertices in T that are not covered by F. We achieve a PTAS for PCX by a unified framework, which is based on the framework of
sparse instance decomposition as in [5, 12, 10]. PTAS for Prize Collecting TSP and Steiner Tree in Doubling Metrics Sparse Solution [5]. Given an edge set F and a subset S ⊆X, F|S := {e ∈F : e ⊆S} is
the edges in F totally contained in S. An edge set F is called q-sparse, if for all i ∈[L] and
all u ∈Ni, w(F|B(u,3si)) ≤q · si. Sparse Solution [5]. Given an edge set F and a subset S ⊆X, F|S := {e ∈F : e ⊆S} is
the edges in F totally contained in S. An edge set F is called q-sparse, if for all i ∈[L] and
all u ∈Ni, w(F|B(u,3si)) ≤q · si. Sparsity Structural Property. An important technical lemma [5, Lemma 3.1] in this frame-
work states that if a (net-respecting) solution F is sparse, then with constant probability,
there is some (1 + ϵ)-approximate solution bF that is structurally light with respect to some
randomized hierarchical decomposition. Then, a bottom-up dynamic program based on
the hierarchical decomposition searches for the best solution with the lightness structural
property in polynomial time. ▶Remark. We observe that this technical lemma is used crucially in all previous works on
PTAS’s for TSP variants in doubling metrics. Hence, we believe that its proof should be
verified rigorously. In Section 1, we outlined the technical issue in the original proof [5], and
this issue actually appeared as far as in the first paper on TSP for doubling metrics [20]. In the full version, we give a detailed description to complete the proof of this important
lemma. Sparsity Heuristic. As in [5, 12, 10], we estimate the local sparsity of an optimal net-
respecting solution with a heuristic. For i ∈[L] and u ∈Ni, given an instance W, the
heuristic H(i)
u (W) is supposed to estimate the sparsity of an optimal net-respecting solution
in the ball B′ := B(u, O(si)). We shall see in Section 3 that the heuristic actually gives a
constant approximation to some appropriately defined sub-instance W ′ in the ball B′. Divide and Conquer. Once we have a sparsity estimator, the original instance can be
decomposed into sparse sub-instances, whose approximate solutions can be found efficiently. As we shall see, the partial solutions are combined with the following extension operator. The algorithm outline is described in Figure 2. ▶Definition 3 (Solution Extension). 2.1
Overview We achieve a PTAS for PCX by a unified framework, which is based on the framework of
sparse instance decomposition as in [5, 12, 10]. ESA 2018 15:8 PTAS for Prize Collecting TSP and Steiner Tree in Doubling Metrics PTAS for Prize Collecting TSP and Steiner Tree in Doubling Metrics Define a sub-instance W1 from around the critical instance
(possibly using randomness). Loosely speaking, W1 is a sparse enough sub-instance
induced in the region around u at distance scale si. Since it is sparse enough, we apply
the dynamic programming algorithm on W1 and get solution F1. We define an appropriate sub-instance W2 with the information of F1. Intuitively, W2 We define an appropriate sub-instance W2 with the information of F1. Intuitively, W2
captures the remaining sub-problem not included in W1. We emphasize that as opposed
to previous work [5, 12, 10], W2 can depend on F1 (through the choice of the penalty
function). Moreover, we ensure that any solution F2 of W2 can be extended to F2 ↫u F1
as a solution for W, and the following holds: cW (F2 ↫u F1) ≤cW1(F1) + cW2(F2). (1) cW (F2 ↫u F1) ≤cW1(F1) + cW2(F2). (1) We solve W2 recursively and suppose the solution is F2. We note that H(i)
u (W2) ≤q0 · si,
and hence the recursion will terminate. We solve W2 recursively and suppose the solution is F2. We note that H(i)
u (W2) ≤q0 · si,
and hence the recursion will terminate. Moreover, the following property holds: Moreover, the following property holds: E[OPT(W1)] ≤
1
1 −ϵ · (OPTnr(W) −E[OPTnr(W2)]),
(2) (2) where the expectation is over the randomness of the decomposition. We return F := F2 ↫u F1 as a solution to W. Figure 2 Algorithm Outline. Analysis of Running Time. As mentioned above, if H(i)
u (W) is found to be critical, then in
the decomposed sub-instances W1 and W2, H(i)
u (W2) should be small. Hence, it follows that
there will be at most |X| · L = poly(n) recursive calls to ALG. Therefore, as far as obtaining
polynomial running times, it suffices to analyze the running time of the dynamic program
DP. The details are provided in the full version. DP. The details are provided in the full version. PTAS for Prize Collecting TSP and Steiner Tree in Doubling Metrics Given two partial solutions F and F ′ of edges, we define
the extension of F with F ′ at point u as F ↫u F ′ :=
(
F ∪F ′,
if u ∈V (F) ∩V (F ′);
F,
otherwise. Analysis of Approximation Ratio. We follow the inductive proof as in [5] to show that with
constant probability (where the randomness comes from DP), ALG(W) in Figure 2 returns
a solution with expected length at most 1+ϵ
1−ϵ · OPTnr(W), where expectation is over the
randomness of decomposition into sparse instances in Step 4. As we shall see, in ALG(W), the subroutine DP is called at most poly(n) times (either
explicitly in the recursion or in the heuristic H(i)). Hence, with constant probability, all
solutions returned by all instances of DP have appropriate approximation guarantees. Suppose F1 and F2 are solutions returned by DP(W1) and ALG(W2), respectively. We
use ci as a shorthand for cWi, for i = 1, 2, and c as a shorthand for cW . Since we assume that
W1 is sparse enough and DP behaves correctly, c1(F1) ≤(1 + ϵ) · OPT(W1). The induction
hypothesis states that E[c2(F2)|W2] ≤1+ϵ
1−ϵ · OPTnr(W2). 1
ϵ
In Step 4, equation (2) guarantees that E[OPT(W1)] ≤
1
1−ϵ ·(OPTnr(W)−E[OPTnr(W2)]). By equation (1), c(F2 ↫u F1) ≤c1(F1) + c2(F2). Hence, it follows that E[ALG(W)] ≤E[c1(F1) + c2(F2)] ≤1 + ϵ
1 −ϵ · OPTnr(W) = (1 + O(ϵ)) · OPT(W), achieving the desired ratio. achieving the desired ratio. 15:9 T. H. Chan, H. Jiang, and S. Jiang Generic Algorithm. We describe a generic framework that applies to PCX. Similar
framework is also used in [5, 12, 10] to obtain PTAS’s for TSP related problems. Given an
instance W, we describe the recursive algorithm ALG(W) as follows. This description is
mostly the same with that in [10], except that the decomposition in Step 4 is more involved. 1. Base Case. If |W| = n is smaller than some constant threshold, solve the problem by
brute force, recalling that |X| ≤O( n
ϵ )O(k). 2. Sparse Instance. If for all i ∈[L], for all u ∈Ni, H(i)
u (W) is at most q0 · si, for some
appropriate threshold q0, call the subroutine DP(W) to return a solution, and terminate. 3. Identify Critical Instance. PTAS for Prize Collecting TSP and Steiner Tree in Doubling Metrics Otherwise, let i be the smallest height such that there
exists u ∈Ni with critical H(i)
u (W) > q0 · si; in this case, choose u ∈Ni such that
H(i)
u (W) is maximized. 4. Divide and Conquer. Define a sub-instance W1 from around the critical instance
(possibly using randomness). Loosely speaking, W1 is a sparse enough sub-instance
induced in the region around u at distance scale si. Since it is sparse enough, we apply
the dynamic programming algorithm on W1 and get solution F1. We define an appropriate sub-instance W2 with the information of F1. Intuitively, W2
captures the remaining sub-problem not included in W1. We emphasize that as opposed
to previous work [5, 12, 10], W2 can depend on F1 (through the choice of the penalty
function). Moreover, we ensure that any solution F2 of W2 can be extended to F2 ↫u F1
as a solution for W, and the following holds: 4. Divide and Conquer. Define a sub-instance W1 from around the critical instance
(possibly using randomness). Loosely speaking, W1 is a sparse enough sub-instance
induced in the region around u at distance scale si. Since it is sparse enough, we apply
the dynamic programming algorithm on W1 and get solution F1. We define an appropriate sub-instance W2 with the information of F1. Intuitively, W2
captures the remaining sub-problem not included in W1. We emphasize that as opposed
to previous work [5, 12, 10], W2 can depend on F1 (through the choice of the penalty
function). Moreover, we ensure that any solution F2 of W2 can be extended to F2 ↫u F1
as a solution for W, and the following holds: 4. Divide and Conquer. Define a sub-instance W1 from around the critical instance
(possibly using randomness). Loosely speaking, W1 is a sparse enough sub-instance
induced in the region around u at distance scale si. Since it is sparse enough, we apply
the dynamic programming algorithm on W1 and get solution F1. We define an appropriate sub-instance W2 with the information of F1. Intuitively, W2
captures the remaining sub-problem not included in W1. We emphasize that as opposed
to previous work [5, 12, 10], W2 can depend on F1 (through the choice of the penalty
function). Moreover, we ensure that any solution F2 of W2 can be extended to F2 ↫u F1
as a solution for W, and the following holds: 4. Divide and Conquer. Defining the Heuristic.
The heuristic is defined as H(i)
u (W) := c(F (i,4)
u
). In order to show that the heuristic gives a good upper bound on the local sparsity of an
optimal net-respecting solution, we need the following structural result in Proposition 4 [10,
Lemma 3.2] on the existence of long chain in well-separated terminals in a Steiner tree. As
we shall see, the corresponding argument for the case PCTSP is trivial. Given an edge set F, a chain in F is specified by a sequence of points (p1, p2, . . . , pl) such
that there is an edge {pi, pi+1} in F between adjacent points, and the degree of an internal
point pi (where 2 ≤i ≤l −1) in F is exactly 2. ▶Proposition 4 (Well-Separated Terminals Contains A Long Chain). Suppose S and T are
sets in a metric space with doubling dimension at most k such that Diam(S ∪T) ≤D, and
d(S, T) ≥τD, where 0 < τ < 1. Suppose F is an optimal net-respecting Steiner tree covering
the terminals in S ∪T. Then, there is a chain in F with weight at least
τ 2
4096k2 · D such that
any internal point in the chain is a Steiner point. ▶Lemma 5 (Local Sparsity Estimator). Let F be an optimal net-respecting solution for an
instance W of PCX. Then, for any i ∈[L], u ∈Ni and t ≥1, we have
w(F|B(u,tsi)) ≤c(F (i,t+1)
u
) + O( skt
ϵ )O(k) · si. Proof. We follow the proof strategy in [10, Lemma 3.3], except that now a feasible solution
needs not visit all terminals and can incur penalties instead. We denote B := B(u, tsi) and
b
(
(
) i) B := B(u, (t + 1)si). Given an optimal net-respecting solution F for instance W of PCX, we shall construct
another net-respecting solution in the following steps. B := B(u, (t + 1)s ). Given an optimal net-respecting solution F for instance W of PCX, we shall construct
another net-respecting solution in the following steps. 1. Remove edges in F|B. (i
1)
(i
1) 1. Remove edges in F|B. (
) 2. Add edges F (i,t+1)
u
corresponding to some approximate solution to the instance W (i,t+1)
u
restricted to the ball bB. 2. Add edges F (i,t+1)
u
corresponding to some approximate solution to the instance W (i,t+1)
u
restricted to the ball bB. 3. 3
Sparsity Estimator for PCX 3 Recall that in the framework outlined in Section 2, given an instance W of PCX, we wish to
estimate the weight of OPTnr(W)|B(u,3si) with some heuristic H(i)
u (W). We consider a more
general sub-instance associated with the ball B(u, tsi) for t ≥1. ESA 2018 15:10 Defining the Heuristic.
The heuristic is defined as H(i)
u (W) := c(F (i,4)
u
). Let η := Θ(
ϵ
(t+1)k2 ), where the constant in Theta depends on Proposition 4. Let j be the
integer such that sj ≤max{1, Θ(
ϵ
(t+1)k2 ) · si} < sj+1. Add edges in a minimum spanning tree H of Nj ∩B(u, (t + 2)si) and edges to connect H
to F (i,t+1)
u
. Convert each added edge into a net-respecting path if necessary. Observe that the weight
of edges added in this step is O( stk
ϵ )O(k) · si. 3. Let η := Θ(
ϵ
(t+1)k2 ), where the constant in Theta depends on Proposition 4. Let j be the
integer such that sj ≤max{1, Θ(
ϵ
(t+1)k2 ) · si} < sj+1. Add edges in a minimum spanning tree H of Nj ∩B(u, (t + 2)si) and edges to connect H
to F (i,t+1)
u
. Convert each added edge into a net-respecting path if necessary. Observe that the weight
of edges added in this step is O( stk
ϵ )O(k) · si. 4. So far we have accounted for every terminal inside bB, which is either visited or charged
with its penalty according to c(F (i,t+1)
u
). We will give a more detailed description to
ensure that the terminals outside bB that are covered by F will still be covered by the new
solution. For PCTSP, we will show that this step can be achieved by increasing the weight by at
most O( stk
ϵ )O(k) · si; for PCSTP, this can be achieved by replacing some edges without
increasing the weight. 4. So far we have accounted for every terminal inside bB, which is either visited or charged
with its penalty according to c(F (i,t+1)
u
). We will give a more detailed description to
ensure that the terminals outside bB that are covered by F will still be covered by the new
solution. For PCTSP, we will show that this step can be achieved by increasing the weight by at
most O( stk
ϵ )O(k) · si; for PCSTP, this can be achieved by replacing some edges without
increasing the weight. 4. So far we have accounted for every terminal inside bB, which is either visited or charged
with its penalty according to c(F (i,t+1)
u
). PTAS for Prize Collecting TSP and Steiner Tree in Doubling Metrics PTAS for Prize Collecting TSP and Steiner Tree in Doubling Metrics Auxiliary Sub-Instance. Given an instance W = (T, π), i ∈[L], u ∈Ni and t ≥1, the
sub-instance W (i,t)
u
is characterized by terminal set W ∩B(u, tsi), equipped with penalties
given by the same π. Using the classical (deterministic) 2-approximation algorithms by
Goemans and Williamson for PCX [17], we obtain a 2-approximation and then make it
net-respecting to produce solution F (i,t)
u
, which has cost c(F (i,t)
u
) ≤2(1 +O(ϵ))·OPT(W (i,t)
u
). Defining the Heuristic. The heuristic is defined as H(i)
u (W) := c(F (i,4)
u
). Ensuring Terminals Outside b
B are accounted for.
We achieve this by considering the
following steps. Ensuring Terminals Outside b
B are accounted for. We achieve this by considering the
following steps. 1. Consider a connected component C in F \ (F|B). Recall that the goal is to make sure
that all terminals outside bB that are visited by C will also be visited in the new solution. 2. Pick some x in C ∩B. If no such x exists, this implies that we have the trivial situation
F|B = ∅. Let bC ⊆C be the maximal connected component containing x that is contained
within bB. Define S := bC∩B (which contains x) and T := {y ∈bC∩bB : ∃v /∈bB, {y, v} ∈F},
which corresponds to the points that are connected to the outside bB. Again, the case
that T = ∅is trivial. 2. Pick some x in C ∩B. If no such x exists, this implies that we have the trivial situation
F|B = ∅. Let bC ⊆C be the maximal connected component containing x that is contained
within bB. Define S := bC∩B (which contains x) and T := {y ∈bC∩bB : ∃v /∈bB, {y, v} ∈F},
which corresponds to the points that are connected to the outside bB. Again, the case
that T = ∅is trivial. Case (a): There exists y ∈T , d(u, y) ≤(t + 1
2)si. In this case, this implies there is
some v /∈bB such that {y, v} ∈F and d(y, v) ≥si
2 . Since F is net-respecting, this implies
that y ∈Nj and hence, the component bC (and also C) is already connected to H. Case (a): There exists y ∈T , d(u, y) ≤(t + 1
2)si. In this case, this implies there is
some v /∈bB such that {y, v} ∈F and d(y, v) ≥si
2 . Since F is net-respecting, this implies
that y ∈Nj and hence, the component bC (and also C) is already connected to H. Case (b): For all y ∈T , d(u, y) > (t + 1
2)si. We next show that there is a long chain
contained in bC. For PCTSP, this is trivial, because we know that T contains only y, and bC is
a chain from a = x to b = y of length at least d(x, y) ≥si
2 . For PCSTP, by the optimality of F, it follows that bC is an optimal net-respecting Steiner
tree covering vertices in S ∪T. Ensuring Terminals Outside b
B are accounted for.
We achieve this by considering the
following steps. Hence, using Proposition 4, bC contains some chain from a to
b with length at least 4ηsi (where the constant in the Theta in the definition of η is chosen
such that this holds). Once we have found this chain from a to b, we remove the edges in this chain. Hence, we
can use this extra weight to connect a and b to their corresponding closest points in Nj via a
net-respecting path; observe that for PCTSP, it suffices to connect only b = y to it closest
point in Nj. Finally, observe that for PCTSP, it is possible to carry out the above procedures such that
all vertices with odd degrees are in the minimum spanning tree H. Therefore, extra edges are
added to ensure that the degree of every vertex is even to ensure the existence of an Euler
circuit. This has extra cost at most w(H) ≤O( stk
ϵ )O(k) · si. This completes the proof. ◀ ▶Corollary 6 (Threshold for Critical Instance). Suppose F is an optimal net-respecting solution
for an instance W of PCX, and q ≥Θ( sk
ϵ )Θ(k). If for all i ∈[L] and u ∈Ni, H(i)
u (W) ≤qsi,
then F is 2q-sparse. T. H. Chan, H. Jiang, and S. Jiang Ensuring Terminals Outside b
B are accounted for. We achieve this by considering the
following steps. Defining the Heuristic.
The heuristic is defined as H(i)
u (W) := c(F (i,4)
u
). We will give a more detailed description to
ensure that the terminals outside bB that are covered by F will still be covered by the new
solution. For PCTSP, we will show that this step can be achieved by increasing the weight by at
most O( stk
ϵ )O(k) · si; for PCSTP, this can be achieved by replacing some edges without
ncreasing the weight. Hence, after the claim in Step 4 is proved, the optimality of F implies the result. 15:11 T. H. Chan, H. Jiang, and S. Jiang ▶Claim 7 (Choosing Radius of Cutting Ball). Denote T(λ) := c(F (i,4+2λ)
u
). Then, there exists
0 ≤λ < k such that T(λ + 1) ≤30k · T(λ). Proof. The proof is omitted and can be found in the full version. Cutting Ball and Sub-Instances. Suppose λ ≥0 is picked as in Claim 7, and sample
h ∈[0, 1
2] uniformly at random. Define B := B(u, (4 + 2λ + h)si). The original instance
W = (T, π) is decomposed into instances W1 and W2 as follows: Cutting Ball and Sub-Instances. Suppose λ ≥0 is picked as in Claim 7, and sample
h ∈[0, 1
2] uniformly at random. Define B := B(u, (4 + 2λ + h)si). The original instance
W = (T, π) is decomposed into instances W1 and W2 as follows: (
)
For W1 = (T1, π1), the terminal set is T1 := (B ∩T) ∪{u}, where for v ̸= u π1(v) := π(v)
and π1(u) := +∞. We denote the cost function associated with W1 by c1. For W1 = (T1, π1), the terminal set is T1 := (B ∩T) ∪{u}, where for v ̸= u π1(v) := π(v)
and π1(u) := +∞. We denote the cost function associated with W1 by c1. Suppose F1 is the (random) solution for instance W1 (that covers u) returned by the
dynamic program for sparse instances (which can be found in the full version). Then,
instance W2 = (T2, π2) is defined with respect to F1. The terminal set is T2 := (T \B)∪{u}. For v ∈T2 \ {u}, π2(v) := π(v) is the same; however, π2(u) := π(T ∩B) −c1(F1) =
π(T ∩B ∩F1) −w(F1). Observe that the instance W2 depends on F1 through the choice of the penalty for u. Observe that the instance W2 depends on F1 through the choice of the penalty for u Observe that the instance W2 depends on F1 through the choice of the penalty for u. ▶Lemma 8 (Combining Solutions of Sub-Instances). Suppose instance W1 is defined with cost
function c1 and instance W2 is defined with respect to F1 of W1. Furthermore, suppose bF2 is
a solution to instance W2, whose cost function is denoted as c2. Then, we have the following. ▶Lemma 8 (Combining Solutions of Sub-Instances). Suppose instance W1 is defined with cost
function c1 and instance W2 is defined with respect to F1 of W1. Furthermore, suppose bF2 is
a solution to instance W2, whose cost function is denoted as c2. Then, we have the following. (i) Suppose bF1 is any solution to W1 that contains u, and let F := bF2 ↫u bF1. 4
Decomposition into Sparse Instances In Section 3, we define a heuristic H(i)
u (W) to detect a critical instance around some point
u ∈Ni at distance scale si. We next describe how the instance W of PCX can be decomposed
into W1 and W2 such that equations (1) and (2) in Section 2.1 are satisfied. Decomposing a Critical Instance. We define a threshold q0 := Θ( sk
ϵ )Θ(k) according to
Corollary 6. As stated in Section 2.1, a critical instance is detected by the heuristic when a
smallest i ∈[L] is found for which there exists some u ∈Ni such that H(i)
u (W) = c(F (i,4)
u
) >
q0si. Moreover, in this case, u ∈Ni is chosen to maximize H(i)
u (W). To achieve a running
time with an exp(O(1)k log(k)) dependence on the doubling dimension k, we also apply the
technique in [12] to choose the cutting radius carefully. ▶Claim 7 (Choosing Radius of Cutting Ball). Denote T(λ) := c(F (i,4+2λ)
u
). Then, there exists
0 ≤λ < k such that T(λ + 1) ≤30k · T(λ). ESA 2018 15:12 Proof. The proof is omitted and can be found in the full version. Proof. The proof is omitted and can be found in the full version. Proof. The proof is omitted and can be found in the full version. ▶Lemma 9 (Combining Costs of Sub-Instances). Suppose F is an optimal net-respecting
solution for instance W of PCX. Then, for any realization of the decomposed sub-instances W1
and W2 as described above, there exist (not necessarily net-respecting) solution bF1 for W1 and
net-respecting solution bF2 for W2 such that (1 −ϵ) · E
h
c1( bF1)
i
+ E
h
c2( bF2)
i
≤cW (F), where
the expectation is over the randomness to generate W1 and W2. Recall that the randomness
to generate W1 and W2 involves the random ball B and the randomness used in the dynamic
program to generate F1 to produce instance W2 and its cost function c2. Proof. The proof is omitted and can be found in the full version. Proof. The proof is omitted and can be found in the full version. ◀ 5
Yair Bartal, Lee-Ad Gottlieb, and Robert Krauthgamer. The traveling salesman problem:
Low-dimensionality implies a polynomial time approximation scheme. SIAM J. Comput.,
45(4):1563–1581, 2016. 4
Egon Balas. The prize collecting traveling salesman problem. Networks, 19(6):621–636,
1989. PTAS for Prize Collecting TSP and Steiner Tree in Doubling Metrics Proof. The proof is omitted and can be found in the full version. Proof. The proof is omitted and can be found in the full version. If bF2 covers
u, then F = bF2 ∪bF1 is a solution to W with cost c(F) ≤c1( bF1) + c2( bF2); if F2 does
not cover u, then F = bF2 is a solution to W with cost c(F) ≤c1(F1) + c2( bF2). This
implies (1) in Section 2.1. ( )
(ii) The sub-instance W2 does not have a critical instance with height less than i, and
H(i)
u (W2) = 0. (ii) The sub-instance W2 does not have a critical instance with height less than i, and
H(i)
u (W2) = 0. (
)
(iii) H(i)
u (W1) ≤O(s)O(k) · q0 · si. 1
Aaron Archer, MohammadHossein Bateni, MohammadTaghi Hajiaghayi, and Howard J.
Karloff.
Improved approximation algorithms for prize-collecting steiner tree and TSP.
SIAM J. Comput., 40(2):309–332, 2011. 3
P. Assouad. Plongements lipschitziens dans Rn. Bull. Soc. Math. France, 111(4):429–448,
1983. References 1
Aaron Archer, MohammadHossein Bateni, MohammadTaghi Hajiaghayi, and Howard J. Karloff. Improved approximation algorithms for prize-collecting steiner tree and TSP. SIAM J. Comput., 40(2):309–332, 2011. 2
Sanjeev Arora. Polynomial time approximation schemes for euclidean traveling salesman
and other geometric problems. J. ACM, 45(5):753–782, 1998. 3
P. Assouad. Plongements lipschitziens dans Rn. Bull. Soc. Math. France, 111(4):429–448,
1983. 4
Egon Balas. The prize collecting traveling salesman problem. Networks, 19(6):621–636,
1989. 5
Yair Bartal, Lee-Ad Gottlieb, and Robert Krauthgamer. The traveling salesman problem:
Low-dimensionality implies a polynomial time approximation scheme. SIAM J. Comput.,
45(4):1563–1581, 2016. 15:13 T. H. Chan, H. Jiang, and S. Jiang 6
M Bateni, Chandra Chekuri, Alina Ene, Mohammad Taghi Hajiaghayi, Nitish Korula, and
Dániel Marx. Prize-collecting steiner problems on planar graphs. In Proceedings of the
twenty-second annual ACM-SIAM symposium on Discrete Algorithms, pages 1028–1049. Society for Industrial and Applied Mathematics, 2011. 7
MohammadHossein Bateni and MohammadTaghi Hajiaghayi. Euclidean prize-collecting
steiner forest. Algorithmica, 62(3-4):906–929, 2012. 8
Daniel Bienstock, Michel X Goemans, David Simchi-Levi, and David Williamson. A note on
the prize collecting traveling salesman problem. Mathematical programming, 59(1):413–420,
1993. 9
Glencora Borradaile, Philip N. Klein, and Claire Mathieu. A polynomial-time approxima-
tion scheme for euclidean steiner forest. ACM Trans. Algorithms, 11(3):19:1–19:20, 2015. 10
T.-H. Hubert Chan, Shuguang Hu, and Shaofeng H.-C. Jiang. A PTAS for the steiner forest
problem in doubling metrics. In FOCS, pages 810–819. IEEE Computer Society, 2016. 11
T.-H. Hubert Chan, Haotian Jiang, and Shaofeng H.-C. Jiang. A unified PTAS for prize
collecting TSP and steiner tree problem in doubling metrics. CoRR, abs/1710.07774, 2017. 11
T.-H. Hubert Chan, Haotian Jiang, and Shaofeng H.-C. Jiang. A unified PTAS for prize
collecting TSP and steiner tree problem in doubling metrics. CoRR, abs/1710.07774, 2017. 12
T.-H. Hubert Chan and Shaofeng H.-C. Jiang. Reducing curse of dimensionality: Improved
PTAS for TSP (with neighborhoods) in doubling metrics. In SODA, pages 754–765. SIAM,
2016. 12
T.-H. Hubert Chan and Shaofeng H.-C. Jiang. Reducing curse of dimensionality: Improved
PTAS for TSP (with neighborhoods) in doubling metrics. In SODA, pages 754–765. SIAM,
2016. 13
Kenneth L. Clarkson. Nearest neighbor queries in metric spaces. Discrete & Computational
Geometry, 22(1):63–93, 1999. doi:10.1007/PL00009449. 14
Erik D Demaine, MohammadTaghi Hajiaghayi, and Ken-ichi Kawarabayashi. Contraction
decomposition in h-minor-free graphs and algorithmic applications. In Proceedings of the
forty-third annual ACM symposium on Theory of computing, pages 441–450. ACM, 2011. 15
M. M. Deza and M. Laurent. Geometry of cuts and metrics, volume 15 of Algorithms and
Combinatorics. Springer-Verlag, Berlin, 1997. 16
Michel X Goemans. Combining approximation algorithms for the prize-collecting tsp. arXiv
preprint arXiv:0910.0553, 2009. 17
Michel X. Goemans and David P. Williamson. A general approximation technique for
constrained forest problems. SIAM J. Comput., 24(2):296–317, 1995. 18
Anupam Gupta, Robert Krauthgamer, and James R. Lee. Bounded geometries, fractals,
and low-distortion embeddings. In FOCS, pages 534–543. IEEE Computer Society, 2003. 19
J. Matoušek. Lectures on discrete geometry, volume 212 of Graduate Texts in Mathematics. Springer-Verlag, New York, 2002. 20
Kunal Talwar. Bypassing the embedding: algorithms for low dimensional metrics. In STOC,
pages 281–290. T. H. Chan, H. Jiang, and S. Jiang ACM, 2004. ESA 2018
|
https://openalex.org/W2099044642
|
https://hal.archives-ouvertes.fr/hal-02929129/file/acp-11-5655-2011.pdf
|
English
| null |
Variability and budget of CO&lt;sub&gt;2&lt;/sub&gt; in Europe: analysis of the CAATER airborne campaigns – Part 1: Observed variability
|
Atmospheric chemistry and physics
| 2,011
|
cc-by
| 17,031
|
To cite this version: Irène Xueref-Remy, C. Messager, D. Filippi, Maud Pastel, P. Nedelec, et al.. Variability and budget
of CO2 in Europe: analysis of the CAATER airborne campaigns – Part 1: Observed variability. Atmospheric Chemistry and Physics, 2011, 11 (12), pp.5655-5672. 10.5194/acp-11-5655-2011. hal-
02929129 Distributed under a Creative Commons Attribution 4.0 International License HAL Id: hal-02929129
https://hal.science/hal-02929129v1
Submitted on 4 Sep 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
recherche français ou étrangers, des laboratoires
publics ou privés. HAL is a multi-disciplinary open access
archive for the deposit and dissemination of sci-
entific research documents, whether they are pub-
lished or not. The documents may come from
teaching and research institutions in France or
abroad, or from public or private research centers. Distributed under a Creative Commons Attribution 4.0 International License Atmos. Chem. Phys., 11, 5655–5672, 2011
www.atmos-chem-phys.net/11/5655/2011/
doi:10.5194/acp-11-5655-2011
© Author(s) 2011. CC Attribution 3.0 License. Atmospheric
Chemistry
and Physics 4Laboratoire d’A´erologie (LA), 14 avenue Edouard Belin, 31400 Toulouse, France Received: 23 September 2009 – Published in Atmos. Chem. Phys. Discuss.: 26 February 2010
Revised: 24 November 2010 – Accepted: 12 January 2011 – Published: 20 June 2011 Received: 23 September 2009 – Published in Atmos. Chem. Phys. Discuss.: 26 February 2010
Revised: 24 November 2010 – Accepted: 12 January 2011 – Published: 20 June 2011 Abstract. Atmospheric airborne measurements of CO2 are
very well suited for estimating the time-varying distribution
of carbon sources and sinks at the regional scale due to the
large geographical area covered over a short time. We present
here an analysis of two cross-European airborne campaigns
carried out on 23–26 May 2001 (CAATER-1) and 2–3 Oc-
tober 2002 (CAATER-2) over Western Europe. The area
covered during CAATER-1 and CAATER-2 was 4◦W to
14◦E long; 44◦N to 52◦N lat and 1◦E to 17◦E long; 46◦N
to 52◦N lat respectively. High precision in situ CO2, CO
and Radon 222 measurements were recorded. Flask sam-
ples were collected during both campaigns to cross-validate
the in situ data. During CAATER-1 and CAATER-2, the
mean CO2 concentration was 370.1 ± 4.0 (1-σ standard devi-
ation) ppm and 371.7 ± 5.0 (1-σ) ppm respectively. A HYS-
PLIT back-trajectories analysis shows that during CAATER
1, northwesterly winds prevailed. In the planetary boundary
layer (PBL) air masses became contaminated over Benelux
and Western Germany by emissions from these highly urban-
ized areas, reaching about 380 ppm. Air masses passing over
rural areas were depleted in CO2 because of the photosyn-
thesis activity of the vegetation, with observations as low as
355 ppm. During CAATER-2, the back-trajectory analysis
showed that air masses were distributed among the 4 sectors. HAL Id: hal-02929129
https://hal.science/hal-02929129v1
Submitted on 4 Sep 2020 Air masses were enriched in CO2 and CO over anthropogenic
emission spots in Germany but also in Poland, as these coun-
tries have part of the most CO2-emitting coal-based plants in Europe. Simultaneous measurements of in situ CO2 and
CO combined with back-trajectories helped us to distin-
guish between fossil fuel emissions and other CO2 sources. The 1CO/1CO2 ratios (R2 = 0.33 to 0.88, slopes = 2.42 to
10.37), calculated for anthropogenic-influenced air masses
over different countries/regions matched national inventories
quite well, showing that airborne measurements can help
to identify the origin of fossil fuel emissions in the PBL
even when distanced by several days/hundreds of kms from
their sources. We have compared airborne CO2 observa-
tions to nearby ground station measurements and thereby,
confirmed that measurements taken in the lower few me-
ters of the PBL (low-level ground stations) are representa-
tive of the local scale, while those located in the free tro-
posphere (FT) (moutain stations) are representative of atmo-
spheric CO2 regionally on a scale of a few hundred kilome-
ters. Stations located several 100 km away from each other
differ from a few ppm in their measurements indicating the
existence of a gradient within the free troposphere. Obser-
vations at stations located on top of small mountains may
match the airborne data if the sampled air comes from the
FT rather than coming up from the valley. Finally, the anal-
ysis of the CO2 vertical variability conducted on the 14 pro-
files recorded in each campaign shows a variability at least
5 to 8 times higher in the PBL (the 1-σ standard deviation
associated to the CO2 mean of all profiles within the PBL
is 4.0 ppm and 5.7 ppm for CAATER-1 and CAATER-2, re-
spectively) than in the FT (within the FT, 1-σ is 0.5 ppm and
1.1 ppm for CAATER-1 and CAATER-2, respectively). The
CO2 jump between the PBL and the FT equals 3.7 ppm for
the first campaign and −0.3 ppm for the second campaign. Correspondence to: I. Xueref-Remy
(irene.xueref@lsce.ipsl.fr) Correspondence to: I. Xueref-Remy
(irene.xueref@lsce.ipsl.fr) Published by Copernicus Publications on behalf of the European Geosciences Union. Published by Copernicus Publications on behalf of the European Geosciences Union. 5656 I. 1
Introduction Atmospheric greenhouse gas (GHG) concentrations have
been increasing since the pre-industrial era, due to human ac-
tivities such as the combustion of fossil fuel compounds and
deforestation. The most significant growth has been in the
presence of CO2, its atmospheric concentration having in-
creased by more than 30% during the last 150 yr. Political ef-
forts have been made through the United Nations Framework
Convention on Climate Change to stabilize atmospheric CO2
concentration levels. Such efforts require independent ver-
ification of anthropogenic and natural fluxes on a regional
scale, a task which represent a huge scientific and politi-
cal challenge (Intergovernmental Panel on Climate Change,
2007). The aims of these campaigns were: (1) to validate a new
airborne in situ CO2 analyzer; (2) to characterize CO2 vari-
ability in the low troposphere above Western Europe; (3) to
evaluate the contributions of anthropogenic and biospheric
fluxes to this variability; (4) to assess the representativeness
of ground stations; and (5) to better characterize the gradients
of CO2 between the PBL and the FT. The atmosphere is a strong integrator of CO2 surface
sources and sinks. Observations can thus be used to quan-
tify surface fluxes over relatively large scales by matching
them with modelled field simulations from transport models. This method, known as inverse modelling, is the approach
most used to quantify CO2 fluxes at regional or global scales. However, the flux partition, especially at the regional scale
(100–1000 km) is still poorly understood. Indeed for Europe
(based on data from 1992–1996), Gurney et al. (2003) have
compared 16 inverse models: all indicate that Europe is a
sink for CO2 but they show very large differences, with a
mean annual flux of 0.6 GtC yr−1 and a standard deviation of
±0.4 GtC yr−1 i.e. 66% of the mean. In this paper, we show the results of these campaigns con-
ducted in the low troposphere (<4000 m) aboard the Falcon
20 of the Deutsches Zentrum f¨ur Luft und Raumfahrt (Oberp-
faffenhofen Germany). During this experiment the Falcon
was equipped with a continuous CO2 analyser (CONDOR),
a continuous CO analyser (MOZAIC CO analyser, Labora-
toire d’A´erologie, France) which was used as a combustion
tracer and a sequential Radon 222 analyser (AVIRAD) which
was used as a tracer of continental air masses. The conditions of the campaigns and the instrumentation
deployed are presented in Sect. 2. In Sect. HAL Id: hal-02929129
https://hal.science/hal-02929129v1
Submitted on 4 Sep 2020 In a companion pa-
per (Xueref-Remy et al., 2011, Part 2), a comparison of ver-
tical profiles from observations and several modeling frame-
works was conducted for both campaigns. HAL Id: hal-02929129
https://hal.science/hal-02929129v1
Submitted on 4 Sep 2020 Xueref-Remy et al.: Variability and budget of CO2 in Europe – Part 1 Globally at this level, reducing inverse modelling uncer-
tainties requires a better characterization of atmospheric CO2
vertical and horizontal variability through in situ observa-
tions. Over the past 10 yr, the atmospheric CO2 global mon-
itoring network has been largely used to retrieve large scale
distribution of sources and sinks at the surface. Recent stud-
ies have demonstrated the need for more data over the con-
tinental region in order to make feasible robust estimations
of the biospheric contribution to the regional carbon bud-
get. Stephens et al. (2007) have highlighted the need for in
situ vertical observations to better constrain CO2 fluxes. In-
deed, because of the large geographical area they can span
within a short time, airborne measurements are very well
suited to studying atmospheric CO2 variability on a regional
scale, vertically and horizontally, and, in particular, can give
crucial information on the gradients between the PBL and
the free troposphere (FT). Over Europe, airborne campaigns
conducted in the boundary layer are very limited as resumed
in Geels et al. (2007). The Co-ordinated Access to Aircraft
for Transnational Environmental Research (CAATER-1 and
CAATER-2), an European initiative, has given us the op-
portunity to perform two intensive airborne campaigns over
Western Europe in May 2001 and October 2002. A very striking zonal CO2 gradient of about 11 ppm was ob-
served in the mid-PBL during CAATER-2, with higher con-
centrations in the west than in the east. This gradient may
originate from differences in atmospheric mixing, ground
emission rates or Autumn’s earlier start in the west. More
airborne campaigns are currently under analysis in the frame-
work of the CARBOEUROPE-IP project to better assess the
likelihood of these different hypotheses. In a companion pa-
per (Xueref-Remy et al., 2011, Part 2), a comparison of ver-
tical profiles from observations and several modeling frame-
works was conducted for both campaigns. A very striking zonal CO2 gradient of about 11 ppm was ob-
served in the mid-PBL during CAATER-2, with higher con-
centrations in the west than in the east. This gradient may
originate from differences in atmospheric mixing, ground
emission rates or Autumn’s earlier start in the west. More
airborne campaigns are currently under analysis in the frame-
work of the CARBOEUROPE-IP project to better assess the
likelihood of these different hypotheses. 2
Description of the campaigns and of instrumentation Two airborne campaigns were carried out in May 2001
and in October 2002, here called CAATER-1 and CAATER-
2. The two flight routes are different, but they both extend
across a domain of roughly 20◦in longitude between West-
ern France and West Hungary. The Falcon-20 flights for each
campaign are shown in Fig. 1. The CAATER-1 campaign
consisted of 5 flights for a total of 14 h during 23–26 May
2001, and the CAATER-2 campaign consisted of 3 flights
for a total of 8 h during 2–3 October 2002 (Tables 1 and 2). Vertical CO2 profiles and in the case of CAATER-2 also CO
and 222-Rn, were collected between the ground and 4000 m
alt during each campaign. We have 14 profiles in total for
each campaign. 1
Introduction 3, we conduct
an analysis of air mass origins using back-trajectories. In
Sect. 4, we analyse the contribution of anthropogenic emis-
sions to CO2 variability using CO data. In Sect. 5, we as-
sess the representativeness of ground station measurements
using aircraft observations. Finally Sect. 6 focuses on CO2
vertical variability, especially on characterizing CO2 gradi-
ents between the PBL and the FT in function of the air
mass origins. In a companion paper (Xueref-Remy et al.,
2011, Part 2), we conduct a comparison between observa-
tions and models: firstly to assess the capability of a global
model versus a mesoscale model to reproduce the observed
gradients, incorporating also several biospheric fluxes, and
secondly, to present a comparison between model-based
fluxes obtained using a new method coupling backplumes Briefly, these large differences originate for several rea-
sons. Firstly, most of the studies are based on measurements
done on remote and marine sites, far from where terrestrial
fluxes are taking place: there is a lack of measurements over
the continents to constrain flux calculations by inverse mod-
elling (Geels et al., 2007). Secondly, models have difficul-
ties in representing atmospheric transport in the continental
planetary boundary layer (PBL) (Gerbig et al., 2003). Sev-
eral intercomparison studies have been undertaken to make
progress in the modeling of the fluxes and especially on a
seasonal scale (e.g. Gurney et al., 2004; Baker et al., 2006;
Law et al., 2008; Patra et al., 2008; Carouge et al., 2010a, b). Atmos. Chem. Phys., 11, 5655–5672, 2011 www.atmos-chem-phys.net/11/5655/2011/ 5657 I. Xueref-Remy et al.: Variability and budget of CO2 in Europe – Part 1 I. Xueref-Remy et al.: Variability and budget of CO2 in Europe – Part 1 Fig. 1. Averaged flux maps (for the days of the campaigns) and flight patterns (red: 1st day, green: 2nd day, pink: 3rd day, blue: 4th day
of the campaigns) according to latitude, longitude and altitude (in km). Net Ecosystem Exchange (NEE) fluxes are from ORCHIDEE and
fossil fuel (FF) fluxes from Andres et al. (1996) (left: CAATER-1, right: CAATER-2). Oceanic fluxes are from Takahashi et al. (1999) and
are almost zero therefore do not appear in the figure. Fig. 1. Averaged flux maps (for the days of the campaigns) and flight patterns (red: 1st day, green: 2nd day, pink: 3rd day, blue: 4th day
of the campaigns) according to latitude, longitude and altitude (in km). Net Ecosystem Exchange (NEE) fluxes are from ORCHIDEE and
fossil fuel (FF) fluxes from Andres et al. (1996) (left: CAATER-1, right: CAATER-2). Oceanic fluxes are from Takahashi et al. (1999) and
are almost zero therefore do not appear in the figure. and a priori fluxes, and observation-based fluxes calculated
with the Radon method (Schmidt et al., 2003). dard meteological parameter sensors (i.e., pressure, temper-
ature, horizontal and vertical windspeeds, dewpoint temper-
ature, absolute and relative humidities, virtual temperature
and virtual potential temperature). I. Xueref-Remy et al.: Variability and budget of CO2 in Europe – Part 1 I. Xueref-Remy et al.: Variability and budget of CO2 in Europe – Part 1 5658 Table 1. Airport acronyms and geographical information. Table 1. Airport acronyms and geographical information. Code
Name
Country
Latitude
Longitude
Altitude (m a.s.l.*)
BZH
Brest
France
48◦26′ N
04◦25′ W
99
OBP
Oberpfaffenhofen
Germany
48◦05′ N
11◦17′ E
593
ORL
Orleans
France
47◦53′ N
02◦10′ E
120
PDB
Paderborn
Germany
51◦36′ N
08◦37′ E
213
SOB
Sarmellek
Hungary
46◦42′ N
17◦06′ E
408
* m a.s.l. = meters above sea level. Table 2. Flight information for the CAATER 1 and CAATER 2 campaigns. Date
Time range (hh:mm UTC)
Flight pattern
Flight number
23 May 2001
12:12–14:43
OBP – BZH
1
24 May 2001
15:03–17:50
Atlantic, south of BZH
2
25 May 2001
11:26–13:43
BZH – PDB
3
26 May 2001
08:56–15:46
PDB – OBP
4
2 October 2002
08:48–11:10
OBP – ORL
5
2 October 2002
11:10–13:16
ORL – PDB
6
3 October 2002
10:02–12:20
PDB* – SOB
7
3 October 2002
14:19–15:52
SOB – OBP
8
* No data available between PDB and THU. Table 2. Flight information for the CAATER 1 and CAATER 2 campaigns. * No data available between PDB and THU. Table 3. Ground station acronyms and geographical information. Table 3. Ground station acronyms and geographical information. Ground altitude
Type of station
Site
Name
Country
Latitude
Longitude
(m a.s.l.a)
(m.a.g.l)b
CBW
Cabauw
Holland
51◦58′ N
04◦55′ E
−0.7
Tower (213 m)
CMN
Monte Cimone
Italy
44◦11′ N
10◦42′ E
2165
Surface (mountain top)
HUN
Hegyhatsal
Hungary
46◦57′ N
16◦39′ E
248
Tower (115 m)
MHD
Mace Head
Ireland
53◦19′ N
09◦53′ W
26
Surface
PRS
Plateau Rosa
Italy
45◦56′ N
07◦42′ E
3480
Surface (mountain top)
PUY
Puy-de-Dome
France
45◦45′ N
03◦00′ E
1465
Surface (mountain top)
SCH
Schauinsland
Germany
47◦55′ N
07◦55′ E
1205
Surface (mountain top)
WES
Westerland
Germany
54◦56′ N
08◦19′ E
12
Surface a m a.s.l. = meters above sea level; b m a.g.l. = meters above ground level. 2.1
The CAATER campaigns The CAATER aircraft measurement (Co-ordinated Ac-
cess to Aircraft for Transnational Environmental Research)
programme is coordinated by the German DLR, French
INSU/CNRS and M´et´eo-France, and by the UK Met Of-
fice. The programme was funded between 2000 and 2003
by the European Commission to provide research aircraft fa-
cilities for pilot projects and new studies. The objective of
the CAATER Carbon Dioxide pilot project detailed in this
study is to measure the vertical and horizontal variability of
CO2 over Western Europe during two contrasted seasons. We
used the DLR-Falcon 20 jet aircraft (http://www.dlr.de/fb/en/
desktopdefault.aspx/tabid-3714/5789 read-8405/) equipped
with (1) a CO continuous infra-red analyzer, (2) a CO2 non
dispersive infra-red gas analyzer, (3) a 222Rn sequential
sampler instrument, (4) a flask sampling unit and (5) stan- The paper also uses a dataset from different in situ sam-
pling sites described in Table 3. These data will be used in
Sect. 5 to assess the stations footprint by comparing them to
the CAATER measurements. Atmos. Chem. Phys., 11, 5655–5672, 2011 www.atmos-chem-phys.net/11/5655/2011/ 2.2
CO2 surface fluxes conditions higher photosynthetic activity in May than in October (see
Appendix A), but vegetation index is not easy to translate
into a CO2 source/sink map. We show in Fig. 1, overlaid
with the campaign flights, the three CO2 continental flux
components, i.e.: the Net Ecosystem Exchange (NEE) fluxes
given by the process-based ecosystem model ORCHIDEE
(Krinner et al., 2005) also described in the companion paper
(Xueref-Remy et al., 2011, Part 2) with a spatial resolution
of 0.35◦×0.35◦forced by synoptic weather data with a
3 h resolution averaged on the days of the campaign (the
diurnal cycle thus being smoothed); annual fossil fuel (FF)
emission maps with a spatial resolution of 1◦×1◦from Because the focus of this study is to analyze the variability
of CO2 across Western Europe, it is important to understand
the underlying fluxes, which we provide in this section. Figure 1 shows the average CO2 flux maps over Western
Europe during the sampling interval of each campaign. The
net CO2 flux is the sum of fossil fuel CO2 emissions and
of the Net Ecosystem Exchange flux, which can be positive
(source) or negative (sink) depending upon the vegetation
status. The Normalized Difference Vegetation Index (NDVI)
provided by the SPOT VGT-4 satellite system reveals a Atmos. Chem. Phys., 11, 5655–5672, 2011 www.atmos-chem-phys.net/11/5655/2011/ Xueref-Remy et al.: Variability and budget of CO2 in Europe – Part 1 I. 2.2
CO2 surface fluxes conditions Xueref-Remy et al.: Variability and budget of CO2 in Europe – Part 1 5659 2 October 2002
3 October 2002
-10 -5 0 5 10 15 20 25 30
70
65
60
55
50
45
40
35
30
-10 -5 0 5 10 15 20 25 30
70
65
60
55
50
45
40
35
30
-10 -5 0 5 10 15 20 25 30
70
65
60
55
50
45
40
35
30
-10 -5 0 5 10 15 20 25 30
70
65
60
55
50
45
40
35
30
20
10
10
10
-10 -5 0 5 10 15 20 25 30
70
65
60
55
50
45
40
35
30
-10 -5 0 5 10 15 20 25 30
70
65
60
55
50
45
40
35
30
-10 -5 0 5 10 15 20 25 30
70
65
60
55
50
45
40
35
30
-10 -5 0 5 10 15 20 25 30
70
65
60
55
50
45
40
35
30
-10 -5 0 5 10 15 20 25 30
70
65
60
55
50
45
40
35
30
-10 -5 0 5 10 15 20 25 30
70
65
60
55
50
45
40
35
30
-10 -5 0 5 10 15 20 25 30
70
65
60
55
50
45
40
35
30
-10 -5 0 5 10 15 20 25 30
70
65
60
55
50
45
40
35
30
20
20
10
10
10
10
10
10
23 May 2001
24 May 2001
25 May 2001
26 May 2001
-10 -5 0 5 10 15 20 25 30
70
65
60
55
50
45
40
35
30
-10 -5 0 5 10 15 20 25 30
70
65
60
55
50
45
40
35
30
-10 -5 0 5 10 15 20 25 30
70
65
60
55
50
45
40
35
30
-10 -5 0 5 10 15 20 25 30
70
65
60
55
50
45
40
35
30
20
10
10
10
-10 -5 0 5 10 15 20 25 30
70
65
60
55
50
45
40
35
30
-10 -5 0 5 10 15 20 25 30
70
65
60
55
50
45
40
35
30
-10 -5 0 5 10 15 20 25 30
70
65
60
55
50
45
40
35
30
-10 -5 0 5 10 15 20 25 30
70
65
60
55
50
45
40
35
30
-10 -5 0 5 10 15 20 25 30
70
65
60
55
50
45
40
35
30
-10 -5 0 5 10 15 20 25 30
70
65
60
55
50
45
40
35
30
-10 -5 0 5 10 15 20 25 30
70
65
60
55
50
45
40
35
30
-10 -5 0 5 10 15 20 25 30
70
65
60
55
50
45
40
35
30
20
20
10
10
10
10
10
10
23 May 2001
24 May 2001
25 May 2001
26 May 2001
1029
1026
1023
1020
1017
1014
1011
1008
1005
1002
1026
1023
1020
1017
1014
1011
1008
1005
-10 -5 0 5 10 15 20 25 30
70
65
60
55
50
45
40
35
30
-10 -5 0 5 10 15 20 25 30
70
65
60
55
50
45
40
35
30
20
20
Oct 2nd, 2002
Oct 3rd, 2002
1029
1026
1023
1020
1017
1014
1011
1008
1005
1002
1026
1023
1020
1017
1014
1011
1008
1005
1029
1026
1023
1020
1017
1014
1011
1008
1005
1002
1026
1023
1020
1017
1014
1011
1008
1005
-10 -5 0 5 10 15 20 25 30
70
65
60
55
50
45
40
35
30
-10 -5 0 5 10 15 20 25 30
70
65
60
55
50
45
40
35
30
20
20
20
20
Oct 2nd, 2002
Oct 3rd, 2002
Fig. 2.3
Synoptic weather conditions 2 October 2002
1029
1026
102
1020
1017
1014
101
100
1005
1002
-10 -5 0 5 10 15 20 25 30
70
65
60
55
50
45
40
35
30
20
Oct 2nd, 2002
1029
1026
102
1020
1017
1014
101
100
1005
1002
1029
1026
102
1020
1017
1014
101
100
1005
1002
-10 -5 0 5 10 15 20 25 30
70
65
60
55
50
45
40
35
30
20
20
Oct 2nd, 2002 3 October 2002
1026
1023
1020
1017
1014
1011
1008
1005
-10 -5 0 5 10 15 20 25 30
70
65
60
55
50
45
40
35
30
20
Oct 3rd, 2002
1026
1023
1020
1017
1014
1011
1008
1005
1026
1023
1020
1017
1014
1011
1008
1005
-10 -5 0 5 10 15 20 25 30
70
65
60
55
50
45
40
35
30
20
20
Oct 3rd, 2002 3 October 2002
Oct 3rd, 2002
Oct 3rd, 2002 Synoptic weather conditions encountered during both cam-
paigns are shown in Fig. 2 (http://weather.ou.edu/∼cgodfrey/
reanalysis/). During CAATER 1, the synoptic situation was mainly
anti-cyclonic, as shown by mean sea level pressure and
850 hPa wind maps. Note that 850 hPa represents the mean
aircraft altitude during the campaign (1457 m above sea
level). No major cloud system was present over Europe
during the campaign. During 23–24 May 2001 winds from
the north-east prevailed over the campaign domain in North-
ern France, established around a high-pressure system lo-
cated over the British Isles. On 25 May 2001, this high-
pressure moved towards southern Scandinavia and north-
easterly winds continued to prevail. Fig. 2. Meteorological maps showing mean sea-level pressure
(in hPa) and wind speed (in m s−1) at 850 hPa for each day of
the CAATER campaigns at 12:00:00 h UTC (http://weather.ou.edu/
∼cgodfrey/reanalysis/). Latitude (vertical scale) is given in ◦N and
longitude (horizontal scale) in ◦E. During CAATER 2, dry conditions were encountered,
apart from 3 October 2002 when a few showers occured over
Th¨uringen, in Eastern Germany. By 2 October 2002, a small
high-pressure system over Norway induced airflow from the
north into the aircraft route over Southern Germany. But an-
other high-pressure placed over the Balkans region creates
a second flow from Southern Europe into the aircraft route
over France. We thus expect a very significant change in
air mass origins at the boundary between these two different
flow regimes. 2.2
CO2 surface fluxes conditions -10 -5 0 5 10 15 20 25 30
70
65
60
55
50
45
40
35
30
-10 -5 0 5 10 15 20 25 30
70
65
60
55
50
45
40
35
30
20
10
-10 -5 0 5 10 15 20 25 30
70
65
60
55
50
45
40
35
30
-10 -5 0 5 10 15 20 25 30
70
65
60
55
50
45
40
35
30
-10 -5 0 5 10 15 20 25 30
70
65
60
55
50
45
40
35
30
-10 -5 0 5 10 15 20 25 30
70
65
60
55
50
45
40
35
30
20
20
10
10
23 May 2001
25 May 2001
-10 -5 0 5 10 15 20 25 30
70
65
60
55
50
45
40
35
30
-10 -5 0 5 10 15 20 25 30
70
65
60
55
50
45
40
35
30
20
10
-10 -5 0 5 10 15 20 25 30
70
65
60
55
50
45
40
35
30
-10 -5 0 5 10 15 20 25 30
70
65
60
55
50
45
40
35
30
-10 -5 0 5 10 15 20 25 30
70
65
60
55
50
45
40
35
30
-10 -5 0 5 10 15 20 25 30
70
65
60
55
50
45
40
35
30
20
20
10
10
23 May 2001
25 May 2001 -10 -5 0 5 10 15 20 25 30
70
65
60
55
50
45
40
35
30
-10 -5 0 5 10 15 20 25 30
70
65
60
55
50
45
40
35
30
10
10
-10 -5 0 5 10 15 20 25 30
70
65
60
55
50
45
40
35
30
-10 -5 0 5 10 15 20 25 30
70
65
60
55
50
45
40
35
30
-10 -5 0 5 10 15 20 25 30
70
65
60
55
50
45
40
35
30
-10 -5 0 5 10 15 20 25 30
70
65
60
55
50
45
40
35
30
10
10
10
10
24 May 2001
26 May 2001
-10 -5 0 5 10 15 20 25 30
70
65
60
55
50
45
40
35
30
-10 -5 0 5 10 15 20 25 30
70
65
60
55
50
45
40
35
30
10
10
-10 -5 0 5 10 15 20 25 30
70
65
60
55
50
45
40
35
30
-10 -5 0 5 10 15 20 25 30
70
65
60
55
50
45
40
35
30
-10 -5 0 5 10 15 20 25 30
70
65
60
55
50
45
40
35
30
-10 -5 0 5 10 15 20 25 30
70
65
60
55
50
45
40
35
30
10
10
10
10
24 May 2001
26 May 2001 Andres et al. 2.2
CO2 surface fluxes conditions (1996) updated to the year of each campaign;
and oceanic fluxes from Takahashi et al. (1999, 2002). As
oceanic fluxes are negligible compared to NEE and fossil
fuel fluxes, they do not appear in the maps. These maps
show that for this period in May 2001, Europe was mainly
acting as a CO2 sink (reaching about −1 gC m−2 day−1)
while in early October 2002 it was acting more like a source
of CO2 north of 47◦N (about 1 gC m−2 day−1) and a tiny
sink south of 45◦N (about 0.4 gC m−2 day−1). Largest
fossil fuel emissions occur from the London megacity
area, Benelux, Ruhr, the Berlin metropolitan area and the
Warsaw city regions. The most emitting coal-fed power
plants (the so-called “dirty thirty” identified by the WWF:
http://www.panda.org/what we do/knowledge centres/
climate change/problems/cause/coal/dirty 30/) are located
here and represent 10% of European CO2 emissions climate change/problems/cause/coal/dirty 30/) are located
here and represent 10% of European CO2 emissions. 2.2
CO2 surface fluxes conditions 2. Meteorological maps showing mean sea-level pressure
(in hPa) and wind speed (in m s−1) at 850 hPa for each day of
the CAATER campaigns at 12:00:00 h UTC (http://weather.ou.edu/
∼cgodfrey/reanalysis/). Latitude (vertical scale) is given in ◦N and
longitude (horizontal scale) in ◦E. 2.3
Synoptic weather conditions On 3 October 2002, two high-pressure sys-
tems were observed, west and east of the aircraft route, over
France and Greece. This situation gives rise to complex wind
patterns, as further evidenced from the back-trajectory anal-
ysis in Sect. 3. uous NDIR airborne analyzer developed at LSCE (Fig. 3). This instrument is based on a commercial sensor Li-COR
6262 with a fast response detector (1 Hz acquisition), with
temperature, pressure and flow rates of air being regulated at
constant values (Table 4). Outside air was pumped and dried
by a magnesium perchlorate cartridge before being analyzed. More details can be found in Filippi et al. (2002). Airborne CO2 measurements are useful for carbon cy-
cle studies (inversions) if they have a precision better than
0.5 ppm (Gloor et al., 2000). Frequent calibrations (ev-
ery 30 min) give an instantaneous precision of 0.1 ppm, but
slow instrument drifts due to changes in surrounding physi-
cal parameters such as pressure and temperature require fre-
quent calibrations during flights. We used two calibration
gases in high-pressure cylinders of 2 l, with concentrations
in the NOAA X-93 scale of 365.92 ± 0.05 ppm (Low) and
401.29 ± 0.05 ppm (High). Each standard is passed through
the analyzer for 3 min, and only the last minute of acqui-
sition is retained to compute the calibration curve and cal-
culate outside air CO2. Given the limited volume of each 2.4.3
In situ continuous CO measurements The CO analyser is the same as the one developed for routine
measurements onboard passenger aircrafts for the MOZAIC
program (http://mozaic.aero.obs-mip.fr/web/). CO was only
measured during CAATER-2 and its characteristics are sum-
marized in Table 4. This analyser described in Nedelec et
al. (2003) is a fully automated instrument designed to reach
an accuracy of 5%. It is based on the commercial IR cor-
relation gas analyser Model48C produced by Thermo En-
vironment Instruments [TEI, USA]. It is a Gas Filter Cor-
relation instrument based on the principle of infra-red ab-
sorption by the 4.67 µm fundamental vibration-rotation band
of CO. Radiation from an infrared source is chopped and
passed through a gas filter which alternates between CO and
N2. The radiation then passes through a narrow band pass
filter and a multiple optical pass sample cell where absorp-
tion by the sample gas occurs. The IR radiation exits the
sample cell and falls on a lead-selenium solid state IR de-
tector. Other gases do not cause modulation of the detector
signal since they absorb the reference and measure beams
equally. Thus, the Gas Filter Correlation System responds
specifically to CO. The Model 48CTL is also qualified by
US EPA designated Method (EQSA-0486-060). The specifi-
cation of the commercial instrument is 10 ppbv CO for 300 s
integration time. Major improvements have been brought by
N´ed´elec et al. (2003): periodic accurate zero measurements,
new IR detector with better cooling and temperature regula-
tion, pressure increase and regulation in the absorption cell,
increased flow rate to 4 l min−1, water vapor trap, and ozone
filter. The specifications achieved for 30 s integration time
(response time of the instrument) are a precision of ±5 ppbv
CO with a minimum detectable of 10 ppbv of CO. The in-
strument was calibrated before and after the campaign with Fig. 3. Schematic of the CONDOR analyzer. cylinder, the time taken for calibration and the sought pre-
cision, an optimal compromise had to be found. We carried
out ≈30 calibrations during each campaign. The average sta-
bility (1-σ std. deviation on 1-Hz data) was 0.03 ppm dur-
ing the last minute of each calibration passage. To compute
the instrument accuracy, each calibration gas was treated as
an unknown target. The difference between the true and the
measured target value is 0.10 ppm for the high standard and
0.08 ppm for the low one. 2.4.1
In situ continuous CO2 measurements In addition to standard meteorological parameters (wind, rel-
ative humidity, temperature, pressure) with a 1-Hz acquisi-
tion, the CO2 concentrations were measured with a contin- Atmos. Chem. Phys., 11, 5655–5672, 2011 www.atmos-chem-phys.net/11/5655/2011/ I. Xueref-Remy et al.: Variability and budget of CO2 in Europe – Part 1 I. Xueref-Remy et al.: Variability and budget of CO2 in Europe – Part 1 5660 Table 4. Characteristics of the CO2 and CO analyzers. Table 4. Characteristics of the CO2 and CO analyzers. Parameter
CO2 analyzer (CONDOR)
CO analyzer
Precision
≤0.20 ppm for 1 s
±5 ppbv for 30 s
Sampling frequency
1 Hz
0.03 Hz
Power supply
18-32VDC/15A max
24V/10A max
Cells pressure
1080 hPa
2532 hPa
Flow rates
50 sccm (Reference cell) 400 sccm (Sample cell)
4000 sccm
Temperature
35 ◦C
30 ◦C
Calibrations
1 calibration (6 mn) every 30 mn
Before and after each campaign
Volume
95×55×40 cm3
60×31×43 cm3
Weight
80 kg
45 kg Fig. 3. Schematic of the CONDOR analyzer. centration was systematically rejected if the two measure-
ments differed by more than 0.10 ppm (3.2% of the samples). The mean difference between the in situ NDIR and the flasks
was less than 0.20 ppm for both campaigns (see Appendix B,
Fig. B1). 2.4.3
In situ continuous CO measurements Also, we found that, even when
using one single calibration result before each flight, the in-
strument accuracy is still greater than 0.20 ppm. 3.2
Air masses sampled in May 2001 during
CAATER-1 pp
In order to investigate the origin of the sampled air masses,
we computed for each flight, 5-days backtrajectories at dif-
ferent measurement points of the flight path. The HYSPLIT-
4 (Hybrid Single-Particle Lagrangian Integrated Trajectory)
was used to compute these backtrajectories (Draxler and
Hess, 1998). Four-dimensional (x,y,z,t) gridded meteoro-
logical fields from NOAA/NCEP (National Centers for En-
vironmental Predictions, http://www.ncep.noaa.gov/) global
reanalysis data were used to drive HYSPLIT-4 (analysis ev-
ery 6 h, 1◦×1◦horizontal resolution, 14 vertical levels). Each
trajectory was calculated as the time integrated advection of
a single particle. The integration time-step can vary during
the simulation, as it is computed from the requirement that
the advection distance per time-step should be less than 75%
of the meteorological grid spacing. This linear integration
method is common (e.g. Kreyszig, 1968) and has been used
for trajectory analysis (Petterssen, 1940) for quite some time. Advection is computed from the average of the 3-D-velocity
vector for the position at time t and the position at time t −1. The accuracy of the model has been quantified by testing the
model trajectories against balloon data: the difference was
about 10 to 20% (Draxler, 1998). Back-trajectories calculated for each flight of CAATER 1 are
shown in Fig. 5 (a projection of Fig. 4 for CAATER 1 in
the horizontal longitude-latitude plan). About 58% of the
air masses sampled came from the north-west, 37% from the
north-east and only 5% from the south-east. y
On 23 May 2001 (Fig. 5a), between 4◦E and 2◦W, the
back-trajectories indicate a continental origin from the north-
east, with air masses being advected in the boundary layer
(<2000 m) and carrying low CO2 values of ≈360 ppm. As
the aircraft moved west of 2◦W, the sampled air mass
reached values in the range of 372–375 ppm. Indeed dur-
ing that day, from ECMWF reanalysis, we know that there
was no special feature in the vertical structure of the atmo-
sphere such as convection that can explain this difference in
concentration. Backtrajectories show that between 2◦E and
2◦W, air masses were advected from the east-south-east in
the boundary layer, while they were advected from the north-
east passing above the ocean between 2◦W and 4◦W before
landing in Brest. 3.1
Mean CO2, CO concentrations and
back-trajectories The CO2 distribution observed over the European continent
results from the mixing of oceanic background air with con-
tinental signals from fossil fuel emissions and biospheric
sources and sinks. The lower tropospheric CO2 mean con-
centrations between 0–4000 m alt were 370.1 ± 4.0 ppm dur-
ing CAATER-1 (May) and 371.7 ± 5.0 ppm during CAATER
2 (October). Thus, despite a stronger biogenic (biospheric)
uptake in Spring, reducing background CO2 over the whole
Northern Hemisphere and CO2 over the European continent,
the lower troposphere mean level in May was roughly similar
to October. For CAATER-2, the mean CO concentration was
177 ± 61 ppb. As a reference for our analysis, we computed marine back-
ground concentrations of CO2 and CO in the boundary layer,
called MBL values. These MBL values were computed us-
ing records from the Mace Head station that is part of the
RAMCES network (https://ramces.lsce.ipsl.fr/). Mace Head
is located on the west coast of Ireland, thus, marine back-
ground concentrations during CAATER could be inferred by
selecting the marine wind sector data averaged over each
campaign’s duration. For CO2, the MBL values obtained
are 374.5 ± 0.3 ppm during CAATER 1 and 367.9 ± 0.2 ppm
during CAATER 2; for CO the MBL value computed for
CAATER 2 is 131.1 ± 0.2 ppb. Fig. 4. CO2 concentration 3-D distribution according to longitude,
latitude and altitude. The flight patterns are projected on the longi-
tude/latitude plan. (top: CAATER-1, bottom: CAATER-2). 2.4.2
Flasks analysis To independently assess the instruments accuracy, about
50 1-l glass flasks were sampled during each campaign. Af-
ter 5 min of flushing, the sampled air was compressed at 1
bar above atmospheric pressure to avoid any contamination
due to leakage. The CO2 concentration was measured by gas
chromatography at LSCE with a precision <0.10 ppm (P´epin
et al., 2001), each flask being measured twice. A flask con- Atmos. Chem. Phys., 11, 5655–5672, 2011 www.atmos-chem-phys.net/11/5655/2011/ I. Xueref-Remy et al.: Variability and budget of CO2 in Europe – Part 1 5661 Fig. 4. CO2 concentration 3-D distribution according to longitude,
latitude and altitude. The flight patterns are projected on the longi-
tude/latitude plan. (top: CAATER-1, bottom: CAATER-2). a traceable CO cylinder from the National Institute of Stan-
dards and Technology in Boulder, Colorado, USA. a traceable CO cylinder from the National Institute of Stan-
dards and Technology in Boulder, Colorado, USA. I. Xueref-Remy et al.: Variability and budget of CO2 in Europe – Part 1 Note that some of the back-trajectories
are outside the latitude and longitude chosen borders, but these are
so diluted that they do not give any relevant information. c- Flight 3 (25 May 2001) : BZH - PDB
d- Flight 4 (26 May 2001) : PDB-OBP
11:30 12:00 12:30 13:00 13:30
Time (hh:mm UTC)
10:00 12:00 14:00 16:00
Time (hh:mm UTC) b- Flight 2 (24 May 2001) : Atlantic survey south of BZH
a- Flight 1 (23 May 2001) : OBP-BZH
12:30 13:00 13:30 14:00 14:30
Time (hh:mm UTC)
15:00 15:30 16:00 16:30 17:00 17:30 18:00
Time (hh:mm UTC)
Fig. 5. (a, b) Back-trajectories computed over 96 h for flight
1 and flight 2. The distance between 2 triangles is 24 h. Left
panels show CO2 concentrations along the flight path and back-
trajectories. Right panels show the altitude of the flight, and back-
trajectories colored according to air mass altitude. Black circles rep-
resent ground stations named in Fig. 1. Altitude is given in meters
above the sea level (m a.s.l.). Note that some of the back-trajectories
are outside the latitude and longitude chosen borders, but these are
so diluted that they do not give any relevant information. c- Flight 3 (25 May 2001) : BZH - PDB
d Flight 4 (26 May 2001) : PDB OBP
11:30 12:00 12:30 13:00 13:30
Time (hh:mm UTC) a- Flight 1 (23 May 2001) : OBP-BZH
12:30 13:00 13:30 14:00 14:30
Time (hh:mm UTC) c- Flight 3 (25 May 2001) : BZH - PDB a- Flight 1 (23 May 2001) : OBP-BZH Time (hh:mm UTC) d- Flight 4 (26 May 2001) : PDB-OBP d- Flight 4 (26 May 2001) : PDB-OBP b- Flight 2 (24 May 2001) : Atlantic survey south of BZH b- Flight 2 (24 May 2001) : Atlantic survey south of BZH
15:00 15:30 16:00 16:30 17:00 17:30 18:00
Time (hh:mm UTC) Fig. 5. (c, d) Back-trajectories computed over 96 h for flight
3 and flight 4. The distance between 2 triangles is 24 h. Left
panels show CO2 concentrations along the flight path and back-
trajectories. Right panels show the altitude of the flight, and back-
trajectories colored according to air mass altitude. Black circles rep-
resent ground stations named in Fig. 1. Altitude is given in meters
above the sea level (m a.s.l.). I. Xueref-Remy et al.: Variability and budget of CO2 in Europe – Part 1 I. Xueref-Remy et al.: Variability and budget of CO2 in Europe – Part 1 5662 b- Flight 2 (24 May 2001) : Atlantic survey south of BZH
a- Flight 1 (23 May 2001) : OBP-BZH
12:30 13:00 13:30 14:00 14:30
Time (hh:mm UTC)
15:00 15:30 16:00 16:30 17:00 17:30 18:00
Time (hh:mm UTC)
Fig. 5. (a, b) Back-trajectories computed over 96 h for flight
1 and flight 2. The distance between 2 triangles is 24 h. Left
panels show CO2 concentrations along the flight path and back-
trajectories. Right panels show the altitude of the flight, and back-
trajectories colored according to air mass altitude. Black circles rep-
resent ground stations named in Fig. 1. Altitude is given in meters
above the sea level (m a.s.l.). Note that some of the back-trajectories
are outside the latitude and longitude chosen borders, but these are
so diluted that they do not give any relevant information. c- Flight 3 (25 May 2001) : BZH - PDB
d- Flight 4 (26 May 2001) : PDB-OBP
11:30 12:00 12:30 13:00 13:30
Time (hh:mm UTC)
10:00 12:00 14:00 16:00
Time (hh:mm UTC)
Fig. 5. (c, d) Back-trajectories computed over 96 h for flight
3 and flight 4. The distance between 2 triangles is 24 h. Left
panels show CO2 concentrations along the flight path and back-
trajectories. Right panels show the altitude of the flight, and back-
trajectories colored according to air mass altitude. Black circles rep-
resent ground stations named in Fig. 1. Altitude is given in meters
above the sea level (m a.s.l.). Note that some of the back-trajectories
are outside the latitude and longitude chosen borders, but these are
so diluted that they do not give any relevant information. c- Flight 3 (25 May 2001) : BZH - PDB
d- Flight 4 (26 May 2001) : PDB-OBP
11:30 12:00 12:30 13:00 13:30
Time (hh:mm UTC)
10:00 12:00 14:00 16:00
Time (hh:mm UTC)
Fig. 5. (c, d) Back-trajectories computed over 96 h for flight
3 and flight 4. The distance between 2 triangles is 24 h. Left
panels show CO2 concentrations along the flight path and back-
trajectories. Right panels show the altitude of the flight, and back-
trajectories colored according to air mass altitude. Black circles rep-
resent ground stations named in Fig. 1. Altitude is given in meters
above the sea level (m a.s.l.). 3.2
Air masses sampled in May 2001 during
CAATER-1 It is thus very likely that the depletion of
CO2 observed between 2◦E and 2◦W on 23 May 2001 was
due to advection of air formerly exposed to terrestrial CO2
uptake. Indeed two days later (see Fig. 5c) we encountered www.atmos-chem-phys.net/11/5655/2011/ Atmos. Chem. Phys., 11, 5655–5672, 2011 I. Xueref-Remy et al.: Variability and budget of CO2 in Europe – Part 1 Xueref-Remy et al.: Variability and budget of CO2 in Europe – Part 1 I. Xueref-Remy et al.: Variability and budget of CO2 in Europe – Part 1 a- Flight 5 (2 October 2002) : OBP - ORL
b- Flight 6 (2 October 2002) : ORL - PDB (Germany)
09:00 09:30 10:00 10:30 11:00
Time (hh:mm UTC)
11:00 11:30 12:00 12:30 13:00
Time (hh:mm UTC)
Fig. 6. (a, b) Back-trajectories computed over 96 h for flights 5 and
6. The distance between 2 triangles is 24 h. Left panels show CO2
concentrations along the flight path and back-trajectories. Right
panels show the altitude of the flight, and back-trajectories colored
according to air mass altitude. Black circles represent ground sta-
tions named in Fig. 1. Altitude is given in meters above the sea
level (m a.s.l.). Note that some of the back-trajectories are outside
the latitude and longitude chosen borders, but these are so diluted
that they do not give any relevant information. a- Flight 5 (2 October 2002) : OBP - ORL
09:00 09:30 10:00 10:30 11:00
Time (hh:mm UTC) Europe when compared to the “biospheric” minimum further
east is of the order of 20 ppm in the whole boundary layer. a- Flight 5 (2 October 2002) : OBP - ORL pp
y
y
On 26 May 2001 (Fig. 5d), we sampled oceanic, bio-
spheric and anthropogenic air masses. Around 12◦E in
the mid-afternoon, we measured low concentrations (around
365 ppm). The easterly flow associated with these mini-
mum CO2 values corresponds to air masses advected into
the boundary layer, and thus directly exposed to continu-
ous biospheric uptake. In contrast around 14◦E, an air mass
coming from the west and north-west was sampled. Back
trajectories indicated that this air mass is exposed to anthro-
pogenic emissions, and contains CO2 values 25 ppm above
these low concentrations. Note that all these measurements
were recorded in the PBL at altitudes lower than 400 m a.s.l.;
backtrajectories show that the high-CO2 air mass sampled at
14◦E was advected from the north-west at altitudes below
500 m, with an origin that can be approximately traced to
anthropogenic emissions over Northern Germany and Den-
mark. 3.3
Air masses sampled in October 2002 during
CAATER-2 We also analyze the relationship between CO and CO2 ob-
served during the CAATER 2 campaign (unfortunately, no
CO data is available for CAATER 1). In air masses influ-
enced by combustion processes, we expect a positive corre-
lation between the residual concentrations of CO and CO2
computed to background concentrations. This should enable
the identification of fossil fuel CO2 in total CO2 in sampled
air masses (e.g. Levin and Karstens, 2007). This (too) simple
theory is however complicated by (1) different ratios of CO
to fossil fuel CO2 emissions in the various types of combus-
tion, (2) mixing of air rich in fossil fuel CO2 with oceanic or
vegetation fluxes, a process that changes CO2 without chang-
ing CO, and (3) chemical production of secondary CO from
biogenic volatile organic compounds, which in summer can
contribute as much CO as anthropogenic combustions (Riv-
ier et al., 2006); this process tends to increase CO but not
CO2. During the CAATER-2 campaign, these three pro-
cesses (different mix of combustion, mix of oceanic, vege-
tation and fossil fuel CO2, secondary CO production) are un-
fortunately at work simultaneously. This, in principle, makes
the inferrence of fossil fuel CO2 very difficult, as already
noted when using ground-based station records (Karstens et
al., 2006; Levin et al., 2007). In this context, it is interest-
ing to check the relationship between CO and CO2 in the
diverse sampled air masses during the CAATER-2 campaign
(see Sect. 3). Fig. 6. (a, b) Back-trajectories computed over 96 h for flights 5 and
6. The distance between 2 triangles is 24 h. Left panels show CO2
concentrations along the flight path and back-trajectories. Right
panels show the altitude of the flight, and back-trajectories colored
according to air mass altitude. Black circles represent ground sta-
tions named in Fig. 1. Altitude is given in meters above the sea
level (m a.s.l.). Note that some of the back-trajectories are outside
the latitude and longitude chosen borders, but these are so diluted
that they do not give any relevant information. we computed the linear regression correlation (R2 determi-
nation factor) and the slope (S) of 1CO vs. 1CO2 (delta
standing for the difference of the observed concentration to
the marine background concentration) for each air mass. The
results are presented in Fig. 8. I. Xueref-Remy et al.: Variability and budget of CO2 in Europe – Part 1 On the other hand, air masses coming from altitudes
higher than 1700 m from the West, with tropospheric air de-
coupled from surface fluxes, are associated to CO2 concen-
trations (∼374 ppm) close to the marine background value
defined in Sect. 3.1 (374.5 ppm). b- Flight 6 (2 October 2002) : ORL - PDB (Germany) b- Flight 6 (2 October 2002) : ORL - PDB (Germany) b- Flight 6 (2 October 2002) : ORL - PDB (Germany)
11:00 11:30 12:00 12:30 13:00
Time (hh:mm UTC) Time (hh:mm UTC) I. Xueref-Remy et al.: Variability and budget of CO2 in Europe – Part 1 Note that some of the back-trajectories
are outside the latitude and longitude chosen borders, but these are
so diluted that they do not give any relevant information. Fig. 5. (a, b) Back-trajectories computed over 96 h for flight
1 and flight 2. The distance between 2 triangles is 24 h. Left
panels show CO2 concentrations along the flight path and back-
trajectories. Right panels show the altitude of the flight, and back-
trajectories colored according to air mass altitude. Black circles rep-
resent ground stations named in Fig. 1. Altitude is given in meters
above the sea level (m a.s.l.). Note that some of the back-trajectories
are outside the latitude and longitude chosen borders, but these are
so diluted that they do not give any relevant information. over the Bay of Biscay first sampled air advected from the
English Channel at ≈4000 m alt with oceanic CO2 concen-
trations of 372–374 ppm, and then continental air from north-
eastern Europe, with CO2 depleted by plant uptake down to
360 ppm. a similar CO2 depletion between 2◦E and 2◦W, also below
2000 m, around midday and with similar pressure and wind
conditions than on 23 May 2001. For this flight, simulta-
neous in-situ CO2 and 222Rn measurements allowed us to
identify the role of terrestrial CO2 uptake over France at that
period (Xueref-Remy et al., 2011, Part 2). Between 2◦W
and 4◦W, we can conclude from the HYSPLIT backtrajecto-
ries that an oceanic air mass was sampled, whose CO2 con-
centration was close to the MBL value defined in Sect. 3.1
(374.5 ppm). On 25 May 2001 (Fig. 5c), the air mass was first oceanic
(374 ppm). Moving eastwards between 3◦W and 1◦E, sam-
pled continental air masses gave CO2 concentrations of ap-
proximately 360 ppm (biospheric-influenced values, that are
similar to those sampled during 23 May on roughly the same
route westwards: see above), then oceanic air, followed again
by anthropogenic emission plumes over the Ruhr area with
CO2∼380 ppm. The signal of this high emission region of On 24 May 2001 (Fig. 5b) over the Bay of Biscay, air
masses were influenced by local anthropogenic emissions
near the surface close to BZH (∼378 ppm). The aircraft flight Atmos. Chem. Phys., 11, 5655–5672, 2011 www.atmos-chem-phys.net/11/5655/2011/ 5663 I. Xueref-Remy et al.: Variability and budget of CO2 in Europe – Part 1 I. 3.3
Air masses sampled in October 2002 during
CAATER-2 c- Flight 7 (3 October 2002) : THU - SOB (Hungary)
10:00 10:30 11:00 11:30 12:00
Time (hh:mm UTC) c- Flight 7 (3 October 2002) : THU - SOB (Hungary) Time (hh:mm UTC) d- Flight 8 (3 October 2002) : SOB - OBP
14:30 15:00 15:30
Time (hh:mm UTC) d- Flight 8 (3 October 2002) : SOB - OBP Fig. 7. CO, CO2 and altitude time series during the CAATER 2
flights (top: 2 October 2002; bottom: 3 October 2002). Striking
events have been selected with colorbars (pink is for C: high CO and
CO2 correlation level events, green is for M: mixed determination
factor events, blue is for B: tropospheric background events). 15:00
Time (hh:mm UTC) On 3 October 2002, during the (return) flight from SOB
to OBP (Fig. 6d), the aircraft climbed above 4000 m (event
B6). Background values of CO, CO2 at 4000 m were checked
and confirmed to be unchanged from the flight above the Or-
leans forest (event B2). Then, an horizontal route was fol-
lowed in the boundary layer (mean altitude 300 m; event C5
in Fig. 7). Near-surface anthropogenic emission plume sam-
pled west of Hegyhatsal with a high 1CO vs. 1CO2 cor-
relation (R2 = 0.88, slope = 10.37 ppb CO ppm−1 CO2) was
most likely of local origin, from Graz (second largest city
in Austria with 300 000 people and an international airport). Finally, the airplane crossed Eastern Germany westwards to
OBP at 2200m altitude. Surprinsingly low CO2 values for
the month of October (360 ppm) were observed during that
last flight, as well as low CO values (110 ppb). The back-
trajectories of this flight show a complex pattern, with some
air coming from the Alps before reaching the aircraft posi-
tion. Fig. 6. (c, d) Back-trajectories computed over 96 h for flights 7 and
8. The distance between 2 triangles is 24 h. Left panels show CO2
concentrations along the flight path and back-trajectories. Right
panels show the altitude of the flight, and back-trajectories colored
according to air mass altitude. Black circles represent ground sta-
tions named in Fig. 1. Altitude is given in meters above the sea
level (m a.s.l.). Note that some of the back-trajectories are outside
the latitude and longitude chosen borders, but these are so diluted
that they do not give any relevant information. 3.3
Air masses sampled in October 2002 during
CAATER-2 The R2 and slope values
showed a wide range of variation when all air masses are
considered without distinction (Table 5). To all R2, we com-
puted the associated p-value (Table 5): in all cases the corre-
lation significance is higher than 99%. On 3 October 2002, during the flight from OBP to SOB
(Table 2; Fig. 6c) a vertical profile was sampled over a
rural location in the Th¨uringen area (event B4 in Fig. 7). This profile shows CO2 and CO values close to background. The same tropospheric values at 4000 m as those measured First, we identified the different air masses in the
CAATER-2 dataset classified by their origins (Fig. 6). Then Atmos. Chem. Phys., 11, 5655–5672, 2011 www.atmos-chem-phys.net/11/5655/2011/ I. Xueref-Remy et al.: Variability and budget of CO2 in Europe – Part 1 I. Xueref-Remy et al.: Variability and budget of CO2 in Europe – Part 1 5664 d- Flight 8 (3 October 2002) : SOB - OBP
c- Flight 7 (3 October 2002) : THU - SOB (Hungary)
10:00 10:30 11:00 11:30 12:00
Time (hh:mm UTC)
14:30 15:00 15:30
Time (hh:mm UTC)
Fig. 6. (c, d) Back-trajectories computed over 96 h for flights 7 and
8. The distance between 2 triangles is 24 h. Left panels show CO2
concentrations along the flight path and back-trajectories. Right
panels show the altitude of the flight, and back-trajectories colored
according to air mass altitude. Black circles represent ground sta-
tions named in Fig. 1. Altitude is given in meters above the sea
level (m a.s.l.). Note that some of the back-trajectories are outside
the latitude and longitude chosen borders, but these are so diluted
that they do not give any relevant information. 09:00 10:00 11:00 12:00 13:00
10:00 11:00 12:00 13:00 14:00 15:00 16:00
Time (hh:mm UTC)
Fig. 7. CO, CO2 and altitude time series during the CAATER 2
flights (top: 2 October 2002; bottom: 3 October 2002). Striking
events have been selected with colorbars (pink is for C: high CO and
CO2 correlation level events, green is for M: mixed determination
factor events, blue is for B: tropospheric background events). 3.3
Air masses sampled in October 2002 during
CAATER-2 one day earlier over ORL shows that the signal of sources
and sinks is mainly confined to the boundary layer during
the CAATER-2 campaign, because of anticyclonic condi-
tions and reduced mixing. An anthropogenic emission plume
(event C3 in Fig. 7) was sampled between 12◦and 13.5◦E,
with a small positive 1CO vs. 1CO2 correlation (R2 = 0.26,
slope = 1.78 ppb CO ppm−1 CO2). In this C3 event, the ori-
gin of the air masses was traced to the high emission Ruhr
industrial region. At longitude 17◦E (event C4 in Fig. 7) we
encountered a better-defined anthropogenic emission plume
(R2 = 0.47, slope = 3.2 ppb CO ppm−1 CO2) during the ver-
tical profile over the tall tower of Hegyatsall. 4
Comparison of CAATER observations to CO:CO2
emission ratios from inventories for anthropogenic-
influenced air masses 4
Comparison of CAATER observations to CO:CO2
emission ratios from inventories for anthropogenic-
influenced air masses Colors represent correlated events
C1 to C5 as defined in the text. See Sect. 3 for marine background
concentration definition. see in Fig. 6a that C1 is not only influenced by Eastern Ger-
many, but also by industrial regions (Malm¨o) in Southern
Sweden and in Western Poland, where the CO:CO2 emission
ratio are higher regionally (range 11.1 to 12 kt CO/Mt CO2). C1
C2
C3
C4 & C5
Delta [CO2] (ppm)
Delta [CO] (ppb)
C1
C2
C3
C4 & C5
Delta [CO2] (ppm)
Delta [CO] (ppb) Air mass C2 was exposed to Rhone valley emissions as
well as to CO2 uptake by vegetation in that region (Sect. 3;
see also Fig. 1 (NEE) and the high NDVI values in Fig. A1). This air mass shows a weak 1CO2−1CO correlation (R2 =
0.65) and a lower slope (3.52 ppb CO ppm−1 CO2) than
would be expected from fossil fuel addition alone (France
CO:CO2 emission inventory ratio ρ = 14 kt CO/Mt CO2), in-
dicating a strong biospheric contribution reducing CO2 while
leaving CO unaffected. Air mass C3, sampled at ∼900 m, was exposed to emis-
sions in Western Germany from the Ruhr region (Fig. 6c). The R2 factor is not very high (0.26) and the slope, S =
1.78 ppb CO ppm−1 CO2, is quite low compared to the slope
of 5.1 kt CO/Mt CO2 from the emission inventory ratio for
Germany, meaning that these emissions have probably been
diluted. Fig. 8. 1CO (i.e. CO minus CO marine background concentration)
versus 1CO2 (i.e. CO2 minus CO2 marine background concentra-
tion) for the CAATER 2 flights. Colors represent correlated events
C1 to C5 as defined in the text. See Sect. 3 for marine background
concentration definition. Air mass C4, sampled at low altitude (∼400 m), showed
exposure to fossil fuel fluxes in Austria and Czech Republic
(Fig. 6c). The mean observed slope is 3.2 ppb CO ppm−1
CO2, close to the emission inventory ratio value for Czech
Republic (4.4 kt CO/Mt CO2), but less close to the one for
Austria (10.4 kt CO/Mt CO2). Thus, fossil fuel CO2 from
Czech Republic must have had a dominant influence on these
air masses. However, the large scattering around the linear
regression line (R2 = 0.47) indicates interplay of combustion
sources with different ratios. Air mass C1 was exposed to fossil fuel emission fluxes
in Eastern Germany/Western Poland/Southern Sweden (see
Sect. 3). 4
Comparison of CAATER observations to CO:CO2
emission ratios from inventories for anthropogenic-
influenced air masses We selected here only the well-identified anthropogenic-
influenced air masses diagnosed from back-trajectories
(events C1 to C5). These air masses all show high R2 values
(0.33 to 0.88), but their slope varies from 2.42 to 10.37 ppb
CO ppm−1 CO2 (Table 5). These slope values are compared
below to the CO:CO2 slope (ρ in kt CO Mt−1 CO2) given by
emission inventories (EMEP, 2008) for the region of influ-
ence of each air mass. Atmos. Chem. Phys., 11, 5655–5672, 2011 www.atmos-chem-phys.net/11/5655/2011/ I. Xueref-Remy et al.: Variability and budget of CO2 in Europe – Part 1 I. Xueref-Remy et al.: Variability and budget of CO2 in Europe – Part 1 5665 Table 5. Evaluation of the correlation level between CO2 and CO for the different events selected from Fig. 7. Each event has been attributed
to a class according to its back-trajectory location and direction (from Fig. 6) as explained in the text. Event
Determination
p-value
Slope 1CO/1CO2
Day
factor R2
(number of pairs)
(in ppb CO ppm−1 CO2)
(in October 2002)
C1
0.82
3.60×10−42 (n = 60)
6.38
2
C2
0.65
3.14×10−39 (n = 66)
3.52
2
C3
0.26
0. (n = 1673)
1.78
3
C4
0.47
0. (n = 530)
3.2
3
C5
0.69
0. (n = 1461)
8.93
3
M1
0.13
0. (n = 141)
0.9
2
M2
0.35
0. (n = 2198)
0.76
2
M3
−0.42
0. (n = 2968)
−2.88
2
M4
−0.06
9.11×10−3 (n = 1848)
−0.36
2
B1
−0.67
1.75×10−5 (n = 100)
−11.4
2
B2
0.54
0. (n = 2234)
12.1
2
B3
−0.41
0. (n = 886)
−10.1
2
B4
0.15
6.67×10−6 (n = 922)
3.56
3
B5
−0.56
0. (n = 861)
−7.15
3
B6
−0.43
0. (n = 556)
−2.56
3
B7
−0.73
0. (n = 915)
−2.36
3 Table 5. Evaluation of the correlation level between CO2 and CO for the different events selected from Fig. 7. Each event has been attributed
to a class according to its back-trajectory location and direction (from Fig. 6) as explained in the text. C1
C2
C3
C4 & C5
Delta [CO2] (ppm)
Delta [CO] (ppb)
C1
C2
C3
C4 & C5
Delta [CO2] (ppm)
Delta [CO] (ppb)
Fig. 8. 1CO (i.e. CO minus CO marine background concentration)
versus 1CO2 (i.e. CO2 minus CO2 marine background concentra-
tion) for the CAATER 2 flights. 4
Comparison of CAATER observations to CO:CO2
emission ratios from inventories for anthropogenic-
influenced air masses It has the highest R2 (0.82), and a slope S =
6.38 ppb CO ppm−1 CO2 higher than the mean inventory de-
rived slope for Germany (ρ = 5.1 kt CO/Mt CO2). One can Atmos. Chem. Phys., 11, 5655–5672, 2011 www.atmos-chem-phys.net/11/5655/2011/ I. Xueref-Remy et al.: Variability and budget of CO2 in Europe – Part 1 I. Xueref-Remy et al.: Variability and budget of CO2 in Europe – Part 1 5666 Longitude (°E)
Longitude (°E)
Longitude (°E)
Longitude (°E)
Fig. 9. CO2 concentrations along the flight patterns represented in
function of longitude and altitude during the CAATER 1 (left) and
CAATER 2 (right) campaigns. Longitude (°E)
Longitude (°E)
Longitude (°E)
Longitude (°E) Air mass C5 was sampled at quite low altitude (∼400 m)
over rural west Hungary. It was influenced by fluxes from
West Hungary (local sources), as well from Austria, Switzer-
land and Southern Germany (remote sources). Despite the
rather complex spiraling back-trajectories shown in Fig. 6d
for C5, this air mass keeps a tight positive correlation be-
tween 1CO and 1CO2 (R2 = 0.69) and the measured slope
(8.93 ppb CO ppm−1 CO2) is close to the regional inventory
ratios (Hungary, Austria and Switzerland: ρ = 10.1, 10.4 and
8.3 kt CO/Mt CO2, respectively). In summary, this analysis shows that despite mixing of
fossil fuel CO2 fluxes with biospheric CO2 fluxes (which
can be >0 in the northern part of Europe and <0 in its
southern part; Fig. 1), and spatial and temporal variability
in the CO:CO2 fossil fuel combustion ratios in the differ-
ent countries (reflecting different reliances on fossil fuel for
energy production), it is still possible to use the observed
1CO:1CO2 slope in atmospheric measurements to quantify
the contribution of fossil among other sources of CO2 a few
days/hundreds of km distant from the original source. Here
the integrative properties of synoptic atmospheric transport
help to average the contrasted CO:CO2 ratios of local emis-
sions. Fig. 9. CO2 concentrations along the flight patterns represented in
function of longitude and altitude during the CAATER 1 (left) and
CAATER 2 (right) campaigns. -13 -8 -2 2 8
-13 -8 -2 2 8 -13 -8 -2 2 8
-13 -8 -2 2 8
Fig. 10. Interpolation of the CO2 concentrations for the whole cam-
paign and for each leg according to longitude and altitude during the
CAATER 1 (left) and CAATER 2 (right) campaigns. 4
Comparison of CAATER observations to CO:CO2
emission ratios from inventories for anthropogenic-
influenced air masses The concen-
tration scale refers to the MBL background concentration of each
campaign, as defined in the text. Flight paths are shown in black. Ground station concentrations, averaged in Sect. 1, are shown at the
respective station coordinates. Note that for plot convenience, HUN
and WES stations during CAATER 2 are shown as being at the max-
imum of the chosen concentration scale, while indeed they show
even higher concentrations (respectively: 12.7 ppm and 38.5 ppm
above the marine background concentration, defined in Sect. 3). 5
Comparison of aircraft measurements with surface
station measurements Fig. 10. Interpolation of the CO2 concentrations for the whole cam- Fig. 10. Interpolation of the CO2 concentrations for the whole cam-
paign and for each leg according to longitude and altitude during the
CAATER 1 (left) and CAATER 2 (right) campaigns. The concen-
tration scale refers to the MBL background concentration of each
campaign, as defined in the text. Flight paths are shown in black. Ground station concentrations, averaged in Sect. 1, are shown at the
respective station coordinates. Note that for plot convenience, HUN
and WES stations during CAATER 2 are shown as being at the max-
imum of the chosen concentration scale, while indeed they show
even higher concentrations (respectively: 12.7 ppm and 38.5 ppm
above the marine background concentration, defined in Sect. 3). Here we compare the aircraft-measured CO2 distribution
with ground-based station records. The goal is to produce
a consistent 3-D picture of the CO2 field, and to analyze
the reasons for concentration differences between altitude
and ground level. We used available CO2 data from sev-
eral ground-based observatories taken at the time of the cam-
paigns (CBW, PUY, CMN and PRS for CAATER-1; WES,
HUN, SCH, PUY, CMN and PRS for CAATER-2; described
in Table 3). Hourly data from the stations were selected
from 12:00:00 to 18:00:00 h UTC to filter out night-time
and morning data, not representative of regional-scale con-
ditions. Indeed in the morning, most of the time, the PBL
is growing and encroaches air from aloft while loosing CO2
accumulated by respiration the former night (Gibert et al.,
2007), making CO2 concentrations more variable. The PBL
gets well-mixed and reaches to a relatively stable height only
around midday. The footprint of the stations is thus better de-
fined with afternoon values, and more adapted to do a com-
parison with aircraft data. 200 km horizontally and 100 m vertically. In Fig. 10, the ma-
rine background value (reminder: 374.5 ppm for CAATER-
1; 367.9 ppm for CAATER-2) was removed from all the
data. Figure 11 shows a comparison between ground sta-
tion values and the mean profile recorded during each cam-
paign. The CO2 vertical distributions and cross-sections
(Figs. 6
Analysis of the vertical variability CMN agrees better with the aircraft observations than the
other stations do, even if it is located outside the cam-
paign domain. CO2 at CMN (2165 m) compares within
0.7 ppm (0.3 ppm) to the CAATER-1 (CAATER-2) inter-
polated data for the station’s location. During CAATER-
1 (May 2001), the high amplitude of the diurnal cycle
of CO2 at CMN (http://gaw.kishou.go.jp/wdcgg/products/
cd-rom/cd 14/A/metadata/co2/data/200612120073.html) re-
vealed that this station lay within the PBL. However, as CMN
is located at a relatively high altitude and far from local
anthropogenic sources, during CAATER-2 it was now lo-
cated in the free troposphere. It was measuring similar air
masses from the West as those recorded by the aircraft dur-
ing the closest profile (around 12◦E), on which the interpo-
lation at CMN mainly relies. Interestingly, at PRS (4000 m)
which was located in the free troposphere during both cam-
paigns, interpolated airborne data and station observations
are different by about 3 ppm and 0.5 ppm for CAATER-1 and
CAATER-2, respectively. Indeed, the CAATER-1 interpola-
tion lies on one profile done above northern Germany with
air masses coming from the north (Fig. 5) while PRS is lo-
cated further south, sampling air masses from the south, east
and west as it can be seen on Fig. 5. This reveals a gradient
of a few ppm in the free troposphere over Western Europe. The CO2 gradient between the boundary layer and the free
troposphere is a key parameter to optimize fluxes using in-
verse methods. For each profile, the PBL height was deter-
mined as the altitude at which the vertical gradient of the po-
tential temperature begins to decrease, and where CO2 and
H2O present step changes (Gerbig et al., 2003; Ramonet et
al., 2002). To illustrate the CO2 vertical variability, the altitude of
each single profile was then normalized versus the PBL
height; the normalized profiles are shown on Fig. 12 for
CAATER-1 and Fig. 13 for CAATER-2. To improve read-
ability, data have been averaged over 50 m layers. As already noticed in the previous section, CO2 values
show a strong variability in the PBL compared to the FT. The mean and standard deviation (std) computed on all data
within the PBL are, respectively, 369.9 ppm and 4.0 ppm dur-
ing CAATER-1; 371.5 ppm and 5.7 ppm during CAATER-
2. I. Xueref-Remy et al.: Variability and budget of CO2 in Europe – Part 1 5667 Fig. 11. Variability observed in the PBL and the FT during each
campaigns (left: CAATER 1, right: CAATER 2) using profiles only. The altitude of each individual profile has been normalized to the
relevant PBL height. The plot shows the mean and standard devi-
ation (1-σ) of CO2 concentration over layer of 1/10th of the PBL
height. The global mean and variability (±1-σ standard deviation)
in the PBL (upper grey bar) and FT (lower grey bar) are shown ac-
cording to the CO2 concentration scale of the plot. receives air advected by up-slope winds, bringing anthro-
pogenic emissions from valleys that have accumulated dur-
ing the night; and in the late afternoon, air is cleared of
this local influence on windy days (Schmidt et al., 2001). Therefore, CO2 concentrations at SCH averaged between
12:00 UTC and 18:00 UTC and are less contaminated, but
not exempt from urban emissions from the Ruhr region cities. Station data match CAATER-2 campaign aircraft data very
well (no data was available during CAATER-1). At PUY, lo-
cal mesoscale circulations can either bring emission plumes
from Clermont-Ferrand, or air from rural areas, depending on
wind direction. Both at SCH and PUY, the mixing of surface
air with tropospheric air masses is always present, explaining
why CO2 values at these stations are between the PBL and
the FT (Fig. 10). Fig. 11. Variability observed in the PBL and the FT during each
campaigns (left: CAATER 1, right: CAATER 2) using profiles only. The altitude of each individual profile has been normalized to the
relevant PBL height. The plot shows the mean and standard devi-
ation (1-σ) of CO2 concentration over layer of 1/10th of the PBL
height. The global mean and variability (±1-σ standard deviation)
in the PBL (upper grey bar) and FT (lower grey bar) are shown ac-
cording to the CO2 concentration scale of the plot. 5
Comparison of aircraft measurements with surface
station measurements 9 and 10) show a large range in the PBL (354 ppm to
378 ppm for CAATER-1; 358 ppm to 378 ppm for CAATER-
2) and more homogeneous values in the FT (372 ppm to
374 ppm for CAATER-1; 367 ppm to 373 ppm for CAATER-
2). This is true for both campaigns but even more so for
CAATER-1 than CAATER-2 (Fig. 11). Figure 10 shows
that CO2 in the CAATER-1 domain is globally below the
MBL value (374.5 ppm), whereas it is above the MBL back-
ground curve during CAATER-2 (367.9 ppm). One can also
observe that CO2 measured at the CARBOEUROPE stations 200 km horizontally and 100 m vertically. In Fig. 10, the ma-
rine background value (reminder: 374.5 ppm for CAATER-
1; 367.9 ppm for CAATER-2) was removed from all the
data. Figure 11 shows a comparison between ground sta-
tion values and the mean profile recorded during each cam-
paign. The CO2 vertical distributions and cross-sections
(Figs. 9 and 10) show a large range in the PBL (354 ppm to
378 ppm for CAATER-1; 358 ppm to 378 ppm for CAATER-
2) and more homogeneous values in the FT (372 ppm to
374 ppm for CAATER-1; 367 ppm to 373 ppm for CAATER-
2). This is true for both campaigns but even more so for
CAATER-1 than CAATER-2 (Fig. 11). Figure 10 shows
that CO2 in the CAATER-1 domain is globally below the
MBL value (374.5 ppm), whereas it is above the MBL back-
ground curve during CAATER-2 (367.9 ppm). One can also
observe that CO2 measured at the CARBOEUROPE stations Figure 9 provides a projection of Fig. 4 on the vertical lon-
gitude/altitude plan. It has been interpolated to produce ver-
tical cross-sections in Fig. 10. For interpolation, the 1 Hz
data are first averaged into bins of 100 m altitude. Then a
Delaunay triangulation in the altitude, longitude plane was
applied (function TRIANGULATE of IDL package). Af-
ter triangulation, the values were interpolated onto a regular
grid (function TRIGRID of IDL package) at resolutions of Atmos. Chem. Phys., 11, 5655–5672, 2011 www.atmos-chem-phys.net/11/5655/2011/ 6
Analysis of the vertical variability The impact of anthropogenic emissions
from the R¨uhr region is visible in profiles recorded near the
German-French border. Profiles recorded in East Germany,
close to Berlin, also show some local emission plumes. In the
mid PBL, no depletion linked to the biospheric activity was
observed, a difference with Spring 2001. The signal is quite
homogeneous between the mid PBL and the FT. However,
there is a striking zonal gradient in the CO2 mean mid-PBL
concentration of about 11 ppm, revealing: (1) a weaker bio-
spheric activity i.e. Autumn starting earlier in Western Eu-
rope than in Eastern Europe – however, this hypothesis does
not match with the flux maps given in Fig. 1, that indicates on
averaged higher fluxes in the East than in the West of Europe. Also, it does not fit with the NDVI maps as well, given in An-
nexe 1 – ; (2) a greater mixing of continental and oceanic air
in the West of Europe; and/or (3) more CO2 emissions in the
west of Europe such as in France than in the eastern part. Inventories from UNFCCC (2002) give 403.15 Mt CO2/yr
emitted by France against 863.9 Mt CO2/yr emitted by Ger-
many which mitigates against this last supposition. On the
other hand, inventories for Austria (71.0 Mt CO2/yr), Hun-
gary (57.7 Mt CO2/yr), Slovenia (16.3 Mt CO2/yr), and Croa-
tia (20.9 MtCO2/yr) as well as likely emissions of the Fed-
eral Republic of Yugoslavia and Bosnia-Herzegovinia (no
inventories available) make it probable that the total of the
emissions from these countries (covered by the red region on
Fig. 13) are less than those of France and so support sup-
position 3. However, fluxes shown on Fig. 1 do not match
with this hypothesis. Indeed, from ECMWF reanalysis data,
we inferred that some convection activity occured in France
on 2 October along the flight path to Orleans: this can ex-
plain that the dark-blue profiles are straight, since the air was
well-mixed likely containing a mixture of CO2 biospheric
emissions from the ground and CO2 emissions advected from
the Rhone valley (blue footprint on Fig. 13), thus charged
in anthropogenic CO2 (CO in the range of 130–160 ppm). Also, the green profile, recorded above Th¨uringen is straight. 6
Analysis of the vertical variability In the FT, these values are 373.6 ppm and 0.5 ppm for
CAATER-1; 371.2 ppm and 1.1 ppm for CAATER-2. In
other terms, the atmospheric CO2 variability over Europe is
at least 5 to 8 ppm higher in the PBL than in the FT. The PBL variability was higher during Spring 2001 than
during Fall 2002. Interestingly, the mean CO2 jump is
3.7 ppm during CAATER-1 and −0.3 ppm during CAATER-
2, with a similar FT averaged CO2 concentration. Also, the
mean profile during CAATER-1 shows a minimum in the mid
PBL which is not present in in the CAATER-2 mean profile. These 2 points are the result of a higher photosynthetic activ-
ity in Spring than in Autumn. CO2 measurements at surface stations CBW and WES are
influenced by large nearby urban emissions from the Ams-
terdam urban area and Northern German cities, which diffuse
with altitude and so differ significantly from aircraft observa-
tions. CO2 at CBW and WES (respectively WES and HUN)
was more than 4 ppm higher (respectively 11 ppm) than the
PBL value sampled by the aircraft during CAATER-1 (re-
spectively during CAATER-2). To go deeper into the variability analysis, all individual
profiles have been plotted and colored in Figures 12 and 13
according to the location they were recorded in and the ori-
gin of the air masses, deduced from backplumes obtained
with the LMDZ model and described in the companion pa-
per (Xueref-Remy et al., 2011). Both PUY and SCH stations are located on the top of
mid-elevation mountains (1205 m alt and 1465 m alt respec-
tively for SCH and PUY) over urbanized valleys. During the
morning and early afternoon, in spring and summer, SCH Atmos. Chem. Phys., 11, 5655–5672, 2011 www.atmos-chem-phys.net/11/5655/2011/ I. Xueref-Remy et al.: Variability and budget of CO2 in Europe – Part 1 5668 For CAATER 1 (Fig. 12), the CO2 concentration range is
very large in the bottom half of the PBL (355 to 378 ppm),
with highest CO2 values in the Brittany region due to local
anthropogenic emissions from the Brest city area, and lowest
values in Northern Germany with air depleted by photosyn-
thetic activity. In Southern and Eastern Germany, vegeta-
tion seems less active but the signal does not contain urban
emissions. 6
Analysis of the vertical variability In the mid-troposphere, profiles recorded in Brit-
tany come from air masses, travelling between the ocean, the
English Channel and rural regions in North-Western France. CO2 concentrations range between 362 and 368 ppm, de-
pending on the relative importance of continental air masses
depleted by photosynthetic activity compared to oceanic air
masses. In the FT, the atmosphere does not interact as much
with ground sources and sinks, and the signal is therefore
constant. CO2 (ppm)
360 365 370 375
2.0
1.5
1.0
0.5
0.0
-12 -8 -4 0 4 8 12 16 20
60
56
52
48
44
Longitude (°E)
Latitude (°N)
Altitude / PBL height
CO2 (ppm)
360 365 370 375
2.0
1.5
1.0
0.5
0.0
-12 -8 -4 0 4 8 12 16 20
60
56
52
48
44
Longitude (°E)
Latitude (°N)
Altitude / PBL height
CO2 (ppm)
360 365 370 375
2.0
1.5
1.0
0.5
0.0
-12 -8 -4 0 4 8 12 16 20
60
56
52
48
44
Longitude (°E)
Latitude (°N)
Altitude / PBL height
Fig. 12. CAATER 1 vertical variability analysis. Left panel: all
CO2 profiles binned over 50 m layers and standardized to their re-
spective PBL height. Right panel: schema of the regions covered by
the back-trajectories of the profiles (profile locations are indicated
by circles). Colors of right and left panels correspond. CO2 (ppm)
360 365 370 375
2.0
1.5
1.0
0.5
0.0
Altitude / PBL height
CO2 (ppm)
360 365 370 375
2.0
1.5
1.0
0.5
0.0
Altitude / PBL height
CO2 (ppm)
360 365 370 375
2.0
1.5
1.0
0.5
0.0
Altitude / PBL height -12 -8 -4 0 4 8 12 16 20
60
56
52
48
44
Longitude (°E)
Latitude (°N)
-12 -8 -4 0 4 8 12 16 20
60
56
52
48
44
Longitude (°E)
Latitude (°N)
-12 -8 -4 0 4 8 12 16 20
60
56
52
48
44
Longitude (°E)
Latitude (°N) Fig. 12. CAATER 1 vertical variability analysis. Left panel: all
CO2 profiles binned over 50 m layers and standardized to their re-
spective PBL height. Right panel: schema of the regions covered by
the back-trajectories of the profiles (profile locations are indicated
by circles). Colors of right and left panels correspond. For CAATER 2 (Fig. 13), the CO2 concentration range
in the bottom half of the PBL is lower than for CAATER 1
(364 to 381 ppm). 6
Analysis of the vertical variability There was some convection developing in this region, mean-
ing that likely the air was well-mixed and influenced by an-
thropogenic CO2 emissions (CO again in the range of 130–
160 ppm) as well as a priori less-concentrated CO2 signals
from the biosphere activity advected from Germany (green
footprint on Fig.13). The shape of the turquoise profiles and
even more of the red profiles is very different, with a marked
depletion in the mid-PBL. No convection activity could be
identified at these locations and times. The CO signal reaches
values as low as 100 ppb, thus, excluding anthropogenic con-
tribution. The air mass footprints are continental (east Ger-
many for the turquoise profiles, Central Europe for the red
profiles), excluding as well oceanic signal contribution. It is
thus likely, that there was some biospheric sinks still acting
in east Germany and even in a stronger manner in Central
Europe at that time. Once again, model fluxes do not relate
this point, but biospheric fluxes are not always properly mod-
elled as we discuss in the companion paper (Xueref-Remy et
al., 2011). It would be interesting in the future to conduct
new airborne campaigns to assess if the observed gradient is
always present at the fall season, or if it was only punctual. Using tracers such as CO, Radon 222 and carbon isotopes
would also help to discriminate the role of anthropogenic,
biospheric and oceanic sources and sinks. 7
Conclusions During CAATER-1, the action of the biospheric sink
over rural areas produced atmospheric CO2 values as
low as 355 ppm, while the emissions from anthropogenic-
influenced regions such as Benelux and the Ruhr valley gave
atmospheric CO2 concentration levels of about 380 ppm at
approx. 1000 m a.s.l. above these regions. gradient of about 11 ppm in the CO2 mean mid-PBL con-
centration with higher concentrations in the west during the
CAATER 2 campaign is striking. This gradient could origi-
nate from a transport effect (a better mixing in Western Eu-
rope), an earlier Autumn in the west compared to the east, or
higher emissions from Western Europe than Eastern Europe. To better understand this gradient and discriminate correctly
beween these hypotheses, more airborne vertical profiles are
needed. Such a program has been undertaken in the frame-
work of the CARBOEUROPE-IP project in 5 sites (Griffith,
Scotland; Orleans, France; Hegyhatsal, Hungary; Bialystok,
Poland; and La Muela, Spain), with one flight every 5 days. The data are currently being analyzed and future publications
are planned. In the companion paper (Xueref-Remy et al.,
2011, Part 2) we conduct a comparison of vertical profiles
between models and observations. We also attempt to calcu-
late CO2 fluxes during the CAATER 1 campaign using the
so-called “Radon method” based on simultaneous CO2 and
Radon-222 observations (Schmidt et al., 2003) and modeling
tools. pp
g
During CAATER-2, CO2 and CO, were recorded simul-
taneously which helped us to trace fossil fuel emissions. After a classification of air masses according to their ori-
gin,we calculated the 1CO to 1CO2 ratio (1 standing
for the difference with the marine boundary layer con-
centration) and selected only well-identified anthropogenic-
influenced air masses diagnosed from back-trajectories. The
anthropogenic-influenced air masses show high R2 values
ranging from 0.33 to 0.88 and a large range of slopes (2.42 to
10.37 ppb CO ppm−1 CO2). Comparing these slopes to the
ones from EMEP inventories for Western Europe countries,
we have observed that it is possible to distinguish the contri-
bution of fossil fuel combustion from other sources of CO2
even at a distance of a few days or hundreds of kms from the
source. Aircraft data were compared to surface station observa-
tions (CBW, PUY, CMN and PRS for CAATER 1; WES,
HUN, SCH, PUY, CMN and PRS for CAATER 2). 7
Conclusions This paper focuses on atmospheric CO2 variability observed
during the CAATER campaigns that occured above western
Europe on 23–26 May 2001 (CAATER 1) and 2–3 Octo-
ber 2002 (CAATER 2) between the ground and 4000 m a.s.l. Although the aircraft paths were slightly different during
CAATER-1 and CAATER-2, the campaigns give a good
picture of CO2 concentration variability over Europe dur-
ing one Spring and one Fall. The instrumentation provided
measurements of in situ CO2 (precision of 0.2 ppm), CO2
flasks samples (precision of 0.1 ppm), Radon-222 (precision
of 30%) during CAATER-1, and in-situ CO (precision of Atmos. Chem. Phys., 11, 5655–5672, 2011 www.atmos-chem-phys.net/11/5655/2011/ I. Xueref-Remy et al.: Variability and budget of CO2 in Europe – Part 1 Xueref-Remy et al.: Variability and budget of CO2 in Europe – Part 1 5669 -8 -4 0 4 8 12 16 20 24
58
54
50
46
42
38
[CO2] (ppm)
360 365 370 375
-8 -4 0 4 8 12 16 20 24
58
54
50
46
42
38
[CO2] (ppm)
360 365 370 375
CO2 (ppm)
360 365 370 375
2.0
1.5
1.0
0.5
0.0
-8 -4 0 4 8 12 16 20 24
58
54
50
46
42
38
Longitude (°E)
Latitude (°N)
Altitude / PBL height
-8 -4 0 4 8 12 16 20 24
58
54
50
46
42
38
[CO2] (ppm)
360 365 370 375
-8 -4 0 4 8 12 16 20 24
58
54
50
46
42
38
[CO2] (ppm)
360 365 370 375
CO2 (ppm)
360 365 370 375
2.0
1.5
1.0
0.5
0.0
-8 -4 0 4 8 12 16 20 24
58
54
50
46
42
38
Longitude (°E)
Latitude (°N)
Altitude / PBL height
-8 -4 0 4 8 12 16 20 24
58
54
50
46
42
38
[CO2] (ppm)
360 365 370 375
-8 -4 0 4 8 12 16 20 24
58
54
50
46
42
38
[CO2] (ppm)
360 365 370 375
CO2 (ppm)
360 365 370 375
2.0
1.5
1.0
0.5
0.0
-8 -4 0 4 8 12 16 20 24
58
54
50
46
42
38
Longitude (°E)
Latitude (°N)
Altitude / PBL height
Fig. 13. CAATER 2 vertical variability analysis. Left panel: all
CO2 profiles binned over 50 m layers and standardized to their re-
spective PBL height. 7
Conclusions Right panel: schema of the regions covered
by the backplumes associated with the profiles (profile locations are
indicated by circles). Colors of right and left panels correspond. [CO2] (ppm)
360 365 370 375
[CO2] (ppm)
360 365 370 375
CO2 (ppm)
360 365 370 375
2.0
1.5
1.0
0.5
0.0
Altitude / PBL height
[CO2] (ppm)
360 365 370 375
[CO2] (ppm)
360 365 370 375
CO2 (ppm)
360 365 370 375
2.0
1.5
1.0
0.5
0.0
Altitude / PBL height
[CO2] (ppm)
360 365 370 375
[CO2] (ppm)
360 365 370 375
CO2 (ppm)
360 365 370 375
2.0
1.5
1.0
0.5
0.0
Altitude / PBL height 5 ppb) during CAATER-2. Despite a stronger biogenic up-
take in Spring, the lower tropospheric mean level and the
mean variability in May (370.1 ± 4.0 ppm) are roughly simi-
lar in October (371.7 ± 5.0 ppm). However, this mean value
is lower than the marine boundary layer concentration for
CAATER-1 (374.5 ppm) and higher for CAATER-2 (the ma-
rine background, 367.9 ppm, being more depleted). A back-
trajectory analysis shows that during CAATER-1, dominant
winds were coming from the north-west, while they were
more balanced between the 4 sectors during CAATER-2. -8 -4 0 4 8 12 16 20 24
58
54
50
46
42
38
-8 -4 0 4 8 12 16 20 24
58
54
50
46
42
38
-8 -4 0 4 8 12 16 20 24
58
54
50
46
42
38
Longitude (°E)
Latitude (°N)
-8 -4 0 4 8 12 16 20 24
58
54
50
46
42
38
-8 -4 0 4 8 12 16 20 24
58
54
50
46
42
38
-8 -4 0 4 8 12 16 20 24
58
54
50
46
42
38
Longitude (°E)
Latitude (°N)
-8 -4 0 4 8 12 16 20 24
58
54
50
46
42
38
-8 -4 0 4 8 12 16 20 24
58
54
50
46
42
38
-8 -4 0 4 8 12 16 20 24
58
54
50
46
42
38
Longitude (°E)
Latitude (°N) Fig. 13. CAATER 2 vertical variability analysis. Left panel: all
CO2 profiles binned over 50 m layers and standardized to their re-
spective PBL height. Right panel: schema of the regions covered
by the backplumes associated with the profiles (profile locations are
indicated by circles). Colors of right and left panels correspond. 7
Conclusions Only af-
ternoon values were selected so as to get data representative
of the regional scale. Urban stations such as CBW and WES
are strongly influenced by local emissions and were decou-
pled from the airborne observations. Depending on the time
of the day and the meteorological situation, stations on top
of small mountains such as SCH and PUY may be located
in the boundary layer (PBL) or in the free troposphere (FT);
they match the airborne observations if in the FT and not con-
taminated by air emanating from the valley. Stations when
in the FT such as CMN match airborne measurements quite
well, as the atmosphere is well mixed at that altitude. How-
ever, PRS which is in the FT but a few 100 km further from
the aircraft path differs by 3 ppm from the airborne measure-
ments, which highlights the existence of a CO2 gradient of a
few ppm above Europe in the FT. The publication of this article is financed by CNRS-INSU. The publication of this article is financed by CNRS-INSU. Appendix B Andres, R.J., Marland, G., Fung, I., and Matthews, E.: A 1◦×1◦
distribution of carbon dioxide emissions from fossil fuel con-
sumption and cement manufacture 1950–1990, Global Bio-
geochem. Cy., 10, 419–429, 1996. Edited by: J. Rinne
The publication of this article is financed by CNRS-INSU. Fig. B1. Coordinated flights over Thringen on 26 May 2001 at
14:30:00 h UTC (in situ: plain line, LSCE flasks: plain circles; Jena
flasks: open triangles). NDVI maps for Western Europe during the CAATER
campaigns These NDVI maps provided by the SPOT VGT-4 satellite
system give us information on the photosynthetic activity. They clearly show a higher photosynthetic activity during
Spring 2001 than during Fall 2002 in Western Europe. As the gradient between the PBL and the FT is a key pa-
rameter for inverse modeling we have also analyzed CO2
vertical variability. The mean jump between the PBL and
the FT is of the order of 3.7 ppm during CAATER 1 and
−0.3 ppm during CAATER 2, and the variability is at least
5 to 8 times higher in the PBL than in the FT. A strong zonal Atmos. Chem. Phys., 11, 5655–5672, 2011 www.atmos-chem-phys.net/11/5655/2011/ 5670 I. Xueref-Remy et al.: Variability and budget of CO2 in Europe – Part 1 Fig. A1. NDVI maps on 21 May 2001 for CAATER 1 (left) and on 1 October 2002 for CAATER 2 (right). Fig. A1. NDVI maps on 21 May 2001 for CAATER 1 (left) and on 1 October 2002 for CAATER 2 (right). 3000
2500
2000
1500
1000
500
364 366 368 370 372 374
CO2 concentration (ppm)
Altitude a.s.l. (m)
3000
2500
2000
1500
1000
500
364 366 368 370 372 374
CO2 concentration (ppm)
Altitude a.s.l. (m)
Fig. B1. Coordinated flights over Thringen on 26 May 2001 at
14:30:00 h UTC (in situ: plain line, LSCE flasks: plain circles; Jena
flasks: open triangles). Acknowledgements. This work has been funded by the Institut
National des Sciences de l’Univers, France, and by the European
Commission in the framework of the AEROCARB project. We
thank Ingeborg Levin and Martina Schmidt for helpful discussions
on the Radon calculations. We thank David Picard for his partic-
ipation in the campaign. NECP meteorological maps are thanks
to Christopher Godfrey, the University of Oklahoma School of
Meteorology, and the National Centers for Environmental Predic-
tion/National Center for Atmospheric Research 40-Year Reanalysis
Project. We thank Cyril Moulin and Fabienne Maignan from LSCE
for providing NDVI maps. We are grateful to Nicolas Viovy for
providing ORCHIDEE fluxes. Many thanks to Mary Minnock for
improving the English of the text. 3000
2500
2000
1500
1000
500
364 366 368 370 372 374
CO2 concentration (ppm)
Altitude a.s.l. (m)
3000
2500
2000
1500
1000
500
364 366 368 370 372 374
CO2 concentration (ppm)
Altitude a.s.l. (m) Edited by: J. Rinne
The publication of this article is financed by CNRS-INSU. Edited by: J. Rinne Validation of the CO2 in situ analyser As explained in Sect. 2, flask measurements were compared
to CONDOR measurements. We show here (Fig. B1) a com-
parison for 26 May 2001 over Th¨uringen at 14:30:00 h UTC,
during which the Falcon flight was co-ordinated with those
of a small aircraft equipped with a flask sampler from the
MPI-BGC Jena group. LSCE flasks (circles), Jena flasks (tri-
angles) and CONDOR (plain line) data agree within 0.2 ppm. Baker, D. F., Doney, S. C., and Schimel, D. S.: Variational data as-
similation for atmospheric CO2, Tellus B, 58(5), 359–365, 2006. Carouge, C., Bousquet, P., Peylin, P., Rayner, P. J., and Ciais,
P.: What can we learn from European continuous atmospheric
CO2 measurements to quantify regional fluxes – Part 1: Poten-
tial of the 2001 network, Atmos. Chem. Phys., 10, 3107–3117,
doi:10.5194/acp-10-3107-2010, 2010a. Atmos. Chem. Phys., 11, 5655–5672, 2011 www.atmos-chem-phys.net/11/5655/2011/ I. Xueref-Remy et al.: Variability and budget of CO2 in Europe – Part 1 I. Xueref-Remy et al.: Variability and budget of CO2 in Europe – Part 1 5671 and Sons, New York, 898 pp., 1968. Carouge, C., Rayner, P. J., Peylin, P., Bousquet, P., Chevallier, F.,
and Ciais, P.: What can we learn from European continuous at-
mospheric CO2 measurements to quantify regional fluxes – Part
2: Sensitivity of flux accuracy to inverse setup, Atmos. Chem. Phys., 10, 3119–3129, doi:10.5194/acp-10-3119-2010, 2010b. Law, R. M., Peters, W., Rodenbeck, C., and TRANSCOM contrib-
utors: TransCom model simulations of hourly atmospheric CO2:
experimental overview and diurnal cycle results for 2002, Global
Biogeochem. Cy., 22, GB3009, doi:10.1029/2007GB003050,
2008. Drexler, R. R. and Hess, G. D.: An overview of the Hysplit 4 mod-
elling system for trajectories, dispersion, and deposition, Austral. Met. Mag., 47, 295–308, 1998. Levin, I. and Karstens, U.: Inferring high-resolution fossil fuel
CO2 records at continental sites from combined 14CO2 and
CO observations, Tellus, 59B, 245–250, doi:10.1111/j.1600-
0889.2006.00244.x, 2007. EMEP: Greenhouse gas emission trends and projections in Europe
2008, ISBN: 978-92-9167-981-2, vol. 5, 2008 Filippi, D., Le Roulley, J. C., Ramonet, M., and Ciais, P.: Compre-
hensive greenhouse gases and radon profilings over Europe, 6th
international Conference on CO2, Sendai, Japan, October 2002,
2002. Nedelec, P., Cammas, J.-P., Thouret, V., Athier, G., Cousin, J.-M.,
Legrand, C., Abonnel, C., Lecoeur, F., Cayez, G., and Marizy,
C.: An improved infrared carbon monoxide analyser for routine
measurements aboard commercial Airbus aircraft: technical val-
idation and first scientific results of the MOZAIC III programme,
Atmos. Validation of the CO2 in situ analyser Chem. Phys., 3, 1551–1564, doi:10.5194/acp-3-1551-
2003, 2003. Geels, C., Gloor, M., Ciais, P., Bousquet, P., Peylin, P., Vermeulen,
A. T., Dargaville, R., Aalto, T., Brandt, J., Christensen, J. H.,
Frohn, L. M., Haszpra, L., Karstens, U., R¨odenbeck, C., Ra-
monet, M., Carboni, G., and Santaguida, R.: Comparing at-
mospheric transport models for future regional inversions over
Europe – Part 1: mapping the atmospheric CO2 signals, At-
mos. Chem. Phys., 7, 3461–3479, doi:10.5194/acp-7-3461-2007,
2007. Patra, P. K., Law, R. M., Peters, W., Rodenbeck, C., Takigawa, M.,
Aulagnier, C., Baker, I., Bergmann, D. J., Bousquet, P., Brandt,
J., Bruhwiler, L. M. P., Cameron-Smith, P. J., Christensen, J. H.,
Delage, F., Denning, A. S., Fan, S., Geels, C., Houweling, S.,
Imasu, R., Karstens, U., Kawa, S. R., Kleist, J., Krol, M. C.,
Lin, S.-J., Lokupitiya, R., Maki, T., Maksyutov, S., Niwa, Y.,
Onishi, R., Parazoo, N., Pieterse, G., Rivier, L., Satoh, M., Ser-
rar, S., Taguchi, S., Vautard, R., Vermeulen, A. T., and Zhu, Z.:
TransCom model simulations of hourly atmospheric CO2: analy-
sis of synoptic-scale variations for the period 2002–2003, Global
Biogeochem. Cy., 22, GB4013, doi:10.1029/2007GB003081,
2008. Delage, F., Denning, A. S., Fan, S., Geels, C., Houweling, S., Imasu, R., Karstens, U., Kawa, S. R., Kleist, J., Krol, M. C., Gerbig, C., Lin, J. C., Wofsy, S. C., Daube, B. C., Andrews, A. E.,
Stephens, B. B., Bakwin, P. S., and Grainger, C. A.: Towards
constraining regional-scale fluxes of CO2 with atmospheric ob-
servations over a continent: 1. Observed Spatial Variability, J. Geophys. Res., 108, 4756, doi:10.1029/2002JD003018, 2003. Lin, S.-J., Lokupitiya, R., Maki, T., Maksyutov, S., Niwa, Y., Gloor, M., Fan, S.-M., Pacala, S., and Sarmiento, J.: Optimal sam-
pling of the atmosphere for purpose of inverse modelling – a
model study, Global Biogeochem. Cy., 14(1), 407–428, 2000. P´epin, L., Schmidt, M., Ramonet, M., Worthy, D., and Ciais, P.:
A new gas chromatographic experiment to analyze greenhouse
gases in flask samples and in ambient air in the region of Saclay,
IPSL internal publication no. 13 (available on request), 2001. Gurney, K. R., Law, R. M., Denning, A. S., Rayner, P. J., Baker, D.,
Bousquet, P., Bruhwiler, L., Chen, Y. H., Ciais, P., Fan, S., Fung,
I. Y., Gloor, M., Heimann, M., Higuchi, K., John, J., Kowal-
czyk, E., Maki, T., Maksyutov, S., Peylin, P., Prather, M., Pak,
B. C., Sarmiento, J., Taguchi, S., Takahashi, T., and Yuen, C. Validation of the CO2 in situ analyser W.:
TransCom 3 CO2 inversion intercomparison: 1. Annual mean
control results and sensitivity to transport and prior flux informa-
tion, Tellus, 55B(2), 555–579, 2003. Petterssen, S.: Weather analysis and forecasting, McGraw-Hill
Book Company, New York, 221-3, 1940. Ramonet M., Ciais, P., Nepomniachii, I., Sidorov, K., Neubert, R. E. M., Langend¨orfer, U., Picard, D., Kazan, V., Biraud, S., Gusti,
M., Kolle, O., Schulze, E. D., and Lloyd, J.: Three years of
aircraft-based trace gas measurements over the Fyodorovskoye
southern taiga forest, 300 km north-west of Moscow, Tellus, 54B,
713–734, 2002. Gurney, K. R., Law, R. M., Denning, A. S., Rayner, P. J., Pak, B. C., Baker, D., Bousquet, P., Bruhwiler, L., Chen, Y.-H., Ciais,
P., Fung, I. Y., Heimann, M., John, J., Maki, T., Maksyutov,
S., Peylin, P., Prather, M., and Taguchi, S.: Transcom 3 inver-
sion intercomparison: Model mean results for the estimation of
seasonal carbon sources and sinks, Global Biogeochem. Cy., 18,
GB1010, doi:10.1029/2003GB002111, 2004. Rivier, L., Ciais, P., Hauglustaine, D. A., Bakwin, P., Bousquet, P.,
Peylin, P., and Klonecki, A.: Evaluation of SF6, C2Cl4 and CO
to approximate fossil fuel CO2 in the Northern Hemisphere us-
ing a chemistry transport model, J. Geophys. Res., 111, D16311,
doi:10.1029/2005JD006725, 2006. Intergovernmental Panel on Climate Change:
IPCC Climate
Change 2007: The Scientific Basis, Cambridge Univ. Press, New
York, 2007. Schmidt, M., Glatzel-Mattheier, H., Sartorius, H., Worthy, D. E.,
and Levin, I.: Western European N2O emissions: A top-down
approach based on atmospheric observations, J. Geophys. Res.,
106(D6), 5507–5516, 2001. Karstens, U., Gloor, M., Heimann, M., and R¨odenbeck, C.: In-
sights from simulations with high-resolution transport and pro-
cess models on sampling of the atmosphere for constraining
mid-latitude land carbon sinks, J. Geophys. Res., 111, D12301,
doi:10.1029/2005JD006278, 2006. Schmidt, M., Graul, R., Sartorius, H., and Levin, I.: The Schauins-
land CO2 record: 30 years of continental observations and their
implications for the variability of the European CO2 budget, J. Geophys. Res., 108(D19), 4619–4626, 2003. Krinner, G., Viovy, N., De Noblet-Ducoudr´e, N., Og´ee, J., Polcher,
J., Friedlingstein, P., Ciais, P., Sitch, S., and Prentice, I. C.:
A dynamic global vegetation model for studies of the cou-
pled atmosphere-biosphere system, Global Biogeochem. Cy., 19,
GB1015, doi:10.1029/2003GB002199, 2005. Stephens, B. B., Gurney, K. R., Tans, P. Xueref-Remy, I., Bousquet, P., Carouge, C., Rivier, L., and Ciais,
P.:
Variability and budget of CO2 in Europe:
analysis of
the CAATER airborne campaigns – Part 2:
Comparison of
CO2 vertical variability and fluxes between observations and
a modeling framework, Atmos. Chem. Phys., 11, 5673–5684,
doi:10.5194/acp-11-5673-2011, 2011. Atmos. Chem. Phys., 11, 5655–5672, 2011 I. Xueref-Remy et al.: Variability and budget of CO2 in Europe – Part 1 www.atmos-chem-phys.net/11/5655/2011/ I. Xueref-Remy et al.: Variability and budget of CO2 in Europe – Part 1 Validation of the CO2 in situ analyser P., Sweeney, C., Peters, W.,
Bruhwiler, L., Ciais, P., Ramonet, M., Bousquet, P., Nakazawa,
T., Aoki, S., Machida, T., Inoue, G., Vinnichenko, N., Lloyd,
J., Jordan, A., Heimann, M., Shibistova, O., Langenfelds, R. L., Steele, L. P., Francey, R. J., and Denning, A. S.: Weak Stephens, B. B., Gurney, K. R., Tans, P. P., Sweeney, C., Peters, W.,
Bruhwiler, L., Ciais, P., Ramonet, M., Bousquet, P., Nakazawa,
T., Aoki, S., Machida, T., Inoue, G., Vinnichenko, N., Lloyd, y
J., Jordan, A., Heimann, M., Shibistova, O., Langenfelds, R. Kreyszig, E.: Advanced engineering mathematics, 2nd Ed. J. Wiley L., Steele, L. P., Francey, R. J., and Denning, A. S.: Weak Atmos. Chem. Phys., 11, 5655–5672, 2011 www.atmos-chem-phys.net/11/5655/2011/ 5672 Northern and Strong Tropical Land Carbon Uptake from Vertical
Profiles of Atmospheric CO2, Science, 316(5832), 1732–1735,
doi:10.1126/science.1137004, 2007. doi:10.1126/science.1137004, 2007. Takahashi, T., Wanninkhof, R. H., Feely, R. A., Weiss, R. F., Chip-
man, D. W., Bates, N., Olafson, J., Sabine, C., and Sutherlandm,
S. C.: Proceedings of the 2nd International Symposium CO2 in
the oceans, Tsukuba, Japan, 1, 9–15, 1999. S. C.: Proceedings of the 2nd International Symposium CO2 in
the oceans, Tsukuba, Japan, 1, 9–15, 1999. Takahashi, T., Sutherland, S. C., Sweeney, C., Poisson, A., Metzl,
N., Tilbrook, B., Bates, N., Wanninkhof, R., Feely, R. A., Sabine,
C., Olafsson, J., and Nojiri, Y.: Global Sea-Air CO2 Flux Based
on Climatological Surface Ocean pCO2, and Seasonal Biological
and Temperature Effect, Deep Sea Res. II, 49(9–10), 1601–1622,
2002. Atmos. Chem. Phys., 11, 5655–5672, 2011 www.atmos-chem-phys.net/11/5655/2011/
|
https://openalex.org/W3182972375
|
https://journals.usm.ac.id/index.php/julr/article/download/3198/2111
|
Indonesian
| null |
KEBIJAKAN HUKUM PERUBAHAN BATASAN MINIMAL UMUR PERNIKAHAN PERSPEKTIF HUKUM ISLAM
|
Jurnal USM law review
| 2,021
|
cc-by
| 9,115
|
e-ISSN : 2621-4105
KEBIJAKAN HUKUM PERUBAHAN BATASAN MINIMAL UMUR
PERNIKAHAN PERSPEKTIF HUKUM ISLAM e-ISSN : 2621-4105 KEBIJAKAN HUKUM PERUBAHAN BATASAN MINIMAL UMUR
PERNIKAHAN PERSPEKTIF HUKUM ISLAM Aristoni Aristoni
Fakultas Syariah, IAIN Kudus, Kudus
aristoni@iainkudus.ac.id Kebijakan Hukum Perubahan Batasan Minimal Umur Pernikahan Perspektif
Hukum Islam
Aristoni Aristoni Kebijakan Hukum Perubahan Batasan Minimal Umur Pernikahan Perspektif
Hukum Islam
Aristoni Aristoni Abstrak Tulisan artikel ini bertujuan menjelaskan tentang konsep umur pernikahan dalam hukum
Islam dan hukum nasional, kebijakan hukum“Undang-Undang Nomor 1 Tahun 1974”
dalam lintasan sejarah, pengaturan batasan minimal umur pernikahan dalam Undang-
Undang Perkawinan, dan kebijakan hukum perubahan batasan umur pernikahan dalam
pandangan hukum Islam. Tulisan artikel ini dapat dikategorikan sebagai jenis riset
kepustakaan dengan menggunakan metode penelitian kualitatif sebagai basisnya. Hasil
kajian penelitian menunjukkan bahwa ketentuan umur perkawinan baik dalam hukum
Islam maupun hukum nasional masing-masing terjadi perbedaan utamanya dalam
penentuan batas ukuran kedewasaan. Perbedaan batas ukuran kedewasaan dalam hukum
Islam terjadi karena secara eksplisit Al-Qur’an tidak menjelaskannya, sedangkan
perbedaan ketentuan umur kedewasaan seseorang dalam hukum nasional disebabkan
salah satu adalah lemahnya koordinasi dan pelibatan berbagai pihak dalam pembentukan
peraturan perundang-undangan. Kebijakan hukum mengenai“Undang-Undang Nomor 1
Tahun 1974” sejak awal hakikatnya diarahkan untuk mengadakan unifikasi hukum dalam
permasalahan hukum perkawinan yang beragam dan berlaku bagi masyarakat Indonesia
tanpa menghilangkan kebhinekaan yang didasarkan pada falsafah Pancasila dan
“Undang-Undang Dasar NRI Tahun 1945.”Pengaturan perubahan batasan minimal umur
perkawinan dengan segala tujuan yang positif hakikatnya memberikan jaminan keadilan,
kepastian, dan kemanfaatan dari tujuan hukum diciptakan. Kebijakan hukum perubahan
batasan minimal umur pernikahan dengan menyamakan umur pernikahan antara laki-laki
dan perempuan 19 Tahun dalam pandangan hukum Islam dapat dikatakan bernilai
kemaslahatan yaitu menjaga keberadaan jiwa, keturunan, dan akal (maqashid syariah)
dan menghindarkan perempuan dari bahaya kerusakaan (mazharat) yang lebih besar
akibat perkawinaan usia anak sebagaimana tertuang dalam konsideran“Undang-Undang
Nomor 16 Tahun 2019 tentang Perkawinan. Kata Kunci: Kebijakan Hukum; Pernikahan; Umur Pernikahan; Hukum Islam. 393 Jurnal USM Law Review Vol 4 No 1 Tahun 2021 Kebijakan Hukum Perubahan Batasan Minimal Umur Pernikahan Perspektif
Hukum Islam
Aristoni Aristoni e-ISSN : 2621-4105 Keywords: Legal Policy; Marriage; Age of Marriage; Islamic Law. e-ISSN : 2621-4105
LEGAL POLICY TO CHANGE THE MINIMUM AGE LIMITS OF
MARRIAGE ISLAMIC LAW PERSPECTIVE Abstract The purpose of this article is to explain the concept of the age of marriage in Islamic law
and national law, the legal policy of Law No.1 of 1974 in historical trajectories, the
regulation of the minimum age limit for marriage in the Marriage Law, and the legal
policy to change the age limit of marriage from the Islamic Law perspective. The writing
of this article can be categorized as a type of library research using qualitative research
methods as its basis. The results of the research study indicate that the requirements for
the age of marriage in both Islamic law and national law have major differences in
determining the size limit for maturity. The difference in the size limit of maturity in
Islamic law occurs because the Qur'an does not explicitly explain it, while the difference
in the provisions of a person's age at maturity in national law is due to one of the reasons
for the lack of coordination and involvement of various parties in the formation of
statutory regulations. Since the beginning, the legal policy regarding Law Number 1 of
1974 has been essentially directed at holding legal unification in various marriage law
issues and applies to the Indonesian people without eliminating diversity by the
philosophy of Pancasila and the 1945 Constitution of the Republic of Indonesia. Regulations for changing the minimum age limit of marriage with all positive goals
essentially guarantee justice, certainty, and benefit from the purpose of the law being
created. The legal policy to change the minimum age limit of marriage by equalizing the
age of marriage for men and women 19 years in the view of Islamic law can be said to be
of benefit, namely maintaining the existence of the soul, descent, and reason (maqasid
sharia) and preventing women from more dangerous damage (mazharat) large due to
child marriage as stated in the preamble to Law Number 16 of 2019 concerning
Marriage. 394 Kebijakan Hukum Perubahan Batasan Minimal Umur Pernikahan Perspektif
Hukum Islam Kebijakan Hukum Perubahan Batasan Minimal Umur Pernikahan Perspektif
Hukum Islam
Aristoni Aristoni Kebijakan Hukum Perubahan Batasan Minimal Umur Pernikahan Perspektif
Hukum Islam
Aristoni Aristoni e-ISSN : 2621-4105 1Agus Hermanto, “Rekontruksi Undang-Undang Perkawinan Di Indonesia Dan Keadilan Gender”
(IAIN Raden Intan Lampung, 2017), hal. 161.
2Nafi Mubarok, “Sejarah Hukum Perkawinan Islam Di Indonesia”, Al-Hukama 2 (2), 2012: hal.
140.
3Amir Syarifuddin, “Hukum Perkawinan Islam Di Indonesia; Antara Fiqh Munakahat Dan
Undang-Undang Perkawinan”, Kencana, 2009, Jakarta, hal. 22-23.
4Heru Susetyo, “Revisi Undang-Undang Perkawinan”, Lex Jurnalica 4 (2), 2007: hal. 70.
5Bani Syarif Maula, “Perlindungan Perempuan Dalam Hukum Perkawinan Di Indonesia :
Wacana Pembaharuan Undang-Undang Perkawinan Dalam Masalah Batas Usia Perkawinan”, Jurnal
Studi Islam, Gender dan Anak 14 (1), 2019: hal. 16, https://doi.org/10.24090/yinyang.v14i1.2019.pp14-38.
6Undang-Undang Republik Indonesia, “Undang-Undang Republik Indonesia Nomor 1 Tahun 1974
Tentang Perkawinan” (1974). 1Agus Hermanto, “Rekontruksi Undang-Undang Perkawinan Di Indonesia Dan Keadilan Gender”
(IAIN Raden Intan Lampung, 2017), hal. 161.
2Nafi Mubarok, “Sejarah Hukum Perkawinan Islam Di Indonesia”, Al-Hukama 2 (2), 2012: hal.
140. Heru Susetyo, Revisi Undang-Undang Perkawinan , Lex Jurnalica 4 (2), 2007: hal. 70.
5Bani Syarif Maula, “Perlindungan Perempuan Dalam Hukum Perkawinan Di Indonesia :
Wacana Pembaharuan Undang-Undang Perkawinan Dalam Masalah Batas Usia Perkawinan”, Jurnal
Studi Islam, Gender dan Anak 14 (1), 2019: hal. 16, https://doi.org/10.24090/yinyang.v14i1.2019.pp14-38.
6Undang-Undang Republik Indonesia, “Undang-Undang Republik Indonesia Nomor 1 Tahun 1974
Tentang Perkawinan” (1974). 0.
3Amir Syarifuddin, “Hukum Perkawinan Islam Di Indonesia; Antara Fiqh Munakahat Dan
Undang-Undang Perkawinan”, Kencana, 2009, Jakarta, hal. 22-23.
4Heru Susetyo, “Revisi Undang-Undang Perkawinan”, Lex Jurnalica 4 (2), 2007: hal. 70.
5Bani Syarif Maula, “Perlindungan Perempuan Dalam Hukum Perkawinan Di Indonesia :
Wacana Pembaharuan Undang-Undang Perkawinan Dalam Masalah Batas Usia Perkawinan”, Jurnal
Studi Islam, Gender dan Anak 14 (1), 2019: hal. 16, https://doi.org/10.24090/yinyang.v14i1.2019.pp14-38.
6Undang-Undang Republik Indonesia, “Undang-Undang Republik Indonesia Nomor 1 Tahun 1974
Tentang Perkawinan” (1974). A. PENDAHULUAN Sejarah hukum mencatat bahwa dinamika hukum perkawinan di Indonesia
selalu diwarnai dengan keterlibatan kepentingan agama, negara, dan perempuan. Keterlibatan kepentingan agama didasarkan bahwa agama merupakan institusi yang
memiliki kepentingan untuk mengadakan keluarga.1 Makna keluarga dalam agama
hakikatnya merupakan kelompok sosial terkecil yang berperan dalam mengamalkan
ajaran agama, misalnya mayoritas masyarakat Indonesia yang memeluk agama Islam
berupaya memasukkan ajaran agama sebagai hukum perkawinan nasional. Sedangkan
negara sebagai institusi berupaya menjamin pelaksanaan ajaran agama dan
menciptakan ketertiban masyarakat.2 Jaminan negara terhadap penerapan ajaran
masing-masing agama diatur di dalam Pasal 29 ayat( 2) “Undang-Undang Dasar NRI
Tahun 1945.3 Disisi lain, keterlibatan perempuan dalam hukum perkawinan yang
sejak kemerdekaan berjuang adalah untuk memperoleh perlindungan hukum dan hak-
hak konstitusionalnya.4 Sejak disahkan sebagai hukum pernikahan nasional,“Undang-Undang No 1
Tahun 1974”dalam perjalanannya tak pelak menuai beragam kritik sebab terdapat
beberapa pasal yang mana dianggap sudah tidak lagi sejalan dengan perkembangan
dan kebutuhan hukum masyarakat, salah satunya yakni Pasal 7 ayat (1) mengenai
batasan umur pernikahan. Sehingga sebagian masyarakat terutama kalangan aktivis
perempuan menghendaki perubahan.5 Ketentuan Pasal 7 ayat (1)6 mengatakan bahwa “Perkawinan hanya diizinkan
jika pihak pria sudah mencapai umur 19 tahun dan pihak wanita sudah mencapai 16
tahun”, dalam pelaksanaanya menyisakan berbagai permasalahan diantaranya praktik
perkawinan anak. 7Habib Shulton Asnawi, “Tinjauan Kritis Terhadap Hak-Hak Perempuan Dalam UU. No. 1 Tahun
1974 Tentang Perkawinan: Upaya Menegakkan Keadilan Dan Perlindungan HAM Perspektif Filsafat
Hukum Islam,” Jurnal Fikri 1 (1), 2016, hal. 42. 7Habib Shulton Asnawi, “Tinjauan Kritis Terhadap Hak-Hak Perempuan Dalam UU. No. 1 Tahun
974 Tentang Perkawinan: Upaya Menegakkan Keadilan Dan Perlindungan HAM Perspektif Filsafat 8Yusuf, “Dinamika Batasan Usia Perkawinan di Indonesia: Kajian Psikologi dan Hukum Islam”
JIL : Journalof Islamic Law 1 (1), 2020: 22, https://doi.org/10.24260/jil.v1i2.59. 7Habib Shulton Asnawi, “Tinjauan Kritis Terhadap Hak-Hak Perempuan Dalam UU. No. 1 Tahu
1974 T
t
P
k
i
U
M
kk
K
dil
D
P
li d
HAM P
ktif Fil
f g
p y
g
g
p
f
f
ukum Islam,” Jurnal Fikri 1 (1), 2016, hal. 42.
8Yusuf, “Dinamika Batasan Usia Perkawinan di Indonesia: Kajian Psikologi dan Hukum Islam” ,
j
p
p
1974 Tentang Perkawinan: Upaya Menegakkan Keadilan Dan Perlindungan HAM Perspektif Filsafat
Hukum Islam,” Jurnal Fikri 1 (1), 2016, hal. 42. Hukum Islam,” Jurnal Fikri 1 (1), 2016, hal. 42.
8Yusuf, “Dinamika Batasan Usia Perkawinan di Indonesia: Kajian Psikologi dan Hukum Islam
JIL : Journalof Islamic Law 1 (1), 2020: 22, https://doi.org/10.24260/jil.v1i2.59. g
p y
g
g
p
f
f
Hukum Islam,” Jurnal Fikri 1 (1), 2016, hal. 42.
8Yusuf, “Dinamika Batasan Usia Perkawinan di Indonesia: Kajian Psikologi dan Hukum Islam”
JIL : Journalof Islamic Law 1 (1), 2020: 22, https://doi.org/10.24260/jil.v1i2.59.
9Burhanuddin ABD. Gani, “Perubahan Batas Usia Kawin Dalam Putusan Mahkamah Konstitusi
Nomor 22/PUU-XV/2017 Di Lihat Dari Penerapan Maqasid Asy-Syari’ah”, LKKI Publisher Fakultas
Syariah dan Hukum, UIN Ar-Raniry, 2020, Banda Aceh, hal.4.
10Jordy Herry Christian and Kirana Edenela, “Terampasnya Hak-Hak Perempuan Akibat
Diskriminasi Batas Usia Perkawinan”,Lex Scientia Law Review 3(1), 2019, hal. 2.
11Christian and Edenela, hal. 2.
12Novita Lestari, “Problematika Hukum Perkawinan Di Indonesia”, Jurnal Ilmiah Mizani: Wacana
Hukum, Ekonomi dan Keagamaan 4 (1), 2018, hal. 146, https://doi.org/10.29300/mzn.v4i1.1009. 12Novita Lestari, “Problematika Hukum Perkawinan Di Indonesia”, Jurnal Ilmiah Mizani: Wacana
Hukum, Ekonomi dan Keagamaan 4 (1), 2018, hal. 146, https://doi.org/10.29300/mzn.v4i1.1009. JIL : Journalof Islamic Law 1 (1), 2020: 22, https://doi.org/10.24260/jil.v1i2.59.
9Burhanuddin ABD. Gani, “Perubahan Batas Usia Kawin Dalam Putusan Mahkamah Konstitusi
Nomor 22/PUU-XV/2017 Di Lihat Dari Penerapan Maqasid Asy-Syari’ah”, LKKI Publisher Fakultas
Syariah dan Hukum, UIN Ar-Raniry, 2020, Banda Aceh, hal.4.
10Jordy Herry Christian and Kirana Edenela, “Terampasnya Hak-Hak Perempuan Akibat
Diskriminasi Batas Usia Perkawinan”,Lex Scientia Law Review 3(1), 2019, hal. 2.
11Christian and Edenela, hal. 2. j
g
L : Journalof Islamic Law 1 (1), 2020: 22, https://doi.org/10.24260/jil.v1i2.59.
9Burhanuddin ABD. Gani, “Perubahan Batas Usia Kawin Dalam Putusan Mahkamah Konstitusi 1974 Tentang Perkawinan: Upaya Menegakkan Keadilan Dan Perlindungan HAM Perspektif Filsafat
Hukum Islam,” Jurnal Fikri 1 (1), 2016, hal. 42. 9Burhanuddin ABD. Gani, “Perubahan Batas Usia Kawin Dalam Putusan Mahkamah Konstitusi
Nomor 22/PUU-XV/2017 Di Lihat Dari Penerapan Maqasid Asy-Syari’ah”, LKKI Publisher Fakultas
Syariah dan Hukum, UIN Ar-Raniry, 2020, Banda Aceh, hal.4. 13MD Mahfud, “Politik Hukum Di Indonesia”, Pustaka LP3ES, 1998, Jakarta, hal. 8. 14Septi Indrawati and Agus Budi Santoso, “Perspektif Undang-Undang Nomor 16 Tahun 2019
ntang Perkawinan Terhadap Batas Usia Melakukan Perkawinan” Amnesti, Jurnal Hukum 2 (1), 2020.
15Shafiyullah, “Hak Usia Perkawinan Bagi Perempuan (Perspektif Hukum Islam dan Gender),”
Yinyang Jurnal Studi Islam, Gender, dan Anak 10 (1), 2015. A. PENDAHULUAN Batasan umur minimal perkawinan 16 tahun bagi wanita tersebut Jurnal USM Law Review Vol 4 No 1 Tahun 2021 395 Kebijakan Hukum Perubahan Batasan Minimal Umur Pernikahan Perspektif
Hukum Islam
Aristoni Aristoni Kebijakan Hukum Perubahan Batasan Minimal Umur Pernikahan Perspektif
Hukum Islam Kebijakan Hukum Perubahan Batasan Minimal Umur Pernikahan Perspektif
Hukum Islam
Aristoni Aristoni e-ISSN : 2621-4105 e-ISSN : 2621-4105 secara empiris membuka peluang perkawinan usia anak dan membuat kekhawatiran
banyak pihak mengenai dampak buruknya seperti perceraian, kekerasan fisik maupun
batin, kekerasan seksual, menimbulkan penyakit HIV/AIDS, kekerasan reproduksi
dan kematian ibu dan bayi.7Sederet dampak buruk akibat perkawinan usia anak
tersebut dikarenakan belum memiliki kesiapan matang jiwa dan raga, dan terlebih
dalam soal ekonomi.8 Pasal 7 ayat (1) juga dinilai mengandung unsur diskriminasi terhadap
perempuan,9 dan secara hierarki berlawanan dengan Pasal 28 ayat (2) Undang-
Undang Dasar NRI Tahun 1945 yang menolak segala bentuk diskriminasi.10 Di
samping itu, Pasal 7 ayat (1) juga dinilai melanggar hak setiap orang sebagaimana
diatur pada Pasal 27 ayat (1)“Undang-Undang Dasar NRI Tahun 1945, seperti hak
pendidikan, hak kesehatan, hak ekonomi, hak pilitik, hak sosial budaya, dan hak
persamaan kedudukan dalam hukum.11 Atas dasar inilah Undang-Undang No 1 Tahun
1974 diajukan judicial review ke Mahkamah Konstitusi RI oleh masyarakat.12 Disahkannya“Undang-Undang No 16 tahun 2019 tentang Perubahan Atas
Undang-Undang No 1 Tahun 1974 tentang Perkawinan” menjadi catatan sejarah
tersendiri dalam perkembangan dan pembaharuan hukum pernikahan di Indonesia. Sebagaimana dalam konsideran dijelaskan bahwa Undang-Undang Perkawinan baru
ini lahir sebagai pelaksana Putusan“Mahkamah Konstitusi Republik Indonesia Nomor
22/PUU-XV/2017. Sebelumnya, dalam salah satu amar putusan tersebut menyatakan
bahwa “mengamanatkan kepada pembentuk Undang-Undang dalam waktu tiga (3)
tahun untuk melakukan perubahan terhadap Undang-Undang No 1 Tahun 1974
tentang Perkawinan”. 12Novita Lestari, “Problematika Hukum Perkawinan Di Indonesia”, Jurnal Ilmiah Mizani: Wacana
Hukum, Ekonomi dan Keagamaan 4 (1), 2018, hal. 146, https://doi.org/10.29300/mzn.v4i1.1009. Jurnal USM Law Review Vol 4 No 1 Tahun 2021 396 Kebijakan Hukum Perubahan Batasan Minimal Umur Pernikahan Perspektif
Hukum Islam
Aristoni Aristoni Kebijakan Hukum Perubahan Batasan Minimal Umur Pernikahan Perspektif
Hukum Islam
Aristoni Aristoni e-ISSN : 2621-4105 e-ISSN : 2621-4105 MD Mahfud, Politik Hukum Di Indonesia , Pustaka LP3ES, 1998, Jakarta, hal. 8.
14Septi Indrawati and Agus Budi Santoso, “Perspektif Undang-Undang Nomor 16 Tahun 2019
Tentang Perkawinan Terhadap Batas Usia Melakukan Perkawinan” Amnesti, Jurnal Hukum 2 (1), 2020.
15Shafiyullah, “Hak Usia Perkawinan Bagi Perempuan (Perspektif Hukum Islam dan Gender),”
"Yinyang Jurnal Studi Islam, Gender, dan Anak 10 (1), 2015.
16Ilham Hidayatulloh et al., “Persepsi Perkawinan Usia Dini Dan Pemberdayaan Gender (Studi
Kasus Desa Pancawati Kecamatan Caringin Kabupaten Bogor),” Sosioglobal : Jurnal Pemikiran Dan
Penelitian Sosiologi 3(1), 2018: 1, https://doi.org/10.24198/jsg.v3i1,18148.
17Miftahus Sholehudin, “Legislasi Pendewasaan Usia Perkawinan Alternatif Perpsektif Hukum
Adat Dalam Pembangunan Hukum Nasional”, Jurnal Hukum Samudra Keadilan 14(1), 2019, hal 1–14,
https://doi org/10 33059/jhsk v14i1 1081 ,
,
,
,
,
14Septi Indrawati and Agus Budi Santoso, “Perspektif Undang-Undang Nomor 16 Tahun 2019
Tentang Perkawinan Terhadap Batas Usia Melakukan Perkawinan” Amnesti, Jurnal Hukum 2 (1), 2020.
15Shafiyullah, “Hak Usia Perkawinan Bagi Perempuan (Perspektif Hukum Islam dan Gender),”
"Yinyang Jurnal Studi Islam, Gender, dan Anak 10 (1), 2015.
16Ilham Hidayatulloh et al., “Persepsi Perkawinan Usia Dini Dan Pemberdayaan Gender (Studi
Kasus Desa Pancawati Kecamatan Caringin Kabupaten Bogor),” Sosioglobal : Jurnal Pemikiran Dan
P
liti
S
i l
i 3(1) 2018 1 htt
//d i
/10 24198/j
3i1 18148 g
( )
p
g
j g
17Miftahus Sholehudin, “Legislasi Pendewasaan Usia Perkawinan Alternatif Perpsektif Hukum
Adat Dalam Pembangunan Hukum Nasional”, Jurnal Hukum Samudra Keadilan 14(1), 2019, hal 1–14,
https://doi.org/10.33059/jhsk.v14i1.1081. y
g
16Ilham Hidayatulloh et al., “Persepsi Perkawinan Usia Dini Dan Pemberdayaan Gender (Studi
Kasus Desa Pancawati Kecamatan Caringin Kabupaten Bogor),” Sosioglobal : Jurnal Pemikiran Dan
Penelitian Sosiologi 3(1), 2018: 1, https://doi.org/10.24198/jsg.v3i1,18148. e-ISSN : 2621-4105 Amar putusan sebagaimana telah disinggung di atas, pada dasarnya merupakan
mandat konstitusional yaitu mendukung kebijakan hukum (legal policy) dalam rangka
pembangunan hukum yang diarahkan guna memberikan proteksi hukum pada
perempuan serta pencegahan praktik perkawinan anak dan eksploitasi anak. Dikabulkannya sebagian permohonan uji materiil oleh Mahkamah Konstitusi harus
dipahami sebagai indikator perkembangan ketatanegaraan yang progresif dan
responsif dimana merefleksikan adanya penguatan prinsip dalam negara hukum
terutama terkait merespon perkembangan zaman dan kebutuhan hukum masyarakat
seiring dengan perubahan sosial.13 Penelitian yang mengkaji tentang batasan usia perkawinan sudah banyak
dilakukan baik dalam bentuk penelitian normatif maupun empiris. Indrawati (2020)14
dalam penelitianya mengatakan bahwa diubahnya ketentuan batasan umur pernikahan
hakikatnya berorientasi pada upaya pencegahan perkawinan di bawah umur. Syaifullah (2015)15 hasil penelitianya menunjukkan bahwa fenomena praktik
perkawinan di usia belum matang khususnya perempuan di pedesaaan disebabkan
adanya intervensi keluarga (orang tua) yang mengingkan agar anaknya menikah
dengan laki-laki yang lebih mapan dalam segi ekonomi. Praktik tersebut menurut
Syaifullah dinilai mendudukkan perempuan dalam posisi terdiskriminasi, hal ini
terjadi karena perempuan selama ini dipahami sebagaisubordininasi. Ilham Hidayatullah et al. (2018)16 dalam penelitiannya mengatakan bahwa
pandangan masyarakat desa tentang pernikahan dapat berimplikasi terhadap
meningkatnya pernikahan anak. Realitas tersebut menafikan hak perempuan yang
semestinya juga memiliki peluang yang sama sebagaimana laki-laki melalui nilai dan
penormaan dalam menentukan umur pernikahan. Selanjutnya, penelitian yangr
dilakukan Sholehudin (2019)17, hasil penelitian menunjukkan bahwa unsur Jurnal USM Law Review Vol 4 No 1 Tahun 2021 397 Kebijakan Hukum Perubahan Batasan Minimal Umur Pernikahan Perspektif
Hukum Islam
Aristoni Aristoni Kebijakan Hukum Perubahan Batasan Minimal Umur Pernikahan Perspektif
Hukum Islam Kebijakan Hukum Perubahan Batasan Minimal Umur Pernikahan Perspektif
Hukum Islam
Aristoni Aristoni e-ISSN : 2621-4105 e-ISSN : 2621-4105 kedewasaan dalam perkawinan menjadi syarat intrinsik dan berpengaruh terhadap
kelangsungan dalam perkawinan, meskipun unsur tersebut tidak menempati syarat
sah dalam perkawinan. Sehubungan dengan hal ini, konfigurasi politik sebagaimana
tertuang dalam produk hukum memiliki variasi yang kompleksitas sehingga dapat
berpengaruh pada ukuran kedewasaan seseorang berdasarkan peran serta kepentingan
anak sebagai subyek hukum. kedewasaan dalam perkawinan menjadi syarat intrinsik dan berpengaruh terhadap
kelangsungan dalam perkawinan, meskipun unsur tersebut tidak menempati syarat
sah dalam perkawinan. Sehubungan dengan hal ini, konfigurasi politik sebagaimana
tertuang dalam produk hukum memiliki variasi yang kompleksitas sehingga dapat
berpengaruh pada ukuran kedewasaan seseorang berdasarkan peran serta kepentingan
anak sebagai subyek hukum. Beberapa hasil penelitian sebelumnya di atas sesungguhnya memiliki korelasi
dengan penelitian ini yaitu yang sama-sama membahas mengenai batasan usia
perkawinan. B. PERMASALAHAN Berpijak dari latar belakang di atas, maka dapat dirumuskan beberapa
permasalahan diantaranya : 1) Bagaimanakah konsep umur pernikahan dalam hukum
Islam dan hukum nasional? 2) Bagaimanakah kebijakan hukum“Undang-Undang
No.1 Tahun 1974”dalam lintasan sejarah? 3) Mengapa diperlukan pengaturan batasan
minimal umur pernikahan dalam Undang-Undang Perkawinan? 4) Bagaimanakah
kebijakan hukum perubahan batasan minimal umur pernikahan menurut pandangan
hukum Islam? e-ISSN : 2621-4105 Perbedaanya adalah penelitian ini lebih menfokuskan kajian pada ranah
kebijakan hukum pembentuk Undang-Undang dalam penetapan penyamaan batasan
minimal umur pernikahan laki-laki dan wanita dilihat dari sudut pandang hukum
Islam. Sehingga kajian penelitian ini melengkapi dari penelitian sebelumnya. Selanjutnya, penelitian ini bertujuan untuk menjelaskan tentang konsep umur
pernikahan dalam hukum Islam dan hukum nasional, kebijakan hukum
pembentukan”Undang-Undang No 1 Tahun 1974”dalam lintasan sejarah, pengaturan
batasan umur pernikahan dalam Undang-Undang Perkawinan, kebijakan hukum
perubahan batasan umur pernikahan dalam perspektif hukum Islam. C. METODE PENELITIAN Tulisan artikel ini dapat disebut sebagai jenis riset kepusatakaan dengan
digunakannya pendekatan kualitatif sebagai basisnya. Dalam kajian pembahasan
menggunakan pendekatan yuridis normatif berupa hukum Islam dan peraturan
perundang-undangan. Pendekatan yuridis normatif ini digunakan untuk menelaah dan
menganalisa berbagai teks dan peraturan perundang-undangan yang berkaitan dengan Jurnal USM Law Review Vol 4 No 1 Tahun 2021 Jurnal USM Law Review Vol 4 No 1 Tahun 2021 Jurnal USM Law Review Vol 4 No 1 Tahun 2021 398 Kebijakan Hukum Perubahan Batasan Minimal Umur Pernikahan Perspektif
Hukum Islam
Aristoni Aristoni Kebijakan Hukum Perubahan Batasan Minimal Umur Pernikahan Perspektif
Hukum Islam
Aristoni Aristoni e-ISSN : 2621-4105 perubahan batasan umur perkawinan. Sesuai dengan pendekatannya, maka sumber
data yang digunakan dalam riset ini berupa data sekunder yang terdiri dari bahan
hukum primer, bahan hukum sekunder, dan bahan hukum tersier. Bahan hukum
primer yang digunakan adalah Undang-Undang No 16 Tahun 2019 jo Undang-
Undang No 1 Tahun 1974 tentang Perkawinan, dan peraturan hukum lainnya yang
masih ada relevansinya dengan tema riset ini. Bahan hukum sekunder adalah “bahan
hukum yang digunakan sebagai penunjang atau penjelas bahan hukum primer”. Diantara bahan hukum sekunder tersebut antara lain buku-buku, artikel jurnal,
majalah, dan lain sebagainya. Sedangkan bahan hukum tersier yang digunakan dalam
kajian penelitian ini adalah ensiklopedia, kamus hukum maupun kamus lainnya yang
masih ada relevansi dengan penelitian ini. Selanjutnya, semua data yang telah
dikumpulkan kemudian dilakukan analisis dengan metode kualitatif yang bersifat
diskriptif. Tujuan penggunaan teknik analisis data ini adalah untuk mendiskripkan dan
menganalisa kebijakan hukum mengenai perubahan batasan minimal umur
pernikahan dalam pandangan hukum Islam. 1. Konsep Umur Pernikahan dalam Hukum Islam dan Hukum Nasional Kajian dan perkembangan hukum perkawinan terutama mengenai batasan
umur perkawinan sampai saat ini masih menarik untuk diperbincangankan
mengingat batasan umur dalam perkawinan memiliki implikasi hukum bagi suami-
istri dalam membangun keluarga yang kekal dan tertram. Oleh sebab itu, dalam
perkembanganya banyak yang menjadikan umur menjadi salah satu aspek penting
dalam merealisasikan tujuan perkawinan.18Salah satu diantara tujuan pernikahan
ialah untuk memliki keturunan dan melestarikan kehidupan manusia.19 18Gani, “Perubahan Batas Usia Kawin Dalam Putusan Mahkamah Konstitusi Nomor 22/PUU-
XV/2017 Di Lihat Dari Penerapan Maqasid Asy-Syari’ah,” hal. 19.
19Lestari, “Problematika Hukum Perkawinan di Indonesia,” hal. 50. p
q
y
y
,
19Lestari, “Problematika Hukum Perkawinan di Indonesia,” hal. 50. 18Gani, “Perubahan Batas Usia Kawin Dalam Putusan Mahkamah Konstitusi Nomor 22/PUU
XV/2017 Di Lihat Dari Penerapan Maqasid Asy-Syari’ah,” hal. 19. p
q
y
y
,
19Lestari, “Problematika Hukum Perkawinan di Indonesia,” hal. 50. gy
,
22Gani, “Perubahan Batas Usia Kawin Dalam Putusan Mahkamah Konstitusi Nomor 22/PUU-
XV/2017 Di Lihat Dari Penerapan Maqasid Asy-Syari’ah,” hal. 21.
23Gani, hal. 28. g
gy
21Asghar Ali Engineer, “Hak-Hak Perempuan Dalam Islam”, Yayasan Bentang Budaya, 199
Yogyakarta, hal. 94.
22 20Khoirul Abror, “Hukum Perkawinan Dan Perceraian”, Ladang Kata, 2020, Yogyakarta, hal. 106. g
gy
21Asghar Ali Engineer, “Hak-Hak Perempuan Dalam Islam”, Yayasan Bentang Budaya, 1994,
Yogyakarta, hal. 94.
22Gani, “Perubahan Batas Usia Kawin Dalam Putusan Mahkamah Konstitusi Nomor 22/PUU- g
gy
21Asghar Ali Engineer, “Hak-Hak Perempuan Dalam Islam”, Yayasan Bentang Budaya, 1994,
Yogyakarta, hal. 94.
22Gani, “Perubahan Batas Usia Kawin Dalam Putusan Mahkamah Konstitusi Nomor 22/PUU-
XV/2017 Di Lihat Dari Penerapan Maqasid Asy-Syari’ah,” hal. 21.
23 V/2017 Di Lihat Dari Penerapan Maqasid Asy-Syari’ah,” hal. 21.
23Gani, hal. 28. e-ISSN : 2621-4105 e-ISSN : 2621-4105 perkawinan menurut Khoiruddin Nasution terdapat ketentuan syarat yang mana
diantara keduanya belum pernah melakukan hubungan seksual.24 Perbedaan pendapat dikalangan ulama fikih di atas dikarenakan Al-Qur’an
secara eksplisit tidak menjelaskan terkait kedewasaan dan umur ideal dalam
perkawinan. Islam hanya menggariskan kedewasaan seseorang dari sisi baligh. Namun yang menjadi masalah adalah sejauh ini belum terdapat definisi
kewedasaaan yang merepresentasikan sekian indikator karakteristik seseorang
untuk hidup berkeluarga. Sulitnya mendefiniskan ukuran kedewasaam, maka
sumber ajaran Islam sebagaimana Al-Qur’an dan Hadis selain dipahami secara
normatif melainkan juga harus dipahami konteksnya, artinya pemahaman secara
kontektual sangat diperlukan dengan melihat perkembangan pemikiran keagamaan
yang progresif guna melahirkan interpretasi keagamaan yang mampu menjawab
kebutuhan kontekstual terutama yang menyangkut tentang batasan umur dalam
perkawinan.25 Kedewasan yang cenderung diartikan baligh dimana laki-laki telah mimpi
basah dan wanita telah menstruasi tidak menjamin seseorang tersebut memiliki
kematangan dalam berpikir dan bersikap dewasa terutama dalam memikul
tanggung jawab sebagai suami istri.26 Sejalan dengan hal ini, Soemiyati dalam
bukunya berjudul “Hukum Perkawinan dan Undang-Undang Perkawinan Nomor
1 Tahun 1974”, mengatakan bahwa umur dalam perkawinan menjadi hal yang
krusial untuk merealisasikan tujuan perkawinan. Oleh karenanya suami istri
haruslah sudah memiliki kematangan jiwa dan raganya.27 25Zaitunah Subhan, “Al-Qur’an Dan Perempuan Menuju Kesetaraan Gender Dalam Penafsiran”,
ana, 2015, Jakarta, hal. 9. 27Soemiyati, “Hukum Perkawinan Islam Dan Undang-Undang Perkawinan No. 1 Tahun 1974”,
Liberti, 2004, Yogyakarta, hal. 30. 24Khoiruddin Nasution, “Fazlur Rahman Tentang Wanita” , Tazzafa, 2002, Yogyakarta, hal. 229. 26Abror, “Hukum Perkawinan Dan Perceraian,” hal. 107.
27 Khoiruddin Nasution, Fazlur Rahman Tentang Wanita , Tazzafa, 2002, Yogyakarta, hal. 229.
25Zaitunah Subhan, “Al-Qur’an Dan Perempuan Menuju Kesetaraan Gender Dalam Penafsiran”,
Kencana, 2015, Jakarta, hal. 9.
26Ab
“H k
P
k
i
D
P
i
” h l 107 24Khoiruddin Nasution, “Fazlur Rahman Tentang Wanita” , Tazzafa, 2002, Yogyakarta, hal. 229.
25Zaitunah Subhan, “Al-Qur’an Dan Perempuan Menuju Kesetaraan Gender Dalam Penafsiran”,
Kencana, 2015, Jakarta, hal. 9.
26Abror, “Hukum Perkawinan Dan Perceraian,” hal. 107.
27Soemiyati, “Hukum Perkawinan Islam Dan Undang-Undang Perkawinan No. 1 Tahun 1974”,
Liberti, 2004, Yogyakarta, hal. 30. Umur Pernikahan Menurut Hukum Islam Hakikat Islam sesungguhnya agama yang universal dimana mengatur
berbagai aspek kehidupan manusia termasuk dalam bidang pernikahan
(perkawinan). Meskipun demikian, segala persoalan perkawinan tidak semuanya
dijelaskan secara eksplisit oleh Al-Qur’an maupun Hadis, misalnya tentang
batasan umur perkawinan. Islam hanya mensyaratkan perkawinan bagi seseorang Jurnal USM Law Review Vol 4 No 1 Tahun 2021 399 Kebijakan Hukum Perubahan Batasan Minimal Umur Pernikahan Perspektif
Hukum Islam
Aristoni Aristoni Kebijakan Hukum Perubahan Batasan Minimal Umur Pernikahan Perspektif
Hukum Islam Kebijakan Hukum Perubahan Batasan Minimal Umur Pernikahan Perspektif
Hukum Islam
Aristoni Aristoni e-ISSN : 2621-4105 adalah sudah dewasa (balig).20 Ini artinya anak yang sudah baligh dianggap telah
dewasa dan diperbolehkan untuk dinikahkan oleh orang tuanya, seperti yang
diungkapkan Asghar Ali (1994) yaitu disaat anak sudah mulai menginjak usia
dewasa, maka seorang anak diperbolehkan untuk meneruskan dan membatalkan
ikatan perkawinan. Kedewasaaan menurutnya didasarkan pada kemampuan
(ahliyyah) seseorang dalam melakukan tindakan hukum. Ia menambahkan bahwa
dalam Al-Qur’an sendiri tidak ada ketentuan tentang pernikahan anak-anak dan
patokan umur pernikahan yang dijadikan sebagai dasar larangan bagi anak untuk
dinikahkan.21 Kedewasaan (baligh) dalam Islam ditandakan dengan ketentuan apabila laki-
laki telah bermimpi basah dan perempuan sudah pernah haid. Seiring
perkembanganya konsep kedewasaan mengalami perdebatan dikalangan ulama
fikih. Hal ini disebabkan sulitnya menentukan batasan dan ukuran kedewasaan
sebagai syarat penting dalam perkawinan. Menurut Imam Syafi’i bahwa seorang
ayah dan kakek disunnahkan menikahkan anak gadisnya kecuali ia sudah baligh,
dengan persyaratan mendapatkan izin dari seorang anak agar tidak terjebak dalam
tawanan suaminya.22 Sedangkan menurut Abu Hanifah bahwa selain ayah dan kakek, para wali
lainnya diperbolehkan menikahkan seorang anak gadisnya dan perkawinan
tersebut adalah sah, akan tetapi harus seizin dari anak. Pandangan ini tampaknya
berbeda dengan Hammad, Urwah, dan Syuraih yang mengatakan bahwa seorang
anak gadis diperbolehkan dinikahkan walinya meskipun belum dewasa (baligh). Pendapat tersebut diriwayatkan oleh Al-Khathabi dari Imam Malik.23 Namun
ketika anak sudah mulai menginjak masa usia dewasa (baligh), maka
diperbolehkan meneruskan atau mengakhiri pernikahan. Kebolehan tersebut
bersifat mutlak dan seorang pun tidak boleh mengintervensi termasuk orang tua
atau kerabatnya. Namun kebolehan untuk meneruskan dan memutuskan ikatan Jurnal USM Law Review Vol 4 No 1 Tahun 2021 400 Kebijakan Hukum Perubahan Batasan Minimal Umur Pernikahan Perspektif
Hukum Islam
Aristoni Aristoni Kebijakan Hukum Perubahan Batasan Minimal Umur Pernikahan Perspektif
Hukum Islam
Aristoni Aristoni 28Sudono, “Untuk Apa Kepentingan Batasan Usia Dewasa Itu”, Pengadilan Agama Blitas Kelas 1A,
2020,
http://pa-blitar.go.id/pablweb/informasi-pengadilan/160-untuk-kepentingan-apa-batasan-usia-
dewasa-itu.html. Diakses pada tanggal 1 Februari 2021
29Mardi Candra, “Aspek Perlindungan Anak Indonesia: Analisis Tentang Perkawinan Di Bawah
Umur”, Kencana, 2018, Jakarta, hal.13.
30Maula, “Perlindungan Perempuan Dalam Hukum Perkawinan Di Indonesia : Wacana
Pembaharuan Undang-Undang Perkawinan Dalam Masalah Batas Usia Perkawinan,” hal. 30. 28Sudono, “Untuk Apa Kepentingan Batasan Usia Dewasa Itu”, Pengadilan Agama Blitas Kelas 1A
2020,
http://pa-blitar.go.id/pablweb/informasi-pengadilan/160-untuk-kepentingan-apa-batasan-usi Umur Pernikahan Menurut Hukum Nasional Secara yuridis, penentuan batas umur dewasa hakikatnya merupakan hal
yang sangat penting mengingat usia tersebut erat kaitanya dengan kecakapan
dalam bertindak dan melakukan tindakan hukum. Dalam peraturan hukum di
Indonesia terdapat ketidakseragaman mengenai batasan umur dewasa. Bahkan
dikalangan praktisi khususnya hakim sendiri terjadi perbedaan pendapat dalam 401 Jurnal USM Law Review Vol 4 No 1 Tahun 2021 Kebijakan Hukum Perubahan Batasan Minimal Umur Pernikahan Perspektif
Hukum Islam
Aristoni Aristoni Kebijakan Hukum Perubahan Batasan Minimal Umur Pernikahan Perspektif
Hukum Islam Kebijakan Hukum Perubahan Batasan Minimal Umur Pernikahan Perspektif
Hukum Islam
Aristoni Aristoni e-ISSN : 2621-4105 menentukan batasan umur seseorang ketika dijadikan sebagai saksi di persidangan. Satu pihak ada yang membolehkan saksi berumur 18 tahun, namun dilain pihak
menolak sebab umur tersebut dipandang belum memiliki kecapakan dalam
berpikir maupun bersikap sehingga seseorang yang menjadi saksi haruslah
berumur 21 tahun.28 Menurut Oka Mahendra sebagaimana dikutip oleh Mardi Candra
mengatakan bahwa “tidak ada keseragaman umur kedewasaan mengindikasikan
adanya disharmoni peraturan perundang-undangan yang berdampak pada beberapa
hal diantaranya terjadinya perbedaan penafsiran dan pelaksanaannya, adanya
ketidakpastian hukum, peraturan hukum tidak berjalan efektif dan efisien, tidak
berfungsinya hukum, artinya hukum tidak mampu memberikan pijakan
berperilaku kepada masyarakat, pengendalian sosial, dan penyelesaian sengketa
bahkan sebagai instrumen dalam perubahan masyarakat secara baik”.29 “Undang-Undang No 1 Tahun 1974” (sebelum perubahan) menyatakan
bahwa batasan umur menikah untuk laki-laki sembbilan belas (19) tahun dan
wanita enam belas (16) tahun (setelah perubahan laki-laki maupun wanita sama-
sama 19 tahun). Sedangkan”Undang-Undang No 23 Tahun 2002 jo Undang-
Undang No 35 Tahun 2014 tentang Perlindungan Anak”, Pasal 1 ayat (1)
mengatakan bahwa “anak adalah seseorang yang berusia di bawah 18 Tahun
termasuk anak yang masih dalam kandungan”. Pada dasarnya Undang-Undang
tersebut juga tidak secara jelas menyinggung terkait batasan minimum anak dalam
melangsungkan pernikahan.30 “Pasal 15 ayat (1) Kompilasi Hukum Islam menyatakan bahwa “untuk
keselamatan keluarga dan rumah tangga perkawinan hanya boleh dilakukan calon
mempelai yang telah mencapai umur yang telah ditetapkan dalam Pasal 7 Undang- Jurnal USM Law Review Vol 4 No 1 Tahun 2021 402 Kebijakan Hukum Perubahan Batasan Minimal Umur Pernikahan Perspektif
Hukum Islam
Aristoni Aristoni Kebijakan Hukum Perubahan Batasan Minimal Umur Pernikahan Perspektif
Hukum Islam
Aristoni Aristoni e-ISSN : 2621-4105 Undang Nomor 1 Tahun 1974 yaitu calon suami sekurang-kurangnya berumur 19
tahun dan calon istri berumur sekurang-kurangnya 18 tahun”.31 Kitab Undang-Udang Hukum Perdata yang selanjutnya disebut KUH
Perdata juga menyinggung ukuran kedewasaan seseorang selain didasarkan unsur
umur juga didasarkan pada status perkawinan. y
( )
33Candra, “Aspek Perlindungan Anak Indonesia: Analisis Tentang Perkawinan Di Bawah Umur
12 31Instruksi Presiden, “Instruksi Presiden Nomor 1 Tahun 1991 Tentang Kompilasi Hukum Islam
(1991). (
)
32Sanawiah and Muhamad Zainul, “Batasan Kedewasaan Dan Kecakapan Hukum Pewasi
Menurut KHI Dan KUH Perdata”, Jurnal Hadratul Madaniyah 5 (1), 2018, hal. 7. (1991).
32Sanawiah and Muhamad Zainul, “Batasan Kedewasaan Dan Kecakapan Hukum Pewasiat
Menurut KHI Dan KUH Perdata”, Jurnal Hadratul Madaniyah 5 (1), 2018, hal. 7.
33Candra, “Aspek Perlindungan Anak Indonesia: Analisis Tentang Perkawinan Di Bawah Umur,”
12 Menurut KHI Dan KUH Perdata”, Jurnal Hadratul Madaniyah 5 (1), 2018, hal. 7.
33Candra, “Aspek Perlindungan Anak Indonesia: Analisis Tentang Perkawinan Di Bawah Umur,”
12 Umur Pernikahan Menurut Hukum Nasional Selanjutnya bagi mereka yang
belum berumur 21 tahun namun telah menikah maka telah dianggap sudah
dewasa.32”Undang-Undang No 39 Tahun 1999 tetang Hak Asasi Manusia,”Pasal
1 ayat (5) mengatakan bahwa “anak adalah setiap manusia yang berusia di bawah
18 tahun dan belum menikah termasuk anak yang masih dalam kandungan apabila
hal tersebut adalah demi kepentingannya”. Perbedaan dalam menafsirkan batasan umur dewasa sebagaimana dalam
peraturan perundang-undangan akan menimbulkan permasalahan dalam
pelaksanaannya. Menurut pendapat Mardi Candra bahwa beberapa hal yang
melatarbelakangi terjadinya perbedaan mengenai pengaturan batasan umur dewasa
seseorang yaitu: 1) dalam pembentukan peraturan hukum (Undang-Undang)
dilakukan oleh institusi yang berbeda dan cenderung juga dalam waktu yang
berbeda pula; 2) pejabat yang memiliki kewenangan sebagai pembentuk peraturan
perundang-undangan sering berganti-ganti dikarenakan adanya batasan waktu
masa jabatan atau alih tugas; 3) pendekatan sistem lemah dalam pembentukan
regulasi dibanding pendekatan sektoral; 4) lemahnya koordinasi dan pelibatan
berbagai pihak dalam pembentukan peratuan perundang-undangan; 5) terbatasnya
peran warga dalam akses pembuatan hukum.33 2. Kebijakan Hukum Undang-Undang No 1 Tahun 1974 dalam Lintasan
Sejarah 31Instruksi Presiden, “Instruksi Presiden Nomor 1 Tahun 1991 Tentang Kompilasi Hukum Islam”
(1991).
32Sanawiah and Muhamad Zainul, “Batasan Kedewasaan Dan Kecakapan Hukum Pewasiat
Menurut KHI Dan KUH Perdata”, Jurnal Hadratul Madaniyah 5 (1), 2018, hal. 7.
33Candra, “Aspek Perlindungan Anak Indonesia: Analisis Tentang Perkawinan Di Bawah Umur,”
12. 2. Kebijakan Hukum Undang-Undang No 1 Tahun 1974 dalam Lintasan
Sejarah 2. Kebijakan Hukum Undang-Undang No 1 Tahun 1974 dalam Lintasan
Sejarah y
( )
33Candra, “Aspek Perlindungan Anak Indonesia: Analisis Tentang Perkawinan Di Bawah Umur
12. 34Aristoni and Junaidi Abdullah, “4 Dekade Hukum Perkawinan Di Indonesia : Menelisik
roblematika Hukum Dalam Perkawinan Di Era Modernisasi”,Yudisia 7 (1), 2016, hal. 83-84. y
( ),
,
36Gani, “Perubahan Batas Usia Kawin dalam Putusan Mahkamah Konstitusi Nomor 22/PUU-
XV/2017 di Lihat dari Penerapan Maqasid Asy-Syari’ah,” hal. 18. ,
( ),
,
35Ahmad Rifai, Ibnu Sodiq, and Abdul Muntholib, “Sejarah Undang-Undang Perkawinan At
Pendapat Hingga Pertentangan dari Masyarakat dan Dewan Perwakilan Rakyat Tahun 197
1974”Journal of Indonesian History 4 (1), 2015, hal. 5. 34Aristoni and Junaidi Abdullah, “4 Dekade Hukum Perkawinan Di Indonesia : Menelisik
Problematika Hukum Dalam Perkawinan Di Era Modernisasi”,Yudisia 7 (1), 2016, hal. 83-84.
35Ahmad Rifai, Ibnu Sodiq, and Abdul Muntholib, “Sejarah Undang-Undang Perkawinan Atas
Pendapat Hingga Pertentangan dari Masyarakat dan Dewan Perwakilan Rakyat Tahun 1973-
1974”Journal of Indonesian History 4 (1), 2015, hal. 5.
36Gani, “Perubahan Batas Usia Kawin dalam Putusan Mahkamah Konstitusi Nomor 22/PUU-
XV/2017 di Lihat dari Penerapan Maqasid Asy-Syari’ah,” hal. 18. Problematika Hukum Dalam Perkawinan Di Era Modernisasi”,Yudisia 7 (1), 2016, hal. 83-84.
35Ahmad Rifai, Ibnu Sodiq, and Abdul Muntholib, “Sejarah Undang-Undang Perkawinan Atas
Pendapat Hingga Pertentangan dari Masyarakat dan Dewan Perwakilan Rakyat Tahun 1973-
1974”Journal of Indonesian History 4 (1), 2015, hal. 5.
36Gani, “Perubahan Batas Usia Kawin dalam Putusan Mahkamah Konstitusi Nomor 22/PUU-
XV/2017 di Lihat dari Penerapan Maqasid Asy-Syari’ah ” hal 18 Pendapat Hingga Pertentangan dari Masyarakat dan Dewan Perwakilan Rakyat Tahun 1973
1974”Journal of Indonesian History 4 (1), 2015, hal. 5.
36Gani, “Perubahan Batas Usia Kawin dalam Putusan Mahkamah Konstitusi Nomor 22/PUU-
XV/2017 di Lihat dari Penerapan Maqasid Asy-Syari’ah,” hal. 18. 37Jaih Mubarok, “Pembaharuan Hukum Perkawinan Di Indonesia”, Simbiosa Rekatama Media,
2015, Bandung, hal. 31.
38Ratna Batara dan Hindun Anisah Munti, “Posisi Perempuan Dalam Hukum Islam Di Indonesia”,
LKiS, 2005, Yogyakarta, hal. 13.
39Fatah Hidayat, “Dinamika Perkembangan Hukum Keluarga Di Indonesia”, Jurnal An Nisa’a 9(2),.
2014, hal. 17.
40Gani, “Perubahan Batas Usia Kawin Dalam Putusan Mahkamah Konstitusi Nomor 22/PUU-
XV/2017 Di Lihat Dari Penerapan Maqasid Asy-Syari’ah,” hal. 21.
41Rifai, Sodiq, and Muntholib, “Sejarah Undang-Undang Perkawinan Atas Pendapat Hingga
Pertentangan dari Masyarakat Dan Dewan Perwakilan Rakyat Tahun 1973-1974” hal. 8. Sejarah Menurut sejarahnya,”Undang-Undang No 1 Tahun 1945 tentang
Perkawinan”lahir di era pemeritahan orde baru. Sebelum Undang-Undang ini
disahkan sebagai Undang-Undang Perkawinan yang berlaku secara nasional,
dalam konteks hukum perkawinan di Indonesia terdapat beberapa sistem hukum 12. Jurnal USM Law Review Vol 4 No 1 Tahun 2021 403 Kebijakan Hukum Perubahan Batasan Minimal Umur Pernikahan Perspektif
Hukum Islam
Aristoni Aristoni Kebijakan Hukum Perubahan Batasan Minimal Umur Pernikahan Perspektif
Hukum Islam Kebijakan Hukum Perubahan Batasan Minimal Umur Pernikahan Perspektif
Hukum Islam
Aristoni Aristoni e-ISSN : 2621-4105 perkawinan yang berlaku diantaranya 1) untuk masyarakat yang beragama Islam
berlaku padanya Hukum Islam, 2) bagi umat kristen berlaku ordonansi hukum
perkawinan Kristen yang berlaku di Jawa, Ambon, dan Minahasa, 3) hukum adat
berlaku bagi penduduk Indonesia asli, 4) bagi keturunan Timur Asing Cina dan
golongan Eropa berlaku KUHPerdata, dan 5) bagi penduduk yang melakukan
perkawinan campuran berlaku hukum perkawinan campuran.34 Membincang proses pembentukan Undang-Undang Perkawinan dalam
lintasan sejarah sesungguhnya tidak memakan waktu yang cukup lama, proses
pembentukan sampai dengan pengesahan memakan waktu sekitar enam (6) bulan
terhitung dari mulai bulan Juli 1974 sampai bulan Januari 1974 atau tepatnya saat
proses penyerahan naskah Rancangan Undang-Undang Perkawinan dari Presiden
kepada Dewan Perwakilan Rakyat, kemudian dari pimpinan Dewan Perwakilan
Rakyat yang dibagikan kepada anggota DPR hingga sampai pengesahan
menjadi”Undang-Undang No 1 Tahun 1974 tentang Perkawinan.35 Proses legislasi tersebut”dilakukan melalui tahapan-tahapan diantaranya
yaitu tahapan I sampai Tahapan IV. Namun demikian, pada tataran pelaksanaan
proses
pembentukan
sampai
pengesahan
Undang-Undang
Perkawinan
sebagaimana dipaparkan di atas pada faktanya tidak berjalan mulus seperti
dibayangkan, melainkan diwarnai gejolak sosial-politik yang pada akhirnya
bermuara pertentangan antara dua kepentingan yaitu kelompok nasionalis dan
kelompok Islam.36 Kelompok nasionalis beranggapan bahwa Rancangan Undang-Undang
Perkawinan telah memenuhi kemajemukan kepentingan masyarakat dengan
melandaskan pada falsafah Pancaila dan Undang-Undang Dasar NRI Tahun 1945. Namun disisi lain kelompok Islam mengklaim bahwa Rancangan Undang-Undang
tentang Perkawinan yang terdiri dari 15 bab dan terbagi ke dalam 73 pasal tersebut
tidak merepresentasikan kepentingan kelompok Islam karena materi dari Jurnal USM Law Review Vol 4 No 1 Tahun 2021 404 Kebijakan Hukum Perubahan Batasan Minimal Umur Pernikahan Perspektif
Hukum Islam
Aristoni Aristoni Kebijakan Hukum Perubahan Batasan Minimal Umur Pernikahan Perspektif
Hukum Islam Kebijakan Hukum Perubahan Batasan Minimal Umur Pernikahan Perspektif
Hukum Islam
Aristoni Aristoni e-ISSN : 2621-4105 e-ISSN : 2621-4105 Rancangan Undang-Undang Perkawinan dinilai banyak berlawanan dengan ajaran
Islam. Sejarah 37Fraksi Partai Persatuan Pembangunan diketahui sejak awal keberatan
terhadap Rancangan Undang-Undang Perkawinan tersebut terus melakukan
mobilisasi massa dan aksi besar-besaran mendesak pemerintah agar mengubah
Rancangan Undang-Undang Perkawinan. Menghadapi gejolak sosial dan politik yang diwarnai dengan gelombang
aksi diberbagai daerah, akhirnya pemerintah berinisiatif melakukan lobi diluar
sidang.38 Hasilnya tercapai kesepatan antara fraksi ABRI dan Partai Persatuan
Pembangunan diantaranya, yaitu”1) Hukum agama Islam dalam perkawinan tidak
akan dikurangi; 2) Undang-Undang No 22 Tahun 1946 tentang Pencatatan Nikah,
Talak, dan Rujuk dan Undang-Undang No 14 Tahun 1970 tentang Ketentuan-
Ketentuan Pokok Kekuasaaan Kehakiman; 3) kehakiman yang menempatkan
Pengadilan
Agama
sederajat
dengan
Pengadilan
lainnya
dijamin
kelangsungannya; 4) hal-hal dimana berlawanan dengan ajaran Islam dan tidak
mungkin disesuaikan dengan Undang-Undang ini dihilangkan.39 Setelah adanya kesepakatan, jalan terjal dalam pembahasan Rancangan
Undang-Undang Perkawianan mulai lancar hingga disahkannya”Undang-Undang
No 1 Tahun 1974 yaitu pada tanggal 2 Januari 1974”yang selanjutnya diundangkan
dalam Lembaran NRI. Sedangkan penjelasan Undang-Undang Perkawinan dimuat
Tambahan Lembar Negara Nomor 3019.40 Undang-Undang ini diperkuat dengan
peraturan pelaksana yaitu”PP No 9 Tahun 1974 tentang Pelaksanaan Undang-
Undang No 1 Tahun 1974 tentang Perkawinan”. Dengan disahkannya Rancangan
UU Perkawianan menjadi UU Perkawinan, maka Undang-Undang tersebut
menjadi bagian yang tidak terpisahkan dari sistem hukum yang berlaku bagi
masyarakat Indonesia (ius constitutum),41 Jurnal USM Law Review Vol 4 No 1 Tahun 2021 405 Kebijakan Hukum Perubahan Batasan Minimal Umur Pernikahan Perspektif
Hukum Islam
Aristoni Aristoni Kebijakan Hukum Perubahan Batasan Minimal Umur Pernikahan Perspektif
Hukum Islam Kebijakan Hukum Perubahan Batasan Minimal Umur Pernikahan Perspektif
Hukum Islam
Aristoni Aristoni e-ISSN : 2621-4105 e-ISSN : 2621-4105 Menurut Daud Ali, Arah kebijakan hukum pembentukan Undang-Undang
Perkawinan sesungguhnya dimaksudkan untuk mengadakan unifikasi hukum
dalam permasalahan hukum perkawinan yang beragam dan berlaku bagi
masyarakat hukum Indonesia tanpa menghilangkan kebhinekaan berlandaskan
falsafah Pancasila dan Undang-Undang Dasar NRI Tahun 1945. Sementara itu,
bagi warga negara beragama selain tunduk pada ketentuan”Undang-Undang No. 1
Tahun 1974 tentang Perkawinan”juga tunduk pada ketentuan hukum agama dan
kepercayaanya sepanjang belum diatur di dalam UU Perkawinan ini.42 Jakarta, hal. 83.
43Maula, “Perlindungan Perempuan Dalam Hukum Perkawinan Di Indonesia : Wacana
Pembaharuan Undang-Undang Perkawinan Dalam Masalah Batas Usia Perkawinan,” hal. 16.
44Gani, “Perubahan Batas Usia Kawin Dalam Putusan Mahkamah Konstitusi Nomor 22/PUU-
XV/2017 Di Lihat Dari Penerapan Maqasid Asy-Syari’ah,” hal. 21.
45Amiur Nuruddin and Azhari Akmal Tarigan, “Hukum Perdata Islam Indonesia: Studi Kritis
Perkembangan Hukum Islam Dari Fikih, Undang-Undang Nomor 1 Tahun 1974 Sampai Kompilasi Hukum
Islam”, Kencana, 2006, Jakarta, hal. 70. 43Maula, “Perlindungan Perempuan Dalam Hukum Perkawinan Di Indonesia : Wacana
embaharuan Undang-Undang Perkawinan Dalam Masalah Batas Usia Perkawinan,” hal. 16.
44Gani, “Perubahan Batas Usia Kawin Dalam Putusan Mahkamah Konstitusi Nomor 22/PUU-
V/2017 Di Lihat Dari Penerapan Maqasid Asy-Syari’ah,” hal. 21. 42Muhammad Daud Ali, “Hukum Islam Dan Peradilan Agama”, Raja Grafindo Persada, 1997,
Jakarta, hal. 83.
43 p
q
y
y
45Amiur Nuruddin and Azhari Akmal Tarigan, “Hukum Perdata Islam Indonesia: Studi Kritis
Perkembangan Hukum Islam Dari Fikih, Undang-Undang Nomor 1 Tahun 1974 Sampai Kompilasi Hukum
Islam”, Kencana, 2006, Jakarta, hal. 70. 43Maula, “Perlindungan Perempuan Dalam Hukum Perkawinan Di Indonesia : Wacana
Pembaharuan Undang-Undang Perkawinan Dalam Masalah Batas Usia Perkawinan,” hal. 16.
44Gani, “Perubahan Batas Usia Kawin Dalam Putusan Mahkamah Konstitusi Nomor 22/PUU-
XV/2017 Di Lihat Dari Penerapan Maqasid Asy-Syari’ah,” hal. 21.
45Amiur Nuruddin and Azhari Akmal Tarigan, “Hukum Perdata Islam Indonesia: Studi Kritis
Perkembangan Hukum Islam Dari Fikih, Undang-Undang Nomor 1 Tahun 1974 Sampai Kompilasi Hukum 3. Pengaturan Batasan Minimal Umur Pernikahan dalam Undang-Undang
Perkawinan 3. Pengaturan Batasan Minimal Umur Pernikahan dalam Undang-Undang
Perkawinan Perkawinan Kebijakan hukum pembentuk”Undang-Undang No 1 Tahun 1974 tentang
Perkawinan”sejak awal sesungguhnya bertujuan untuk mengangkat harkat dan
martabat wanita dengan membedakan batasan umur pernikahan laki-laki dan
wanita yang kemudian disepakati secara nasional.43 Secaara empiris pengaturan
tentang batasan umur perkawinan ini didasarkan pada banyaknya terjadi kasus
KDRT yang dialami perempuan sehingga berdampak pada pendidikan, kesehatan
dan psikologi anak-anak mereka nantinya.44 Kenyatan di atas selanjutya menjadi pertimbangan bagi pembuat kebijakan
dalam merumuskan”Pasal 7 ayat (1) UU No. 1 Tahun 1974”Pengaturan batasan
umur pernikahan sebagaimana pasal tersebut yaitu “laki-laki berumur 19 tahun dan
wanita 16 tahun” ketika melangsungkan perkawinan dianggap telah memiliki
kematangan secara fisik maupun jiwanya dibanding ketentuan dalam hukum
perdata yang menyatakan bahwa perempuan 15 tahun dan laki-laki 18 tahun.45 Namun seiring dengan perkembangan zaman pemberlakuan Pasal 7 ayat (1)
dalam pelaksanaanya memiliki banyak celah dan berpotensi memberikan peluang
maraknya pernikahan usia anak dijumlah daerah di Indonesia terutama Jurnal USM Law Review Vol 4 No 1 Tahun 2021 406 Kebijakan Hukum Perubahan Batasan Minimal Umur Pernikahan Perspektif
Hukum Islam
Aristoni Aristoni Kebijakan Hukum Perubahan Batasan Minimal Umur Pernikahan Perspektif
Hukum Islam
Aristoni Aristoni e-ISSN : 2621-4105 e-ISSN : 2621-4105 dipedesaaan dan diskriminasi terhadap perempuan. Apalagi Pasal 6 disebutkan
bahwa “perkawinan sebelum usia 21 tahun harus mendapatkan izin dari orang tua”. Dari ketentuan ini jelas bahwa peran orang tua sangat dominan dalam keputusan
pernikahan anaknya tak terkecuali dalam perkawinan yang dilakukan pada usia
anak.46 Lahirnya”Undang-Undang No 16 tahun 2019 Perubahan Atas Undang-
Undang No 1 Tahun 1974 tentang Perkawinan”dapat dimaknai merupakan
kebijakan hukum yang progresif dan responsif. Pada dasarnya pengaturan”Pasal 7
ayat (1) Undang-Undang No 16 Tahun 2019”diorientasikan untuk mencegah
perkawinan usia anak dan mengembalikan hak-hak perempuan secara
konstitusional serta menghindarkan anak dari eksploitasi. Sehingga ketentuan
Pasal 7 ayat (1) mensyaratkan batasan minimal umur pernikahan bagi laki-laki dan
wanita yang akan melangsungkan perkawinan sama-sama 19 tahun. Dengan
disahkannya Undang-Undang tersebut pada tanggal 14 Oktober 2019 menjadi
catatan sejarah dalam pembaruan hukum perkawinan di Indonesia yang telah
berumur hampir mendekati setengah abad. 46Badan Pusat Statistik and UNICEF Indonesia, “Perkawinan Usia Anak Di Indonesia 2013 Dan
2015,” Revisi, Badan Pusat Statistk dan UNICEF Indonesia, 2017, Jakarta, hal. 8. 46Badan Pusat Statistik and UNICEF Indonesia, “Perkawinan Usia Anak Di Indonesia 2013 Dan Badan Pusat Statistik and UNICEF Indonesia, Perkawinan Usia Anak Di Indonesia 2013 Da
2015,” Revisi, Badan Pusat Statistk dan UNICEF Indonesia, 2017, Jakarta, hal. 8. 47Undang Undang Dasar Negara Republik Indonesia, “Undang Undang Dasar Negara Republik
Indonesia Tahun 1945,” 1945.
48Muladi, “Hak Asasi Manusia, Hakikat, Konsep Dan Implikasinya dalam Perspektif Hukum Dan
Masyarakat”, Refika Aditama, 2009, Bandung, hal. 278.
49Undang-Undang Republik Indonesia, “Penjelasan Atas Undang-Undang Republik Indonesia
Nomor 16 Tahun 2019 Tentang Perubahan Atas Undang-Undang Nomor 1 Tahun 1974 Tentang
Perkawinan,” 2019, hal. 2. 4. Kebijakan Hukum Perubahan Batasan Minimal Umur Pernikahan
Perspektif Hukum Islam 4. Kebijakan Hukum Perubahan Batasan Minimal Umur Pernikahan
Perspektif Hukum Islam Kebijakan hukum mengenai perubahan batasan minimal umur pernikahan
sebagaimana”Pasal 7 ayat (1) Undaang-Undang No 1 Tahun 1974”adalah bentuk
konsistensi dan keseriusan pemerintah (eksekutif dan legislatif) sebagai
pembentuk Undang-Undang merespon tuntutan masyarakat yang menghendaki
penghapusan segala bentuk diskriminasi dan pencegahan perkawinan usia anak
dalam Undang-Undang Perkawinan. “Pasal 28b ayat (1) Undang-Undang Dasar NRI Tahun 1945”menegaskan
bahwa “setiap orang berhak atas pengakuan, jaminan, perlindungan, dan kepastian
hukum yang adil serta perlakuan yang sama dihadapan hukum”. Berdasarkan
ketentuan tersebut, Muladi berpendapat bahwa “setiap warga negara bersama
kedudukannya memiliki hak dan kewajiban yang sama baik antara laki-laki Jurnal USM Law Review Vol 4 No 1 Tahun 2021 407 Kebijakan Hukum Perubahan Batasan Minimal Umur Pernikahan Perspektif
Hukum Islam
Aristoni Aristoni Kebijakan Hukum Perubahan Batasan Minimal Umur Pernikahan Perspektif
Hukum Islam Kebijakan Hukum Perubahan Batasan Minimal Umur Pernikahan Perspektif
Hukum Islam
Aristoni Aristoni 50Badan Pembinaan Hukum Nasional Kemenkumham, “Hasil Penyelarasan Naskah Akademik
Rancangan Undang-Undang Tentang Perubahan Atas Undang-Undang Nomor 1 Tahun 1974 tentang
Perkawinan”, 2019, hal. 34.
51Candra, “Aspek Perlindungan Anak Indonesia: Analisis Tentang Perkawinan Di Bawah Umur,”
hal. 75.
52Subhan, “Al-Qur’an Dan Perempuan Menuju Kesetaraan Gender Dalam Penafsiran,” hal. 30. 50Badan Pembinaan Hukum Nasional Kemenkumham, “Hasil Penyelarasan Naskah Akadem
Rancangan Undang-Undang Tentang Perubahan Atas Undang-Undang Nomor 1 Tahun 1974 tentan
Perkawinan”, 2019, hal. 34. 51Candra, “Aspek Perlindungan Anak Indonesia: Analisis Tentang Perkawinan Di Bawah Umur
hal. 75.
52Subhan, “Al-Qur’an Dan Perempuan Menuju Kesetaraan Gender Dalam Penafsiran,” hal. 30. 51Candra, “Aspek Perlindungan Anak Indonesia: Analisis Tentang Perkawinan Di Bawah Umur
hal. 75.
52Subhan, “Al-Qur’an Dan Perempuan Menuju Kesetaraan Gender Dalam Penafsiran,” hal. 30. 50Badan Pembinaan Hukum Nasional Kemenkumham, “Hasil Penyelarasan Naskah Akademik
Rancangan Undang-Undang Tentang Perubahan Atas Undang-Undang Nomor 1 Tahun 1974 tentang hal. 75.
52Subhan, “Al-Qur’an Dan Perempuan Menuju Kesetaraan Gender Dalam Penafsiran,” hal. 30. e-ISSN : 2621-4105 e-ISSN : 2621-4105 maupun wanita”.47 Oleh karena itu, dalam konteks bermasyakat, berbangsa,
bernegara hukum, negara tidak boleh membeda-bedakan warga negara
berdasarkan agama, suku, budaya, ras, jenis kelamin, status sosial dan lain
sebagainya.48 Dengan lahirnya”Undang-Undang No 16 Tahun 2019 tentang Perubahan
Atas Undang-Undang No 1 Tahun 1974 tentang Perkawinan”terjadi perubahan
yang fundamental terkait substansi hukum (materi) Pasal 7 ayat (1) yakni
“penyamaan batasan umur pernikahan antara laki-laki dan wanita yaitu 19 tahun”. Sebagaimana dalam penjelasan Undang-Undang Perkawinan terbaru ini bahwa
“batasan umur tersebut dimaksud dinilai telah matang jiwa raganya untuk
melangsungkan perkawinan agar dapat merealisasikan tujuan perkawinan secara
baik tanpa berakhir perceraian dan mendapat keturunan yang sehat dan
berkualitas”.49 Selanjutnya tujuan menaikkan batasan umur perkawinan bagi perempuan
dalam Undang-Undang ini adalah mengurangi terhadap resiko pada kematian ibu
dan anak serta menghambat laju kelahiran. Di samping juga terpenuhinya hak
untuk melangsungkan hidup, tumbuh dan berkembangnya anak termasuk
pendampingan orang tua dan memberikan akses bagi anak memperoleh pendidikan
yang layak sampai perguruan tinggi. Ini artinya, bahwa tujuan sebagaimana yang
ditegaskan dalam”Undang-Undang No 16 Tahun 2019”tersebut merupakan upaya
pembentuk undang-undang dalam mengangkat harkat dan martabat wanita,
mengakhiri ketidakadilan, dan segala bentuk diskriminasi terhadap wanita. Pengaturan batasan umur perkawinan dengan segala tujuan yang positif tersebut
hakikatnya adalah memberikan jaminan keadilan, kepastian, dan kemanfatan dari
tujuan hukum itu diciptakan. Melihat tujuan kebijakan hukum sebagaimana dijelaskan di atas, secara
filosofis dapat dikatakan sejalan dengan substansi hukum Islam (maqashid Jurnal USM Law Review Vol 4 No 1 Tahun 2021 408 Kebijakan Hukum Perubahan Batasan Minimal Umur Pernikahan Perspektif
Hukum Islam
Aristoni Aristoni Kebijakan Hukum Perubahan Batasan Minimal Umur Pernikahan Perspektif
Hukum Islam Kebijakan Hukum Perubahan Batasan Minimal Umur Pernikahan Perspektif
Hukum Islam
Aristoni Aristoni e-ISSN : 2621-4105 e-ISSN : 2621-4105 syariah) yaitu menciptakan kebaikan (kemaslahatan) sosial kepada manusia pada
saat ini dan masa depan. Meskipun dalam hukum Islam sendiri tidak ada ketentuan
pasti mengenai ukuran batasan umur yang ideal dalam perkawinan karena itu
bersifat ijtihadiyah. Namun hal ini dapat dimengerti bahwa sesungguhnya Islam
tidak membolehkan perkawinan usia anak sehingga melahirkan ketidaksetaraan
dan diskriminasi. Bahkan menurut Imam Asy-Syakukani dalam wablul Ghamam
‘alaa Syifaa’il ‘Awaam menyatakan bahwa perkawinan usia anak yang tidak
melahirkan kebaikan harus dibatalkan dan lembaga yang berwenang juga berhak
membatalkan perkawinan tersebut, anak yang terjebak dalam perkawinan dapat
memutuskan perkawinan baik pada saat masih usia anak atau sudah dewasa.50 Pendapat sebagaimana diungkapkan oleh para ulama kontemporer tersebut
lebih menitikberatkan pada dampak yang ditimbulkan akibat pernikahan usia anak
yaitu menghindari kerusakan (mazharat) yang lebih besar dan mendudukkan
hukum Islam sebagai aturan yang bersifat humanis dan membawa rahmat bagi
seluruh alam. Mardi Candra berpendapat bahwa “salah satu tujuan terpenting
dalam hukum Islam yaitu menjaga keturunan. Ketentuan keturunan dalam Islam
sesungguhnya menjadi hak anak sehingga anak akan terhindar dari musibah atau
menangkis suatu penghinaan yang mungkin akan menimpa dirinya”.51 Pada prinsipnya Islam sangat memperhatikan konsep keselarasan,
keseimbangan, dan kesetaraan tanpa membedakan jenis kelamin, wana kulit, dan
etnik.52 Konsep tersebut menempatkan pola hubungan antara laki-laki dan wanita
adalah sama sejajar sebagai makhluk ciptaan hadapan Allah Swt. Dengan kata lain,
Islam menolak dengan tegas segala bentuk diskriminasi sehingga melahirkan
pelangaran terhadap hak asasi manusia. Pernyataan ini sejalan dengan pendapat
Mahmud Shaltut bahwa “Islam sesungguhnya menempatkan perempuan sebagai
mitra bagi kaum laki-laki, sehingga Islam memberikan kesetaraan antara hak dan 409 Jurnal USM Law Review Vol 4 No 1 Tahun 2021 Kebijakan Hukum Perubahan Batasan Minimal Umur Pernikahan Perspektif
Hukum Islam
Aristoni Aristoni Kebijakan Hukum Perubahan Batasan Minimal Umur Pernikahan Perspektif
Hukum Islam
Aristoni Aristoni e-ISSN : 2621-4105 e-ISSN : 2621-4105 kewajiban bagi laki-laki dan perempuan. Hak-hak tersebut misalnya meliputi
menyampaikan pendapat, pendidikan, ibadah dan hak dalam kehidupan lainnya”.53 Membincang kebijakan hukum perubahan batasan usia perkawinan dalam
perspektif hukum Islam sesungguhnya dapat dilihat dari asas dan tujuan dalam
penyusunan substansi hukum (materi) oleh “pembuat Undang-Undang. 54Undang-Undang Republik Indonesia, “Penjelasan Atas Undang-Undang Republik Indonesia
Nomor 16 Tahun 2019 Tentang Perubahan Atas Undang-Undang Nomor 1 Tahun 1974 Tentang
Perkawinan” e-ISSN : 2621-4105 Dalam
salah satu konsideran”Undang-Undang No 16 Tahun 2019”menyatakan bahwa
“perkawinan pada usia anak menimbulkan dampak negatif bagi tumbuh kembang
anak dan akan menyebabkan tidak terpenuhinya hak dasar anak seperti hak atas
perlindungan dari kekerasan dan diskriminasi, hak sipil anak, hak kesehatan, hak
pendidikan, dan hak sosial anak”.54 Pernyataan tersebut dapat kita pahami sebagai
upaya pemerintah untuk melindungi institusi perkawinan dalam rangka
memewujudkan kemaslahatan yaitu menjaga keberadaan jiwa, keturunan, dan akal
sebagaimana dalam konsep maqashid syariah. Undang-Undang No 16 Tahun 2019 sebagai produk hukum melalui proses
legislasi sesungguhnya secara subtanstif dan esensi sejalan dengan asas-asas atau
prinsip-prinsip dalam hukum Islam. Untuk mengakhiri tulisan sederhanan ini
bahwa pada intinya hukum yang baik dalam sebuah negara adalah hukum yang
dapat diterima oleh semua kalangan, oleh karenanya dalam setiap pembentukan
peraturan hukum sudah seharusnya memperhatikan kebutuhan hukum dalam
masyarakat, nilai-nilai dan norma yang berkembang sehingga tidak terjadi
pertentangan dan pada tataran pelaksanaannya dapat berjalan secara efektif, di
samping dibutuhkan juga kesadaran masyarakat dalam mentaati hukum. 53Subhan, hal. 9. 53Subhan, hal. 9. e-ISSN : 2621-4105 e-ISSN : 2621-4105 hukum, mampu membedakan antara yang baik dan buruk) sebagai syarat dalam
perkawinan. Sedangkan dalam hukum nasional juga terdapat ketidaksergamaan dalam
penentuan batasan umur seseorang, salah satu faktor yang melatarbelakangi adalah
lemahnya koordinasi dan pelibatan berbagai pihak dalam pembentukan peratuan
perundang-undangan. Kebijakan hukum dalam pembentukan Undang-Undang No 1
Tahun 1974 pada hakikatnya diarahkan untuk mengadakan unifikasi hukum dalam
permasalahan hukum pernikahan yang beragam dan berlaku bagi masyarakat hukum
Indonesia tanpa menghilangkan kebhinekaan yang ada. Dan pengaturan perubahan
batasan minimal perkawinan dengan menyamakan umur laki-laki dan wanita adalah
19 tahun sesungguhnya diarahkan dalam rangka mengangkat harkat dan martabat
perempuan, mengembalikan hak-hak sesuai konstitusional serta sebagai upaya
preventif terjadinya pernikahan anak yang berpotensi terhadap eksploitasi anak yang
marak terjadi beberapa tahun belakangan. Kebijakan hukum perubahan batasan
minimal umur perkawinan dalam pandangan hukum Islam dapat dikatakan bernilai
kemaslahatan yaitu menjaga, jiwa, keturunan, dan akal sebagaimana tercermin dari
konsideran Undang-Udanng Nomor 16 Tahun 2019 tentang Perkawinan. hukum, mampu membedakan antara yang baik dan buruk) sebagai syarat dalam
perkawinan. Sedangkan dalam hukum nasional juga terdapat ketidaksergamaan dalam
penentuan batasan umur seseorang, salah satu faktor yang melatarbelakangi adalah
lemahnya koordinasi dan pelibatan berbagai pihak dalam pembentukan peratuan
perundang-undangan. Kebijakan hukum dalam pembentukan Undang-Undang No 1
Tahun 1974 pada hakikatnya diarahkan untuk mengadakan unifikasi hukum dalam
permasalahan hukum pernikahan yang beragam dan berlaku bagi masyarakat hukum
Indonesia tanpa menghilangkan kebhinekaan yang ada. Dan pengaturan perubahan
batasan minimal perkawinan dengan menyamakan umur laki-laki dan wanita adalah
19 tahun sesungguhnya diarahkan dalam rangka mengangkat harkat dan martabat
perempuan, mengembalikan hak-hak sesuai konstitusional serta sebagai upaya
preventif terjadinya pernikahan anak yang berpotensi terhadap eksploitasi anak yang
marak terjadi beberapa tahun belakangan. Kebijakan hukum perubahan batasan
minimal umur perkawinan dalam pandangan hukum Islam dapat dikatakan bernilai
kemaslahatan yaitu menjaga, jiwa, keturunan, dan akal sebagaimana tercermin dari
konsideran Undang-Udanng Nomor 16 Tahun 2019 tentang Perkawinan. E. PENUTUP Batasan umur dalam perkawinan hakikatnya merupakan unsur penting dalam
merealisasikan sebuah tujuan perkawinan. Hasil kajian penelitian ini menunjukkan
bahwa umur perkawinan dalam hukum Islam para ulama fikih berbeda pendapat hal
tersebut dikarenakan Al-Qur’an sebagai sumber utama hukum Islam tidak
menjelaskan secara gamblang mengenai batasan umur dalam perkawinan. Hukum
Islam hanya mensyaratkan baligh (memiliki kecakapan dalam melakukan tindakan Jurnal USM Law Review Vol 4 No 1 Tahun 2021 410 Kebijakan Hukum Perubahan Batasan Minimal Umur Pernikahan Perspektif
Hukum Islam
Aristoni Aristoni Kebijakan Hukum Perubahan Batasan Minimal Umur Pernikahan Perspektif
Hukum Islam Kebijakan Hukum Perubahan Batasan Minimal Umur Pernikahan Perspektif
Hukum Islam
Aristoni Aristoni Buku Abror, Khoirul. “Hukum Perkawinan Dan Perceraian.”, Ladang Kata, 2020,
Yogyakarta. Badan Pembinaan Hukum Nasional Kemenkumham. “Hasil Penyelarasan Naskah
Akademik Rancangan Undang-Undang Tentang Perubahan Atas Undang-Undang
Nomor 1 Tahun 1974 Tentang Perkawinan,” 2019, Jakarta. Candra, Mardi. “Aspek Perlindungan Anak Indonesia: Analisis Tentang Perkawinan Di
Bawah Umur.”, Kencana, 2018, Jakarta. Gani, Burhanuddin ABD. “Perubahan Batas Usia Kawin Dalam Putusan Mahkamah
Konstitusi Nomor 22/PUU-XV/2017 Di Lihat Dari Penerapan Maqasid Asy-
Syari’ah.”, LKKI Publisher Fakultas Syariah dan Hukum, Universitas Islam Negeri
Ar-Raniry, 2020, Banda Aceh. Mubarok, Jaih. “Pembaharuan Hukum Perkawinan Di Indonesia”, Simbiosa Rekatama
Media, 2015, Bandung. Muladi. “Hak Asasi Manusia, Hakikat, Konsep Dan Implikasinya Dalam Perspektif
Hukum Dan Masyarakat.”, Refika Aditama, 2009, Bandung. Munti, Ratna Batara dan Hindun Anisah. “Posisi Perempuan Dalam Hukum Islam di
Indonesia.”, LKiS, 2005, Yogyakarta. gy
Nuruddin, Amiur, and Azhari Akmal Tarigan. “Hukum Perdata Islam Indonesia: Stu Jurnal USM Law Review Vol 4 No 1 Tahun 2021
41 Jurnal USM Law Review Vol 4 No 1 Tahun 2021 411 Kebijakan Hukum Perubahan Batasan Minimal Umur Pernikahan Perspektif
Hukum Islam e-ISSN : 2621-4105 Kritis Perkembangan Hukum Islam dari Fikih, Undang-Undang Nomor 1 Tahun
1974 Sampai Kompilasi Hukum Islam.”, Kencana, 2006, Jakarta. Kritis Perkembangan Hukum Islam dari Fikih, Undang-Undang Nomor 1 Tahun
1974 Sampai Kompilasi Hukum Islam.”, Kencana, 2006, Jakarta. Statistik, Badan Pusat, and UNICEF Indonesia. “Perkawinan Usia Anak Di Indonesia
2013 Dan 2015.” Revisi, Badan Pusat Statistk dan UNICEF Indonesia, 2017,
Jakarta. Subhan, Zaitunah. “Al-Qur’an Dan Perempuan Menuju Kesetaraan Gender Dala
Penafsiran.”, Kencana, 2015, Jakarta. Syarifuddin, Amir. “Hukum Perkawinan Islam Di Indonesia; Antara Fiqh Munakahat
Dan Undang-Undang Perkawinan.”, Kencana, 2009, Jakarta. Kebijakan Hukum Perubahan Batasan Minimal Umur Pernikahan Perspektif
Hukum Islam
Aristoni Aristoni Kebijakan Hukum Perubahan Batasan Minimal Umur Pernikahan Perspektif
Hukum Islam Kebijakan Hukum Perubahan Batasan Minimal Umur Pernikahan Perspektif
Hukum Islam
Aristoni Aristoni Peraturan Perundang-undangan Undang Undang Dasar Negara Republik Indonesia Tahun 1945 Undang Undang Dasar Negara Republik Indonesia Tahun 1945
Undang-Undang Republik Indonesia Nomor 1 Tahun 1974 tentang Perkawinan
Undang-Undang Republik Indonesia Nomor 16 Tahun 2019 tentang Perubahan Atas
Undang-Undang Nomor 1 Tahun 1974 Tentang Perkawinan
Undang-Undang Republik Indonesia Nomor 35 Tahun 2014 tentang Perubahan Atas
Undang-Undang Nomor 23 Tahun 2002 Tentang Perlindungan Anak
Instruksi. Instruksi Presiden Nomor 1 Tahun 1991 tentang Kompilasi Hukum Islam g
g
g
p
Undang-Undang Republik Indonesia Nomor 1 Tahun 1974 tentang Perkawinan Disertasi Hermanto, Agus. “Rekontruksi Undang-Undang Perkawinan Di Indonesia Dan Keadilan
Gender”,Disertasi, Program Pasca Sarjana, Institut Agama Islam Negeri Raden
Intan Lampung, 2017, Lampung. Hermanto, Agus. “Rekontruksi Undang-Undang Perkawinan Di Indonesia Dan Keadilan
Gender”,Disertasi, Program Pasca Sarjana, Institut Agama Islam Negeri Raden
Intan Lampung, 2017, Lampung. Jurnal Asnawi, Habib Shulton. “Tinjauan Kritis Terhadap Hak-Hak Perempuan dalam UU. No. 1 Tahun 1974 tentang Perkawinan: Upaya Menegakkan Keadilan dan Perlindungan
HAM Perspektif Filsafat Hukum Islam” Jurnal Fikri 1 (1), 2016. Aristoni, and Junaidi Abdullah. “4 Dekade Hukum Perkawinan Di Indonesia : Menelisik
Problematika Hukum Dalam Perkawinan Di Era Modernisasi” Yudisia 7 (1), 2016. Christian, Jordy Herry, and Kirana Edenela. “Terampasnya Hak-Hak Perempuan Akibat
Diskriminasi Batas Usia Perkawinan”,Lex Scientia Law Review 3 (1), 2019. Hidayat, Fatah. “Dinamika Perkembangan Hukum Keluarga di Indonesia”, Jurnal An
Nisa’a 9 (2), 2014. Hidayatulloh, Ilham, Retno Putri, Ter Naotrue, Riswanda, and Muhammad Fedryansyah. “Persepsi Perkawinan Usia Dini dan Pemberdayaan Gender (Studi Kasus Desa
Pancawati Kecamatan Caringin Kabupaten Bogor)”Sosioglobal : Jurnal Pemikiran
dan Penelitian Sosiologi 3 (1), 2018. https://doi.org/10.24198/jsg.v3i1.18148. Indrawati, Septi, and Agus Budi Santoso. “Perspektif Undang-Undang Nomor 16 Tahun
2019 Tentang Perkawinan Terhadap Batas Usia Melakukan Perkawinan”,
AMNESTI Jurnal Hukum 2 (1), 2020. Lestari, Novita. “Problematika Hukum Perkawinan di Indonesia.” Jurnal Ilmiah Mizani:
Wacana Hukum, Ekonomi dan Keagamaan 4 (1), 2018
https://doi.org/10.29300/mzn.v4i1.1009. Mubarok, Nafi. “Sejarah Hukum Perkawinan Islam di Indonesia”, Al-Hukama 2(2),
(2012). Maula, Bani Syarif. “Perlindungan Perempuan Dalam Hukum Perkawinan Di
Indonesia : Wacana Pembaharuan Undang-Undang Perkawinan Dalam Masalah
Batas Usia Perkawinan”, Jurnal Studi Islam, Gender dan Anak 14 (1), 2019
https://doi.org/10.24090/yinyang.v14i1.2019.pp14-38. Rifai, Ahmad, Ibnu Sodiq, and Abdul Muntholib. “Sejarah Undang-Undang Perkawinan
Atas Pendapat Hingga Pertentangan dari Masyarakat Dan Dewan Perwakilan
Rakyat Tahun 1973-1974”, Journal of Indonesian History 4 (1), 2015. Sanawiah, and Muhamad Zainul. “Batasan Kedewasaan Dan Kecakapan Hukum
Pewasiat Menurut KHI Dan KUH Perdata”,Jurnal Hadratul Madaniyah 5 (1), 2018. Shafiyullah. “Hak Usia Perkawinan Bagi Perempuan (Perspektif Hukum Islam Dan
Gender)”,YINYANG Jurnal Studi Islam, Gender, dan Anak10 (1), 2015. http://www.ejournal.iainpurwokerto.ac.id/index.php/yinyang/article/view/1219. Sholehudin, Miftahus. “Legislasi Pendewasaan Usia Perkawinan Alternatif Perpsektif
Hukum Adat Dalam Pembangunan Hukum Nasional”, Jurnal Hukum Samudra Jurnal USM Law Review Vol 4 No 1 Tahun 2021 Jurnal USM Law Review Vol 4 No 1 Tahun 2021 412 Kebijakan Hukum Perubahan Batasan Minimal Umur Pernikahan Perspektif
Hukum Islam Kebijakan Hukum Perubahan Batasan Minimal Umur Pernikahan Perspektif
Hukum Islam
Aristoni Aristoni Kebijakan Hukum Perubahan Batasan Minimal Umur Pernikahan Perspektif
Hukum Islam
Aristoni Aristoni Kebijakan Hukum Perubahan Batasan Minimal Umur Pernikahan Perspektif
Hukum Islam
Aristoni Aristoni e-ISSN : 2621-4105 Keadilan 14(1), 2019.https://doi.org/10.33059/jhsk.v14i1.1081. Susetyo, Heru. “Revisi Undang-Undang Perkawinan”,LexJurnalica 4, no. 2 (2007). Yusuf. “Dinamika Batasan Usia Perkawinan di Indonesia: Kajian Psikologi Dan Hukum
Islam”,
JIL :
Journal
of
Islamic
Law
1
(2),
2020. https://doi.org/10.24260/jil.v1i2.59. http://pa-blitar.go.id/pablweb/informasi-pengadilan/160-untuk-kepentingan-apa-
batasan-usia-dewasa-itu.html. Internet http://pa-blitar.go.id/pablweb/informasi-pengadilan/160-untuk-kepentingan-apa-
batasan-usia-dewasa-itu.html. Jurnal USM Law Review Vol 4 No 1 Tahun 2021 413
|
https://openalex.org/W4233350322
|
https://www.openbookpublishers.com/10.11647/OBP.0249.pdf
|
English
| null |
3. Lydgate Winces
|
Open Book Publishers
| 2,021
|
cc-by
| 61,197
|
AdAm RobeRts AdAm RobeRts AdAm RobeRts MIDDLEMARCH
AdAm RobeRts
Epigraphs and Mirrors https://www.openbookpublishers.com © 2021 Adam Roberts This work is licensed under a Creative Commons Attribution 4.0 International license
(CC BY 4.0). This license allows you to share, copy, distribute and transmit the text; to
adapt the text and to make commercial use of the text providing attribution is made to the
authors (but not in any way that suggests that they endorse you or your use of the work). Attribution should include the following information: Adam Roberts, Middlemarch: Epigraphs and Mirrors. Cambridge, UK: Open Book Publishers,
2021, https://doi.org/10.11647/OBP.0249 Adam Roberts, Middlemarch: Epigraphs and Mirrors. Cambridge, UK: Open Book Publishers,
2021, https://doi.org/10.11647/OBP.0249 Copyright and permissions for the reuse of many of the images included in this publication
differ from the above. This information is provided in the captions and in the List of
Illustrations. In order to access detailed and updated information on the license, please visit https://
doi.org/10.11647/OBP.0249#copyright In order to access detailed and updated information on the license, please visit https://
doi.org/10.11647/OBP.0249#copyright Further details about CC BY licenses are available at https://creativecommons.org/
licenses/by/4.0/ All external links were active at the time of publication unless otherwise stated and have
been archived via the Internet Archive Wayback Machine at https://archive.org/web Updated digital material and resources associated with this volume are available at
https://doi.org/10.11647/OBP.0249#resources Every effort has been made to identify and contact copyright holders and any omission or
error will be corrected if notification is made to the publisher. ISBN Hardback: 9781800641594 ISBN Digital (PDF): 9781800641600 ISBN Digital (PDF): 9781800641600 ISBN Digital ebook (epub): 9781800641617 ISBN Digital ebook (epub): 9781800641617 ISBN Digital ebook (mobi): 9781800641624 ISBN Digital ebook (mobi): 9781800641624 Epigraphs and Mirrors Adam Roberts DOI: 10.11647/OBP.0249 Cover image: Vilhelm Hammershoi, Interior with a Mirror (1907). https://commons. wikimedia.org/wiki/File:Vilhelm_Hammersh%C3%B8i_-_Interior_with_a_mirror_
(ca.1907).jpg. Cover design: Anna Gatti. Contents Introduction
1
1. Eliot’s Double Mirror
25
2. Sappho’s Apple
35
3. Lydgate Winces: Character and Realism
43
4. Hypocrisy and the Judgment of Men
65
5. Ladislaw
73
6. Myth, Middlemarch and the Mill: Out in Mid-Sea
89
7. Epigraphy: Beginnings and Ends
105
Postscript: The Flute inside the Bell
119
Bibliography
137
List of Illustrations
145
Index
147 Introduction Introduction
1
1. Eliot’s Double Mirror
25
2. Sappho’s Apple
35
3. Lydgate Winces: Character and Realism
43
4. Hypocrisy and the Judgment of Men
65
5. Ladislaw
73
6. Myth, Middlemarch and the Mill: Out in Mid-Sea
89
7. Epigraphy: Beginnings and Ends
105
Postscript: The Flute inside the Bell
119
Bibliography
137
List of Illustrations
145
Index
147 1
Walter Scott, Guy Mannering, or the Astrologer (Boston: Estes and Lauriat, 1893), ch.
2, https://www.gutenberg.org/files/5999/5999-h/5999-h.htm
2
Ibid., ch. 15. Introduction This short book aims to turn a modest, one might even think trivial,
literary labour into something more substantial, going beyond one
particular novel into broader questions of novel-writing, character
and narrative. My starting point is tracking down those allusions and
quotations in Middlemarch that have hitherto gone unidentified by
scholars. Most of these quotations are located in the chapter epigraphs
that George Eliot provides throughout, citing other writers or confecting
her own pastiche blank verse or prose. Unpacking these epigraphs as
well as the other quotations, and exploring their relationship to the body
of the text, frames or grounds a broader discussion of the novel. It seems
to me that these epigraphs, taken as a distinctive part of a larger network
of quotations and allusions in the text, contain important resonances for
the way Eliot’s novels generate their meanings. For, indeed, the way the
novel as such generates its meaning. It may be that my opening paragraph comes across as defensive. We wouldn’t want that. It was Eliot’s practice in all her novels to
add epigraphs to her chapters, some quoted from and identified as
by particular authors, others created by herself in the style of a poet
or an ‘Old Play’. She was by no means the first author to do this, of
course; popularised by Walter Scott, it is a practice that goes back into
the eighteenth-century. It could be argued that the textual practice
of heading a chapter with a short quoted text apes the practice of the
popular sermon, just as the related habit of larding the novelistic text
with quotations apes a conversational practice that does the same
thing, one widespread enough that it could itself be satirised—by
Scott, and others—as a mode of pretentious pedantry indicative of a
lack of imagination, or even of an overcompensation for discursive
unconfidence. Abel ‘Dominie’ Sampson in Scott’s second novel Guy https://doi.org/10.11647/OBP.0249.06 https://doi.org/10.11647/OBP.0249.06 © 2021 Adam Roberts, CC BY 4.0 2 Middlemarch Mannering (1815)—one of the most popular individuals from Scott’s
vast gallery of characters—is a key figure here. Sampson is a man ‘of
low birth’, whose capacity for learning was encouraged by parents (who
hoped ‘that their bairn, as they expressed it, “might wag his pow in a
pulpit yet”’) prepared to scrimp and save to secure their son’s education. 2
Ibid., ch. 15. Introduction But he proves too shy and awkward to be a preacher—a ‘tall, ungainly
figure, [with] taciturn and grave manners, and some grotesque habits
of swinging his limbs and screwing his visage while reciting his task’,
he ends up as tutor in Godfrey Bertram’s stately home, Ellangowan. The
point is that there is something simultaneous creditable and ridiculous
in Sampson’s learning, laughed at as he is by his fellow university
students: Half the youthful mob of ‘the yards’ used to assemble regularly to see
Dominie Sampson (for he had already attained that honourable title)
descend the stairs from the Greek class, with his lexicon under his arm,
his long misshapen legs sprawling abroad, and keeping awkward time
to the play of his immense shoulder-blades, as they raised and depressed
the loose and threadbare black coat which was his constant and only
wear. When he spoke, the efforts of the professor (professor of divinity
though he was) were totally inadequate to restrain the inextinguishable
laughter of the students, and sometimes even to repress his own. The
long, sallow visage, the goggle eyes, the huge under-jaw, which appeared
not to open and shut by an act of volition, but to be dropped and hoisted
up again by some complicated machinery within the inner man, the
harsh and dissonant voice—all added fresh subject for mirth to the torn
cloak and shattered shoe, which have afforded legitimate subjects of
raillery against the poor scholar from Juvenal’s time downward.1 We’re at the other end of the scale, here, from Thomas Hardy’s Jude the
Obscure, and not only because Scott styles his character as a comic rather
than a tragic figure. Jude’s learning proves useless to his life, where
Sampson at least finds a social niche as an (admittedly overqualified)
tutor. His speech is a mixture of simple Scots idioms and learned
allusions, his, as we would say nowadays, catchphrase ‘Prodigious!’ and
various Latin tags: ‘as he shut the door, could not help muttering the
varium et mutabile of Virgil’.2 Scott, with nice irony, sometimes uses these Introduction 3 3 as markers of Sampson’s educational limitations, as when, encountering
Meg Merrilies unexpectedly in Edinburgh he reveals his superstitious
primitivism: ‘“Get thee behind me!” said the alarmed Dominie. “Avoid
ye! Conjuro te, scelestissima, nequissima, spurcissima, iniquissima atque
miserrima, conjuro te!!!”’ Meg, with less book-learning, has more common-
sense: ‘“Is the carl daft,” she said. 3
Ibid., ch. 17.
4
Walter Scott, The Antiquary (Boston: Estes and Lauriat, 1893), ch. 4, https://www.
gutenberg.org/files/7005/7005-h/7005-h.htm
5
It is perhaps fitting that I use a footnote to identify a third means by which Scott adds
specific allusion to his texts, beyond chapter epigraphs and characters quoting old
authorities—footnotes themselves, a mode Eliot herself very rarely deploys. There
have been several studies of the influence of Scott on Eliot, most often concentrating
on her more manifestly ‘historical’ writing: see for instance Andrew Sanders, The
Victorian Historical Novel 1840–1880 (London: Palgrave Macmillan, 1979), Harry E.
Shaw, Narrating Reality: Austen, Scott, Eliot (Ithaca: Cornell University Press, 1999)
and Miriam Elizabeth Burstein, Narrating Women’s History in Britain, 1770–1902
(Aldershot, Hampshire: Ashgate, 2004). 4
Walter Scott, The Antiquary (Boston: Estes and Lauriat, 1893), ch. 4, https://www
gutenberg.org/files/7005/7005-h/7005-h.htmi Introduction “What in the name of Sathan are ye
feared for, wi’ your French gibberish, that would make a dog sick?”’3 Scott’s next novel, The Antiquary (1816), tackles this same business
of the allusiveness of discourse from the other side of social hierarchy. Jonathan Oldbuck, gentleman-antiquarian, embodies an obsession with
the textual and material past, at once fussy and gullible. His speech is
larded with Latin and he orients himself in all respects with reference
to a notional past. Scott is laughing with rather than laughing at (but
laughing nonetheless) when he has Oldbuck seek to reassure the
unlettered beggar Edie Ochiltree: ‘don’t suppose I think the worse of
you for your profession […] you remember what old Tully says in his
oration, pro Archia poeta, concerning one of your confraternity—quis
nostrum tam animo agresti ac duro fuit—ut—ut—I forget the Latin’.4 The
point of these allusions is not that we the reader should recognise them,
nor even that we should chase them up (of William Lovel, also present,
and also a gentleman, Scott notes that these words reach his ears ‘but
without conveying any precise idea to his mind’). Rather the point is
that, by their very opaqueness, they signify to us the character’s comical
pedantry, as well as his blindness to his own ridiculousness. They are a
kind of phatic articulation of dead learning rather than an invitation to
recontextualise the passage in which they occur.5 Perhaps we readers and critics of Eliot ought to treat the epigraphs
and allusions in Middlemarch, and her other novels, in a similar manner; 4 Middlemarch that is to say, as meta-indicators rather than as Ariadnean threads
to follow, or miniature windows to peer through. The content of the
various quotations and allusions are always clear enough, and there
is always a comprehensible relationship between what the epigraph
says and the content of the chapter it heads-up. Perhaps I out myself as
merely a Sampson or an Oldbuck by refusing to let things go at that. Of
course we make an exception for the editor of a scholarly edition of the
novel; she would, amongst her many textual duties, be expected to look
into such things. Introduction But for a regular reader, or a critic with an eye on the
larger significations of the novel, to get bogged down in such minutiae
looks, surely, like a misapplication of energy, as liable only to clog and
impede the larger flow. l
Clearly, given the book I have here written, I don’t believe so. On the
contrary, it is my argument that exploring these various allusions and
epigraphs unimpedes the rich flow of significations the novel generates—
that these potsherd texts-within-the-text are keys that unlock new
rooms or, to shift metaphors (and in doing so to anticipate the larger
thesis of this book) mirrors that refract back upon our experience the
textual vistas opening to us. Such a claim can only be evidenced by the
actual work this study undertakes, and perhaps you will conclude by
the end that such a claim stands unsupported. I must, at the very least,
concede that the joy a scholar finds in exploring these questions may
strike a less Casaubonic individual as both arid and—which is worse, in
this context—atomising, disconnecting, a key to no mythologies. That, though, is precisely the point. In her earlier novels, as in her later,
Eliot weaves her text out of descriptive prose, dialogue, observations
from life, data from her research, literary allusion, quotation and often
obscure epigraphs. In this novel she does all that and also includes a
character for whom abstruse allusion and obscure epigraphs are his
life’s passion. This situates Middlemarch as, amongst many other things,
a novel about epigraphy, about identifying and deciphering quotation
and allusion, as well as a novel constituted by those things. There is a related question to do with, precisely, obscurity. When
Scott’s Oldbuck quotes a bit of Cicero so abstruse even he, it turns out,
can’t remember it, we’re on safe ground reading the allusion in terms of
its inaccessibility. But when Eliot cites, indirectly or otherwise, Sappho
and Pascal, Homer and Lucretius, perhaps the intertexts are offered in 5 Introduction 5 the tacit belief that readers will recognise and understand without the
need of a prompt from an editorial footnote. Perhaps Eliot assumes an
audience sufficiently au fait with their own reading as to be able to walk
with her, hand in hand, through her own richly informed allusiveness. This seems unlikely, and not only because Eliot’s own reading was
capacious beyond most people’s. Still, it may be. 6
Fiona Macdonald, ‘The Only Surviving Recording of Virginia Woolf’, BBC Culture (28
March 2016), https://www.bbc.com/culture/article/20160324-the-only-surviving-
recording-of-virginia-woolf
7
Howard Erskine-Hill makes a related point with respect to epigraphs: ‘In a little
noted epigraph Pope quotes an ancient authority as saying that poetry is no obstacle
to entering into the wider world. But today an inscription of verse, or indeed prose,
at the head of a wider work may seem an impediment, rather than an incitement
to read on. Where learned or foreign languages are used what was once a spur has
become a clog. The impatient eye glances over the bit of Latin (as it may be) with
the reflection: “Oh, yes, a Latin tag; that was the old practice”. The time is past when
a writer might quote quantum mutatus ab illo and expect the reader to recognise the
author, the work, the speaker and the situation’. ‘Pope’s Epigraphic Practice’, The
Review of English Studies, 62.254 (2011), 261–74 (p. 261), https://doi.org/10.1093/
res/hgq027. The Latin—taken from Aeneid 2:274–5—makes his point for him. 6
Fiona Macdonald, ‘The Only Surviving Recording of Virginia Woolf’, BBC Culture (28
March 2016), https://www.bbc.com/culture/article/20160324-the-only-surviving-
recording-of-virginia-woolf 8
Empson, Seven Types of Ambiguity, rev. edn (New York: New Directions, 1947), pp.
167–68.
9
Christopher Ricks, Allusion to the Poets (London: Oxford University Press, 2002), p.
2. Middlemarch So, yes: there are a number of ways we, as readers and critics, might
‘take’ an allusion or epigraph in a novel like Middlemarch. Since such
items have, without wishing to sound merely utilitarian, a textual
function, it is only courtesy to the reader that this function is still operable
in the instance that said reader is not Casaubon. ‘It is tactful’, as William
Empson once wrote, ‘when making obscure references, to arrange that
they shall be intelligible even when the reference is not understood’. He gives an example, from a lesser-known poem by Marvell (‘The
brotherless Heliades/Melt in such amber tears as these’), and adds: If you have forgotten, as I had myself, who their brother was, and look it
up, the poetry will scarcely seem more beautiful: such of the myth as is
wanted is implied.8 This is fair enough, and certainly describes Eliot’s way with quotation
and epigraph. But Empson goes on: But something has happened after you have looked up the Heliades;
the couplet has been justified. Marvell has claimed to make a classical
reference and it has turned out to be all right. This is of importance,
because it was only because you had faith in Marvell’s classical references
that you felt as you did, that this mode of admiring nature seemed witty,
sensitive and cultured. This is a deeper point, and one equally applicable to Eliot. Her
extraordinary learning—all the more extraordinary given that so much
of it was autodidactic—stands as a kind of pledge to her allusive textual
praxis. We believe her, and when a mini-Casaubon such as myself
burrows into the specifics, what we uncover, without (I think) exception,
shows that our faith is justified. Christopher Ricks, quoting this passage
from Empson, adds that a text ‘without being dependent on our knowing
certain things, yet may benefit greatly from our doing so’.9 That’s a very
to-the-point statement of one of the rationales of the present study. This is a deeper point, and one equally applicable to Eliot. Her
extraordinary learning—all the more extraordinary given that so much
of it was autodidactic—stands as a kind of pledge to her allusive textual
praxis. We believe her, and when a mini-Casaubon such as myself
burrows into the specifics, what we uncover, without (I think) exception,
shows that our faith is justified. 9
Christopher Ricks, Allusion to the Poets (London: Oxford University Press, 2002), p.
2. 8
Empson, Seven Types of Ambiguity, rev. edn (New York: New Directions, 1947), pp.
167–68. Introduction I’m reminded of
Virginia Woolf’s first broadcast by the BBC—on 29 April 1937, as part of
a series called ‘Words Fail Me’, the only recording of her voice to have
survived—in which she observed: Words, English words, are full of echoes, of memories, of associations—
naturally. They have been out and about, on people’s lips, in their houses,
in the streets, in the fields, for so many centuries. And that is one of the
chief difficulties in writing them today—that they are so stored with
meanings, with memories, that they have contracted so many famous
marriages. The splendid word ‘incarnadine’, for example—who can use
it without remembering also ‘multitudinous seas’?6 Though we are, I think, entitled to wonder what kind of person drops
words like ‘incarnadine’ into everyday speech, Woolf’s point is a sound
one. Some allusions tap into a common reservoir of collective reference
and understanding. That context used to include much of Shakespeare,
the more famous English poets and even a fair bit of Latin. For most
of Eliot’s first readers, in the 1870s it also included Scott. Nowadays a
reduced set of Shakespeare quotations might still function as common
cultural currency, together with a wider range of references to film and
pop-music.7 6 6 Middlemarch 10
Theodore J. Ziolkowski, ‘The Craft(iness) of Epigraphs’, The Princeton
University Library Chronicle, 76.3 (2015), 519–20, https://doi.org/10.25290/
prinunivlibrchro.76.3.0519
11
‘Pope’s Epigraphic Practice’, 261. Middlemarch Christopher Ricks, quoting this passage
from Empson, adds that a text ‘without being dependent on our knowing
certain things, yet may benefit greatly from our doing so’.9 That’s a very
to-the-point statement of one of the rationales of the present study. To separate out chapter epigraphs from ‘allusion and quotation’
more broadly is to touch on a slightly different question. For one thing,
the question of ‘weight’ enters the frame. Theodore J. Ziolkowski recalls
that 2. 7 Introduction 11
‘Pope’s Epigraphic Practice’, 261. 14
‘The epigraphs have an organic function in her novels. This theory provides a
coherence for the various artistic effects they create individually. Four major
tendencies-structural allusion, abstraction, ironic refraction, and metaphoric
evaluation—may be delineated. She also uses epigraphs to describe characters, to
present a character’s unconscious thoughts, and to argue for realistic presentation,
but these epigraphs are few in number’. Ibid., 134. Introduction In the original typescript for The Waste Land T. S. Eliot cited a passage
from Joseph Conrad’s Heart of Darkness—the one ending ‘The horror! the horror!’—because he found it ‘much the most appropriate’ and
‘somewhat elucidative.’ But when his mentor, Ezra Pound, doubted
that Conrad was ‘weighty enough,’ Eliot omitted those words and
chose instead the more ostentatious quotation, in Latin and Greek, from
Petronius’s Satyricon that now adorns the title page. In her anthology,
The Art of the Epigraph, Rosemary Ahern cites over two hundred further
examples, mostly but not exclusively from fiction in English.10 I’ve never really understood why Ezra Pound and T. S. Eliot believed the
ludic decadence of Petronius’s Satyricon counted as ‘weightier’ than Joseph
Conrad’s diamond-hard articulation of existential despair. Although, in
saying so, I suppose I’m being a little obtuse: Pound’s point is specific not
to this particular text but to the larger cultural idiom. Classical literature
trumps a novella published only a few decades earlier simply by virtue
of its ancientness. George Eliot is not immune to this bias, such that we
may intuit that for her an epigraph from an ‘Old Play’ outweighs one
from a newer drama. It implies, at least in potentia, a deep-time three-
dimensionality that offsets and so adds perspective and richness to the
more historically specific and limited—1829–32—story being told. The illusion of depth is part of the function of epigraphs and allusions. This is a separate matter from the more commonly perceived work of
epigraphs ‘to mark an aim, or strike a keynote’, as Howard Erskine-
Hill puts it.11 There are other contexts to the tracing of unidentified
quotations than pure Casaubonism, and there are other ways of
conceptualising what an epigraph is. For example, we might take it as
the text from which specific chapters develop a core idea, as a sermon
expands homiletically upon a Biblical text—a Dorothean, rather than a
Casaubonic way of treating them. Then again, we might see an epigraph
as something tiny that contains, when magnified, beautiful or important
microscopiana—a Lydgatean perspective. These three perspectives are
not proposed merely to be facetious. 12
David Leon Higdon, ‘George Eliot and the Art of the Epigraph’, Nineteenth-Century
Fiction, 25.2 (1970), 127–51 (p. 131).
b d 13
Ibid., 19–30. Introduction Since Middlemarch, as a novel,
remains one of the great fictional portraits of barren scholarly pedantry,
and given the dangers a study such as this present one runs in trudging 8 Middlemarch 8 a similar dry-as-dusty path, it is important to keep in mind that, for
Eliot, a quotation could be something other than an iteration of abstruse
learning. To remember that it could be a germ. A seed. More recent Eliot scholars who have explored this question have, by
and large, generally thought so too. But it didn’t used to be that way. David Leon Higdon’s fine essay ‘George Eliot and the Art of Epigraphs’
argues that ‘the epigraphs form a continuous commentary defining
and shaping the chapters. They are foreshadowing what follows, and
to some degree shape, control, and condition the reader’s reaction to the
chapter’.12 But he also notes how rarely (this, in 1970) Eliot’s epigraphs
have been considered by critics at all, and quotes a couple of negativities
of judgement: Only Henry James and J. R. Tye have considered the epigraphs in terms
of conscious artistry. James dismisses them as ‘a want of tact,’ and Tye
concentrates on the epigraphs George Eliot wrote herself. Although
he concludes that they frequently make ‘an illuminating adjunct to the
text of her novels,’ he appears mildly irritated with her for using them
at all and dismisses them somewhat hastily. If in fact the epigraphs
are decorative, they may be dismissed as a literary counterpart to the
‘gingerbread’ of Victorian architecture.13 I do not, any more than does Higdon, consider Eliot’s epigraphs
‘gingerbread’, although I’m also attempting here something rather
different to his reading of epigraphs and main text in terms of ‘organic
form’.14 It is a larger argument than can be fully accommodated here, but
‘organic’ seems to me exactly the wrong word to apply to an art form as
consciously worked, as mannered and textual, as the novel; and doubly
unfitting when applied to what are (by and large) some intricately meta-
textual and intratextual patternings. If we take ‘organic’ as a synonym
for ‘functionally intrinsic’ or ‘non-arbitrary’ or something along those
lines, then it would describe better what’s happening in Eliot’s art Introduction 9 (although these are not, after all, what the word actually means). Then
again nobody would accuse Eliot of scattering epigraphs randomly
through her fiction. We can, I think, take her artistry as axiomatic. 15
For a contrary view see Michael Peled Ginsburg, who finds a kind of conceptual
short-circuit in Eliot’s self-authored epigraphs: ‘when an author writes his own
epigraphs he [sic] presents a text (the epigraph) as a text which precedes him and
the insights of which his story in some way repeats. At the same time he subverts
this assertion because the epigraph is his own. Thus, by creating pseudo-epigraphs
the author presents himself as his own origin and himself generates the truth which
he later repeats or puts into question’. ‘Pseudonym, Epigraphs, and Narrative Voice:
Middlemarch and the Problem of Authorship’, ELH, 47.3 (1980), 542–58 (p. 548),
https://doi.org/10.2307/2872795
16
Ricks, Allusion to the Poets, p. 83 16
Ricks, Allusion to the Poets, p. 83 Introduction And since my focus is on the way the ‘small’ text of the epigraph (or
quotation) interacts with, illuminates the ‘large’ text of the chapter (and
the novel)—which is to say, the formal relationship between small and
large textualities inherent in the mode—I make little distinction between
those places where Eliot is quoting somebody else and where she is
confecting her own faux-motto or quotation.15 I’ve already quoted from Christopher Ricks’ Allusion to the Poets,
and it is worth touching on another point from that subtle, insightful
book. For Ricks, literary allusion is always more than a matter of barren
source-hunting—always more than mere scholarship for the sake of
scholarship. It is, rather, a question of inheritance. His chapter on William
Wordsworth (himself an important writer for Eliot) opens with the
question: ‘what for Wordsworth is the central or essential inheritance? And how might this validate the inheritance that is allusion?’16 The same
question stands to be answered for Eliot, and her own allusively rich
fiction. That Middlemarch is centrally about inheritance in a legal and
(as we would now say) genetic or hereditary sense is not irrelevant to
this question, of course. Indeed the way Eliot’s novel negotiates its own
multiple textual inheritances, and the way it explores the problematics
of (for instance) Dorothea’s compromised inheritance from her dead
husband, are, I would argue, complexly interwoven one with the other. Going back to the work of unpicking the specifics of allusion and
epigraph in the novel is a way of elaborating this matter. What remains to be seen, I think, is whether these epigraphs, and
these myriad embedded nuggets of quotation and allusion in the
body of the text, figure predominantly as Casaubonic, Dorothean Middlemarch 10 or Lydgateian entities. Of course, were it only the first of these, and
neither of the other two, there would be little point in writing this
book. But it seems to me that Dorothea’s scholarphilia, her sense of
herself as defined not by the quotidian logic of the other people in
her ambit but by her connection with learning and theology of the
past—the ground of her attraction to Casaubon—is a humanising17 of
Casaubon’s drier, more cerebral passion for epigraphy and quotation. What lifts the novel, the stroke of structuring genius that makes
Middlemarch so marvellous a piece of writing, is the way Eliot balances
this world against Lydgate’s approach. 17
Indeed, though we are perhaps disinclined to accept that this is also part of
Dorothea’s reasons for marrying her first husband, we can also read it as an
eroticisation. 18
George Eliot, Middlemarch (Edinburgh: William Blackwood and Sons, 1871), ‘Finale’,
http://www.gutenberg.org/files/145/145-h/145-h.htm
19
On the novel’s use of science, see in particular Michael York Mason, ‘Middlemarch
and Science: Problems of Life and Mind’, The Review of English Studies, 22.86 (1971),
151–69, https://doi.org/10.1093/res/xxii.86.151; Sally Shuttleworth, George Eliot and
Nineteenth-Century Science. The Make-Believe of a Beginning (Cambridge: Cambridge
University Press, 1984); Lawrence Rothfield, Vital Signs: Medical Realism in
Nineteenth-Century Fiction (Princeton: Princeton University Press, 1994). On religion
in the novel, see T. R. Wright, ‘Middlemarch as a Religious Novel, or Life without
God’, in Images of Belief in Literature, ed. by David Jasper (London: The Macmillan
Press 1984), pp. 138–52. Introduction For him the natural world is
a text to be interpreted in the light of science, rather than literature,
mythography or religion. It is true that Eliot traces the diminution in
his ambition from achieving significant medical breakthroughs, to a
society doctor ‘alternating, according to the season, between London
and a Continental bathing-place’ who has done nothing more to
advance medical science than written a treatise on gout (‘a disease
which has a good deal of wealth on its side’, as the narrator waspily
notes), this shrinkage is neither an altogether reprehensible, nor a
textually irrelevant, business. We are first introduced to Lydgate as a
‘scientist’ as someone interested in the very small, and the very small
is wholly the tenor of Eliot’s type of realism. Epigraphs are small, but
they bear close attention, not in terms of Casaubonic pedantry but in
terms of Lydgatean microscopy. So although the novel’s final chapter
records that Lydgate ‘always regarded himself as a failure’ since ‘he
had not done what he once meant to do’, we as readers might wish
to console him that he at least showed the way. The paragraph from
which I’ve just been quoting concludes with the novel’s last mention
of Lydgate, that [his] temper never became faultless, and to the last occasionally let slip a
bitter speech which was more memorable than the signs he made of his
repentance. He once called [Rosamond] his basil plant; and when she
asked for an explanation, said that basil was a plant which had flourished
wonderfully on a murdered man’s brains. Rosamond had a placid but
strong answer to such speeches. Why then had he chosen her? It was a 11 11 Introduction 20
Dan Rebellato, ‘Sightlines: Foucault and Naturalist Theatre’, in Foucault’s Theatres,
ed. by Tony Fisher and Kélina Gotman (Manchester: Manchester University Press,
2019), pp. 147–59 (p. 148), https://doi.org/10.7765/9781526132079.00020 Introduction pity he had not had Mrs. Ladislaw, whom he was always praising and
placing above her. And thus the conversation ended with the advantage
on Rosamond’s side.18 pity he had not had Mrs. Ladislaw, whom he was always praising and
placing above her. And thus the conversation ended with the advantage
on Rosamond’s side.18 This is elegantly oblique, the closest the novel comes to conceding what
many readers, surely, have thought—that Dorothea and Lydgate ought
to be together. That, in other words, there are two ways in which Lydgate
‘had not done what he once meant to’: the way of scientific research and
the way of finding a mate worthy of him, as he of her. This is more than
merely romantic daydreaming, since Eliot reverts the disconnection
back upon Dorothea, whose yearning for a husband with a great mind
was misdirected towards a man whose mind was in thrall to a dead past,
rather than a man whose mind was open to the exciting possibilities
of a scientific future. As between these two options Eliot brings-in a
third—Ladislaw’s politics—but although Middlemarch is fascinated by
the ‘realism’ of scholarship and by the ‘realism’ of science, it has little to
say, actually, about the ‘realism’ of politics (unlike, let us say, Felix Holt). This is not to say that party politics is irrelevant to either the novel’s plot
or its design; but that myth and science are two modes Eliot finds more
eloquent for articulating her theme.19 I am going to argue, in this study, that Eliot’s epigraphs are, textually
speaking, kinds of glasswork, like the lenses and mirrors that render a
microscope or a telescope operable. By looking with them and through
them, we see greater detail and greater scope in Eliot’s novel. Mirrors
are a way in which we ‘look back’, and this is a novel deeply fascinated
by ‘looking back’, as engagement with tradition, as scholarship, as
tracing inheritance and also as regret. And in another sense mirrors
(and lenses) facilitate the work of science, and the work of science is also
the work of realism. Or to be a little more precise, what distinguishes 12 12 Middlemarch Eliot’s humanist realism from the kinds of le naturalisme being practised
on the Continent, is her resolution to balance the scientific (microscopic,
or telescopic) observation of the world with the literary, mythic and
spiritual apprehension of the same object. Introduction The differences between Eliot
and a writer like Émile Zola are instructive in this context. Zola also
grounds his realism in a particular iteration of a medical-scientific idiom: To the second edition of his first major novel, Thérèse Raquin, Émile Zola
added a famous preface in which he sought to make his intentions clear
against accusations of immorality: ‘my objective was first and foremost
a scientific one. I simply carried out on two living bodies the same
analytical examination that surgeons perform on corpses’. To those who
claimed he had an unhealthy interest in moral and human decay, he
retorted that he had become ‘engrossed in human rottenness, only in the
same way as a doctor lecturing to students about disease’. These medical
images persist right through his accounts of his own work; over twenty-
five years later, he would say of Doctor Pascal (1893), the last volume
of his epic Rougon-Macquart novel sequence, ‘it is a scientific work, the
logical deduction and conclusion of all my preceding novels’, adding
that his aim has always been ‘to show all so that all may be cured’. The
protagonist of that novel, Dr Pascal, is clearly modelled on Zola himself,
from his obsessive tracing of the Rougon and Macquart families’ genetic
inheritance to his passionate relationship in middle age with a much
younger woman. Doctors play pivotal—and generally positive—roles in
A Love Story (1878), Nana (1880), Pot Luck (1882), The Bright Side of Life
(1884), The Earth (1887), and The Debacle (1892). When Zola publishes
his collection of essays arguing for Naturalism, his title The Experimental
Novel (1880) refers not to artistic but to medical experiments.20 But despite writing a doctor as a major character, Eliot’s approach in
Middlemarch is considerably less surgical than this. She does not want to
cut open or eviscerate, but she does want to observe, to gather and to sift
data, and that’s the kind of physician Lydgate is. The microscopic focus
is fitting, the epigraphs and quotations appended to this great novel
are mirrors, and can be read as mirrors, and can shine lights on Eliot’s
achievement. 21
There has been a good deal of scholarship that has taken this approach of course.
See for instance Anna Theresa Kitchel, ed., Quarry for Middlemarch (Riverside:
University of California Press, 1950); Lilian R. Furst, ‘Not So Long Ago: Historical
Allusion in Realist Fiction’, in Through the Lens of the Reader: Explorations of European
Narrative (Albany: State University of New York Press, 1992), pp. 133–48; Kate Flint,
‘The Materiality of Middlemarch’, in Middlemarch in the Twenty-First Century, ed. by
Karen Chase (Oxford: Oxford University Press, 2006), pp. 65–86. Introduction To those who think it strange to construe Eliot’s realism through
epigraphs and quotations, rather than through (say) the accumulation Introduction 13 of pseudo-documentary representations of aspects of life as it is lived,21
I could make the perhaps over-obvious rebuttal—that for Casaubon,
epigraphs are his lived experience—in order to expand upon it. After
all, our lives are not some string of purely-accessed pearls of Dasein, or
are not only that. Our lives are also not only determined but to an extent
constructed by the texts we read and remember, the plays we have seen,
the poems we have read. Wisdom is lived, but also mnemonised as
proverbs and quotations. Any strategy of literary realism that did not
include quotation and epigraphy would be jejune. We might say that books (like Middlemarch) are texts, whereas
human beings are texts only by analogy. But several of the epigraphs
of Middlemarch return to the idea of people as books. The first chapter
of Book 2, ‘Old and Young’, begins with an Eliotic pastiche, a snatch of
dialogue from an ersatz Elizabethan or Jacobean play: 1st Gent. How class your man?—as better than the most,
Or, seeming better, worse beneath that cloak? As saint or knave, pilgrim or hypocrite? 2d Gent. Nay, tell me how you class your wealth of books
The drifted relics of all time. As well
Sort them at once by size and livery:
Vellum, tall copies, and the common calf
Will hardly cover more diversity
Than all your labels cunningly devised
To class your unread authors. There’s something odd about this epigraph. On its face, it seems
straightforward. The First Gentleman poses an important question: how
do we judge human beings? Indeed this is, arguably, the key question,
for Shakespeare who returns to the disjunction between seeming and
being over and over (‘there’s no art to find the mind’s construction in
the face’ and so on)—and of course for Eliot too. But Eliot’s phrasing in
this confected epigraph is strangely ambiguous between ‘how do you 14 14 Middlemarch judge men in general?’ and ‘what is your judgment with respect to this
specific man?’ ‘He’ dresses in fine clothes, but does his character match
his outward array? When rephrased that way the answer is obvious: of
course not. Introduction It would be as ridiculous, as the Second Gentleman says, in
words that glance at the old proverb about not judging books by covers,
to arrange one’s library by size, or binding. Different books bound in
the same kind of covers will of course contain many different kinds of
content. Indeed, it’s an observation so facile that it must send us back to
the original epigraph. Is that all it’s saying? Well, no. For one thing, there
is the—strange, surely—styling of books in a library as ‘the drifted relics
of all time’. Not living things, brought alive with every reader, but inert
fossils. A ‘relic’ is something left behind, something we have left behind:
the Latin reliquiae, ‘remains, relics’, is from relinquō, ‘I leave behind,
abandon, relinquish’. Books are here relinquished as texts with which
to engage—‘unread authors’—whilst simultaneously being assembled,
collected, sorted into library shelves. When we think of it like that, the
point of the epigraph shifts ground. It becomes not about how we ‘read’
people (indeed, it is very specifically about how we don’t ‘read’ people),
but instead how we dispose of them after we have ‘collected’ them. p
What kind of person ‘collects’ other people? It speaks, perhaps,
to a particular, objectionable kind of character: the sort of person
who assembles friends and acquaintances not for the sake of those
relationships, or out of genuine interest or affection, but because those
friends and acquaintances are (perhaps) famous, wealthy, or aristocratic,
as social adornments or for their social utility rather than as people. Whether we would necessarily call such a person a hypocrite (although
they might, of course, be a hypocrite) is uncertain. But perhaps their
‘problem’ is rather the reverse of this, a too bald acceptance of the
conventions of society on their own terms, a position pharisaical rather
than common-garden hypocritical perhaps. This is because Eliot is using
this epigraph to set-up the first meeting of Lydgate and Bulstrode, and
therefore to foreshadow the banker’s eventual fall. It is Bulstrode, in this
exchange, who seems better but is worse beneath his cloak. The banker’s speech was fluent, but it was also copious, and he used
up an appreciable amount of time in brief meditative pauses. Introduction an undertone, and sometimes implied that it was inconsistent with
openness; though there seems to be no reason why a loud man should
not be given to concealment of anything except his own voice, unless it
can be shown that Holy Writ has placed the seat of candour in the lungs. Mr. Bulstrode had also a deferential bending attitude in listening, and an
apparently fixed attentiveness in his eyes which made those persons who
thought themselves worth hearing infer that he was seeking the utmost
improvement from their discourse. Others, who expected to make no
great figure, disliked this kind of moral lantern turned on them […] Mr. Bulstrode’s close attention was not agreeable to the publicans and sinners
in Middlemarch; it was attributed by some to his being a Pharisee, and
by others to his being Evangelical. Less superficial reasoners among
them wished to know who his father and grandfather were, observing
that five-and-twenty years ago nobody had ever heard of a Bulstrode in
Middlemarch. To his present visitor, Lydgate, the scrutinizing look was
a matter of indifference: he simply formed an unfavorable opinion of the
banker’s constitution, and concluded that he had an eager inward life
with little enjoyment of tangible things.22 Lydgate, immune to the moral lantern, makes a judgement based on
medical (‘the banker’s constitution’) rather than social or conventional
grounds. Nonetheless his assessment is not so far removed from that
of wider Middlemarch opinion. Bulstrode performs acts of charity, and
collects friendships—‘“I shall be exceedingly obliged if you will look
in on me here occasionally, Mr. Lydgate,” the banker observed, after a
brief pause’—not for their own sake but for the lustre they cast upon his
reputation. He does not enjoy the things in themselves, he bolsters his
own ego, knowing as he does his own fundamental unworthiness. The thing is, a doctor is another kind of person who ‘collects’
or assembles people. Physicians collect patients in order to attend to
their health (and in order to earn money) but also less for their own
sakes and more as iterations of medical symptoms. 22
Eliot, Middlemarch, ch. 13. Introduction Do not
imagine his sickly aspect to have been of the yellow, black-haired sort:
he had a pale blond skin, thin grey-besprinkled brown hair, light-
grey eyes, and a large forehead. Loud men called his subdued tone 15 Introduction Introduction The question for
such a collection becomes not ‘is this person a saint, knave, pilgrim
or hypocrite?’ but ‘what is their pathology and how might I address
it?’ with, in the case of many doctors, Lydgate included, ‘how shall
I turn this person into a data-point in my research?’ I am the son of
two doctors. I know from personal experience the extent to which they
observed people, and chatted to one another, in terms of a congeries of
potential symptoms. Family journeys by car would be the two adults 16 Middlemarch 16 in the front saying things like: ‘what about her, by the roundabout? A
thyroid complaint, do you think?’ ‘Hashimoto’s disease, perhaps? But
what about him? Ehlers-Danloss, maybe?’ They were, I believe, typical
of their profession in this regard. And, of course, there is a third kind of person who ‘collects’ people:
the novelist, that individual whose friendship is always compromised,
to one degree or another, by observational apprehension of real people
as a resource for future writing. The larger point, it’s worth drawing out, is that if all of our
relationships with other people are as instrumental as this—as denuded
as this—then we are not living as full a human life as we could, or should. Such people are living smaller than they should, and are missing the
chance to enlarge their lives. It is one of Eliot’s great themes, of course:
Silas Marner, by limiting his life to gold, endures a pigmy existence;
and when he loses his gold and gains Eppie his life enlarges in all the
important ways a life can enlarge. I do not suggest the comparison out
of mere facetiousness when I say: precisely this step-up from small to
large, from suggested-at potential to expansive experiential fulfilment
is enacted by the shift from epigraph to actual chapter, and more fully
from epigraph to whole novel. The really significant thing is that this
dynamic, this small reflection to larger reality, also describes the way we
can turn from novels—even great and profoundly insightful novels like
Middlemarch—to life as it is lived. We do not, or at least (Eliot is saying)
should not, live only in books. The idea that art is a kind of mirror is
the fundamental of literary mimesis as such. 23
George Eliot, Adam Bede (Edinburgh: William Blackwood and Sons, 1859), ch. 1,
https://www.gutenberg.org/files/507/507-h/507-h.htm Introduction Eliot’s mirrors are usually
small, and are often coded for narcissism—Rosamond’s existential
smallness, Eliot implies, is a function of such narcissism. We may use
mirrors only to admire ourselves, but equally we may use mirrors for
more admirable purposes, and the smallest of Eliot’s mirrors is also one
of the most revealing, in her beautifully compacted metaphor for the
writer’s art with which Adam Bede opens: With a single drop of ink for a mirror, the Egyptian sorcerer undertakes
to reveal to any chance comer far-reaching visions of the past. This is
what I undertake to do for you, reader. With this drop of ink at the end
of my pen, I will show you the roomy workshop of Mr. Jonathan Burge,
carpenter and builder, in the village of Hayslope, as it appeared on the
eighteenth of June, in the year of our Lord 1799.23 17 Introduction Indeed, mirror and admirable are, marvellously enough, versions of the
same word (they both descend etymologically from the transitive Latin
verb miror, ‘I am astonished at, marvel at, admire, am amazed at, wonder
at’). Mirrors distort of necessity, by giving us a smaller, inverted
simulacrum in place of the larger, richer reality; and some mirrors
distort—through spotting on their surface, or curves in their shape—
more than others. Then again, for some people precisely those distortions
are what make mirrors valuable: as (two topics to which I return in
the book that follows) telescopes, or microscopes. And if Eliot is quite
properly suspicious of distortion in her art, she is not so dogmatic a
mimetic artist as not to realise how worthwhile it can be, in the right
circumstances. Early in Middlemarch, Dorothea believes herself the mere
distorting mirror of a world that Casaubon apprehends in toto: ‘He thinks with me,’ said Dorothea to herself, ‘or rather, he thinks a
whole world of which my thought is but a poor twopenny mirror. And
his feelings too, his whole experience—what a lake compared with my
little pool!’24 By the end of the novel, Dorothea’s twopenny mirror is, we realise,
a better lens—more like Eliot’s own drop of mirroring ink—than
Casaubon’s desiccation. The final gesture of the novel, when it abdicates
representation of Dorothea and Ladislaw’s life altogether, replaces the
representation through a glass, darkly, with a nothingness that allows
us to imagine their face-to-face. 24
Eliot, Middlemarch, ch. 3. 25
Ibid. 24
Eliot, Middlemarch, ch. 3.
25
Ibid. Introduction The epigraph to the chapter in which
Dorothea’s tuppeny mirror is mentioned is interesting too. It takes its
lines from Paradise Lost, book 7: ‘Say, goddess, what ensued, when Raphael,
The affable archangel . . . Eve
The story heard attentive, and was filled
With admiration, and deep muse, to hear
Of things so high and strange’.25 ‘Say, goddess, what ensued, when Raphael,
The affable archangel . . . Eve
The story heard attentive, and was filled
With admiration, and deep muse, to hear
Of things so high and strange’.25 The affable archangel . . . Admiration again: linked with muse. By ‘deep muse’, John Milton
presumably means deep thought, pondering and considering the 18 Middlemarch 18 angel’s words; but we can perhaps take the words, as recontextualised in
this novel, at this point, as saying something more. Because it does not
stretch matters, although it does entail a rather striking gender inversion
from the literary norm, to see Casaubon as Dorothea’s muse: as the
figure whose idealised form inspires her to her characteristic action, and
so imparts motion to the whole of Eliot’s story. Milton reoccurs in the
novel’s next mention of a mirror; this time not Dorothea’s tuppeny glass
but Casaubon’s spoon. Eliot, adopting the narrator’s voice, cautions her
readers against any ‘too hasty judgment’ with respect to the old scholar: If to Dorothea Mr. Casaubon had been the mere occasion which had set
alight the fine inflammable material of her youthful illusions, does it follow
that he was fairly represented in the minds of those less impassioned
personages who have hitherto delivered their judgments concerning him? I protest against any absolute conclusion, any prejudice derived from
Mrs. Cadwallader’s contempt for a neighbouring clergyman’s alleged
greatness of soul, or Sir James Chettam’s poor opinion of his rival’s
legs,—from Mr. Brooke’s failure to elicit a companion’s ideas, or from
Celia’s criticism of a middle-aged scholar’s personal appearance. 26
Ibid., ch. 10. 27
The Burden of the Past and the English Poet (London: Chatto and Windus, 1971), pp.
104–05. Introduction I am
not sure that the greatest man of his age, if ever that solitary superlative
existed, could escape these unfavourable reflections of himself in various
small mirrors; and even Milton, looking for his portrait in a spoon, must
submit to have the facial angle of a bumpkin.26 The mirror here is both spoon-small and as large as society as such: we
see ourselves mirrored in the opinions of others, and one of the things
Eliot offers here is a psychologically plausible reason for Casaubon’s
withdrawal from the larger world. Then again, the comparison with
Milton—a man intimately engaged in the great events of his time, after
all—undercuts Casaubon’s rather ridiculous amour propre. It is very
delicately done by Eliot, I think. The claim that mimetic art is a mirror of life veers, by its generality,
towards platitude. Eliot is always interested in the particular, and
her mirrors—her tall standing mirrors in wealthy Middlemarchers’
houses, her tuppeny hand-mirrors, her spoons and drops of ink—are
all specifying and individuating, even in their distortions and creative
rescopings. It is in such terms, I think, that we had better think of the
kinds of mirrors, or lenses, that Eliot’s epigraphs are. 19 Introduction Introduction Nonetheless, it is hard to think of a novel more 20 Middlemarch 20 concerned with ‘the burden of the past’ than Middlemarch, conceived
in political, religious and scientific terms, and actualised emotionally
in the plot via Casaubon’s mortal attempt to control Dorothea from
beyond the grave. The fabric of Eliot’s novel is pinned to its board by a large number of
meaningful quotations and epigraphs. We could read these as gestures
towards regrounding Eliot’s stories in the past from which those micro-
texts are sourced; as, that is to say, a strategy at odds with the modern
will-to-originality. The claim that Eliot has here written a traditional novel
does not, on its face, do any violence to common sense. Nonetheless,
the alternative is more compelling, even including the counter-intuitive
claim that these epigraphs and quotations are themselves markers of
originality, rather than the reverse. The contrast with Ulysses might look forced, but it is worth
remembering that not everybody greeted the publication of Joyce’s
novel gladly. D. H. Lawrence famously, or notoriously, dismissed the
novel in a letter to Aldous Huxley in pungent terms: My God, what a clumsy olla putrida James Joyce is! Nothing but old fags
and cabbage stumps of quotations from the Bible and the rest, stewed
in the juice of deliberate, journalistic dirty-mindedness—what old and
hard-worked staleness, masquerading as the all-new!28 What’s interesting here is that Lawrence uses the fact that Ulysses is
an intensely allusive, quoteful text—which it certainly is—to rebut the
notion that it is ‘all-new’ and original. The one, it seems, negates the
other. Never mind the formal, stylistic and mythographic innovation
of the novel, Lawrence is saying: how can a work so comprised of fag-
end, cabbage-stump quotations pretend to newness? The rhetoric shows
Lawrence’s thumb in the balance, of course: not quotations as such—
which might be fragrant yet-to-be-smoked cigarettes, or fresh cabbage
leaves ready for cooking—but the leftovers of quotations, the unusable
portions here added to the book’s metaphorical ‘recipe’ from sheer
perversity, or dirty-mindedness. Even if this were true of Joyce (and I
don’t think it is) it would not apply to Eliot, whose ‘traditional’ formal
and stylistic textual strategies are enhanced by her epigraphy—much of What’s interesting here is that Lawrence uses the fact that Ulysses is
an intensely allusive, quoteful text—which it certainly is—to rebut the
notion that it is ‘all-new’ and original. 28
Quoted in Anthony Beal, ed., D. H. Lawrence: Selected Literary Criticism (New York:
Viking Press, 1956), p. 148 Introduction One last point, here about epigraphy and the use of quotation
and allusion more broadly, concerns originality. How to be original is a
challenge modern writers face in a way older writers did not. Walter
Jackson Bate’s venerable study remains a valuable account of the large
shift in aesthetic philosophy, from a pre-Romantic belief that the artist
was to be judged by its fidelity to a set of canonical prototypes, to a
Romantic and post-Romantic valorisation of ‘originality’. From, that
is, an understanding of art as essentially emulative and determined
by tradition to one that prizes progress and novelty. By the end of the
eighteenth-century, according to Bate: The whole concept of ‘originality’ had both deepened and spread—
deepened as a hold on the conscience and spread horizontally among the
literate, and the peripheries of the literate, as something desired per se. Back in the 1730s and 1740s, when the neoclassic had begin to reconsider
its own self-limitations, the idea of ‘originality’ had understandably
been plucked out into prominence […] it meshed with some many other
things in life aside from the arts (especially the concept of progress in
the cumulative sciences, social and historical as well as physical) that
the conscience was trapped by it, as it had earlier been trapped by the
neoclassic use of the classical example.27 Bate notes that ‘“originality” in the arts need not imply vigour, range,
or even openness of mind—or power of language or anything else of
a qualitative nature.’ What it does, he thinks, is ‘lift the burden of the
past’, or at least attempt to do so. Do we think of Middlemarch as an ‘original’ novel? Let’s say: yes in
terms of its scope and achievement, for there had been nothing like it in
English before. Then again, perhaps we run the risk of undermining the
work’s own textual commitment to fidelity by putting too much emphasis
on originality, for the counter-argument would be: Middlemarch takes its
places gladly in a tradition of novel-writing, aiming not at newness for
the sake of newness but on the contrary excavating the past, working
older modes of wisdom—it is, according to its own logic, a history. And
certainly Middlemarch is not ‘original’ in the way that (say) James Joyce’s
Ulysses is—although Ulysses is also, in its way, profoundly imbricated
in the logic of realism. 29
Burrow adopts the term from Aristotle, who describes hexis as ‘an entrenched psychic
condition or state which develops through experience rather than congenitally’,
glossing: ‘the successful imitator does not simply learn rules or vocabulary from
his master, but acquires through imitation the ability to speak with an instinctive
appropriateness’. Imitating Authors: Plato to Futurity (Oxford: Oxford University
Press, 2019), pp. 5–6, https://doi.org/10.1093/oso/9780198838081.001.0001 Introduction The one, it seems, negates the
other. Never mind the formal, stylistic and mythographic innovation
of the novel, Lawrence is saying: how can a work so comprised of fag-
end, cabbage-stump quotations pretend to newness? The rhetoric shows
Lawrence’s thumb in the balance, of course: not quotations as such—
which might be fragrant yet-to-be-smoked cigarettes, or fresh cabbage
leaves ready for cooking—but the leftovers of quotations, the unusable
portions here added to the book’s metaphorical ‘recipe’ from sheer
perversity, or dirty-mindedness. Even if this were true of Joyce (and I
don’t think it is) it would not apply to Eliot, whose ‘traditional’ formal
and stylistic textual strategies are enhanced by her epigraphy—much of Introduction 21 which is original writing by Eliot herself—in a way that discloses, rather
than encloses, meaning. Colin Burrow argues that ‘what has tended to be marginalised in the
more recent history of imitation is the aspect of it that was most central to
the rhetorical tradition’, namely ‘that is the view that the imitator learns
from an exemplum: a practice rather than a series of texts or a sequence
of words, and that the end of imitation is the acquisition of a habituated
skill, rather than a specific set of actions or phrases’. He is less interested
in imitatio, the strict or even slavish copying of some old master, and
more in what he calls hexis, the kind of spontaneous skill that comes
after long practice and imitation: the way years of scales and laboriously
worked-through practice of Beethoven and Chopin finds fruition with
the pianist who can so fluently, and seemingly effortlessly, move her
hands over the piano keyboard; the expert judgement of the experienced
surgeon’s cut, or the perfect in-the-moment contact between striker’s
foot and football to score a goal.29 Burrow does not discuss Middlemarch,
though the terminology seems peculiarly fitting to Eliot’s mature fiction. On the one hand, Eliot draws, in a distinctly post-Romantic manner, on
what we might call ‘nature’. Walter Jackson Bate imagines Romantic
artists, compelled by a nagging sense that imitation was mere plagiary,
despairing of ever being able to free their texts from intertextuality:
‘nature—life in all its diversity—is still constantly before us. Cannot
we force ourselves to turn directly towards it?’30 There’s no question
but that Eliot, in writing her novel, drew on her own experience of life
in the Midlands, and the people she had encountered. ) pp
p
g
30
Bate, Burden of the Past, p. 111. His own answer to this rhetorical question is, of
course: no—though in the case of Wordsworth, his main focus, a compelling and
revolutionary kind of poetic no. Introduction But of course
she also drew deeply on literature and literary convention. In part this
was a matter of reading novelists themselves informed by the complex
Romantic shift from a broader aesthetic of imitation to originality:
Goethe, Scott, Austen, Dickens, De Staël, George Sand and the like. But she tends to draw her epigraphs, and to make specific intertextual 22 Middlemarch 22 reference, less to these figures than to an older pre-Romantic tradition,
older English poetry, Elizabethan-Jacobean drama, Classical literature. In this she is not being derivative so much as she is crediting the larger
school at which she honed her hexis. Later in his study Burrow defines
hexis as a ‘habit of healthy fluency’ and ‘a stably possessed power and
disposition to do.’31 This neatly encapsulates the end-product of Eliot’s
immersion in literary antecedence. She works her originality (and for
the avoidance of doubt, let me say I believe Middlemarch is a profoundly
original novel) through her intertextual inhabitation of imitatio of the
classics. The latter informs the former. What we call ‘originality’ in literature, we call in politics ‘revolution’,
or at the very least ‘reform’; and in science we call ‘progress’, an advance
in efficacy or accuracy upon what has gone before. In these senses
Middlemarch not only works originally, it leverages its originality through
its metatextual concurrences. It is a cleverly self-referential meditation
upon the very notion of originality itself: originality in religion, in
science, in politics and, ultimately, in love. Adam Phillips quotes Jean Cocteau: ‘true originality consists in
trying to behave like everybody else without succeeding’. His point,
a pertinent one for a novel like Middlemarch (although that’s not what
Phillips is discussing), is that originality is actually a function of a
kind of community, or more specifically as a kind of falling away from
community: ‘it was once,’ he argues, ‘characteristically modern to
idealise originality, and to conceive of it as a form of failure. The fittest
as those who didn’t fit’. He continues: The Romantic concept of genius, after all—the apotheosis of originality—
was itself a kind of elegy for a lost community. All the solitary, disillusioned
moderns—Baudelaire, Kafka, Eliot, Beckett—are preoccupied by their
sociability: its impossibility, its triviality, its compromises, its shame. For
these writers ambition without irony flies in the face of the evidence;
a successful life was a contradiction in terms, because the Modernist
revelation was that lives don’t work. 32
Adam Phillips, ‘Getting Ready to Exist’, London Review of Books, 19.4 (1997), https://
lrb.co.uk/the-paper/v19/n14/adam-phillips/getting-ready-to-exist 31
Burrow, Imitating Authors, p. 92. 31
Burrow, Imitating Authors, p. 92. Introduction A certain revulsion was integral to
their vision.32 Revulsion overstates Eliot’s approach, of course; but she certainly shares
this insight that the opposite of originality is not ‘tradition’ so much as Introduction 23 social conformism. As a novel Middlemarch construes what another writer
might portray as stifling and procrustean about the restrictive dynamics
of polite Middlemarchian society in warmer, often comic ways. But that’s
not to say there’s any mistaking them for the claustrophobia-inducing
limitations that they are. The most acute ‘originality’ in this novel, then, is not Lydgate’s
failures as a medical researcher, nor Casaubon’s failures to revolutionise
the study of comparative mythology, both of which lead both men
further into the thickets of social conformity and convention. It is rather
the way Dorothea and Ladislaw are able, at the end, to slip out of the
net of the novel’s textual society, and therefore out of textuality itself,
altogether. It is an original way to end a novel in the bald sense—in the
sense that no other writer had thought to in-effect erase their protagonist
as the denouement of their story—but more than that, in a deeper sense,
it achieves originality through a kind of fidelity, or at least through the
assertion of such: for all we are told about Dorothea is that she lives
faithfully a hidden life, and rests in unvisited tombs. The fidelity is itself
pointed up by a literary allusion, to Herodotus, that is as much mythic
as it is historical, an allusion discussed below. The larger point is that
such quotation and epigraphy are not merely recidivist. On the contrary,
they construe a path into a kind of newness, as I argue in what follows. 1
Surveying Eliot’s complete works, David Higdon tabulates all the epigraphs (‘or
mottoes as George Eliot chose to call them’) and arrives at the following numbers:
‘There are 225 of them in her works—96 of them original and 129 drawn from the
works of fifty-six identified and eight anonymous authors’. ‘George Eliot and the
Art of the Epigraph’, p. 128.
2
Lewes’ assessment is quoted in Valerie Dodd, George Eliot: an Intellectual Life p g
p
p
2
Lewes’ assessment is quoted in Valerie Dodd, George Eliot: an Intellectual Life
(Macmillan 1990), p.213 1
Surveying Eliot’s complete works, David Higdon tabulates all the epigraphs (‘or
mottoes as George Eliot chose to call them’) and arrives at the following numbers:
‘There are 225 of them in her works—96 of them original and 129 drawn from the
works of fifty-six identified and eight anonymous authors’. ‘George Eliot and the
Art of the Epigraph’, p. 128.
2
Lewes’ assessment is quoted in Valerie Dodd, George Eliot: an Intellectual Life
(Macmillan 1990), p.213 1. Eliot’s Double Mirror Many of the chapter epigraphs in Middlemarch are quoted from
specifically attributed sources: ‘Shakespeare’, ‘Old Song’ and so on. Others come without attribution, and in these cases Eliot herself is the
author—a snatch of poetry, or an excerpt from an Elizabethan-sounding
play, which she is passing-off as a ‘quotation’.1 Take, for instance, the
epigraph to Part 8 Chapter 72, near the end of the novel: Full souls are double mirrors, making still
An endless vista of fair things before,
Repeating things behind. Full souls are double mirrors, making still
An endless vista of fair things before,
Repeating things behind. These words are Eliot’s own work. The image of the ‘double mirror’,
though, is not original to her. It comes from Blaise Pascal, via George
Sand. These words are Eliot’s own work. The image of the ‘double mirror’,
though, is not original to her. It comes from Blaise Pascal, via George
Sand. This is interesting for several Eliot-related reasons. Take Sand, for
example: George Henry Lewes championed the French novelist, met
her in person and encouraged Eliot to read her (in 1842, Lewes wrote
that Sand was ‘the most remarkable writer of the present century […]
infinitely more than novelist, she is a Poet, not of the head alone, but of
the heart’), advice Eliot certainly followed.2 Indeed, it became something
of a commonplace in contemporary critical reactions to Eliot to equate
her with Sand. When Sidney Colvin, in his discerning review of Daniel Deronda,
remarked, ‘the art of fiction has reached its highest point in the hands of © 2021 Adam Roberts, CC BY 4.0 https://doi.org/10.11647/OBP.0249.01 26 Middlemarch two women in our time’ he was merely echoing a sentiment which had
been expressed many times in the preceding fifteen years.3 two women in our time’ he was merely echoing a sentiment which had
been expressed many times in the preceding fifteen years.3 But while there have been journal articles and even whole PhDs, written
on Eliot and Sand, there has been, to my knowledge, very little on Eliot
and Pascal.4 This is strange, since we know that Eliot read Pascal’s
Pensées avidly from a young age. Pascal provides the epigraph to both
Middlemarch’s 33rd and 75th chapters: ‘Qui veut délasser hors de propos,
lasse’ and ‘Le sentiment de la fausseté des plaisirs présents, et l’ignorance
de la vanité des plaisirs absents causent l’inconstance’, respectively. 3
Patricia Thomson, ‘The Three Georges’, Nineteenth-Century Fiction, 18.2 (1963),
137–50 (p. 137), https://doi.org/10.1525/ncl.1963.18.2.99p0183d
4
See for example Alexandra K. Wettlaufer, ‘George Sand, George Eliot, and the
Politics of Difference’, The Romanic Review, 107.1–4 (2016), 77–102, https://doi.
org/10.1215/26885220-107.1-4.77; Daniel Vitaglione, George Eliot and George Sand:
A Comparative Study (unpublished PhD thesis, University of St Andrews, 1990),
http://hdl.handle.net/10023/15069 5
Eliot, Middlemarch, ch. 3. 4
See for example Alexandra K. Wettlaufer, ‘George Sand, George Eliot, and the
Politics of Difference’, The Romanic Review, 107.1–4 (2016), 77–102, https://doi.
org/10.1215/26885220-107.1-4.77; Daniel Vitaglione, George Eliot and George Sand:
A Comparative Study (unpublished PhD thesis, University of St Andrews, 1990),
http://hdl.handle.net/10023/15069 3
Patricia Thomson, ‘The Three Georges’, Nineteenth-Century Fiction, 18.2 (1963),
137–50 (p. 137), https://doi.org/10.1525/ncl.1963.18.2.99p0183d 6
George Sand, Letters of a Traveller, trans. by Eliza A. Ashurst (London: Churton,
1847), p. 142
7
Blaise Pascal, Pensées, introduction by T. S. Eliot (New York: E. P. Dutton & Co., 1958),
https://www.gutenberg.org/files/18269/18269-h/18269-h.htm 1. Eliot’s Double Mirror One of the first things we learn about Dorothea, at the beginning of the
very first chapter, is that she ‘knew many passages of Pascal’s Pensées’
by heart, passages which illuminated for her ‘the destinies of mankind
[…] by the light of Christianity’. And one of the reasons she considers
marrying Casaubon is that she is able to persuade herself ‘it would be
like marrying Pascal. I should learn to see the truth by the same light as
great men have seen it by’.5 So what of that epigraph to Chapter 72, with
its comparison of ‘full souls’ to ‘double mirrors, making still/an endless
vista of fair things before,/Repeating things behind’? We know that Eliot read Sand’s Lettres d’un voyageur (1837). Here’s a
relevant passage from the English version of that novel: I do not exactly know what Pascal meant by those ‘pensées de derrière la
tête,’ which he reserved as a reply to polemical objections, or for denying
in secret what he feigned to accept openly. This was most probably, the
Jesuitism of intellect, forced to bend to outward duty, but nevertheless
involuntarily rebelling against the absurd decision. To me, the expression
seemed a terrible one. It has not only been met with amongst his ‘Pensées,’
but written separately on a piece of paper, and conceived somewhat in
this way: ‘And I also, I shall have my “thoughts from the back of the
head.”’ Oh! mournful words, drawn from a desolate heart! Alas! there
are days when the human heart is like a double mirror, where one 1. Eliot’s Double Mirror 27 surface sends back to the other the reverse of those objects it has received
in front.6 The visible extent of the world visibly exceeds us; but as we exceed little
things, we think ourselves more capable of knowing them. And yet we
need no less capacity for attaining the Nothing than the All. Infinite
capacity is required for both, and it seems to me that whoever shall
have understood the ultimate principles of being might also attain to the
knowledge of the Infinite. The one depends on the other, and one leads to
the other. These extremes meet and reunite by force of distance and find
each other in God, and in God alone. The ‘middle’ of Middlemarch is, as we first take it, a place, a geographical
locator: a town in the Midlands, the central territory of this British
island. Then, as we read, we understand that the middle of this novel
is its subject: neither the aristocracy nor the very poor, neither the
extraordinarily virtuous nor the melodramatically wicked. The novel
as an aesthetic project calibrated carefully to walk a middling path
between fantasy and documentary. But there is, I think, another sense in
which the novel middles its vision. In tacit answer to Pascal’s question
‘Qu’est-ce qu’un homme dans l’infini?’ Eliot says: infinite greatness and
infinite divisibility both would annihilate us, and so it must be that we
are where we are, in the middle between these two things. Middlemarch
is neither concerned with infinitesimals and trivia, nor does it have
pretensions to talk in windily cosmic terms. It is a novel about ordinary
people and the ordinary things that happen to them, and in this is,
precisely, its knowledge of the infinite. It has to be, as the narrator notes
in one of the novel’s most famous passages, since either of Pascal’s
infinities could collapse our minds: ‘if we had a keen vision and feeling
of all ordinary human life, it would be like hearing the grass grow and
the squirrel’s heart beat and we should die of that roar which lies on the
other side of silence. As it is, the quickest of us walk about well wadded
with stupidity’.8i Pascal finds in our middle-ness a sign of divine providence: ‘Car
enfin qu’est-ce que l’homme dans la nature?’ he asks. What then is man
in nature? surface sends back to the other the reverse of those objects it has received
in front.6 surface sends back to the other the reverse of those objects it has received
in front.6 Sand’s image of the human heart as a ‘double-mirror’ (the original is: ‘le
cerveau humain est comme un double miroir dont une glace renvoie à
l’autre le revers des objets qu’elle a reçus de face’) implies facing mirrors
each reflecting the other in a kind of mise-en-abîme—Eliot’s ‘endless vista’
brings this out. It’s clear that Sand’s image riffs, explicitly, on Pascal’s
idea of ‘thoughts from the back of the head’,7 and that’s an idea that has
a manifest resonance for what Middlemarch is doing as a novel. g
What is at the back of Dorothea’s head, so late in the novel as chapter
72? Life has finally freed her from Casaubon, and she is independent and
wealthy. ‘A husband would not let you have your plans’, Celia rebukes
her, to which Dorothea snaps: ‘As if I wanted a husband!’ What plans? To aid Lydgate, caught-up in the scandal of Bulstrode’s fall, and widely
thought guilty-by-association or perhaps even a co-conspirator, although
believed by Dorothea blameless (as, actually, he is). Her brother-in-law
and uncle, over dinner, rebuke Dorothea’s naivety, but presumably that’s
not what is referred to by the ‘foil or shadow acting like an iron spring
within the brain’ here. Presumably there’s something else going on. The
forward part of her head is sure she wants no husband, but the back of
her head knows better, and between these two mirrors her soul is cast
into its amoureuse, or malamoureuse, mise-en-abîme. Dorothea wants
her independence, and that independence means the power to choose
the partner her heart desires, but choosing Ladislaw means sacrificing
her financial security and therefore her independence just as it means
acquiring, for a second time, a husband. As if I wanted a husband! Pascal’s 72nd pensée, ‘On Man’s Disproportion’, includes his
celebrated thoughts on the ‘double infinity’ that frames the human
condition, caught as we are between the infinitely large and the infinitely
small. Of these ‘deux infinis’ Pascal insists: If we are well informed, we understand that, as nature has graven her
image and that of her Author on all things, they almost all partake of
her double infinity […] We naturally believe ourselves far more capable 28 Middlemarch 28 of reaching the centre of things than of embracing their circumference. 8
Eliot, Middlemarch, ch. 22. surface sends back to the other the reverse of those objects it has received
in front.6 And he answers himself: ‘un néant à l’égard de l’infini, un
tout à l’égard du néant, un milieu entre rien et tout’; he is nothing in
relation to infinity, and he is everything in relation to nothingness, he
is the midpoint between nothing and everything. We are where we 1. Eliot’s Double Mirror 29 are, says Pascal, because that is where God has put us: ‘la nature ayant
gravé son image et celle de son auteur dans toutes choses, elles tiennent
presque toutes de sa double infinité’.9 Nature has engraved its image
and that of its Creator in all things; almost everything derives from its
double infinity.i Moreover, in arguing that humanity is strung between ‘two infinities’
Pascal also means that we exist between the infinite stretch of time before
our birth and the time that stretches out, infinitely far, after our death. ‘When’, he says in the Pensées I consider the short duration of my life, swallowed up in the eternity
before and after, the small space which I fill, or even can see, engulfed
in the infinite immensity of spaces whereof I know nothing, and which
know nothing of me, I am terrified, and wonder that I am here rather
than there, for there is no reason why here rather than there, or now
rather than then. Who has set me here? By whose order and design have
this place and time been destined for me?—Memoria hospitis unius diei
prætereuntis. It is not well to be too much at liberty. It is not well to have
all we want.10 ‘The eternal silence of these infinite spaces alarms me,’ shudders Pascal. Le silence éternel de ces espaces infinis m’effraie. Eliot, however, is not afraid. And that, I think, says something important about her art. As a writer
she’s really not very interested, as a Joseph Conrad or an Emil Cioran
might be, in existential dread and terror. On the contrary: Eliot’s ‘middle’
inverts the Pascalian framing—not, as it might be, a little life surrounded
on either side by terrifying infinities of lifelessness, but a little death,
Casaubon’s, bookended by two zones of life, love and hope. Perhaps
it looks odd to describe Dorothea’s starting point, back in the novel’s
early chapters as being one of love. ,
,
10
Pensées, 205. The Latin is from the apocryphal Wisdom of Solomon [5:14]: the King
James Version translates this line as ‘the remembrance of a guest that tarrieth but a day’. 9
Pascal, Pensées, 72. surface sends back to the other the reverse of those objects it has received
in front.6 I suppose it’s more conventional
to think of her as just misguided (although it’s pretty condescending
to Dorothea as a person to tell her, ‘no my dear you’re not really in love
with Casaubon, you’re just casting around for some way to express your
nascent spiritual yearning’). But what if—she isn’t? Is it so impossible to
believe she actually did love Casaubon? Perhaps, for all her austerity of
manner, what most defines Dorothea is precisely a kind of spontaneous
excess of love. 30 Middlemarch With this Pascal-via-George-Sand verse epigraph to the first chapter of
Book 8, it is instructive to look at the epigraph to Book 8’s (and the
novel’s) very last chapter. From the soul as a double-mirror we shift to
the heart as preserved in a miraculous supersaturation of love: Le cœur se sature d’amour comme d’un sel divin qui le conserve; de là
l’incorruptible adhérence de ceux qui se sont aimés des l’aube de la vie,
et la fraicheur des vielles amours prolongés. Il existe un embaumement
d’amour. C’est de Daphnis et Chlöe que sont faits Philémon et Baucis. Cette vieillesse là, ressemblance du soir avec l’aurore.—VICTOR HUGO:
L’homme qui rit. The heart is saturated with love as with a divine salt that preserves it;
there is an incorruptible coherence to those who have loved in the dawn
of their life that brings freshness to old, long-lasting loves. It is, as it were,
an embalming of love. It is out of Daphnis and Chloe that Philemon
and Baucis are made. In such an old age, the evening harks back to the
dawn.—VICTOR HUGO: The Man Who Laughs. This is Eliot’s inversion—her mirror image, we could say—of Pascal’s
two, terrifying eternities of blankness: a life bookended by love and
preserved by the connection, the reflection, of the one in the other. It’s a heartening way of looking at life, and long-term relationships;
but it is also the way Eliot has chosen to frame her novel. The shape of
Middlemarch is a death between two loves. The novel’s ‘Finale’, Eliot’s epilogue, presents itself to the reader
without any epigraph. But it still, by way of concluding Dorothea’s
story, or more precisely by way of declining exactly to conclude her
story, manages to strike a beautiful, plangent note. Ends, says Eliot,
are beginnings, and neither is the terrifying eternity of silence that so
affrighted Pascal. surface sends back to the other the reverse of those objects it has received
in front.6 ‘Every limit is a beginning as well as an ending […]
marriage, which has been the bourne of so many narratives, is still a
great beginning’. Dorothea cannot live as a grand heroic Theresa or
Antigone, Eliot tells us, because ‘the medium in which their ardent
deeds took shape is forever gone’—but a new, quotidian medium has
come about, just as dramatically and morally engaging. ‘Medium’ in the
sense of environment becomes medium in the sense of middle. Her finely touched spirit had still its fine issues, though they were not
widely visible. Her full nature, like that river of which Cyrus broke the
strength, spent itself in channels which had no great name on the earth. 1. Eliot’s Double Mirror 31 31 But the effect of her being on those around her was incalculably diffusive:
for the growing good of the world is partly dependent on unhistoric acts;
and that things are not so ill with you and me as they might have been,
is half owing to the number who lived faithfully a hidden life, and rest
in unvisited tombs.11 So I revert to my earlier question—in the middle of what?—by picking
up the suggestion that one of the things this great novel mediates is
a kind of mutual doubled speculum. I have already touched upon
the commonplace by which ‘the mirror’ has long been a trope of art
as such, and ‘realism’, that complicated term, such as Eliot writes is
supposed precisely to hold, as it were, the mirror up to nature. Eliot’s
self-reflexive textual mirrors, though, tend to be more complex than a
simple foursquare reflection. And I have already quoted Adam Bede’s
Escher-like opening image: With a single drop of ink for a mirror, the Egyptian sorcerer undertakes
to reveal to any chance comer far-reaching visions of the past. This is
what I undertake to do for you, reader. With this drop of ink at the end
of my pen, I will show you the roomy workshop of Mr. Jonathan Burge,
carpenter and builder, in the village of Hayslope, as it appeared on the
eighteenth of June, in the year of our Lord 1799.12 But the Middlemarch-ian mirror, via its Pascalian doubling, involves a still
more complex narrative strategy, because it is deliberately self-reflexive. 13
George Henry Lewes, ‘Realism in Art: Recent German Fiction’, Westminster Review,
70 (1858), 493–94. 11
Eliot, Middlemarch, ‘Finale’.
12
Eliot, Adam Bede, ch. 1.
13
George Henry Lewes, ‘Realism in Art: Recent German Fiction’, Westminster Review,
70 (1858), 493–94. 11
Eliot, Middlemarch, ‘Finale’. 12
Eliot, Adam Bede, ch. 1. 14
Fredric Jameson, The Antimonies of Realism (London: Verso Books, 2014), pp. 133–34
15
See for instance, H. S. Jones, Intellect and Character in Victorian England: Mark Pattison
and the Invention of the Don (Cambridge: Cambridge University Press, 2007), https://
doi.org/10.1017/cbo9780511660283 and A. D. Nuttall, Dead from the Waist Down.
Scholars and Scholarship in Literature and the Popular Imagination (New Haven: Yale
University Press, 2003). ‘Early in 1869 Frances Pattison was introduced to George
Eliot. Their friendship blossomed and by late summer they were on intimate
terms. In November 1870, five months after a memorable visit to the Pattisons in
Oxford, Eliot began work on the story of Dorothea Brooke. Since the publication
of Middlemarch, readers and critics have speculated about the extent to which
Dorothea’s arid union with Casaubon was modelled on the failed marriage of Mark
and Frances Pattison. The relative ages of the partners, the husband’s prematurely
withered appearance (“his deep eye-sockets, those two white moles with hairs on
them, a bitterness in the mouth and a venom in the glance”), and of course the
name Casaubon itself, all suggest a deliberate likeness. In public, Frances Pattison,
who remained on good terms with Eliot, always denied having read the book, but
Dilke stated plainly, on his wife’s authority, that “the religious side of Dorothea
Brooke was taken by George Eliot from the letters of Mrs. Pattison,” and that
Casaubon’s letter proposing marriage to Dorothea “at the beginning of the fifth
chapter in Middlemarch, from what George Eliot herself told me in 1875, must have
been very near the letter that Pattison actually wrote, and the reply very much the
same”’. Peter Thonemann, ‘Wall of Ice’, London Review of Books, 30.3 (2008), 23–24. surface sends back to the other the reverse of those objects it has received
in front.6 Eliot’s novel is both a reflection, scrupulously researched, of an English
Midlands town in the late 1820s and 1830s, and a self-reflection, a
meditation on the scope and nature of Eliot’s own art—as in the novel’s
famous last paragraphs. The impossible Pascalian ‘infinity’ that frames
the project of realism (what George Henry Lewes pegged as ‘Truthism’,
and which he opposed ‘not to Idealism but to Falsism’)13 is, surely, the
idea of total vision.l The perfect mirror would reflect everything, just as the perfect realist
novel would capture everything. Impossibilities, both, of course. Eliot’s
double mirror, though, by turning on itself shrinks that bad infinity
down into itself. Eliot achieves her total vision by not attempting totality, 32 Middlemarch 32 as when she so elegantly and deliberately steps away as narrator from
the latter phase of Dorothea’s life. Fredric Jameson wonders whether
‘the bad totalization projected by Casaubon’s Key to All Mythologies’
isn’t ‘the caricature and distorted mirror image of Eliot’s own achieved
totalization in Middlemarch itself’.14 It’s an argument with some appeal,
except that a key is a different kind of thing to a mirror. f
It has to do, I think, with Eliot’s deftness, the way her writing both
convincingly ‘reflects’ the world she is describing (in the sense that she
compels readerly belief in that world) and ‘self-reflects’ on her own
practice as she goes along. Her praxis becomes part of her world, and the
world becomes part of her praxis. It is a complex mimesis, I think, and
richer and more compelling than the plainer Zola-esque or Gissing-y
realism discussed above. f How is a key different to a mirror? Critics have explored the extent to
which Eliot based her Casaubon upon her contemporary Mark Pattison,
the brilliant intellect and Rector of Lincoln College Oxford whose
sexless, miserable marriage and ultimate failure to capitalise upon his
youthful scholarly potential find parallels in Eliot’s character. Among
the harder to ignore parallels between Pattison and Casaubon is that
Pattison actually published a book on Casaubon—Isaac Casaubon,
that is, the sixteenth-century Swiss theologian.15 Pattison’s Casaubon, 1. 16
Mark Pattison, Isaac Casaubon 1559–1614 (London: Longmans, Green and Co.,
1875), p. 59
17
Gillian Beer, Darwin’s Plots: Evolutionary Narrative in Darwin, George Eliot and
Nineteenth-Century Fiction (London: Routledge and Kegan Paul, 1983), pp. 151–52 surface sends back to the other the reverse of those objects it has received
in front.6 Eliot’s Double Mirror 33 not unlike Eliot’s Casaubon, hesitated in the face of the attempt at
systematic or complete knowledge, and if the historical Casaubon, at
least according to Pattison, did so for reasons of more spiritual cogency
than either intellectual timidity or lack of subject knowledge, the final
result is not all that different. The depreciation of his own performance, which was one of Casaubon’s
mental habits, was founded on the disparagement of secular knowledge
in comparison of piety. But it was further connected with that oppression
of mind, which the infinity of knowledge lays upon its votaries. […]
The thought quantum est quod nescimus [‘how small the amount we can
know’]—Heinsius’ motto—keeps him not only humble, but despondent. Even in science, some of the greatest men have shared the sense of baffled
endeavour. Newton’s pebbles on the sea-shore are become proverbial. Laplace’s dying words were, ‘l’homme ne poursuit que de chimères’
[‘mankind pursues nothing but chimeras’] […] Research is infinite; it
can never be finished.16 This glosses the nature of research, but it does more: it construes the
character of the researcher, and as such it speaks to another of Eliot’s
prime concerns in this novel: character. In her account of the novel,
Gillian Beer stresses how ‘Eliot emphasises the congruity between
all the various processes of the imagination, the novelist’s and the
scientist’s’, adding that she articulates an ‘imagery of transcendence’:
‘the microscope and the telescope, by making realisable the plurality
of worlds, of scales and existences beyond the reach of our particular
sense organisation were a powerful antidote to that form of positivism
which refused to acknowledge possibilities beyond the present and
apparent world’.17 It is an insight that leads nicely into an examination
of the microscopic potency of Eliot’s characterisation in this novel. A
key opens a door, a linear operation; a lens opens in a more fractal
mode, whole new vistas and worlds: the connection not of finitude to
finitude, but our mortal limitation to something infinite. A fragment is
an incompleteness, but ‘it can never be finished’ is not the same thing as
‘it is mortal’, and Eliot’s focus is always on this latter and never on the
potsherd, the remnant, the eighteenth-century folly. The past, for her,
lives in the present, or else it is a kind of inertness. 1
Eliot, Middlemarch, ch. 6. Middlemarch 36 unsullied beauty of a maiden’s face to an apple of some peculiar kind,
which, when all the rest of the fruit is gathered from the tree, remains
alone at an unattainable height, and drinks in the whole vigour of
vegetation; or rather (to give the simple words of the poetess in which the
thought is placed before us and gradually heightened with great beauty
and nature): ‘like the sweetapple which ripens at the top of the bough,
on the topmost point of the bough, forgotten by the gatherers—no, not
quite forgotten, but beyond their reach’.2 unsullied beauty of a maiden’s face to an apple of some peculiar kind,
which, when all the rest of the fruit is gathered from the tree, remains
alone at an unattainable height, and drinks in the whole vigour of
vegetation; or rather (to give the simple words of the poetess in which the
thought is placed before us and gradually heightened with great beauty
and nature): ‘like the sweetapple which ripens at the top of the bough,
on the topmost point of the bough, forgotten by the gatherers—no, not
quite forgotten, but beyond their reach’.2 Müller adds a footnote: ‘the fragment is in Walz, Rhetores Graeci, vol. viii. p. 883’ and quotes the Greek: οἷον τὸ γλυκύμαλον ἐρυεθεται ἄκρῳ ἐπ ̓ὕσδῳ,
ἄκρον ἐπ ̓ἀκροτάτῳ, λελάθοντο δὲ μαλοδρόπηες,
οὐ μὰν ἐκλελάθοντ΄͵ ἀλλ΄ οὐκ ἐδύναντ΄ ἐπίκεσθαι … Sappho may have written as many as 10,000 lines of poetry, although
today fewer than seven hundred lines survive. Despite her once
widespread popularity, she fell out of favour in the centuries after her
death, either because the Aeolic dialect of Greek in which she wrote came
to be considered ugly, or else because of disapproval by the Christian
church at her bisexuality. For most of the last thousand years Sappho
has been known only by those poems and fragments that happened
to be recorded by other writers: one whole poem, three partial poems
and various shorter fragments and pieces, down (sometimes) to single
words. Sappho’s poems had been extracted from these sources and
published in separate volumes as early as the 1550s, and in 1681 the
French scholar Anne Le Fèvre published an edition of Sappho that made
her work more widely known across Europe. Then, in 1879, a papyrus
containing a new fragment of Sappho was discovered at Faiyum in
Egypt. 2
Karl Otfried Müller, History of the Literature of Ancient Greece, trans. by George
Cornewall Lewis (London: n.p., 1840), 178–79. 2. Sappho’s Apple To step back from the last book of Middlemarch to the first. Eliot’s story
opens with the general expectation among her friends and family that
Dorothea will marry Sir James Chettam, the eligible and hearty if
rather dim young baronet. This, of course, does not happen. Instead
she becomes betrothed to Casaubon. But if Dorothea and Casaubon are
mismatched, Dorothea and Sir James would have been just as ill-suited
to one another, if in a different way, and surely everybody in the novel
knows as much. Still, matchmaker Mrs. Cadwallader is not thereby
discouraged: It followed that Mrs. Cadwallader must decide on another match for
Sir James, and having made up her mind that it was to be the younger
Miss Brooke, there could not have been a more skilful move towards
the success of her plan than her hint to the baronet that he had made
an impression on Celia’s heart. For he was not one of those gentlemen
who languish after the unattainable Sappho’s apple that laughs from the
topmost bough.1 We take the point of her allusion: Sir James is a down-to-earth fellow, not
the sort to go mooning after unattainable women. We take the point of her allusion: Sir James is a down-to-earth fellow, not
the sort to go mooning after unattainable women. Where did Eliot come across the ‘Sappho’s apple’ reference? It is
from Karl Otfried Müller’s History of the Literature of Ancient Greece to the
Period of Isocrates, which had appeared in English in 1840—translated
by the man who was, a few years after its publication, to become Eliot’s
lover, and whom she considered her husband, George Henry Lewes. This is what Lewes’s Müller says: In a fragment lately discovered, which bears a strong impression of the
simple language of Sappho, she compares the freshness of youth and the https://doi.org/10.11647/OBP.0249.02 https://doi.org/10.11647/OBP.0249.02 © 2021 Adam Roberts, CC BY 4.0 Middlemarch Middlemarch Many more papyri have been discovered since that date, and
our knowledge of Sappho is more extensive nowadays than at any time
since classical antiquity. But such ‘new’ Sappho poems lay in the future
as Eliot wrote Middlemarch. Nonetheless, Müller in the 1840s describes Sappho’s apple poem as
‘a fragment lately discovered’. He does so, despite the fact that he was
writing long before the discovery of any new Sappho papyri. How so? 2. Sappho’s Apple 37 Because another scholar, Christian Walz, had worked through collections
of unpublished manuscripts kept in various libraries and private
collections in various European cities and in doing so had discovered
a number of previously unknown words, lines and passages quoted by
the manuscripts’ authors. Walz published these in a book called Rhetores
graeci, ‘Rhetoricians of Greece’, a work which appeared simultaneously
in Stuttgart, London and Paris. Much of what Walz had discovered was
fairly dull, but some bits and pieces were more exciting—for instance,
the three-line poem Müller quotes, which Walz had found in Syrianus’s
commentary on Hermogenes’ On Forms (4th century BCE). Walz does
not specifically identify this verse as being by Sappho (hence Müller’s
caution: ‘a fragment which bears a strong impression of the simple
language of Sappho’) although modern scholars are happier to make
the attribution on the grounds of its dialect and closeness to the other
things we know Sappho wrote. When, precisely, was this ‘fragment lately discovered’ discovered? You can see for yourself with Walz’s title page (see Fig. 1) 1832: just the period in which Middlemarch is set. This reference to
‘Sappho’s apple’, which Eliot came across in the book her lover had
translated into English, could hardly be, in terms of the imagined world
of Middlemarch, more up-to-date. A brand-new portion of Sappho had
come into the world just as Eliot’s story is unfolding, and her narrator
knows all about it. It is, in other words, another instance of the scrupulousness and
precision with which Eliot undertook the research that undergirds her
novel. 3
See for instance, Meg M. Moring, ‘George Eliot’s Scrupulous Research: The Facts
behind Eliot’s Use of the “Keepsake in Middlemarch”’, Victorian Periodicals Review,
26.1 (1993), 19–23 and Jerome Beaty, Middlemarch from Notebook to Novel: A Study of
George Eliot’s Creative Method (Illinois: University of Illinois Press, 1960). Middlemarch This aspect of her creative praxis has become, for good reason,
one of the axioms of Eliot scholarship.3 And if part of that labour
was in the service of what we might call, though it is a slippery term,
‘verisimilitude’—creating the textual conditions into which readers
might safely suspend their disbelief in a positive sense, with precisely
observed detail, and in a negative by avoiding the kinds of errors that
‘bounce’ a reader out of her faith in the story—another part consisted
in assembling a matrix of textual reference, like this Sappho allusion,
in which the story of Middlemarch itself might be situated and fortified. 38 38 Middlemarch 2. Sappho’s Apple The Garth family, which was rather a large one, for Mary had four
brothers and one sister, were very fond of their old house, from which
all the best furniture had long been sold. Fred liked it too, knowing it by
heart even to the attic which smelt deliciously of apples and quinces, and
until to-day he had never come to it without pleasant expectations.4 Apples (plus quinces) are again elevated as a sign of the not-immediately-
accessible love object, here located in the bourgeois comfort of a
spacious house (such material considerations also being part of Mary’s
appeal to Fred). First, though, he must ‘make his confession before Mrs. Garth, of whom he was rather more in awe than of her husband’—and
whom, significantly, he encounters in the kitchen ‘her sleeves turned
above her elbows […] pinching an apple-puff’—although she is herself
described in terms of a different fruit, or fruit product: ‘the passage from
governess into housewife had wrought itself a little too strongly into
her consciousness […] the exemplary Mrs. Garth had her droll aspects,
but her character sustained her oddities, as a very fine wine sustains a
flavour of skin’. Apples more than once symbolically situate the Edenic
possibilities offered, for Fred and also for Farebrother, represented by
marriage to Mary and a place in amongst the Garths: Caleb, rather tired with his day’s work, was seated in silence with his
pocket-book open on his knee, while Mrs. Garth and Mary were at their
sewing, and Letty in a corner was whispering a dialogue with her doll,
Mr. Farebrother came up the orchard walk, dividing the bright August
lights and shadows with the tufted grass and the apple-tree boughs.5 Farebrother, when he recognises that Mary loves not him but Fred,
eventually does the decent thing. Still, one of the things Eliot is doing
here is contrasting the elevated Sapphic of Dorothea with the more
figuratively and literally down-to-earth apple of Mary Garth. Farebrother, when he recognises that Mary loves not him but Fred,
eventually does the decent thing. Still, one of the things Eliot is doing
here is contrasting the elevated Sapphic of Dorothea with the more
figuratively and literally down-to-earth apple of Mary Garth. Mr. Farebrother left the house soon after, and seeing Mary in the orchard
with Letty, went to say good-by to her. 4
Eliot, Middlemarch, ch. 24.
5
Ibid., ch. 40. Fig. 1 Christianus Walz, Rhetores Graeci, vol. 1 (Stuttgart and Tubingen: J. G. Cotta,
1832), title page, https://www.google.co.uk/books/edition/Rhetores_
Graeci_ex_codicibus_Florentinis/KzTGebC5F6gC?hl=en&gbpv=1.
Public domain. Fig. 1 Christianus Walz, Rhetores Graeci, vol. 1 (Stuttgart and Tubingen: J. G. Cotta,
1832), title page, https://www.google.co.uk/books/edition/Rhetores_
Graeci_ex_codicibus_Florentinis/KzTGebC5F6gC?hl=en&gbpv=1. Public domain. Fig. 1 Christianus Walz, Rhetores Graeci, vol. 1 (Stuttgart and Tubingen: J. G. Cotta,
1832), title page, https://www.google.co.uk/books/edition/Rhetores_
Graeci_ex_codicibus_Florentinis/KzTGebC5F6gC?hl=en&gbpv=1. Public domain. The apple, here, is Dorothea Brooke (it is perhaps not coincidental
that the ‘west brook’ is a variety of hard, speckled apple popular in
the nineteenth-century), but also it is Eliot’s particular correlative for
human love, not as a heavenly ideal, and neither down in the dirt, or too
easily apprehended. Later in the novel, in another of the story’s three
love stories, Fred Vincy rides to the house of Mary Garth, whom he
loves. The occasion for the visit is that, having misjudged the sale of a
horse, he is out of pocket. He owes a debt of £160 which Mary’s father
has co-signed, and he can only pay back £50, even though the shortfall
might ruin Mr. Garth. ‘But for Mary’s existence and Fred’s love for her’,
Eliot tells us, ‘his conscience would have been much less active both
in previously urging the debt on his thought and impelling him not to
spare himself after his usual fashion by deferring an unpleasant task,
but to act as directly and simply as he could’. So he rides out: 39 2. Sappho’s Apple 4
Eliot, Middlemarch, ch. 24. 2. Sappho’s Apple They made a pretty picture in
the western light which brought out the brightness of the apples on
the old scant-leaved boughs—Mary in her lavender gingham and black
ribbons holding a basket, while Letty in her well-worn nankin picked
up the fallen apples. If you want to know more particularly how Mary
looked, ten to one you will see a face like hers in the crowded street 40 Middlemarch 40 to-morrow […] some small plump brownish person of firm but quiet
carriage, who looks about her, but does not suppose that anybody is
looking at her. If she has a broad face and square brow, well-marked
eyebrows and curly dark hair, a certain expression of amusement in her
glance which her mouth keeps the secret of, and for the rest features
entirely insignificant—take that ordinary but not disagreeable person for
a portrait of Mary Garth. […] Mary admired the keen-faced handsome
little Vicar in his well-brushed threadbare clothes more than any man
she had had the opportunity of knowing […] it was remarkable that the
actual imperfections of the Vicar’s clerical character never seemed to
call forth the same scorn and dislike which she showed beforehand for
the predicted imperfections of the clerical character sustained by Fred
Vincy. Will any one guess towards which of those widely different men
Mary had the peculiar woman’s tenderness?—the one she was most
inclined to be severe on, or the contrary? ‘Have you any message for your
old playfellow, Miss Garth?’ said the Vicar, as he took a fragrant apple
from the basket which she held towards him, and put it in his pocket. ‘Something to soften down that harsh judgment? I am going straight to
see him.’6 Farebrother takes the apple, but Fred, Mary’s old playfellow, gets the
girl. And when Fred calls, later in the novel, to plight his troth, it will not
surprise us that he encounters the Garths, ‘the family group, dogs and
cats included, under the great apple-tree in the orchard’.7 Eliot provides
us with one last twist on this fructal theme. 6
Ibid.
7
Ibid., ch. 57.
8
Ibid., ‘Finale’. 2. Sappho’s Apple In her epilogue, by way of
gratifying her reader’s curiosity as to what has happened with her main
characters, Eliot confides: There were three boys: Mary was not discontented that she brought forth
men-children only; and when Fred wished to have a girl like her, she said,
laughingly, ‘that would be too great a trial to your mother.’ Mrs. Vincy
in her declining years, and in the diminished lustre of her housekeeping,
was much comforted by her perception that two at least of Fred’s boys
were real Vincys, and did not ‘feature the Garths.’ But Mary secretly
rejoiced that the youngest of the three was very much what her father
must have been when he wore a round jacket, and showed a marvellous
nicety of aim in playing at marbles, or in throwing stones to bring down
the mellow pears.8 41 2. Sappho’s Apple The shift from apples to pears marks the natural development from
generation to generation. There is, I suppose, some piquancy in the
allusion to Lady Macbeth (in the reference to exclusively male children)
there; although we can take this as a kind of irony. Few characters in
literature are less Lady-Macbeth-like than Mary Garth, after all. At the
same time there is something more than adventitious in the juxtaposition
of Sappho and Shakespeare in Eliot’s textual matrix. The out-of-reach
apple of Sappho stands for potential, for the start (perhaps) of something,
just as the Edenic apple stands at the mythic start of everything. But
Macbeth telling his wife that she should bring forth men-children
only9 looks forward to an eventuality that the play closes-down. It is,
in other words, the end of something—an end in which Lady Macbeth
leaping to her death from the castle battlements, like Sappho leaping
to her death from the cliffs of Lesbos, identifies as having to do with
despair, derangement and femaleness. Or to put it a slightly different
way, Macbeth is a play about the consequences of our actions. That looks,
perhaps, like an over-facile summary of Shakespeare’s great drama, but
it need not. Lady Macbeth, to a much greater extent than her husband,
believes her actions will be both beneficial to her and consequence-free. Accordingly it is Lady Macbeth who proves haunted by the fallout of
her choices. 9
William Shakespeare, Macbeth, I. 7. 73. 2. Sappho’s Apple Middlemarch avoids, of course, the grand guignol of Macbeth
in terms of bodily violence, but it is just as tightly focused on moral
violence, and reputational violence, as Shakespeare’s play. There’s another layer here, which has to do with the larger enframing
assumptions different modes bring to a novel like Middlemarch. It is a
mode of documentary verisimilitude, and it is an exemplary drama, a
myth. Fruit imagery in this novel might be read ‘mythically’, via Biblical
narratives of the fall of man, or Greek-mythological narratives (Atalanta’s
golden apple, Sappho’s high-growing apple, Hesperidean treasure),
or ‘scientifically’, as the mechanism by which trees make more trees,
the vehicle of inheritance as such. The cultural—and, as we’ll see with
other epigraphs and allusions, spiritual—inheritance of Middlemarch is
located in a web of intertextuality. 1
Eliot, Middlemarch, ch. 18. 3. Lydgate Winces:
Character and Realism I would like to talk a little more about middles. Middlemarch is a
medium place, and Middlemarch a medium novel. ‘Medium’ means both
middle (in a statistical, but also a general sense) and also environment,
surround, that inside which we subsist. For biologists a medium is a
nutrient solution for the growth of cells in vitro, which growth might of
course be observed through a microscope. For plankton, brine is their
medium. In a different sense, for human beings, as social creatures,
society is our medium. For chemistry and physics ‘medium’ refers to the
surrounding environment (solid, liquid, gas) or to the vacuum through
which signals, waves or forces pass. The second book of Middlemarch is about, amongst other things,
Lydgate settling himself into his new life. He has grand ambitions for
his medical research, looks forward to establishing the new hospital and
is generally restless. But whichever way Lydgate began to incline, there was something to
make him wince; and being a proud man, he was a little exasperated at
being obliged to wince. He did not like frustrating his own best purposes
by getting on bad terms with Bulstrode; he did not like voting against
Farebrother […] he, with his unmixed resolutions of independence and
his select purposes, would find himself at the very outset in the grasp of
petty alternatives.1 Why does he wince? In this specific case, it is because he has a say in whom
should be chaplain of the new hospital, and he is torn between voting
for his friend, Farebrother (and so alienating the powerful Bulstrode)
or voting for Bulstrode’s preferred candidate, Tyke, and disappointing Why does he wince? In this specific case, it is because he has a say in whom
should be chaplain of the new hospital, and he is torn between voting
for his friend, Farebrother (and so alienating the powerful Bulstrode)
or voting for Bulstrode’s preferred candidate, Tyke, and disappointing https://doi.org/10.11647/OBP.0249.03 https://doi.org/10.11647/OBP.0249.03 © 2021 Adam Roberts, CC BY 4.0 44 Middlemarch 44 his friend. In the end, Lydgate succumbs to the larger social forces and
gives up his purely personal preference in favour of Tyke. But as the
novel goes on we will see that Lydgate, despite his pride, intelligence
and drive, often winces. One of the reasons Lydgate likes Farebrother is that the two men
share a passion for amateur science. 3. Lydgate Winces:
Character and Realism In Chapter 17 Farebrother shows
Lydgate round his collections of biological specimens, insects and the
like. Lydgate takes a liking to an item in the vicar’s collection and offers
to swap it for something from his own: ‘I have some sea-mice—fine specimens—in spirits. And I will throw in
R b
t B
’
thi
‘Mi
i Ob
ti
th P ll
f ‘I have some sea-mice—fine specimens—in spirits. And I will throw in
Robert Brown’s new thing—‘Microscopic Observations on the Pollen of
Plants’—if you don’t happen to have it already.’2 Robert Brown’s new thing—‘Microscopic Observations on the Pollen of Robert Brown s new thing
Microscopic Observations on the Pollen of
Plants’—if you don’t happen to have it already.’2 Plants’—if you don’t happen to have it already.’2 This is the pamphlet he’s talking about. 2
Ibid., ch. 17. 4
For those interested: the true cause has to do with the kinetic nature of temperature.
What we perceive as heat and cold are substrates of atoms moving more or less
rapidly. The agitation of pollen grains (tiny to us, but vastly larger than the atoms
that make up the air) is them being struck on all sides by these moving and
ricocheting atomic particles. 3
M. Raspail, ‘Note on Mr Brown’s Microscopical Observations on the active
Molecules of organic and inorganic bodies’, Edinburgh Journal of Science, 10 (1829),
106–08 (p. 106). 3
M. Raspail, ‘Note on Mr Brown’s Microscopical Observations on the active
Molecules of organic and inorganic bodies’, Edinburgh Journal of Science, 10 (1829),
106–08 (p. 106).
4
For those interested: the true cause has to do with the kinetic nature of temperature.
What we perceive as heat and cold are substrates of atoms moving more or less
rapidly. The agitation of pollen grains (tiny to us, but vastly larger than the atoms
that make up the air) is them being struck on all sides by these moving and
ricocheting atomic particles. Fig. 2 Robert Brown, A Brief Account of Microscopical Observations on the Particles
Contained in the Pollen of Plants; and On the General Existence of Active Molecules
in Organic and Inorganic Bodies ([n.p.], 1828), title page, https://www. google.co.uk/books/edition/A_Brief_Account_of_Microscopical_Observa/
bz8-AAAAcAAJ?hl=en&gbpv=1. Public domain. Middlemarch 46 What Brown showed was that individual miniscule pollen grains are
in constant motion, jiggling from side to side—continually wincing, we
might say. He wasn’t able to show why they were. That was enough for
the phenomenon to be named after him. Darwin’s achievement later in
the century was similar: he argued that evolution happened, but, lacking
any knowledge of genetics or the existence of DNA, could not say how
hereditable traits were passed down. Eliot includes this reference to Brown’s pamphlet partly because it
is chronologically on-point for the 1828–32 timeline of her novel. But I
think she is doing something more. It is not just period specific window-
dressing: this pamphlet speaks to the way Eliot conceives of character
as such. Consider Lydgate. He has grand ambitions, a moral compass
and a sense of duty, he is clever and energetic, but he is, for all that, a
strangely passive individual, knocked back and forth by the miniature
forces of this miniature society. The novel does not pretend to explain, in
any radical sense, why this is the case, but it observes that it is the case,
for him, and also for almost all the people whose stories it tells. This is, I think, the best way of approaching the rather garish inset
story from Lydgate’s past, narrated in chapter 15. In France, we’re told,
young Lydgate fell in love with a beautiful, married actress, Mme Laure:
‘a Provençale, with dark eyes, a Greek profile, and rounded majestic
form’. We’re told that ‘Lydgate was in love with this actress, as a man is
in love with a woman whom he never expects to speak to’ until one day,
on stage in Paris, she stabs her actor-husband to death in front of the
audience. This action follows the playscript and Laure is not prosecuted:
the legal authorities decide that she slipped and accidentally killed her
husband when she was supposed to be only pretending to do so. Since
he happens to be present in the audience at this death, Lydgate leaps
onto the stage and cradles Mme Laure (she has fallen and hit her head). Afterwards he pays suit to her, eventually proposing marriage. But she
refuses him: ‘I will tell you something,’ she said, in her cooing way, keeping her arms
folded. ‘My foot really slipped.’ ‘I know, I know,’ said Lydgate, deprecatingly. 3. Lydgate Winces: Character and Realism 45 3. Lydgate Winces: Character and Realism As you can see from the title page, this pamphlet was never published. Brown had it privately printed (in 1828) and distributed copies to his
friends. Eliot is once again precisely situating her book in its time. If
Lydgate has a copy of Brown’s ‘new thing’ it must be because he is a
friend of Brown’s, or otherwise in Brown’s circle. It is, nonetheless, an extremely famous work. This pamphlet contains
important and influential observations concerning the medium through
which we all, speaking physically, move. Even though he did not press
them upon the public, Brown’s ideas were widely discussed and proved
profoundly influential through the century. It concerns what we now
call, after its author, ‘Brownian motion’: the agitation of pollen particles
as visible under magnification. Lots of us have done this experiment
at school (I certainly did): watch through a microscope as individual
pollen grains jiggle and tremble. They move because they are being
continually struck on all sides by the much smaller nitrogen, oxygen
and carbon-dioxide molecules that constitute the air, and which are
themselves in constant motion.i When Brown first observed ‘Brownian motion’ he could not explain
the agitation of the pollen grains he was observing. Indeed, it was not
until the beginning of the twentieth century that the real reason was
uncovered. All Brown knew is that pollen grains, observed through
a powerful microscope, shimmered with movement. The Edinburgh
Journal of Science, reviewing Brown’s pamphlet in 1829, speculated as to
the causes of ‘the phenomena of motion, which Mr. Brown left enveloped
in a sort of mystery, by representing them as inherent in the molecules
of organic and inorganic bodies’.3 Various explanations were proposed,
including the theory that the pollen was alive (like spermatozoa), that
the motion was electrical in origin, or else that it represented some
process of evaporation or other agitation in the medium. The question
was energetically debated through the century, although it wasn’t until
long after Eliot’s death that the true cause of Brownian motion was
definitively established, by Albert Einstein in 1904.4 Middlemarch 3. Lydgate Winces: Character and Realism ‘There was a secret, then,’ he said at last, even vehemently. ‘He was
brutal to you: you hated him.’ ‘No! he wearied me; he was too fond: he would live in Paris, and not
in my country; that was not agreeable to me.’ ‘Great God!’ said Lydgate, in a groan of horror. ‘And you planned to
murder him?’ ‘I did not plan: it came to me in the play—I meant to do it.’ ‘I did not plan: it came to me in the play—I meant to do it.’ Lydgate stood mute, and unconsciously pressed his hat on while he
looked at her. He saw this woman—the first to whom he had given his
young adoration—amid the throng of stupid criminals. ‘You are a good young man,’ she said. ‘But I do not like husbands. I
will never have another.’5 ‘You are a good young man,’ she said. ‘But I do not like husbands. I
will never have another.’5 This gruesome narrative inset comports oddly, I think, with the carefully
proportionate psychological and practical verisimilitude of the rest of
Middlemarch. It is a little islet of melodrama in an Eliotic sea of more
scrupulous literary realism. But it says something interesting about
character, and more specifically about the sorts of characters that more
usually inhabit Eliot’s universe. Mme Laure is a creature driven by a
will strong enough to commit murder. She acted not (which Lydgate
could have understood and condoned) by accident, nor because she
had been driven to murder by an abusive husband—two versions of
character passivity—but, on the contrary, because she wanted to act, out of
a perfect and pitiless agency. She was no pollen grain, jiggled around by
mysterious forces, but rather a nexus of volitional action. It is this fact,
as much as the crime she has committed, that repels Lydgate I think. And there is a canniness in Eliot’s vision here too: looking forward
to Lydgate’s (at this point) in-the-future falling in love with another
woman as implacably wilful and—crucially—as psychologically opaque
as Laure. But, Eliot is saying, these are the exceptions in humankind. 5
Eliot, Middlemarch, ch. 15. Middlemarch ‘It was a fatal accident—a
dreadful stroke of calamity that bound me to you the more.’ Again Laure paused a little and then said, slowly, ‘I meant to do it.’ Again Laure paused a little and then said, slowly, ‘I meant to do it.’ Lydgate, strong man as he was, turned pale and trembled: moments
seemed to pass before he rose and stood at a distance from her. 47 3. Lydgate Winces: Character and Realism Middlemarch Middlemarch At the time she was writing Eliot didn’t know for sure (any more
than did the world’s scientists) what caused Brownian motion. But
she knew theories were divided between those that argued the pollen
moved because of some motile agency or power or its own, and those
that argued the pollen was a passive object being moved by forces
around it—electrical, atmospheric or something else. It is not that I’m
suggesting that she has written Lydgate as a merely passive individual,
only acted upon and lacking all independent will or spirit—he would be
a very dull character in such a case. But it is, I think, part of Eliot’s genius
to understand that our will is, by and large, unequal to the various,
systemic and complex pressures of our environments. The heroes of
epic, romance or melodrama—like Mme Laure—act to a greater extent
than they are acted upon: they manifest a commanding will, they cut
their various Gordian knots and master, or mistress, their destinies. The heroes and heroines of the Realist Novel, though, find life more
complicated and restrictive, because actual life, such as we all live it, is
more complicated and restrictive. The step from the little inset story of
Mme Laure to the larger unfolding of Lydgate’s story in Middlemarch is
a shift in mode, from one kind of story to another. And in this latter sense, of what it is Eliot brings to the ‘realist’
mode of novel-writing, I do think there is something distinctive in her
as a realist that has to do with her conception of character. We could
compare what another giant of ‘Literary Realism’ does with character:
Leo Tolstoy. We know Tolstoy had a high regard for Eliot’s writing: in
1891 he wrote to his publisher, Mikhail Lederle, with a list of forty-five
books that impressed him ‘most of all’, and alongside Homer, the Bible
and various others he listed ‘novels by the English writer George Eliot’—
all of them, perhaps. Early in Anna Karenina, Anna is travelling by train
and reading ‘an English novel’; she imagines herself living the life of
the heroine ‘caring for a sick man, making speeches in Parliament and
riding to hounds’6—I’ve always assumed that she’s reading Middlemarch,
and mixing up in her imagination Dorothea, Ladislaw and Rosamond. f My point here is that Tolstoy is a very different sort of realist to
Eliot. 6
Leo Tolstoy, Anna Karenina, trans. by Constance Garnett (New York: Random
House, 1939), Part 1, ch. 27, https://www.gutenberg.org/files/1399/1399-h/1399-h.
htm 3. Lydgate Winces: Character and Realism Most
people exist primarily in ways defined by the networks of other people,
and are subject, as Lydgate himself is, to the buffeting forces of other
people’s energies: their desires, their pressures and anxieties and angers,
the push-me-pull-you of mutual obligations and gratifications that are,
in Eliot’s artistic vision, the predominance of human existence. Most of
us are small beings in a big world, visible to the novelist’s microscope as
oscillating grains in the medium. 48 Middlemarch Middlemarch Here, I am not simply referring to the scope or scale of a novel 3. Lydgate Winces: Character and Realism 49 like War and Peace when compared to Eliot’s more modest panoramas. That obviously is a difference, but a more important one, I think, is that
Tolstoy conceives of character as more radically passive than did Eliot. Part of the point of War and Peace is to show History steamrollering over
all its characters, whether or not they think they are ready. Nobody acts
in that novel, everybody reacts: the large dramatis personae is spread
out on a continuum between, on the one hand, the hapless, likeable and
fundamentally passive Pierre and, on the other, Napoleon, the closest
the novel comes to a villain. Napoleon thinks he is the embodiment of
Hegel’s ‘World Spirit’, but he is not: he is as much swept along by the
vastly larger, suprahuman forces of history as anybody else. Indeed,
when he’s finished telling his story Tolstoy adds a massive appendix
detailing his idiosyncratic Theory of History, which is, in a nutshell, that
nobody, no matter how grand or apparently powerful they are, has any
power over History. We are all helpless pollen-grains in Tolstoy’s vision
of things: buffeted by the forces of love and sex (in Anna Karenina), of
society, history and war (in War and Peace) and of God (in Resurrection). One of Tolstoy’s most powerful works, 1886’s The Death of Ivan Ilyich,
tells the story of a man who does nothing at all except lie on his bed
dying, enduring the passage and finally passing on. Ivan Ilyich may be
the most strictly passive fictional character ever written. i
It seems to me that, by comparison, Eliot reserves more of a place
for will and indeed for wilfulness in her conception of the human
character. Not all the people in her fiction simply and passively wait:
some act rather than react, and some of those who act do so against the
strong current of societal disapproval. At the same time Eliot does not
see the world as a melodrama inhabited by Mme Laures, forever on the
verge of plunging a knife into their husbands’ hearts. Most of us are
carried along by life, and deal with things as best we can. 7
The entry on ‘realism’ in Raymond Williams’s Keywords: A Vocabulary of Culture and
Society (Oxford: Oxford University Press, 1976) remains, half a century after it was
published, essential. Middlemarch One way we
can engage with Eliot’s fiction is as an exploration of the mix between
activity and passivity in the human soul. These are, after all, genuinely
enduring questions. To what extent are our lives defined by our action,
and to what extent by reaction? Are we agents or patients, forceful focal-
points of will and agency, or pollen-grains jiggling and trembling from
a thousand invisible and often contrary forces? Middlemarch gives us the
chance to peer through the glass of Eliot’s crisply focalising prose at,
amongst others, Lydgate. See: he winces! 50 Middlemarch Middlemarch I am, here, tacitly contrasting ‘Literary Realism’ with ‘Melodrama’,
imputing to the former term a connotation of greater restraint and a
finer-grained mode of mimesis, and the latter a more histrionic and
more caricatured one. Alternatively ‘realism’ might be contrasted to
‘idealism’, in which the latter term speaks to a refusal to be bogged-
down by merely material, quotidian concerns of the former.7 To describe
‘melodrama’ as histrionic dallies, perhaps, with tautology, since a drama
performed upon the stage is necessarily that; and it is a common enough
assumption that the players in such on-stage dramas, like Mme Laure,
carry away some of the heightened, self-dramatising and intensified
being-in-the-world of their jobs into their private lives. Middlemarch,
as a novel, certainly suggests so. That said, these two scales, realist-
melodramatic and realist-idealist, themselves cross-over one another in
unexpected ways. ii Characterisation, in a novel as in a play or film, relies to a significant
extent on the author’s audience importing, and in some cases actively
cathecting, their own priors (assumptions and desires or dislikes) into
the wire-frame figure the author lays down. This co-creation is not
entirely a free-for-all, of course; the specifics of the text provide guide
rails, as do our broader contextual assumptions about human nature,
social mores and so on. The point is that these contexts themselves exist
in a relationship with the textual representations of those contexts, like
novels. They are, indeed, nothing but textual. We might think of our
own actual lived-experiences as ‘realist’, and might therefore consider
‘melodrama’ to be a mode that formally misconstrues ‘reality’. But to
put it in these terms is already to be complicit with a set of assumptions
that le naturalisme has already framed in particular ways. We draw some
of our beliefs about how we can and should act from our upbringing and
our peer groups, and some we decide upon for ourselves, but we draw
much also from the culture we consume. Indeed these three disciplines,
or discourses, are all complexly interconnected.f Mme Laure and Dorothea, for instance, might seem very different
individuals. The one kills her husband in plain view; the other is so
intensely morally and spiritually scrupulous that such an action would 3. Lydgate Winces: Character and Realism 51 51 be perfectly inconceivable to her. The one, we might say, is outré and the
other reticent, even repressed. 8
Eliot, Middlemarch, ch. 42. 9
I do not claim that Dorothea always speaks in full pentameters; nor is every line that
Eliot puts into her mouth entirely regular. But I do argue there is a distinct iambic
pulse to the way she speaks that isn’t the case for Eliot’s other characters. Here,
just from Book 4, are some examples of what I mean, from Dorothea’s dialogue: ‘I
cannot bear to think that any one/Should die and leave no love behind’ [ch. 34];
‘I’ve often thought that I should like to talk/To you again. It seems [most] strange
to me/How many things I said to you.’ [ch. 37]; ‘[…] I should have said/That those
who have great thoughts get too much worn/In working [of] them out. I used to
feel/About that, even [as] a little girl.’ [ch. 37]; [Of Ladislaw’s grandparents] ‘I
wonder how she bore the change from wealth/To poverty: I wonder whether she/
Was happy with her husband! Do you know?’ [ch. 37]; ‘Ah, what a different life
from mine! I have/Had always too much [here] of everything./But tell me how
it was.’ [ch. 37]; ‘You must remember that you have not done/What he thought
best for you. […]/Perhaps my uncle has not told you how/Serious Mr. Casaubon’s
illness was./It would be very petty of us who/Are well and can bear things, to think
much of/Small offences […]’ [ch. 37]; [speaking to Casaubon, regarding Ladislaw]
‘I fear you think too hardly of him, dear./You are so good, so just—[and] you have
done/Everything that you thought to be right.’ [ch. 37]. Even when her speech
doesn’t fill-out into whole pentameters it’s very often strongly iambic: ‘I wish you
could have stayed’ [ch. 37]; ‘Pray tell me what it is’ [ch. 39] ‘My life is very simple’
[ch. 39]. Middlemarch Yet Eliot, it seems to me, goes out of her
way to introduce an element into her textual creation of Dorothea that
we can also describe as histrionic. f In Book 4 Dorothea, rebuffed yet again by the chill of her husband,
and anxious for his health, becomes not tearful but angry: She was in the reaction of a rebellious anger stronger than any she had
felt since her marriage. Instead of tears there came words:— She was in the reaction of a rebellious anger stronger than any she had She was in the reaction of a rebellious anger stronger than any she had felt since her marriage. Instead of tears there came words:— ‘What have I done—what am I—that he should treat me so? He never
knows what is in my mind—he never cares. What is the use of anything
d
h
h h d
d
8 ‘What have I done—what am I—that he should treat me so? He never
knows what is in my mind—he never cares. What is the use of anything
I do? He wishes he had never married me.’8 This speech by Dorothea, and especially its latter part, falls into blank
verse: This speech by Dorothea, and especially its latter part, falls into blank
verse: What is the use of anything I do? He wishes he had never married me. What is the use of anything I do? He wishes he had never married me. Two perfect iambic pentameters. Nor is this an isolated instance. Even
if we confine ourselves to Book 4, it is remarkable to note how often
Dorothea, alone of all Eliot’s characters, speaks this way.9i But then perhaps it is only fitting that this happens with Dorothea,
since she of all the main characters in the novel she is the one whose 52 52 Middlemarch self-conception tends to err on side of histrionism, that is, of conceiving
herself not as a simple subjectivity but a figure playing a particular
role—at the novel’s opening, a spiritual or elevated role. Eliot is surely
correct to intuit that such a self-conception includes a theatrical, self-
dramatising component. Dorothea’s representation is a tension between what we might call
‘melodrama’ and a more restrained, diagnostic ‘realism’. So is Lydgate’s. But there is an important difference. 10
This poem was often reprinted and anthologised, and is here quoted from Alaric
Alexander Watts, ed., The Literary Souvenir, or, Cabinet of Poetry and Romance
(London: [n.p.], 1826), pp. 89–91. Watts was a very popular anthologist and writer
in the Victorian period, and one we know that Eliot read: see for instance Avrom
Fleishman, George Eliot’s Intellectual Life (Cambridge: Cambridge University Press,
2010), p. 19, https://doi.org/10.1017/cbo9780511691706; William Baker and Donald
P. Leinster-Mackay, The Libraries of George Eliot and George Henry Lewes (Victoria, BC:
English Literary Studies, University of Victoria, 1981), p. 26. Middlemarch Dorothea’s desire to live a heightened
rather than a mundane life—heightened according to a particular set
of spiritual and scholarly criteria—is inherently self-dramatising, or so
Eliot says. With Lydgate, by contrast, she separates out her character
into a ‘melodramatic’ phase, disposed into his Parisian backstory, and
a ‘realist’ phase, in which the character’s very commitment to close
medical and scientific observation mirrors the precise realist strategies
Eliot herself deploys. This ‘medical’ scientific realism, this microscopic
attentiveness to the somatic particular, also derives from Lydgate’s
Parisian backstory. But, this component of Lydgate’s narrative weave
grows in a different direction. f
Cod-Shakespearian blank verse is not the only literary register
deployed. The lyric that heads-up chapter 15, the portion of the novel
that contains the story of Mme Laure, is one composed by Eliot herself: Black eyes you have left, you say,
Blue eyes fail to draw you;
Yet you seem more rapt to-day,
Than of old we saw you. Oh, I track the fairest fair
Through new haunts of pleasure;
Footprints here and echoes there
Guide me to my treasure: Lo! she turns—immortal youth
Wrought to mortal stature,
Fresh as starlight’s aged truth—
Many-named Nature! The ‘black eyes’ connote tragic passion (Mme Laure) and the blue
represent the more balanced and comedic possible woman (Rosamond,
as Lydgate thinks). And indeed, this epigraph is saying that, at this
stage in the story, Lydgate has turned away from both the dangerous 3. Lydgate Winces: Character and Realism 53 passionate and the beautifully proper in favour of his scientific
endeavours. The poem is Eliot’s, but the trope on which it is based—the choice
faced by a (male) narrator between the intensity of a queenly ‘black-
eyed’ lover and the calmer English rose represented by ‘blue-eyes’—
appears enough times in eighteenth- and nineteenth-century popular
verse to render it almost a commonplace. Take for instance Alaric Watts,
‘The Bachelor’s Dilemma’ (1823).10 In this poem, the narrator is torn
between loving Fanny ‘whose form, like the willow, so slender and
lithe/Has a thousand wild motions of lightness and grace’ and her sister
Helen ‘more stately of gesture and mien,/Whose beauty a world of dark
ringlets enshrouds/With a black, regal eye, and the step of a queen’. 11
Eliot, Middlemarch, ch. 15. Eliot makes a rare misstep in her research here, for Bichat
was thirty, not thirty-one when he died (he expired 22 July 1802; his birthday
wasn’t until November). It may be that Eliot had read this accurate but confusingly-
phrased bit of Pierre Auguste Béclard’s Additions to the General Anatomy of Xavier
Bichat (Boston: Richardson and Lord, 1823), here translated by George Hayward:
‘How many researches has BICHAT opened for us the way! What an immense
inheritance he has left us to improve! Yet BICHAT died before he completed his
thirty-second year’, p. xv. Middlemarch And when sorrow and joy are so blended together,
That to weep I’m unwilling, to smile am as loth;
When the beam may be kicked by the weight of a feather;
I would fain keep it even—by wedding them both! But since I must fix or on black eyes or blue,
Quickly make up my mind ‘twixt a Grace and a Muse;
Pr’ythee Venus, instruct me that course to pursue
Which even Paris himself had been puzzled to choose! The twist at the end of the poem is that the man asks for the hand of first
one, then the other, and both turn him down, for ‘lively Fanny declared
he was somewhat too grave,/And Saint Helen pronounced him a little
too gay!’ The application is clear enough: light-heartedly in the case
of the Watts poem, more complexly and with more serious emotional
consequences in the case of Lydgate, the man who believes he has a
free choice between two different modes of womanhood will find—
surprise!—that he ends up with neither. In Lydgate’s case, neither the
promise of dark passion represented by Mme Laure, nor the fantasy of
blue-eyed complaisance and comedy he thinks, at first, is Rosamond. 54 Middlemarch More broadly, Watts’s coyly glancing, comic hint at bigamy (his fantasy
of ‘wedding them both’) becomes in Eliot’s novel a sequential drama
styling Dorothea’s choice as serious, if never quite tragic. To the question
should she marry Casaubon or Ladislaw? the novel provides the surprising
answer: both. This is, of course, not an easy matter, and it costs Dorothea
materially and socially to do it, but it nonetheless points to an attitude
towards erotic choice that is all the more potent, even true-to-life,
because it is counter-intuitive: that the choice is not between A and B, as
we perhaps think, but rather between A + B and neither. When Lydgate arrives in Middlemarch he is twenty-seven years old,
‘an age’, Eliot observes, ‘at which many men are not quite common’. Not
yet ‘middle-aged’ in Middlemarch, uncommon in a good as well as a
more dubious sense. We are told he had studied medicine at Paris, and
the novel makes the specific comparison between him and the French
anatomist and physician Marie François Xavier Bichat: […] about 1829 the dark territories of Pathology were a fine America for a
spirited young adventurer. Middlemarch Lydgate was ambitious above all to contribute
towards enlarging the scientific, rational basis of his profession. The more
he became interested in special questions of disease, such as the nature
of fever or fevers, the more keenly he felt the need for that fundamental
knowledge of structure which just at the beginning of the century had
been illuminated by the brief and glorious career of Bichat, who died
when he was only one-and-thirty, but, like another Alexander, left a
realm large enough for many heirs. That great Frenchman first carried
out the conception that living bodies, fundamentally considered, are not
associations of organs which can be understood by studying them first
apart, and then as it were federally; but must be regarded as consisting of
certain primary webs or tissues, out of which the various organs—brain,
heart, lungs, and so on—are compacted.11 This might put us in mind of Gillian Beer’s influential reading of
Middlemarch’s realism as a distinctively post-Darwinian ‘web of affinities’. As Beer notes, Eliot ‘was often taken to task by contemporary reviewers This might put us in mind of Gillian Beer’s influential reading of
Middlemarch’s realism as a distinctively post-Darwinian ‘web of affinities’. As Beer notes, Eliot ‘was often taken to task by contemporary reviewers 3. Lydgate Winces: Character and Realism 55 for the persistent scientific allusions in her works’.12 The point is that, even
on the most elementary level, we might complain that a scientist could
not see—let us say—a beautiful woman in the way an artist could and
should, and that it was the latter that readers wanted. There is a related
issue where science is concerned, summed-up in the proverb about being
unable to see the wood for the trees. Lydgate’s great, hopeless ambition
is, in one sense, the opposite of Casaubon’s great, hopeless ambition: not a
syncretic overview of everything, but a minute zeroing-in on the smallest
element of which everything is made, that unit biologists and zoologists
now recognise in genetic code and the building-blocks of cellular life. Middlemarch’s narrator ventriloquises Lydgate’s philosophy: No man, one sees, can understand and estimate the entire structure or
its parts—what are its frailties and what its repairs, without knowing
the nature of the materials. 12
Beer, Darwin’s Plots, p. 149.
13
Eliot, Middlemarch, ch. 15.
14
Beer, Darwin’s Plots, 155. She adds: ‘the universality of both laws and their
preoccupation not with replication but with change are seen as mutually
confirmatory […] in Middlemarch the historical aspect of both laws is expressed:
individuals are trapped in the determined pace of successive historical moments.’ 14
Beer, Darwin’s Plots, 155. She adds: ‘the universality of both laws and their
preoccupation not with replication but with change are seen as mutually
confirmatory […] in Middlemarch the historical aspect of both laws is expressed:
individuals are trapped in the determined pace of successive historical moments.’ 13
Eliot, Middlemarch, ch. 15. 12
Beer, Darwin’s Plots, p. 149. Middlemarch [… Even Bichat] did not go beyond the
consideration of the tissues as ultimate facts in the living organism,
marking the limit of anatomical analysis; but it was open to another mind
to say, have not these structures some common basis from which they
have all started?13 ‘Of this sequence to Bichat’s work’ we are told ‘Lydgate was enamoured
[…] What was the primitive tissue?’ This, I think, is the crucial point. If Casaubon is the novel’s representative of textual, philological
enquiry, and Ladislaw of political engagement, then Lydgate is Eliot’s
representative of science and the scientific approach. And from the
first his ambition is microscopic. He aims small, on purpose. His final
diminution into an affluent society doctor specialising in gout, is in a
sense less his failure than it is the ironic consummation of his vision. In this regard I part company with Beer’s celebrated analysis of this
novel. For her, Eliot’s ‘scientific’ discourse, grounding as it does her
specie of ‘realism’, is informed by two very large questions: throughout
the novel, she says, ‘two precepts are persisted presented, criticised,
celebrated: “The power of nature is the power of motion” and “Evolution
is the universal process”.’14 A contrary argument would repudiate such 56 56 Middlemarch Casaubonic ambition as the ‘key’ to this novel, and suggest rather a
much more granular, close-focus model of scientific ‘realism’ at work. Beer quotes a passage from Daniel Deronda: It was impossible to be jealous of Juliet Fenn, a girl as middling as mid-
day market in everything but her archery and plainness, in which last
she was noticeable like her father: underhung and with receding brow
resembling that of the more intelligent fishes. (Surely, considering the
importance which is given to such an accident in female offspring,
marriageable men, or what the new English calls ‘intending bridegrooms,’
should look at themselves dispassionately in the glass, since their natural
selection of a mate prettier than themselves is not certain to bar the effect
of their own ugliness.)15 In this passage Beer rightly identifies a ‘harsh, awkward tone’, a ‘faintly
facetious, orotund style’ that appears (she argues) when Eliot is
‘driven by ideas that cause her deep disquiet and which she yet cannot
repudiate’. But what applies to the rather darker Deronda does not, I
think, fit Middlemarch’s less cut-throat world-picture. 15
George Eliot, Daniel Deronda (Edinburgh: William Blackwood and Sons, 1876),
http://www.gutenberg.org/files/7469/7469-h/7469-h.htm, ch. 11. 16
Rebellato, ‘Sightlines’, p. 149.
17
For a rather different reading of Middlemarch via Foucault, see Jeremy Tambling,
‘Middlemarch, Realism and the Birth of the Clinic’, ELH, 57.4 (1990), 939–60.
18
Eliot, Middlemarch, ch. 20.
19
Rebellato, ‘Sightlines’, p. 153. He elucidates: ‘By the silence of theory, Foucault
means that nothing can intervene between the gaze and its object. Patterns may be
found but they may not be looked for, for fear of imposing a prior structure on the
gaze and its objects.’ As for the second silence, the silence of language, this registers
concerns that writing tends to ‘introduces a spatial and temporal interval into the
gaze. Speech is to be preferred as the immediate form in which the discoveries
of the gaze can be communicated. Tis speech neutrally reproduces what is seen,
in “a language that is the very speech of things […] a language without words”.
This language is frictionless, silent, without remainder’. Rebellato’s essay seeks to
apply these insights to the realist theatre; my focus here, of course, is to explore the
extent to which epigraphs and quotations, as nodes of embedded writing, figure
disruptively as this deplored Foucauldian ‘remainder’. 16
Rebellato, ‘Sightlines’, p. 149.f 17
For a rather different reading of Middlemarch via Foucault, see Jeremy Tambling,
‘Middlemarch, Realism and the Birth of the Clinic’, ELH, 57.4 (1990), 939–60.
18
Eliot, Middlemarch, ch. 20. Middlemarch i
This has more to do with the realism we associate with Balzac and
Zola than the mode Eliot developed herself. The bustling sense of
competition, the survival of the fittest, above all the overdetermined
representation of Rougon-Macquart bloodlines by which character traits
are directly passed down the generation and magnified, or enormified,
across the years. It seems unfair to call Zola’s immense, detailed textual
canvases ‘crude’, and yet I am moved to suggest that there’s nothing so
heavy-handed as any of this in Middlemarch. And one reason for that
is the way Eliot’s scientific focus in this novel is not on evolutionary
science—not on fossil hunters and palaeontology, naturalists or
Lamarckians—but on Robert Brown’s molecular jiggling and Lydgate’s
specifically somatic, medical ambitions. i i
Dan Rebellato contextualises Zola’s medico-scientific realism in
terms of Michel Foucault’s Birth of the Clinic. Foucault posits the creation
of a new ‘medical gaze’ across the eighteenth- and nineteenth-century,
one that aims for a clarity so purified by science as to render the patient’s
body, and that body’s implicature in its various matrices of relationships,
invisible: 3. Lydgate Winces: Character and Realism 57 3. Lydgate Winces: Character and Realism The dominant mode of medical practice at the start of that period was
nosology, a classificatory approach to disease. Still very much in thrall
to the Ancients, doctors relied on pre-existing taxonomies of disease
connected by complex interrelations and hierarchies; consultations were a
matter of establishing those symptoms that allowed the doctor to allocate
the patient’s illness within the established classificatory system. By the
end of that period, the doctor is required purely to observe the patient
without the intervention of theory or language. The body becomes
a transparent vessel through which disease can be observed and thus
eliminated. To use Zola’s language, the nineteenth-century clinic was a
means to show all so that all may be cured.16 The idea that we might, by seeing all (by taking in all that the writer has
laid out for us to see) pass beyond the messy variegations of collective
materiality into some rarified zone of transparency connects, it seems to
me, much more resonantly with Eliot’s than Zola’s praxis.17 Middlemarch,
after all, is the novel prepared not only to close in, microscopically, on
the mundaneness of ordinary human life, but to do so in order to invoke
the Pascalian doubled-infinity ‘hearing the grass grow and the squirrel’s
heart beat’ beyond which is the transcendent, perhaps divine, ‘roar
which lies on the other side of silence’. 18 Rebellato notes how Foucault’s ‘medical gaze’ is ‘constituted by a
“double silence”: the silence of theory and the silence of language’.19
Critics have, I think, not paid enough attention to the valences of silence
in Middlemarch—with the exception, perhaps, of the attention that has
manifestly been bestowed upon this famous if, perhaps deliberately, 58 Middlemarch 58 opaque reference to the roar that lies on its far side. Even just considering
Lydgate, we see how Eliot combines the reticence and discretion we
expect of our doctors, with Lydgate’s habits of silence—tactful, or
pusillanimous—in the face of his wife’s dominance and her sometimes
bad behaviour. There is also a silence in the novel with respect to his
erotic choices. In saying so I am not just referring to the fact that, like any
mainstream Victorian novelist, Eliot writes nothing sexually explicit. That much is obvious. What I mean is that Lydgate himself construes
his own desire in terms of a reticence profound enough to prove, in the
end, pathological. 20
Eliot, Middlemarch, ch. 16. 3. Lydgate Winces: Character and Realism In Chapter 16 Eliot writes the scene in which Lydgate falls for
Rosamond, and in doing so positions his burgeoning desire in relation
not only to the melodramatic past of Mme Laure and Paris, but in terms
of a slyly critiqued ‘normative’ model of nineteenth-century feminine
allure: Lydgate was almost forgetting that he must carry on the conversation,
in thinking how lovely this creature was, her garment seeming to be
made out of the faintest blue sky, herself so immaculately blond, as if the
petals of some gigantic flower had just opened and disclosed her; and
yet with this infantine blondness showing so much ready, self-possessed
grace. Since he had had the memory of Laure, Lydgate had lost all taste
for large-eyed silence: the divine cow no longer attracted him, and
Rosamond was her very opposite.20 Divine cow strikes us, perhaps, as a less than flattering way of referring
to feminine allure; still, we have to read the whole novel fully to
understand that the ‘large-eyed silence’ mentioned here contains more
than mere feminine delicacy or reticence—to begin to understand, that
is, what manner of roar is reputed to lie on the far side of it. The pursuit
of such noise does indeed prove fatal first to Lydgate’s self-esteem and
finally to him as a person. i
Book 6 is called ‘The Widow and the Wife’—which is to say,
Dorothea and Rosamond. In chapter 58 Rosamond wants to go riding. Her husband forbids her, on account of her pregnancy, because he (as a
doctor as much as a spouse) considers the risk too great to their unborn
child. She goes riding anyway, disobeying her husband. The horse bolts
(startled by ‘the crash of a tree that was being felled on the edge of 3. Lydgate Winces: Character and Realism 59 Halsell wood’) which causes ‘a worse fright to Rosamond’ which terror
‘leads finally to the loss of her baby’. All the baby paraphernalia, ‘all the
embroidered robes and caps’ have to be ‘laid by in darkness’. This is, we might say, a sad, even a tragic interlude in the story. But
although Lydgate is saddened he is too decent to play the ‘I told you
so’ game with his wife (‘Lydgate could not show his anger towards
her’)—another iteration of Lydgatean silence. 21
Eliot, Middlemarch, ch. 58. 3. Lydgate Winces: Character and Realism One
is that a good proportion of Eliot’s original readers in the 1870s would
have read this chapter through a frame of beliefs that said, in effect: a
wife should always obey her husband’s commands, that he stands in
relation to her as the head to the body and so on. Such an ideological
frame will tend to make this episode a cautionary tale about what
happens when a wife disobeys the proper authority of her spouse. But
the second observation is that we, twenty-first-century readers, no longer
tend to see marriage that way. We now believe that husband and wife are
partners and see no inherent superiority in the man over the woman—
indeed, belief in such notional superiority is called ‘sexism’ and is to
be deplored. When Rosamond says that Lydgate’s attempt to extract a
promise from her not to go riding again is ‘treating her like a child’ she
is—surely—right, isn’t she? As a grown woman she ought to be able to
decide what she does with her time. What about her decision that the
ride had nothing to do with her miscarriage? (‘Rosamond was mildly
certain that the ride had made no difference, and that if she had stayed at
home the same symptoms would have come on and would have ended
in the same way, because she had felt something like them before’). Is
this the heartless self-justification of a profoundly selfish, shallow and
narcissistic individual, to be deplored because the ‘proper’ reaction to
this event ought to be her learning to be less self-centred (which is to say
her listening to, and obeying, her husband)? Or does she have a point? Miscarriage is a serious and distressing matter, and I have no desire to
trivialise it, but: ‘being scared by a horse’ is, really, not a terribly plausible
rationale for it. Had Rosamond fallen from her horse, it is possible a bad-
enough impact might have resulted in miscarriage, but fright on its own
is not a physiologically likely explanation for what happened.22 While I appreciate that I may be making slightly heavy weather of
my point here, this is due to my uncertainty in how to read this episode
in Middlemarch. The first time I encountered this section of the novel,
many years ago, I had an almost visceral reaction against Rosamond. 22
See, e.g., https://www.nhs.uk/conditions/miscarriage/causes/. 3. Lydgate Winces: Character and Realism One
is that a good proportion of Eliot’s original readers in the 1870s would
have read this chapter through a frame of beliefs that said, in effect: a
wife should always obey her husband’s commands, that he stands in
relation to her as the head to the body and so on. Such an ideological
frame will tend to make this episode a cautionary tale about what
happens when a wife disobeys the proper authority of her spouse. But
the second observation is that we, twenty-first-century readers, no longer
tend to see marriage that way. We now believe that husband and wife are
partners and see no inherent superiority in the man over the woman—
indeed, belief in such notional superiority is called ‘sexism’ and is to
be deplored. When Rosamond says that Lydgate’s attempt to extract a
promise from her not to go riding again is ‘treating her like a child’ she
is—surely—right, isn’t she? As a grown woman she ought to be able to
decide what she does with her time. What about her decision that the
ride had nothing to do with her miscarriage? (‘Rosamond was mildly
certain that the ride had made no difference, and that if she had stayed at
home the same symptoms would have come on and would have ended
in the same way, because she had felt something like them before’). Is
this the heartless self-justification of a profoundly selfish, shallow and
narcissistic individual, to be deplored because the ‘proper’ reaction to
this event ought to be her learning to be less self-centred (which is to say
her listening to, and obeying, her husband)? Or does she have a point? Miscarriage is a serious and distressing matter, and I have no desire to
trivialise it, but: ‘being scared by a horse’ is, really, not a terribly plausible
rationale for it. Had Rosamond fallen from her horse, it is possible a bad-
enough impact might have resulted in miscarriage, but fright on its own
is not a physiologically likely explanation for what happened.22 It is a pinch-point in how we relate to this novel. We could put it this
way, via two observations with which it is hard, I think, to demur. 3. Lydgate Winces: Character and Realism And the whole experience
proves water off a duck’s back for Rosamond herself: ‘Rosamond was
soon looking lovelier than ever at her worktable, enjoying drives in
her father’s phaeton and thinking it likely that she might be invited to
Quallingham. She knew that she was a much more exquisite ornament
to the drawing-room there than any daughter of the family’. The episode illustrates not just that Rosamond is stubborn. It says
something about the nature of her stubbornness. Her desire to go riding,
against her husband’s wishes, is connected with her desire to spend
time with Lydgate’s cousin, ‘the Captain’, who lacks Tertius’s cleverness
or moral purpose but is considerably more aristocratic and suave. Finding out about a first, illicit but uneventful, ride in the company of
the Captain, Lydgate is angry, and declares he will speak to the man. Rosamond is not happy at this. ‘I shall tell the Captain that he ought to have known better than offer you
his horse,’ he said, as he moved away. ‘I beg you will not do anything of the kind, Tertius,’ said Rosamond,
looking at him with something more marked than usual in her speech. ‘It will be treating me as if I were a child. Promise that you will leave the
subject to me.’ There did seem to be some truth in her objection. Lydgate said, ‘Very
well,’ with a surly obedience, and thus the discussion ended with his
promising Rosamond, and not with her promising him. In fact, she had been determined not to promise. Rosamond had
that victorious obstinacy which never wastes its energy in impetuous
resistance. What she liked to do was to her the right thing, and all her
cleverness was directed to getting the means of doing it. She meant to go
out riding again on the grey, and she did go on the next opportunity of
her husband’s absence, not intending that he should know until it was
late enough not to signify to her.21 60 Middlemarch It is a pinch-point in how we relate to this novel. We could put it this
way, via two observations with which it is hard, I think, to demur. 3. Lydgate Winces: Character and Realism She struck me as a kind of monster of self-centredness, with a near
sociopathic disregard for the feelings of others. Re-reading it more
recently that reaction is still there, I suppose, but in a more compromised 3. Lydgate Winces: Character and Realism 61 61 and complicated way. I’m struck, for instance, how much our reaction to
the episode is orchestrated to align our response with Lydgate’s: Lydgate could only say, ‘Poor, poor darling!’—but he secretly wondered
over the terrible tenacity of this mild creature. There was gathering
within him an amazed sense of his powerlessness over Rosamond. Lydgate could only say, ‘Poor, poor darling!’—but he secretly wondered
over the terrible tenacity of this mild creature. There was gathering
within him an amazed sense of his powerlessness over Rosamond. Would it be possible, I wonder, to pull together a reading of the whole
thing from Rosamond’s point of view, to see some admirable in her tenacity
(which only becomes ‘terrible’, surely, from a narrowly masculinist point
of view, when it refuses to subordinate itself to the priorities of Lydgate)? To see the canniness with which she manipulates her marital situation
so as to get her own way without occasioning a big stand-up row as, in
a way, even creditable? Or is she just the monster of selfishness many
readers take her to be? Dorothea works assiduously to subordinate her
intellect and individuality to the needs of her husband, and look what
that gets her. Yet we think of Dorothea as the ‘heroine’ of Middlemarch. What would a reading look like that put Rosamond in that role, I wonder? g
p
I float this notion, though tentatively and without much force. Piecing
together the various details Eliot construes with respect to Rosamond is
liable only to convince us of how her energy and wilfulness are only ever
put in service of herself. Earlier in the novel Eliot has Rosamond ‘thinking
that it was not so very melancholy to be mistress of Lowick Manor with
a husband likely to die soon’;23 a pretty heartless and materialist mode
of empathising with Dorothea’s position. It might be that my concern,
here, is less with the superficiality of Rosamond’s characterisation than
with the idea that Middlemarch contains a character rendered only in
term of its superficies. 23
Eliot, Middlemarch, ch. 31. 24
Catherine M. Jackson, ‘The “Wonderful Properties of Glass”: Liebig’s Kaliapparat
and the Practice of Chemistry in Glass’, Isis, 106.1 (2015), 43–69, https://doi.
org/10.1086/681036
25
Isobel Armstrong, Victorian Glassworlds: Glass Culture and the Imagination 1830–
1880 (Oxford: Oxford University Press, 2008), p. 301. See also Mark Wormald,
‘Microscopy and Semiotic in Middlemarch’, Nineteenth-Century Literature, 50 (1996),
501–24, https://doi.org/10.2307/2933926 3. Lydgate Winces: Character and Realism That if we put Rosamond under our metaphorical
microscope, we wouldn’t see more granular psychological detail and
specificity come into focus. i
I have travelled some distance from this chapter’s starting point, and
should return to it before I conclude. Lydgate’s microscopy, in this novel,
carries with it something of a flavour of irony. We can agree with Eliot
that, however skilled a scientist Lydgate might be at anatomising human
beings, there are crucial aspects of humanity invisible to even the most
powerful microscope. Lydgate might observe a person down to the level
of the cell, but not see (as it might be) his wife’s true nature, or the nature 62 Middlemarch 62 of love, or indeed the right way to organise one’s time and will to achieve
one’s scientific goals. That looks a little like a cheap shot—it is in fact, a
point both facile and obvious—but it has a larger resonance. Why, Eliot
is tacitly saying, should a novelist, even one so clever and insightful as
Marian Evans, be any better at analysing human beings than Lydgate? Isn’t he as learned, as clever? His instrument, the microscope, is one that
zeroes-in on minutiae, but does Eliot’s lens not do the same? Catherine Jackson has shown how the exact period Eliot is writing
about saw a series of linked advanced in glass-blowing, that ‘between
about 1825 and 1835’ resulted in glass being used ‘in distinctly new ways’,
with particular consequences for developments in chemistry.24 This is
another way in which Eliot, in Middlemarch, is being preternaturally
attentive to the actual historical context of her imagined world. Isobel
Armstrong notes how often, in the nineteenth-century, ‘the microscope
and the telescope (each with different histories) were frequently
described as forming a perfect antithesis’, before demurring: Their objects of study are not comparable, however: far distant bodies in
motion seen by the light of prehistory, sub-visible entities, dissected into
infinitesimal sections or pullulating with importunate life in a drop of
water. Extreme nearness and endless particulars, not the dissolving view,
are the microscopes essence.25 Middlemarch finds middle way, fittingly, between ‘extreme nearness and
endless particulars’ on the one hand, and a mistier ‘dissolving view’ on
the other. But what Armstrong goes on to talk about is the inherently
conflicted nature of the glasswork that constituted these microscopic
lenses. 3. Lydgate Winces: Character and Realism Middlemarch finds middle way, fittingly, between ‘extreme nearness and
endless particulars’ on the one hand, and a mistier ‘dissolving view’ on
the other. But what Armstrong goes on to talk about is the inherently
conflicted nature of the glasswork that constituted these microscopic
lenses. Moreover [microscopy] was incorporated into glass culture with a
degree of popular epistemophilia and scopic wonder quite unlike
popular accounts of the telescope. Nevertheless, though for very
different reasons, the microscope created the ungrounded perspectival
world that emerged in astronomy and spectacle alike. Its structural 3. Lydgate Winces: Character and Realism 63 refraction organizes all its images. Additionally, under the microscope
at this time, the object exists in atopic space, preternaturally distinct, but
freed from relational coordinates. It has no norms. As Catherine Wilson
has pointed out, one image is predicated on losing another. The image is
like a metonomy where the referential term has been amputated. This ought to remind us of the passage previously quoted from Pascal,
and the way Middlemarch ‘middles’ us as readers between the very small
and the very large. Lawrence Rothfield locates Lydgate’s microscopy
in a particular medical discursive context, the ‘long, arduous’ task of
‘integrating cell theory into medical science’, something only ‘finally
accomplished during the latter half of the century’. During the interim, medicine had to continue, even though a fissure
began to open up between cellular and human life, between the
innumerable activities of individual cells and the fluent progression of
a disease through the tissues of the body, between the microscopic and
macroscopic constituents of the self.26 For Rothfield, this ‘divergence of pathology from other organismic
sciences’ presented as a problem, to which ‘Lydgate’s predicament, and
more generally, Middlemarch as a whole, stands as a kind of response, or
more accurately, an accommodation’.27 My argument is rather different,
more metatextual and reflexive; that Eliot is knowingly pitching her
novel between the infinities of smallness gestured at by microscopy and
the frightening Pascalian infinities of vastness opened-up by telescopy. And, more to the point, it is that the lenses slotted into the eyepiece
are epigraphic and quotational, small forms that open when the eye is
properly applied to them, into compelling and open-ended new vistas. i
g
p
27
Ibid., p. 99. His argument is that this disparity figures Eliot’s larger social vision:
‘if, as seems to be the case, medicine and cell theory really are incommensurable
sciences, different species of discourse yielding unreconciled versions of the
truth about the same object—the body—then the Comteian ideal of a social order
crowned and informed by scientific order (an ideal cherished by Eliot and many of
her contemporaries) may be compromised’. 26
Rothfield, Vital Signs, p. 97. 3. Lydgate Winces: Character and Realism In textual terms the epigraph is small and the novel is large, and in
terms of the relationship between art and life the former is small and
the latter vast; but in both (interrelated) situations there is something
uniquely eloquent and potent inherent in the relationship between these
smallnesses and these largenesses. In that middle. © 2021 Adam Roberts, CC BY 4.0 4. Hypocrisy and
the Judgment of Men The middleness of Middlemarch is a moral as well as an existential
quantity, a matter of ethics as both mediated and medial. The novel’s
twinned mirrors situate questions of honesty or mendacity, and Eliot’s
characters middle themselves somewhere between moral puritanism
on the one hand—Dorothea’s over-identification with St Theresa, or
Antigone, we might say—and active malignancy on the other (the
melodramatic blackmailing villainy of John Raffles, say). And this
brings me to another epigraph. At the head of chapter 38 we read: ‘C’est beaucoup que le jugement
des hommes sur les actions humaines; tôt ou tard il devient efficace’. This means: ‘the judgement of men on human affairs is a serious
business; sooner or later it always comes into force’. Eliot identifies the
line’s provenance: ‘Guizot’—that is, the French historian François Pierre
Guillaume Guizot. It is worth taking the trouble to locate the original
context for this quotation in Guizot’s 1835 Course in Modern History, part
of his discussion of the Middle Ages, an epoch in which he diagnoses
a kind of radical hypocrisy. Medieval people, Guizot argues, possessed
genuinely-held high and spiritual ideals, and yet nonetheless lived lives
of remarkable brutality and venality. How to reconcile this seeming
contradiction? Mais quelle que soit la cause, le fait est indubitable. On le rencontre partout au
moyen âge, dans les poésies populaires comme dans les exhortations des prêtres. Partout la pensée morale des hommes s’élève et aspire fort au-dessus de leur vie. Et gardez-vous de croire que, parce qu’elle ne gouvernait pas immédiatement
les actions, parce que la pratique démentait sans cesse et étrangement la théorie,
l’influence de la théorie fût nulle et sans valeur. C’est beaucoup que le jugement
des hommes sur les actions humaines; tôt ou tard il devient efficace. ‘J’aime https://doi.org/10.11647/OBP.0249.04 © 2021 Adam Roberts, CC BY 4.0 66 Middlemarch Fig. 3 François Pierre Guillaume Guizot, Cours D’Histoire Moderne (Brussels: Louis
Hauman & Co., 1835), vol. 1, title page, https://www.google.co.uk/books/
edition/_/aYNfDbifZJoC?hl=en&gbpv=1. Public domain. Fig. 3 François Pierre Guillaume Guizot, Cours D’Histoire Moderne (Brussels: Louis
Hauman & Co., 1835), vol. 1, title page, https://www.google.co.uk/books/
edition/_/aYNfDbifZJoC?hl=en&gbpv=1. Public domain. Fig. 3 François Pierre Guillaume Guizot, Cours D’Histoire Moderne (Brussels: Louis
Hauman & Co., 1835), vol. 1, title page, https://www.google.co.uk/books/
edition/_/aYNfDbifZJoC?hl=en&gbpv=1. Public domain. mieux une mauvaise action qu’un mauvais principe’, dit quelque part Rousseau,
et Rousseau avait raison.1 But whatever the cause, the facts cannot be denied. 1
François-Pierre Guillaume Guizot, Cours D’Histoire Moderne: Histoire de la Civilisation
en France (Paris: Didier, 1846), vol. 3, pp. 363–4, https://www.google.co.uk/books/
edition/Histoire_de_la_civilisation_en_France/_A-HYbpWLgQC?hl=en&gbpv=1 2
Eliot, Middlemarch, ch. 61. 4. Hypocrisy and
the Judgment of Men This phenomenon
is found everywhere in the Middle Ages, as much in popular poetry as
in the exhortations of the priests. Everywhere the moral thought of men
rises and aspires far above their mundane lives. But don’t be fooled into
believing—because it didn’t directly inform their actions, because their
practice was continually at odds with their theory—that this influence
was nothing, or had no value. The judgment of men on human actions
is a serious matter, and, sooner or later, it always takes effect: ‘I prefer a
bad action to a bad principle’, says Rousseau somewhere, and Rousseau
is right. This larger context is particularly interesting, speaking as it does to
the novel as a moral as well as a physical middling: a commitment to This larger context is particularly interesting, speaking as it does to
the novel as a moral as well as a physical middling: a commitment to 3
Ibid., ch. 38.
4
Hannah Arendt, On Revolution (Harmondsworth: Penguin Books, 1990), p. 103. 3
Ibid., ch. 38. 4. Hypocrisy and the Judgment of Men 4. Hypocrisy and the Judgment of Men 67 compromise and an acceptance of people as themselves always to one
degree or another morally compromised. When Bulstrode’s story eventually unwinds he becomes, I would
argue, less an object of readerly contumely than of readerly sympathy,
not despite but because of the exposure his earlier altitudes of
Methodist hypocrisy. ‘There may be coarse hypocrites, who consciously
affect beliefs and emotions for the sake of gulling the world’, is how
Eliot puts it; ‘but Bulstrode was not one of them. He was simply a man
whose desires had been stronger than his theoretic beliefs, and who
had gradually explained the gratification of his desires into satisfactory
agreement with those beliefs. If this be hypocrisy, it is a process which
shows itself occasionally in us all, to whatever confession we belong. There is no general doctrine which is not capable of eating out our
morality if unchecked by the deep-seated habit of direct fellow-feeling
with individual fellow-men’.2 Like Rousseau, Eliot prefers bad actions to
bad ‘doctrine’. Like him, I’d say, she is right. Chapter 38 itself is given over to a quartet of Middlemarchian
eminences. To begin with, the Cadwalladers and Sir James Chettam
discuss the political situation, deploring Ladislaw’s editorship of the
Pioneer and the potential for radical political upheaval they believe
this represents. They are joined later in the chapter by Mr. Brooke,
who argues the contrary case, in favour of political reform. This party
embodies two different valences of, more or less, political hypocrisy. ‘I do
wish people would behave like gentlemen’, is Sir James’s essential-oil-
of-Toryism (‘feeling’, Eliot nicely glosses her character’s statement ‘that
this was a simple and comprehensive programme for social wellbeing’). ‘Behaving like a gentleman’ is, it seems, a capacious enough political
programme to encompass both nobility and venality. ‘I thought the most expensive hobby in the world was standing for
Parliament,’ said Mrs. Cadwallader. ‘They said the last unsuccessful
candidate at Middlemarch—Giles, wasn’t his name?—spent ten
thousand pounds and failed because he did not bribe enough. What a
bitter reflection for a man!’ ‘Somebody was saying,’ said the Rector, laughingly, ‘that East Retford
was nothing to Middlemarch, for bribery.’ 68 Middlemarch 5
David Runciman, Political Hypocrisy: The Mask of Power, from Hobbes to Orwell and
Beyond (Princeton: Princeton University Press, 2010), p. 130. Runciman makes a
distinction between this kind of ‘first order’ hypocrisy, which he thinks is baked-
into the political process, and what he calls ‘second order’ hypocrisy, in which
politicians cynically exploit the public’s sense that a double-standard applies. He
deplores this second kind of hypocrisy. Middlemarch ‘Nothing of the kind,’ said Mr. Brooke. ‘The Tories bribe, you know:
Hawley and his set bribe with treating, hot codlings, and that sort of
thing; and they bring the voters drunk to the poll. But they are not going
to have it their own way in future—not in future, you know. Middlemarch
is a little backward, I admit—the freemen are a little backward. But we
shall educate them—we shall bring them on, you know. The best people
there are on our side.’3 The issue is not bribery as such, but only the most effective modes
of applying inducements to the electorate to obtain one’s political
preference. Brooke’s Liberalism only seems more idealistic and less
hypocritical than Sir James’s Toryism. In fact, his unfittedness for
political office is embodied in his small-scale incompetence and various
abdications as a landlord, all satirised in Ladislaw’s paper. Hannah Arendt thought that ‘hypocrisy is the vice of vices’, because
‘integrity can indeed exist under the cover of all other vices except this
one. Only crime and the criminal, it is true, confront us with the perplexity
of radical evil; but only the hypocrite is really rotten to the core’.4 But
Eliot doesn’t really believe anyone is rotten to the core, and whilst she is of
course not endorsing hypocrisy in this novel she is nonetheless reflecting
on the extent to which the various compromises humans end-up making
with absolute virtue, absolute duty and the noblest aims ‘middle’ us all
in the reality of social existence. Very medieval, in Guizotian terms, we
might think. Not for nothing is that period called the ‘middle’ ages. There are other ways in which we might conceptualise what could
be called hypocrisy. There is, for instance, Robert Browning’s celebrated
insistence that a man’s reach should exceed his grasp (or what’s a
heaven for?), the gap between reach and aim emblematising this very
term. True, if we reach for something beyond our grasp unknowingly,
an instinctive or unaware over-reaching, we probably wouldn’t use the
word ‘hypocrisy’; but I wonder whether what Browning is saying is
something more profound, that we not only do but should knowingly
over-reach ourselves, that we should enact a kind of disingenuousness
about what we can achieve, what can be achieved. This, it seems to me,
is closer to hypocrisy, albeit one that Browning styles as a paradoxically
divine one. 4. Middlemarch Hypocrisy and the Judgment of Men 4. Hypocrisy and the Judgment of Men 69 One person’s hypocrisy might be another’s realism; it might be
spun as honesty in a system one considers weighted against honesty
and truthfulness. The problem with this view is that it describes all
systems. Civilisation, as Freud so persuasively argues, necessarily
entails its discontents; hypocrisy could be thought part of the needful
superstructuring of the latter so as to maintain the former—the tribute,
as the old phrase has it, vice pays to virtue. This is particularly true
in the magisterium of politics, ‘particularly true’ in the sense that we
all recognise that politicians are especially prone to hypocrisy. David
Runciman has insightfully explored the way ‘politics’ is a combination
of more-or-less calcified ritual and ceremony on the one hand, and
pragmatic horse-trading on the other, such that the latter will in actual
political life tend to hide behind the former. ‘Politics requires us to talk
about complex issues as though they were simple, and to keep hidden
from public view some of the nastier deals and compromises that enable
us to get things done in communities made up of millions of quarrelsome,
naive and opinionated people’.5 Isn’t this also the (to fall into cliché for
a moment) ‘journey’ Dorothea goes on?—from an unworldly idealism
that proves harmful to her and others, towards a wiser comprehension
of how the world, and love, actually works, and the compromises one
must make with both. Or is this to confuse our broader tolerance for
‘hypocrisy’ in a specifically ‘party political’ context with the ways
hypocrisy manifests in our emotional and spiritual lives? Bulstrode is
revealed to be a whited sepulchre; but he also committed criminal acts
and was implicated in a man’s death. This is more than the common-
garden hypocrisies that delineate our ordinary, sublunary humanity. Is it hypocritical, in any sense, for Casaubon to believe Dorothea
could love him? Or that he could control her after his death? Is Fred
Vincy a hypocrite for allowing his easy-going preference for pleasure
to interfere with his sterner interpersonal duty? Hypocrisy seems the
wrong word in this context. It’s the flipside of the Browning quotation
I mention above. The English word derives etymologically from the 70 Middlemarch Ancient Greek ὑπόκρισις, which means ‘answer, stage acting, pretence’,
coming out of the broader discourse of theatrical performance. 6
Thomas Fuller, The History of the Worthies of England [1662], ed. by John Nichols
(London: F.C. and J. Rivington, 1811), vol. 1, p. 208. 4. Hypocrisy and the Judgment of Men 71 We need a wider context. The line comes at the end of Fuller’s entry
on ‘Mount-Edgecombe’ (now spelled ‘Mount Edgecumbe’) in Cornwall: MOUNT-EDGECOMBE. It was built by Sir Richard Edgecombe,
Knight […] In the Raign of Queen Mary (about the year 1555) he gave
entertainment at one time, for some good space, to the Admirals of the
English, Spanish, and Netherland, and many Noble-men besides. Mount
Edgcombe was the scene of this Hospitality; a house new built and
named by the aforesaid Knight, a square Structure with a round Turret at
each end, garretted on the top. The Hall (rising above the rest) yieldeth
a stately sound as one entereth it; the Parlour and Dyning-roome afford a
large and diversified prospect both of Sea and Land. The high scituation
(cool in Summer, yet not cold in Winter) giveth health: the neighbour
River wealth: two Block-houses great safety: and the Town of Plymouth
good company unto it. Nor must I forget the fruitful ground about it
(pleasure without profit is but a Hower without a root); stored with
Wood, Timber, Fruit, Deer, and Connies, a sufficiency of Pasture, Arable,
and Meadow, with Stone, Lime, Marl, and what not. I write not this to tempt the Reader to the breach of the Tenth
Commandement, ‘covet his Neighbour’s house’; and one line in the
prevention thereof: I have been credibly informed that the Duke of
Medina Sidonia, Admiral of the Spanish Fleet in the year 88, was so
affected at the sight of this House (though but beholding it at a distance,
from the Sea) that he resolved it for his own possession in the partage of
this Kingdome (blame him not if choosing best for himself), which they
had pre-conquered in their hopes and expectation. But he had catch’d a
great cold, had he had no other clothes to wear then those which were to
be made of a skin of a Bear not yet killed.7 The whole passage contextualises Eliot’s line as being not about an
arduous road to eventual consummation, but, on the contrary, as a quasi-
proverbial expression for desiring a manifest impossibility. The Duke of
Medina Sidonia never did get his hands on Mount Edgecumbe, after all. So perhaps the focus of the epigraph is Dorothea herself—ironically so,
in the sense that she does come into wifely possession of a fine house. 7
Ibid. 4. Hypocrisy and the Judgment of Men When
we reach for something we know is beyond our grasp, we are performing
the action, even if only for our own benefit, in the sense that being aware
our gesture is futile does not prompt us to the honesty of giving up. We could go further and suggest: life, actually, is stitched-together out
of such moments, such gestures, such forlorn hopes, essays into action,
gambles on relationships, on work, on hope itself. The epigraph to chapter 10 is a quotation from Thomas Fuller: ‘He had catch’d a great cold, had he had no other clothes to wear than
those of a skin of a Bear not yet killed.’—FULLER This trims the actual quotation (from Fuller’s 1662 History of the Worthies
of England) a little: ‘But he had catch’d a great cold, had he had no other
clothes to wear then [sic] those which were to be made of a skin of a
Bear not yet killed’.6 The fuller sentence makes the sense clearer: Fuller
describes someone in pressing need of clothes whose only option is a
bearskin still on the outside of a live bear. The position of someone,
in other words, who has a good deal of dangerous work to undertake
before his necessity can be addressed. Chapter 10 concerns Casaubon anticipating his impending marriage,
and also records a dinner party in which various other Middlemarchians
discuss the match. The application of the Fuller line to such a chapter is a
little unclear. Does it refer to Ladislaw, whom (we are told in the opening
paragraph) has left Middlemarch for Europe, with the implication that
his nascent love for Dorothea has a long and arduous route to traverse,
obstacles to overcome—her marriage to Casaubon—before it finds its
consummation? Or does it refer to Casaubon? This is a character whom
Eliot describes here, with nicely sensitive insight, as a man aware that he
ought to be happy that he is going to marry this beautiful and attentive
young woman who is nonetheless puzzled that he still experiences ‘a
certain blankness of sensibility’ on the subject. Is his marital happiness
his unskinned bear? Or does the epigraph relate to the later portion of
the chapter, given over to Mr. Brooke’s dinner party attended by Lady
Chettham, Lydgate, Vincy, Bulstrode and others? 4. Hypocrisy and the Judgment of Men 4. Hypocrisy and the Judgment of Men Such a (material) thing was never Dorothea’s goal, of course; she hoped
for something more refined, spiritual and scholarly, but that—Eliot is
saying—is like the Spanish Duke lusting after this English stately home.fi The epigraph, in other words, is in its diffident way saying something
large and profound, something with a pressing relevance to the novel. 72 72 Middlemarch It is saying that we cannot free our looking-forward from the shape that
our desires (conscious or unconscious) give to our anticipations, from
the taint of hypocrisy; because such desiring, by being future-orientated,
becomes inevitably defined by the inconsiderable. Praxis will subvene
upon eros. It is saying that we cannot free our looking-forward from the shape that
our desires (conscious or unconscious) give to our anticipations, from
the taint of hypocrisy; because such desiring, by being future-orientated,
becomes inevitably defined by the inconsiderable. Praxis will subvene
upon eros. This is especially the case for Dorothea because her desire is
unsimple—as our desire so often is. She does not (as it might be) simply
desire Casaubon; she desires something larger than Casaubon, and
believes—her heart believes, at any rate—that he is the route to reaching
it. In the words of Patricia McKee ‘Dorothea’s desire is not a desire to
be met but a desire to be exceeded by something larger than herself’.8
Her desire is at once a knowledge of her smallness and her ambition for
greatness. Her desire, in other words, mediates not animal satisfactions
nor social or material cupidity, but rather precisely the relation between
the small and the large, between motto and majority. We stand, small epigraphs, at the head of a large body of unread
text—our future. Only when we have apprehended the latter will our
relation to it, direct or ironic, clear or complex, become evident to us. That’s what it means to exist in time. It may be that our desire, like
Rosamond, or Fred Vincy, is only for material comfort and status—a
lovely house, say—but, Eliot’s novel suggests, this is not only subject
to the vagaries, and so obliged to pay the price, of futurity as such; it
also tangles us in more than we think. It gives us, whether we like it
or not, skin in the game, bearish or other. 8
Patricia McKee, Heroic Commitment in Richardson, Eliot, and James (Princeton:
Princeton University Press, 1986), p. 151. 4. Hypocrisy and the Judgment of Men What we end up doing in
pursuit of such desire might be less than optimal: might be selfish, or
bring suffering to others, or put them in financial danger, or ostracise
them. It is not that bad actions are defensible as such; rather, it is just
(Eliot is saying) that she prefers a bad action to a bad principle. And
Eliot is right. © 2021 Adam Roberts, CC BY 4.0 5. Ladislaw It is up to us, as readers, how we choose to pronounce Will Ladislaw’s
surname. We might assume that it rhymes its final syllable with ‘coleslaw.’
Then again, we could note the clues as to his family provenance that
unobtrusively accumulate as the novel proceeds (starting in chapter 8,
when Mr. Cadwallader explains Ladislaw’s relationship to Casaubon:
‘his mother’s sister made a bad match—a Pole, I think—lost herself—at
any rate was disowned by her family’) and conclude that Will’s name
must actually be ‘Wilhelm Ladisław’. He has presumably Englished his
Christian name, and it is possible the English ‘coleslaw’ pronunciation
of ‘Ladislaw’ is the one the book’s characters use: we’re in England after
all, not Poland (the novel is Middlemarch, not Centralnynaród). But we
cannot be sure, because Eliot’s novel doesn’t include a pronunciation
guide. We can call Will ‘Ladislāw’ or ‘Ladisclăv’ depending on our
preferences. Eliot does not go out of her way to draw attention to Will’s Polishness,
but neither does she conceal it, and in a novel like Middlemarch, which is
centrally and persistently about how we ‘read’ other people, how much
nuance and insight (or blindness) there can be in such human reading,
and how much our insights can be compromised by our prejudices, our
inertia or our fantasies—in such a novel these questions are of course
much more important than they might be in a different kind of fiction. All we know of Will by the end of Book One is: he’s handsome, artistic,
charming and something of an outsider. As the novel goes on we learn
more. Making Will Polish makes him ‘Romantic’ in more senses than
one. This was because of the status of Poland in the early decades of the
nineteenth-century. In 1788 the Polish king Stanisław II oversaw a new
reformist national constitution. The country’s neighbours, Russia and
Prussia, fearing that the success of Stanisław’s liberalising revolution https://doi.org/10.11647/OBP.0249.05 74 74 Middlemarch might destabilise their respective autocracies, carved the place up
between them. In 1793, after a short war, independent Poland ceased to
exist and the country was partitioned, with Russia and Prussia taking
the lion’s share and Austria acquiring some territory in the south. As
you might expect Poles were not happy with this arrangement. 1
Quoted in Norman Page (ed), Tennyson: Interviews and Recollections (London:
Macmillan 1983), p. 141 5. Ladislaw There
were several uprisings, some very bloody, throughout the nineteenth
century, although in fact ‘Poland’ was not to exist again as a distinct
nation until the twentieth century. The political situation meant that other European countries, not least
Britain, became home to many exiled Polish revolutionaries. Perhaps
Ladislaw’s grandfather fled from the initial war and partition (it is not
spelled-out in the novel). What’s undeniable is that during the timeline
of Middlemarch ‘Poland’ was in the grip of by another upheaval, the 1830
‘November Uprising’. For many, and especially for younger Britons with radical or
revolutionary sympathies, this uprising became a supremely Romantic
symbol of doomed struggle against tyranny. Alfred Tennyson, twenty-
one years old in 1830, took to dressing in the style associated with Polish
exiles: a dark cloak and wide-brimmed floppy hat (he was still dressing
that way in the 1890s). He wrote an epic poem about the nation’s fate: ‘a
beautiful poem on Poland’, he later told his friend William Allingham,
‘hundreds of lines long—but the housemaid lit the fire with it. I never
could recover it’1 (other early Tennysonian poems celebrating the
romantic dash of Polish resurrection do survive, including 1820’s ‘On
the Late Russian Invasion of Poland’). The situation had not resolved itself, four decades later, when Eliot
was writing her novel. A year before she began publishing Middlemarch
Jules Verne published his submarine science-fiction novel Twenty
Thousand Leagues Under the Sea (1870), in which a mysterious nobleman
going by the name of ‘Nemo’ (that is, ‘Nobody’) uses his advanced
submarine to make war on imperialism. In the original draft of his
novel, Verne revealed at the end that Nemo was a Polish aristocrat taking
revenge for Tsarist atrocities in his homeland. But Verne’s publisher,
Hetzel, conscious of how many copies of Verne’s novels were sold in
Russia (where much of the reading public spoke French), persuaded 5. Ladislaw 75 75 him to change this to something less controversial, and Verne removed
all specific references to Poland from the work—indeed, in Twenty
Thousand Leagues Under the Sea’s sequel, The Mysterious Island (1875)
‘Nemo’ is revealed to be an Indian Prince with an animus against the
British Empire. 2
Tatiana Kuzmic, ‘“The German, the Sclave, and the Semite”: Eastern Europe in the
Imagination of George Eliot’, Nineteenth-Century Literature, 68.4 (2014), 513–41 (p.
519), https://doi.org/10.1525/ncl.2014.68.4.513 5. Ladislaw As Tatiana Kuzmic points out: The ‘Polish fever’ that swept England in the 1830s reached such a
pitch that beggars from other countries craftily exploited the nation’s
sympathies and, counting especially on the romantic fantasies of the ‘fair
sex,’ managed to obtain money and lodgings by passing themselves off
as impoverished Polish princes. Andrew Halliday, writing in the 1862
supplemental volume of Henry Mayhew’s London Labour and the London
Poor (1851), recalled these events in a section on ‘Foreign Beggars,’ and
warned his audience that ‘it will not do to mistake every vagabond refugee
for a noble exile.’ ‘To be a Pole, and in distress, was almost a sufficient
introduction,’ Halliday stated, as well as ‘so excellent an opportunity for
that class of foreign swindlers which haunt roulette-tables, and are the
pest of second-rate hotels abroad’.2 Will isn’t quite in this position. He’s no beggar, and he has his older
cousin Casaubon to vouch for him. But some in Middlemarch regard
him with a suspicion tainted with this kind of assumption: a handsome
but indigent ‘foreigner’ working on the romantic fantasies of the ‘fair
sex’ to obtain money. Eliot knows exactly what she’s doing by introducing this sort-of
English, sort-of Polish character into the novel in the way she does. ‘Ladislaw’ is not an English surname, but then neither is ‘Casaubon’—the
famous Renaissance classical scholar Isaac Casaubon was a Huguenot
exile in Switzerland. Eliot never makes explicit in Middlemarch if Edward
is a scion of this notable family, but we can deduce from his surname
that his roots are Huguenot—that is, that his ancestors were French
Protestants who fled from Catholic France to Protestant Britain after
the Saint Bartholomew’s Massacre. Centuries separate them, but both
Casaubon’s and Ladislaw’s forebears were refugees. That key theme of
Middlemarch is, alas, as relevant in our twenty-first-century world as it
has ever been. The creeping prejudice by which people who self-identify 76 Middlemarch as ‘English’ view Polish people on British streets with suspicion or
hostility could hardly, as of the 2020s, be more current.f There is a difference, though, in the refugee ancestry of Casaubon and
Ladislaw, even though the two men are connected by blood. Huguenots
were refugees from specifically religious persecution; the Polish diaspora
of the nineteenth-century were political refugees. And Eliot, carefully if
unobtrusively, explores the consonances and differences of these two
modes of exile as her novel goes on. 3
Eliot, Middlemorch, ch. 2. 4
Polybius, Histories, ed. by Theodorus Büttner-Wobst after L. Dindorf (Leipzig:
Teubner, 1893), vol. 3, ch. 31, http://www.perseus.tufts.edu/hopper/text?doc=Pl
b.+3.31.&fromdoc=Perseus%3Atext%3A1999.01.0233. The translation is by Eliot’s
contemporary Evelyn S. Shuckburgh, The Histories of Polybius (London: Macmillan
& Co., 1889), vol. 1, p. 193. 5. Ladislaw It gives us, for example, one of the
ways in which we can parse Dorothea’s dilemma: the theologian versus
the politician, or if not quite that, the man dedicated to the theological
and mythological past, and the man engaged in shaping the political
and social future. That this dilemma is also construed in terms of an
unattractive older man—dead (it seems) from the waist down—and a
sexually compelling younger man is not arbitrary, although it perhaps
doesn’t quite amount to Eliot’s thumb in the balance. But in addition
to interpellating us, as readers, into Dorothea’s situation, it becomes
another way in which Middlemarch engages its relationship to epigraphy
and quotation—to, that is, tradition and novelty. The dynamic is
straightforwardly established early on. It is Mr. Brooke, hardly the most
politically engaged of Eliot’s characters, who says to Casaubon, ‘smiling
towards’ him: ‘I remember when we were all reading Adam Smith. There is a book, now. I took in all the new ideas at one time—human
perfectibility, now’. His conclusion (‘we must have Thought; else we
shall be landed back in the dark ages’) constellates thought as such and
novelty, and he adds ‘But talking of books, there is Southey’s Peninsular
War. I am reading that of a morning. You know Southey?’ Casaubon’s
negative response to this question becomes a tacit linking of the old and
th i t
t d ‘No,’ said Mr. Casaubon, not keeping pace with Mr. Brooke’s impetuous
reason, and thinking of the book only. ‘I have little leisure for such
literature just now. I have been using up my eyesight on old characters
lately […] I feed too much on the inward sources; I live too much with
the dead. My mind is something like the ghost of an ancient, wandering
about the world and trying mentally to construct it as it used to be, in
spite of ruin and confusing changes’.3 5. Ladislaw 5
Eliot, Middlemarch, ch. 22.
6
Ibid., ch. 37.
7
George Eliot, ‘Art and Belles Lettres: Review of Modern Painters’, Westminster Review,
65 (April 1856), 625–33. 7
George Eliot, ‘Art and Belles Lettres: Review of Modern Painters’, Westminster Review,
65 (April 1856), 625–33. 6
Ibid., ch. 37. 5. Ladislaw 77 So far as Southey’s celebrated history is concerned, we need look no
further than its title page, which quotes as its own epigraph a passage
from Polybius: Ἱστορίας γὰρ ἐὰν ἀφέλῃ τις τὸ διὰ τί, καὶ πῶς, καὶ
τίνος χάριν ἐπράχθη, καὶ τὸ πραχθὲν πότερα εὔλογον ἔσχε τὸ τέλος,
τὸ καταλειπόμενον αὐτῆς ἀγώνισμα μὲν, μάθημα δὲ οὐ γίγνεται·
καὶ παραυτίκα μὲν τέρπει, πρὸς δὲ τὸ μέλλον οὐδὲν ὠφελεῖ τὸ
παράπαν. This means: ‘For if you take from history all explanation of
cause, principle, and motive, and of the adaptation of the means to the
end, what is left is a mere panorama without being instructive; and,
though it may please for the moment, has no abiding value’.4 Mere
panorama is as far as Casaubon ever gets, of course; not because he
hasn’t had time, or professional expertise, as a collector of data, but
because he has missed this fundamental Polybian point. The question then is not just that Casaubon is mired in the past,
but that his comprehension of the past is merely panoramic. Of course,
he is mired in the past. Indeed, it’s possible that Eliot, usually more
nuanced in her characterisation, rather over-plays this distinction. In the
next chapter Mr. Brooke attempts to interest Casaubon in ‘documents
on machine-breaking and rick-burning’, whilst ‘Mr. Casaubon made
a dignified though somewhat sad audience; bowed in the right place,
and avoided looking at anything documentary as far as possible’. Later
in the novel, Ladislaw, famously twitting Casaubon (though not to his
face) for his ignorance of German scholarship, lays out the case plainly: ‘But there are very valuable books about antiquities which were written
a long while ago by scholars who knew nothing about these modern
things; and they are still used. Why should Mr. Casaubon’s not be
valuable, like theirs?’ said Dorothea, with more remonstrant energy. She
was impelled to have the argument aloud, which she had been having in
her own mind. ‘That depends on the line of study taken,’ said Will, also getting a tone
of rejoinder. ‘The subject Mr. Casaubon has chosen is as changing as
chemistry: new discoveries are constantly making new points of view. Who wants a system on the basis of the four elements, or a book to refute 78 Middlemarch 5
Eliot, Middlemarch, ch. 22.
6
Ibid
h 37 5. Ladislaw 79 bursts down again, breaks away into full light. The rain-clouds in this
picture are wrought with a care which I have never seen equalled in any
other sky of the same kind. It is the rain of blessing—abundant, but full
of brightness; golden gleams are flying across the wet grass.8 It is possible these Ruskinian details, the rain ‘a blessing’, the post-
storm ‘gleams across the wet grass’, were in Eliot’s mind when she
wrote her bit about Ladislaw. It would be a way of reinforcing that he
has a painter’s eye, a Ruskinian capacity for fine attention to the beauty
of nature—which is to say, another way of drawing the contrast with
Dorothea’s myopic, dryasdust husband. Not that John Ruskin figures
as an especially auspicious model when it comes to the case of an older
man marrying a younger, idealistic woman, of course. Conceivably that
particular irony was also in Eliot’s mind. Eliot touches on the contrast between the future-oriented visual arts,
and the library-work of dead textual scholarship, during Dorothea and
Casaubon’s Roman honeymoon. Dorothea is eager to help her husband’s
researches: In their conversation before marriage, Mr. Casaubon had often dwelt on
some explanation or questionable detail of which Dorothea did not see
the bearing; but such imperfect coherence seemed due to the brokenness
of their intercourse, and, supported by her faith in their future, she had
listened with fervid patience to a recitation of possible arguments to be
brought against Mr. Casaubon’s entirely new view of the Philistine god
Dagon and other fish-deities, thinking that hereafter she should see this
subject which touched him so nearly from the same high ground whence
doubtless it had become so important to him.9 We understand that ‘Mr. Casaubon’s entirely new view of the Philistine
god Dagon’ is a dead-end. Eliot’s novel is not interested in his question. Its concerns are quite other, to do with the relationship between
art and life, how love is reconciled to reality and the way life is best
lived. Should we wish to dig down a little, we discover that Dagon is
a pagan deity mentioned several times in the Bible.10 The consensus of We understand that ‘Mr. Casaubon’s entirely new view of the Philistine
god Dagon’ is a dead-end. Eliot’s novel is not interested in his question. Middlemarch Paracelsus? Do you not see that it is no use now to be crawling a little
way after men of the last century—men like Bryant—and correcting their
mistakes?—living in a lumber-room and furbishing up broken-legged
theories about Chus and Mizraim?’5 With Ladislaw, Eliot draws on a different cultural reservoir to
characterise his freshness and youth. For example: in chapter 37,
Ladislaw visits Dorothea to tell her he’s taking up the editorship of the
new Middlemarch newspaper. She is pleased, since it means he will stay
in the area, but immediately has second thoughts: it might displease her
husband. Accordingly she suggests he obtain Casaubon’s blessing: ‘But my opinion is of little consequence on such a subject. I think you
should be guided by Mr. Casaubon. I spoke without thinking of anything
else than my own feeling, which has nothing to do with the real question. But it now occurs to me—perhaps Mr. Casaubon might see that the
proposal was not wise. Can you not wait now and mention it to him?’ ‘I can’t wait to-day,’ said Will, inwardly seared by the possibility that Mr. Casaubon would enter. ‘The rain is quite over now. I told Mr. Brooke
not to call for me: I would rather walk the five miles. I shall strike across
Halsell Common, and see the gleams on the wet grass. I like that’.6 In the event, of course, Casaubon tries to forbid Ladislaw taking up
the position. But, for the moment, what I am interested in is that lovely
detail of the wet grass.i Ruskin’s five-volume Modern Painters (1843–60) is, perhaps, his
masterpiece: a sustained interrogation of aesthetics, of the artistic
apprehension of nature, and a full-throated defence of the genius of J. M. W. Turner. Eliot read this work, and indeed reviewed it, or at least
reviewed volumes three and four.7 And here is Ruskin praising Turner’s
‘Salisbury Cathedral’: The plain is swept by rapid but not distressful rain. The cathedral occupies
the centre of the picture, towering high over the city, of which the houses
(made on purpose smaller than they really are) are scattered about it like
a flock of sheep. The cathedral is surrounded by a great light. The storm
gives way at first in a subdued gleam over a distant parish church, then 5. Ladislaw 8
John Ruskin, Modern Painters, vol. 5 (London: Smith, Elder & Co., 1860), part 7, ch.
4, section 19, https://www.gutenberg.org/files/44329/44329-h/44329-h.htm
9
Eliot, Middlemarch, ch. 22.
10
Judges 16.23 tells how the temple of Dagon is destroyed by Samson at Gaza
(Samson’s last act, of course: he dies in the ruins he himself makes). Elsewhere
we learn that King Saul’s severed head was displayed in a different temple of 10
Judges 16.23 tells how the temple of Dagon is destroyed by Samson at Gaza
(Samson’s last act, of course: he dies in the ruins he himself makes). Elsewhere
we learn that King Saul’s severed head was displayed in a different temple of 8
John Ruskin, Modern Painters, vol. 5 (London: Smith, Elder & Co., 1860), part 7, ch.
4, section 19, https://www.gutenberg.org/files/44329/44329-h/44329-h.htm
9
Eli
Middl
h
h 22 p
9
Eliot, Middlemarch, ch. 22. 8
John Ruskin, Modern Painters, vol. 5 (London: Smith, Elder & Co., 1860), part 7, ch.
4, section 19, https://www.gutenberg.org/files/44329/44329-h/44329-h.htm
9
Eliot, Middlemarch, ch. 22.
10
Judges 16.23 tells how the temple of Dagon is destroyed by Samson at Gaza
(Samson’s last act of course he dies in the ruins he himself makes) Elsewhere 12
Horace, De Arte Poetica liber, ed. by C. Smart (Philadelphia: Joseph Whetham, 1836),
1, http://www.perseus.tufts.edu/hopper/text?doc=Perseus%3Atext%3A1999.02.0
064%3Acard%3D1; Horace, The Art of Poetry: To the Pisos, ed. and trans. by C. Smart
and Theodore Alois Buckley (New York: Harper and Brothers, 1863), 1, http://
www.perseus.tufts.edu/hopper/text?doc=Perseus%3Atext%3A1999.02.0065%3Ac
ard%3D1 13
John Rignall, ed., Oxford Reader’s Companion to George Eliot (Oxford: Oxford
University Press, 2000), p. 166. Dagon [1 Maccabees 10.83; 11.4] and 1 Samuel 5.2–7 informs us the Ark of the
Covenant was seized by the Philistines and taken to Dagon’s temple in Ashdod. The
Philistines set a fetish of Dagon before their trophy, but each morning they discover
it lying prostrate before the ark. They set it upright but the following morning it
is discovered fallen over, and on the third morning it is broken into pieces: in the
words of KJV, ‘the head of Dagon and both the palms of his hands were cut off upon
the threshold; only the stump of Dagon was left to him’. y
p
g
11
John McClintock, Cyclopaedia of Biblical, Theological, and Ecclesiastical Literature, 2 vols
(New York: Harper, 1868), vol. 2, p. 642. 5. Ladislaw Its concerns are quite other, to do with the relationship between
art and life, how love is reconciled to reality and the way life is best
lived. Should we wish to dig down a little, we discover that Dagon is
a pagan deity mentioned several times in the Bible.10 The consensus of Middlemarch 80 nineteenth-century scholarship was that he was, as Eliot notes, a pagan
fish-god. John McClintock describes him as a kind of merman, ‘the body
of a fish with the head and hands of a man’.11 l i
Horace’s Ars Poetica, one of the earliest and most influential works of
aesthetic theory, opens with these lines: Humano capiti cervicem pictor equinam
iungere si velit, et varias inducere plumas,
undique conlatis membris, ut turpiter atrum
desinat in piscem mulier formosa superne,
spectatum admissi risum teneatis, amici?12 If a painter should wish to unite a horse’s neck to a human head, and
spread a variety of plumage over limbs [of different animals] taken from
every part of nature, so that what is a beautiful woman in the upper part
terminates unsightly in an ugly fish below; could you, my friends, refrain
from laughter, were you admitted to such a sight? Horace takes it for granted that this kind of incongruity is, simply,
ludicrous. Art should aim for something better: paint a fish by all
means, or paint a beautiful woman, but don’t muddle the two up. The
Ars Poetica is a very famous piece of classical literary criticism, and
Eliot certainly knew it: according to John Rignall, Horace is ‘the Latin
author George Eliot refers to most frequently in her writing’.13 Was she
thinking of the Ars Poetica, I wonder, when she prefaces her novel’s first
sustained discussion of the purpose and form of art with this mermaid-
ish reference to Casaubon’s pointless researches? Horace’s whole 5. Ladislaw 81 point is—to repeat Dorothea’s words, quoted above—that appending
a scaly fish tail to a human torso is ‘a consecration of ugliness rather
than beauty’ and ‘ridiculous’. Eliot tucks the joke in at various places:
as with Mrs. Cadwallader’s unforgiving judgement that ‘Casaubon has
money enough; I must do him that justice’ but ‘as to his blood, I suppose
the family quarterings are three cuttle-fish sable, and a commentator
rampant’.14 We laugh because there is something ‘fishy’ about Casaubon. He’s a cold fish, in many ways neither fish nor fowl. 14
Eliot, Middlemarch, ch. 6.
15
Ibid., ch. 22. 15
Ibid., ch. 22. 14
Eliot, Middlemarch, ch. 6. 5. Ladislaw ii
Dorothea meets Ladislaw on her honeymoon, in Rome, where
Ladislaw is improving his artistic technique by studying under the
German artist Adolf Naumann (the Casaubons later visit Naumann’s
studio and both sit for portraits). Will dines with Mr. and Mrs. Casaubon
and the conversation turns to art, a topic over which he and Dorothea
disagree. ‘I fear you are a heretic about art generally’, Ladislaw tells her
and she replies that the important thing would be to make life itself
beautiful, rather than make beautiful imitations of life: I should like to make life beautiful—I mean everybody’s life. And then
all this immense expense of art, that seems somehow to lie outside life
and make it no better for the world, pains one. It spoils my enjoyment of
anything when I am made to think that most people are shut out from it. […] I should be quite willing to enjoy the art here [in Rome], but there
is so much that I don’t know the reason of—so much that seems to me a
consecration of ugliness rather than beauty. The painting and sculpture
may be wonderful, but the feeling is often low and brutal, and sometimes
even ridiculous.15 Dorothea adds ‘I have often felt since I have been in Rome that most of
our lives would look much uglier and more bungling than the pictures,
if they could be put on the wall’. It is an important aesthetic question:
should art be ‘realist’, and serve the betterment of life, or ‘idealist’
adding a beautifying and ennobling sheen to the things represented? But this is not a question that engages Casaubon, devoted as he is to his
myopic pedantry. When Ladislaw praises the ambition of Neumann’s art
(‘“The sketch must be very grand, if it conveys so much,” said Dorothea. “Oh yes,” said Will, laughing, “and migrations of races and clearings
of forests—and America and the steam-engine. Everything you can 82 Middlemarch imagine!”’) Dorothea suggests, ‘smiling towards her husband’ that it
would require somebody of Casaubon’s encyclopaedic knowledge ‘to be
able to read it’. Eliot adds: ‘Mr. Casaubon blinked furtively at Will. He
had a suspicion that he was being laughed at. But it was not possible to
include Dorothea in the suspicion’. What, then, of Casaubon’s ‘entirely new view of the Philistine god
Dagon’? 5. Ladislaw Eliot, of course, is writing about ‘real’ people in ‘real’ situations,
and not about horseheaded men and fishtailed women of fantasy or
(latterly) science fiction. Where Eliot’s ‘literary realism’ embodies
a mimetic logic, whereby life is mapped onto art with a minimum of
distortion, science fiction and fantasy are both metaphorical modes of
art, because they aim to represent the world without reproducing it. The metaphors that inform science fiction sometimes calcify, through
over-use, into mere cliché: the robot, the spaceship, the raygun. But at its
best, science fiction estranges its reader with an eloquent and arresting
metaphorical apprehension of life that compels us again to think about
existence. Speaking for myself, and as a writer of science fiction, I value
that estrangement, and consider metaphor a more expressive mode of
art than mimesis. And under that aegis, Casaubon’s merman seems
to me a fascinating rebus for a novel like Middlemarch—a novel, after
all, centrally about the way human life and its relationships so often
construe incompatible juxtapositions: Dorothea and Casaubon, Lydgate
and Rosamond, high ideals and provincial practicalities. These are the
petty hypocrisies of the respectable middle classes that Matthew Arnold
so memorably called ‘philistinism’. In the Old Testament Dagon appears as the enemy of righteousness,
but by the time we get to the New Testament we must consider a new
dispensation, one in which the last now becomes the first. After all,
what is Christ himself if not a kind of fish god? He recruits disciples
from trawlermen telling them to become fishers of men; he feeds five
thousand, miraculously, with ‘five small loaves and two fish’. In another
miracle he tells Peter that he will be able to pay the temple tax by casting
a line in the water, saying that a coin will be found in the fish’s mouth,
which it is. In Matthew 12:38–45 Jesus identifies himself with ‘the Sign
of Jonah’, symbolic of his death and resurrection. The early church
branded itself with a fish symbol (many modern Christians do the
same): ICHTHUS, which means fish, and is a Greek acrostic (ΙΧΘΥΣ). 5. Ladislaw 83 Conceivably Casaubon’s key to all mythologies would, if completed,
prove to be a way of reconciling pagan and Christian piscine symbols
into one unified whole. i
I daresay that strikes you as fanciful. But this question of ‘Realism’
versus the Fantastic had important resonances for Eliot’s own religious
faith. 16
Sean Gaston, ‘George Eliot and the Anglican Reader’, Literature and Theology, 31.3
(2017), 318–37 (p. 319), https://doi.org/10.1093/litthe/frw026 5. Ladislaw In 1846 she had translated David Strauss’s Das Leben Jesu, in its day
a controversial book (the Earl of Shaftesbury memorably called Eliot’s
translation ‘the most pestilential book ever vomited out of the jaws of
hell’). Strauss conceded that Christ was a historical figure but argued that
there had been nothing supernatural or miraculous about his ministry. The miracles recorded in the New Testament were, he suggested,
mythic accretions or fanciful extrapolations added-in by the early
Church bolster their messiah’s reputation as a wonder-worker. Eliot was
persuaded by this argument. Then again, it is possible to disbelieve the
miraculous events recorded in the Bible without altogether jettisoning
one’s engagement with the orientations of faith. In the words of Sean
Gaston: ‘Eliot rejected the supernatural trappings of punishment and
reward, while still embracing what is in “conformity with the will of
the Supreme” […] though she later modified her youthful vehemence
against orthodoxy, by and large her position appears to have remained
unchanged for the rest of her life’.16 Christianity can be a rationalist
faith, and a believer can think of Christ as a character in, as it were, a
realist story. Then again, Christianity can be a miraculous faith, and a
believer can think of Christ as a practitioner of the strongest kind of
magic. Calling Christ a kind of fish-god is to take the latter line (the
fish stories in the New Testament all share a miraculous element). Seem
this way, Christianity itself becomes is a kind of numinous monster, a
combination of the ordinary and the impossible, the mundane and the
magical. A kind of merman or mermaid system of belief. Monsters can,
as Horace says, be ridiculous, or ugly, but they can also be marvellous. It is even possible that some monsters can be marvellous because they
are ridiculous and ugly. Metaphor itself is a yoking together of apparent
incompatibles in the service of a new eloquence. The truth is
critics have never quite decided on the place of The truth is, critics have never quite decided on the place of
Casaubon’s ‘Key to All Mythologies’ in Middlemarch. In one sense, of 84 84 Middlemarch course, it is obvious enough: this unfinished and perhaps unfinishable
project is indicative of Casaubon’s unfittedness as Dorothea’s husband. She deserves better than this withered old pedant, wholly consumed by
his dryasdust obsessions. 17
Eliot, Middlemarch, ch. 1.
18
Ibid., ch. 3. 17
Eliot, Middlemarch, ch. 1. 18
Ibid., ch. 3. 5. Ladislaw From the novel’s first mention of the character,
his project is linked to his name, as something integral to his being-in-
the-world: ‘the Reverend Edward Casaubon, noted in the county as a
man of profound learning, understood for many years to be engaged
on a great work concerning religious history’.17 The very phrase ‘Key
to All Mythologies’ has become a shorthand for pointless and pedantic
scholarly vanity, the academic’s ‘life project’ always doomed to failure—
as an academic myself, I can vouch for how sharply the jibe can hit home. The fact Dorothea is initially won-over by Casaubon’s plan speaks
to the naivety of her character at the novel’s beginning; and her slowly
dawning realisation of the barrenness of her husband’s work tracks her
own Bildungsroman narrative—that is, her growth and development. So, in that sense, it’s obvious enough what function the ‘Key’ has in the
novel. But here’s what I’m not sure about: is the problem with Casaubon’s
‘Key’ that it is too ambitiously framed, doomed by virtue of the fact that
it seeks to explain everything with one clef when the nature of reality—
the reality Eliot so deftly gestures towards with her particular mode of
literary realism—is too complex to admit of such simplistic analysis? Or
is the idea that a ‘Key’ could be written so as to explain all mythological
systems but that Casaubon is too disorganised, too narrow-minded and
too lacking in necessary expertise, to do it? (Later in the story Ladislaw
scoffs that Casaubon doesn’t even read German.) Is the novel saying
that the ‘Key to All Mythologies’ could never be written, or is it saying
that such a work could be written, just not by Casaubon? Casaubon believes his ‘Key’ will show ‘that all the mythical systems
or erratic mythical fragments in the world were corruptions of a tradition
originally revealed’18 and though he has a relatively high opinion of
Dorothea’s intelligence compared to other women, he does not propose
to take her on as a partner. Her role is to be ‘helpmeet’, ‘secretary’, to
take dictation and assist him in sorting through paperwork. In chapter
2 we learn that the materials for the ‘Key’ are dispersed between many 5. Ladislaw 85 pigeon-holes in Casaubon’s study, and Dorothea believes she could
be the person to order and arrange the material. When Mr. 19
Colin Kidd, The World of Mr Casaubon: Britain’s Wars of Mythography, 1700–
1870 (Cambridge: Cambridge University Press, 2016), p. 2, https://doi.
org/10.1017/9781139226646
20
Ibid., p. 7. 5. Ladislaw Brooke
complains that his pigeonholes are a mess (‘I have tried pigeon-holes,
but everything gets mixed in pigeon-holes: I never know whether a
paper is in A or Z’) Dorothea’s offer to him—‘I wish you would let me
sort your papers for you, uncle. I would letter them all, and then make
a list of subjects under each letter’—is actually a coded romantic pitch
at Casaubon, and is, in the cleverly-observed, rather strangulated idiom
in which Eliot renders this doomed love affair, recognised as such (‘Mr. Casaubon gravely smiled approval’). We could rephrase my question this way: is Dorothea culpably
naïve for believing in Casaubon’s proposed ‘Key’? I’m not sure she
is. Casaubon’s work is, on its face, a perfectly respectable project. As
Colin Kidd’s recent study, The World of Mr Casaubon, shows, there was
a rich tradition of comparative mythology through the eighteenth- and
nineteenth-centuries—a ‘significant and variegated terrain’ rather than
the ‘sterile, unworldly disengagement of which Mr. Casaubon has for
so long been an emblem’.19 Despite taking its name from Eliot’s famous
scholar, Kidd’s book is not really about Middlemarch. Its three sections
examine, first, ‘the eighteenth-century golden age’ of such research,
second ‘the Age of Revolution and Reform down to the early 1830s,
the period in which the novel is immediately set’ when ‘mythography
remained an urgent calling for Anglican scholars who wished to
conserve Christian truth against the poisons of Enlightenment deism,
scepticism and atheism’, and finally the period from the 1830s to the
novel’s publication 1870–71, the time ‘during which Eliot’s own views
of mythography were formed’.20 Lots of people were researching and
writing ‘Keys’. There was, Kidd implies, nothing hubristic or outrageous
about Casaubon attempting such a thing. Perhaps our mistake is focusing on the ‘Key’ part of Casaubon’s
title. Compare the real-world Ernest von Bunsen, eminent scholar of
comparative religion and mythology, who published his Key of Knowledge
(in English) in 1865. His ‘Key’ is: Christ (Bunsen, an eminent Anglo-
German writer and contemporary of Eliot’s, proposed a common origin Middlemarch 86 for many different religions and mythologies, including Buddhism,
Essene Judaism and paganism: his book’s full title is The Hidden Wisdom
of Christ and the Key of Knowledge). Were it ever finished, Casaubon’s book
would—presumably—argue similarly that all the various mythological
traditions derive, with varying degrees of corruption and divergence,
from the sacred revelation of the Christian God. 22
Lisa Baltazar, ‘The Critique of Anglican Biblical Scholarship in George Eliot’s
Middlemarch’, Literature and Theology, 15.1 (2001), 40–60 (p. 40), https://doi.org/10.
1093/litthe/15.1.40 21
Paul Milton, ‘Inheritance as the Key to all Mythologies: George Eliot and Legal
Practice’, Mosaic: A Journal for the Interdisciplinary Study of Literature, 28.1 (1995),
49–68. 5. Ladislaw When the German
painter Naumann sees Casaubon and Dorothea on their honeymoon
together in Rome he assumes the man is a Geistlicher, a clergyman or
cleric. Nor was such a theory eccentric by the standards of the age. Casaubon’s theory has the same shape, and therefore the same
structurally explanatory power, as the theory proposed by the era’s most
famous comparative mythographer, Max Müller, who argued that myth
and language could be traced back to a common linguistic and cultural
origin-point he named ‘Aryan’ (now generally called ‘Indo-European’). So, for example: Müller traces the word for ‘god’ back through history
(dieu, deus, theos and so on) to a now lost Proto-Indo-European word
*dyiw that means ‘sky, heavens, sun’. You can identify that with your
personal God, or make an observation about humankind’s propensity
to religiosity more generally, but either way it is a perfectly Casaubonic
argument. And we know that Eliot read Müller closely. Eliot’s critics, incidentally, have not been shy when it comes to picking
up Casaubon’s dropped baton, offering a whole ring of keys of their
own to the Middlemarch myth. According to Paul Milton ‘inheritance
law’ is not just one of the novel’s various interests, it is the Casaubonic
key to everything.21 For Lisa Baltazar, Casaubon’s project exists in the
novel so that Eliot can undertake ‘an extremely informed debunking’
of infallibilist Biblical criticism.22 And for Roger Travis the ‘Key’ turns
out to be Dorothea herself. Travis argues that Dorothea resists the
‘mummification’ implicit in husband’s struggle with Truth by stepping
out of the textual ‘labyrinth’ into life itself: ‘Middlemarch is a labyrinth like
the social life of Middlemarch like the Key’, he argues, ‘and Dorothea’s 5. Ladislaw 87 87 winding path through them makes emphatically satisfying her final
achievement of a purity and legibility’. The Key, then, is ‘Dorothea’s
character’: ‘with her, the reader must lay aside notions of a mythology
that lacks animate life, an epic that fossilizes’ and instead learn ‘the art
of living’.23 In other words, perhaps the problem with a ‘Key to all Mythologies’
isn’t the key part, so much as the mythologies part. Myths fascinated
Eliot, as they do most of us. They are, after all, powerful and enduring
stories, pitched somewhere between fiction and faith. And it goes
without saying that stories are central to a novelist’s praxis. Generations
of readers can confirm Eliot’s skill at telling them. 23
Roger Travis, ‘From “Shattered Mummies” to “An Epic Life”: Casaubon’s Key to
All Mythologies and Dorothea’s Mythic Renewal in George Eliot’s Middlemarch’,
International Journal of the Classical Tradition, 5.3 (1999), 367–82 (pp. 380–81), https://
doi.org/10.1007/bf02687693 5. Ladislaw At the same time,
Eliot is fascinated by the idea that some stories can’t be told using the
conventional or traditional forms and structures. In one sense the whole
of Middlemarch tends to the point where Eliot says to her readers: ‘now
Dorothea passes out of view of the kinds of stories that constitute novels
like mine’. Earlier in the book she is compared, or compares herself,
to figures from both religious and classical myth—Saint Theresa and
Antigone amongst various others—but by the end her life is revealed
to be just her life, not shaped or directed by any such template. This in
turn might suggest another perspective on Casaubon’s notorious ‘Key’:
not that it is too ambitious to be achieved but on the contrary that it
is, perhaps, too facile—that it is only too easy to extract some guiding
principle from ‘mythology’ and apply it to our lives, where the truth is
that to live properly means not confusing such models with actuality. Life—as George Eliot tells us, paradoxically enough, using her story—is
not a story. Casaubon’s problem is not that he is seeking an impossible key. He
already possesses the key. His problem is that he thinks this key fits
the lock marked ‘mythologies’ when (Eliot is saying) it actually fits the
lock marked ‘life’. Middlemarch ends not because there’s nothing more
for Dorothea to do, but on the contrary because she has a whole life
to live, and because life is bent out of the true when writers try to fit it
into those procrustean structures called ‘stories’, from myths to novels. Look again at the novel’s desperately famous last lines. ‘The effect of 88 Middlemarch 88 her being on those around her was incalculably diffusive’ is surely a
direct nod—‘Diffusionism’ is the name given to the theories of Müller
and his ilk, that myth, religion and culture spread and diffuse from
one source across the world. Here Eliot revisits the governing principle
of Casaubon’s ‘Key’ in order to relocate it from myth to life—where,
she seems to be saying, it belongs, for life should be lived not only
unobtrusively but faithfully. But now I am straying into the matter of
the final chapter: the ending of this novel, and its beginning. 24
Eliot, Middlemarch, ch. 46. 1
John Dryden, The Hind and the Panther: A Poem, in Three Parts (London: Printed for
Jacob Tonson, 1687), part 1, ll. 128–33, http://www.online-literature.com/dryden/
poetical-works-vol1/15/ 5. Ladislaw The way
epigraphs concertina their beginning and their end (nobody wants
an epigraph that goes on for pages and pages; the pithier the better)
and the way they parse this spacious novel, a work whose beginning
and end are separated by hundreds of thousands of words, and yet are
closely interconnected.f Ladislaw, though, believes in art insofar as it addresses and offers
amelioration to the age in which he actually lives. He is a realist, we
might say, in art as in politics; although the debate he has with Lydgate
over dinner in chapter forty-six sees him dismissed as a dreamer: ‘crying
up a [political] measure as if it were a universal cure […] encouraging
the superstitious exaggeration of hopes about this particular measure’. To Lydgate all party politics is ‘a political hocus-pocus’. Ladislaw,
however, considers himself a pragmatist: ‘my dear fellow, but your cure
must begin somewhere, and put it that a thousand things which debase
a population can never be reformed without this particular reform to
begin with’.24 The novel in which he appears is a more hybrid entity: and
one of the functions of many of its embedded quotations and epigraphs
is to construe the novel as simultaneously (what we might call) ‘realism’
and something that expresses a mythic, even a monstrous truth in the
way human lives are shaped and lived. And this brings me to the matter
of Eliot’s allusiveness to classical legend and literature. 2
Nicholas Purcell, ‘Periploi: Voyages around’, Oxford Classical Dictionary (2015),
https://oxfordre.com/classics/view/10.1093/acrefore/9780199381135.001.0001/
acrefore-9780199381135-e-4872
3
Homer, Odyssey, trans. by A. T. Murray (London: William Heinemann, 1919), book
5, ll. 270–82, https://www.perseus.tufts.edu/hopper/text?doc=Perseus%3Atext%3
A1999.01.0136%3Abook%3D5%3Acard%3D262 6. Myth, Middlemarch and the Mill: Out in Mid-Sea The epigraph to chapter 44 reads as follows: I would not creep along the coast, but steer
Out in mid-sea, by guidance of the stars. I would not creep along the coast, but steer
Out in mid-sea, by guidance of the stars. This little couplet is about Dorothea leaving behind the shore-hugging
life she has had with Casaubon and charting a more adventurous and
exciting (sexual) course. Or at least it is about her starting to think,
obliquely, in these terms. In chapter 44, Casaubon is dying but not dead,
and Dorothea, walking around the hospital grounds, is thinking about
her future. Critics assume these two lines were written by Eliot herself, which
is partly correct. In fact, ‘creep along the coast’ is a phrase from John
Dryden’s The Hind and the Panther (1687), and the six-line passage in
which it occurs rather looks like it has been boiled down by Eliot for her
two. Why choose we, then, like Bilanders, to creep
Along the coast, and land in view to keep,
When safely we may launch into the deep? In the same vessel which our Saviour bore,
Himself the pilot, let us leave the shore,
And with a better guide a better world explore.1 (A ‘bilander’ is a flat-bottomed masted Dutch ship, designed for coastal
traffic.) This piously Christian sentiment is, at root, classical. The contrast © 2021 Adam Roberts, CC BY 4.0 https://doi.org/10.11647/OBP.0249.06 90 Middlemarch between hugging the shore and the more dangerous but far-reaching
tactic of heading out across open water defined classical navigation. The Greeks even had a particular name for the former activity. Here’s
Nicholas Purcell in the Oxford Classical Dictionary: Periploi, ‘voyages around’ (i.e. around a sea, following the coastline),
were the standard basis of ancient descriptive geography. Sequences
of harbours, landings, watering-places, shelters from bad weather,
landmarks, or hazards could be remembered in an oral tradition as a
sometimes very long list, and in written culture provided a summation
of space that could be easier to intuit, and which offered much more
room for detail, than cartography.2 More adventurous Greek heroes repudiate such timid periplism. Here’s
Homer’s Odyssey: Homer’s Odyssey: Gladly then did goodly Odysseus spread his sail to the breeze; and he
sat and guided his raft skilfully with the steering-oar, nor did sleep fall
upon his eyelids, as he watched the Pleiads, and late-setting Bootes, and
the Bear, which men also call the Wain, which ever circles where it is and
watches Orion, and alone has no part in the baths of Ocean. For this star
Calypso, the beautiful goddess, had bidden him to keep on the left hand
as he sailed over the sea. For seventeen days then he sailed over the sea,
and on the eighteenth appeared the shadowy mountains of the land of
the Phaeacians, where it lay nearest to him; and it shewed like unto a
shield in the misty deep.3 Might Eliot have had this Homeric moment in mind in writing her
couplet she sets as the epigraph to chapter 44? One of the (if you’ll excuse
me) oddities of the Odyssey is that its overarching storyline—a man
travelling back through adversity to reunite with his beloved wife—is
interrupted by stories of that same man pairing-off with women not his
wife, and finding himself repeatedly tangled-up in the narratological
logic of sexual romance. Item: Odysseus loiters with Circe. Item: he flirts
with Nausicaa. Item: as the epic opens he is cohabiting with the beautiful
nymph Calypso. Indeed, it is leaving Calypso’s island that occasions the 6. Myth, Middlemarch and the Mill: Out in Mid-Sea 91 passage quoted above, where Odysseus sets out, not creeping along the
shore, but steering out in mid-sea by guidance of the stars. And where is he heading? To the land of the Phaeacians, where he
meets the beautiful young Phaeacian princess Nausicaa and afterwards
captivates her with stories of his many adventures. It reads as the set-up
to a romantic story that ought to end with Odysseus marrying Nausicaa,
although (of course) it doesn’t. Instead of that romantic ending, the story
makes a knight’s-move into a different denouement: the Phaeacians gift
Odysseus quantities of treasure and send him on his way back to his
actual wife. One could not call Odysseus sexually faithful, certainly. There’s
always seemed to me something ironic in the poem’s happy ending,
predicated as it is upon his supposedly happy reunion with Penelope,
who has gone to such extraordinary lengths to avoid cheating on her
husband. Homer’s Odyssey: And as Middlemarch moves into its second half it reveals itself
as, amongst other things, a meditation on the nature of marital infidelity,
not (of course) as actual physical adultery, but as a complication of the
wedded heart. Casaubon, fretful at the prospect of Dorothea having sex
with Ladislaw, decides that such a connection would constitute adultery
even after his death; and so he arranges his posthumous testament to
try and prevent it. We, as readers, naturally don’t see it that way—a
widow should surely be allowed to marry again without acquiring the
taint of adultery. And Dorothea is hardly Odysseus, jumping into bed
with whomever she comes across. And yet she is conflicted. The story
wouldn’t be half so interesting if she weren’t. Which is to say: it’s not
about the money that she would lose if she marries Ladislaw, or not only
about that. There’s something else at work in her sexual conscience.l We flatten the dramatic dilemma of the novel’s second half if we take
an absolutist moral position with respect to it: as it might be, telling
ourselves Casaubon is wholly irrational in demanding his widow be sexually
chaste after his death; Dorothea is wholly within her rights to take another
husband and should feel no scruple about desiring another man. It’s a fair
enough position, but it runs the risk of missing what Eliot is doing. She
is not an absolutist writer—always fonder, we might say, as per her title,
of the middle line. Say Dorothea has been guilty, even self-deceiving,
about her desire for Ladislaw whilst her husband was alive. Those are
the kinds of feelings (the guilt, I mean) that don’t merely evaporate 92 Middlemarch 92 now that her husband is dead. In other words, I’m suggesting Eliot is
saying there is something complicated in our married lives: something
adulterated about our desire for our spouses even in the most untroubled
of marriages (and you wouldn’t call Casaubon and Dorothea’s marriage
untroubled). Odysseus and Penelope, we might say, are closer to the
truth of marriage than Sir Charles Grandison and Lady Harriet. If that
weren’t the case, the psychodrama of Middlemarch would be considerably
less compelling than it actually is. Rosamond has no such Dorothean scruples. 4
Eliot, Middlemarch, ch. 43. Homer’s Odyssey: Indeed, immediately
before this chapter (and its Odyssean epigraph) she, newly married to
Lydgate, finds herself awaking into a worldly awareness of the potency
of, precisely, extra-marital sexual allure: Rosamond felt herself beginning to know a great deal of the world,
especially in discovering what when she was in her unmarried girlhood
had been inconceivable to her except as a dim tragedy in by-gone
costumes—that women, even after marriage, might make conquests
and enslave men. At that time young ladies in the country, even when
educated at Mrs. Lemon’s, read little French literature later than Racine,
and public prints had not cast their present magnificent illumination
over the scandals of life. Still, vanity, with a woman’s whole mind and
day to work in, can construct abundantly on slight hints, especially on
such a hint as the possibility of indefinite conquests. How delightful to
make captives from the throne of marriage with a husband as crown-
prince by your side—himself in fact a subject—while the captives look
up forever hopeless, losing their rest probably, and if their appetite too,
so much the better!4 ‘What can a man do when he takes to adoring one of you mermaids?’ her
poor husband wonders, aloud, unconsciously anticipating the nautical
metaphor. What indeed? There are a great many Victorian novels about
the scandal of bigamous marriage, not because bigamy was a particular
problem in the nineteenth-century, but because this was one of the
ways authors could navigate the conventions of nineteenth-century
respectability and representation so as to talk about a more basic,
universal human fact: that lines of desire do not always align themselves
with the marriage bond. ‘What can a man do when he takes to adoring one of you mermaids?’ her
poor husband wonders, aloud, unconsciously anticipating the nautical
metaphor. What indeed? There are a great many Victorian novels about
the scandal of bigamous marriage, not because bigamy was a particular
problem in the nineteenth-century, but because this was one of the
ways authors could navigate the conventions of nineteenth-century
respectability and representation so as to talk about a more basic,
universal human fact: that lines of desire do not always align themselves
with the marriage bond. It is worth saying a little more about the Homer to which Eliot
alludes here. It had become well-known by the 1870s that Homer’s 6. Homer’s Odyssey: Myth, Middlemarch and the Mill: Out in Mid-Sea 93 epics were stitched together from a variety of earlier myths and stories
(although it wasn’t until the twentieth century that the full scope
of the oral deep-history of ‘Homer’—and his likely non-existence—
was finally established). In the case of the episode with Nausicaa
what has happened, evidently, is that Homer has integrated into his
epic an older ‘romance’ story, in which the beautiful princess helps
the shipwrecked stranger who turns out to be a great prince who in
turn wins her heart with his magnificent storytelling. Everything in
this portion of the Odyssey points us in this direction—except that it
doesn’t work out that way. Except that this isn’t the direction the story
goes down (it can’t, because Odysseus already has a wife). Something
about this implied but broken-off romantic emplotment interests me,
and interests me especially with respect to Middlemarch. I am certainly
not the only reader who sees, in Eliot’s twinned stories of Dorothea
and Lydgate—originally planned as two separate novels, of course—
an as-it-were Nausicaa/Odysseus implicit-tale of thwarted possibility,
in many ways the perfect couple: both young, beautiful, idealistic,
driven. Of course they can’t be together because Dorothea is married,
and by the time she is free to marry again Lydgate is married. And
I concede there’s nothing in the novel that explicitly reverts to any
mutual attraction between them. Indeed, my point is less about the will-they-won’t-they? clichés of love
story narrative (in this case more of a might-they-could-they-have?). Rather,
it is about the balance of mode: just as the Odyssey contains laminations
of romance and folk-tale in its broader matrix of ‘epic’, Middlemarch
accommodates pockets of melodrama, as with Lydgate’s backstory with
Mme Laure, or Dorothea’s falling into blank verse, within its defining
logic of scientific—I am arguing, medical and microscopic—realism. i
It raises questions of how capacious the novel may be in terms
of accommodating other modes. Maybe there are some things
fundamentally immiscible with the form of the novel. It is a question
particularly worth raising with respect to Eliot, since she was not only
unusually well-read for a major Victorian novelist in the Classics, but
she also had specific aesthetic interests in trying to recreate aspects
of classical form in contemporary novelistic textual production. Homer’s Odyssey: Most
famously, she attempted in The Mill on the Floss (1860) to clothe in the
lineaments of modern fiction the gravity, the shape and the affect of Attic 94 Middlemarch tragedy. If Mill is Eliot essaying tragedy, could we describe Middlemarch
as an attempt to head out, mid-sea, into classical epic? The counter-argument is easy enough to frame. ‘Prose romance’
stretches back to the Ancient Greeks, but ‘the novel’ is a basically an
eighteenth- and nineteenth-century development, and although it has
now spread globally it still manifests a particular, European, bourgeois-
Protestant logic. Ian Watt’s Rise of the Novel is half a century old now, and
while there are good reasons to be dissatisfied with it (particularly its
near total neglect of female writers) its core thesis still has contemporary
critical currency: namely, that ‘the distinctive literary qualities of the
novel’ relate directly to ‘those of the society in which it began and
flourished’, and that it’s a form that rises in step with changes in the
reading public, of the rise of economic individualism, and of the ‘spread
of Protestantism, especially in its Calvinist or Puritan forms’.5 The novel
as a mode starts, in other words, as a bourgeois mode of art pitched
to a readership largely drawn from the rising middle-class, focusing
on things that mattered to them and reflecting their values back upon
them. So: individualied, self-reliant characters. So: detailed descriptions
of material possessions (houses, furniture, clothes etc), and a particular
emphasis on courtship narratives framed in terms of prosperity. So also:
the mode’s hospitality to Bildungsroman, a spiritualisation of economic
growth and return on investments. If Watt’s thesis is correct then we might expect the novel, formally
speaking, to work for some things better than others; and we might
even argue that there are some things that the novel is just really poor at
capturing. And rather than continuing to talk in windy generalisations
I might ask a specific question, one with particular relevance to Eliot’s
art: can the novel do tragedy? It is clearly, of course, possible to write a novel in which characters
suffer and die, and even to reproduce, should an author be so minded,
the lineaments of a Sophoclean or Shakespearian play in prose. But
does tragedy, as tragedy, work in the novel? 5
Ian Watt, The Rise of the Novel: Studies in Defoe, Richardson and Fielding (Berkeley:
University of California Press, 1957), pp. 7, 60. Homer’s Odyssey: This seems to me at once a
question about the specific form of the novel and a question about our
larger cultural addiction to happy endings and disinclination to follow
the pity and the terror to its logical catharsis-end. Disney’s The Lion King 6. Myth, Middlemarch and the Mill: Out in Mid-Sea 95 is Hamlet, yes; but it’s Hamlet-With-A-Happy-Ending, which is in a very
large sense to miss the point of Hamlet. Terry Eagleton agrees with Henri
Peyre that the novel as a mode simply isn’t hospitable to tragedy: A tragic theatre bound up with the despotic absolutism, courtly intrigue,
traditional feuds, rigid laws of kinship, codes of honour, cosmic-world-
views and faith in destiny gives way to the more rational, hopeful, realist,
pragmatic ideologies of the middle class. What rules now is less fate than
human agency […] The public realm of tragedy, with its high-pitched
rhetoric and fateful economy, is abandoned for the privately consumed,
more expansive, ironic, everyday language of prose fiction. And this […]
is certainly a loss: some critics, as Henri Peyre suggests, blame the death
of tragedy on the novel, which ‘captured the essentials of tragic emotion,
while diluting and often cheapening it’.6 Eagleton thinks that tragedy qua tragedy depends upon precisely that
public, focused, elevated authenticity that has been dissolved away by
the privately consumed art of the novel, novels being more expansive,
ironic, told in everyday language and concerning ordinary people. i To test his claim we might look at a specific case study, although
it is part of Eagleton’s argument that proper examples are thin on the
ground. Samuel Richardson’s Pamela is a twisted sort of courtship novel
and comic in generic terms, and although his next novel Clarissa spins
a similar story into not marriage but the heroine’s death, it is difficult to
make the case that it generates properly tragic momentum. Leo Tolstoy’s
Anna Karenina lacks the tragic focus of, say, the Antigone, not just
because Tolstoy is committed to balancing Anna’s downward path with
his account of Levin’s upward one, but because its one main purpose
is to create a widescreen portrait of a whole society, which necessarily
diffuses the tragic focus we find in Sophocles. 6
Terry Eagleton, Sweet Violence: The Idea of the Tragic (Oxford: Blackwell Publishers,
2003), p. 178. Homer’s Odyssey: Eliot’s The Mill on the
Floss provides a clearer example, if only because in it Eliot undertook
a deliberate exercise in re-writing Greek tragedy as a contemporary
English novel, and because Eliot is a great writer. To be more specific, Eliot, the admirer of Sophocles, undertook
several approaches by way of transferring, from Greek into English,
from drama into this new mode of fiction, a quasi-Sophoclean heft and
expressiveness. Above all she loved the Antigone, and we can intuit Middlemarch 96 reasons for that in her private life: openly living with the already-married
George Henry Lewes put her beyond the pale of many in polite Victorian
society, and her own brother Issac, with whom she had been extremely
close as a child, cut off all communication with her. After decades of
happiness together, Lewes died in 1878. A couple of years later, in
1880, Eliot married a young admirer called John Cross. Only then, with
priggish self-satisfaction, did her brother re-open communications with
his sister. So, yes: we can see why Sophocles’ great play, with its potent swirl
of pseudo-erotic connection between sister and brother superseding the
conventions of society at large (even unto death) and its portrait of a
wilful individual woman following her heart rather than surrendering
to the pressures of convention, spoke so directly to Eliot. She often wrote
about it. In her ‘The Antigone and its Moral’, she defined the central
problem in Sophocles’ play as lying between ‘reverence for the gods’ and
‘the duties of citizenship: two principles, both having their validity, are
at war with each’; the conflict between ‘the strength of man’s intellect, or
moral sense, or affection’ and ‘the rules which society has sanctioned’. Her essay draws a general conclusion: ‘whenever man’s moral vision
collides with social convention the opposition between Antigone and
Creon is renewed’.7 There is much we could say about Eliot’s preference for Sophocles
over Aeschylus and Euripides, but there is one thing that’s peculiarly
relevant to Eliot’s project as a novelist I think, and it goes back to
Sophocles’ great innovation in the drama itself. Aeschylus, we’re told,
was the first writer to introduce a second actor on stage (before him
dramas consisted of a single actor interacting with the chorus). But
Sophocles is the first dramatist to introduce a third actor and suddenly,
we might say, things start to get interesting. 7
George Eliot, ‘The Antigone and its Moral’, Leader, 7 (March 29, 1856), 306. Homer’s Odyssey: George Eliot, certainly,
was fascinated by the dramatic, ethical and expressive possibilities of
this triangulation, and it is the fundamental interpersonal structure of
The Mill on the Floss: Maggie Tulliver, her older brother Tom and their
father; Maggie, Tom and little Lucy (whom, in a fit of childish jealousy,
Maggie pushes in the mud); Maggie, Tom and sensitive, hunchback
Philip Wakem, at least until their father’s ruination at the hands (as Tom
sees it) of Philip’s lawyer father makes him put an end to Maggie and 6. Myth, Middlemarch and the Mill: Out in Mid-Sea 97 Philip’s burgeoning relationship. Then, as the novel moves into its final
straight, the story focuses on Maggie, cousin Lucy and Lucy’s fiancé
Stephen Guest, a more conventional love-triangle.i This final situation brings to the fore the main (as it were)
triangulation of the novel: one, Maggie; two, the object of her love—the
sexual connection she has with Stephen, the spiritual and intellectual
connection she has with Philip—and three, her larger familial and
social context;, powerful represented by the blood connection she has
with Tom. The main theme of the novel, of course, is that Maggie comes
into conflict with larger, impersonal but restrictive forces, of economic
necessity, gender oppression and, when she runs away with Stephen, of
moral disapprobation. This latter is most forcefully manifested in Tom’s
individual disapproval, just as the worst aspect of Eliot’s (patchy, in
truth) social ostracism was the way her beloved brother Isaac cut her: At the centre of The Mill on the Floss lies the human dilemma from
Sophocles’ Antigone that George Eliot believed to be permanent: the
conflict between the conventions of society and individual judgment. An honourable but conventional person, Tom Tulliver, clashes with his
more imaginative sister Maggie over these opposing claims […] Tom
seeks conventional honour in exacting middle-class conventionalism; but
Maggie seeks honor in her ideals of love and charity. In many ways Tom
symbolises the Old Law, Maggie the New.8 Eliot also works structurally, as it were: setting out in this novel formally
to reproduce the structure of a Greek drama. What I mean by this that
Attic tragedy follows a particular formal pattern. In any given Greek
tragedy there’s an opening speech by a character or a god, that sets the
scene: this is called the parodos. 8
David Moldstad, ‘The Mill on the Floss and Antigone’, PMLA, 85.3 (1970), 527–31
(p.527), https://doi.org/10.2307/1261454 Homer’s Odyssey: The bulk of the play consists of stasima (a
stasimon is a choral ode) alternating with episodes (epei(s)-odia, ‘between
the odes’) in which two, or later three, actors interact with each other and
with the chorus. Things end with an exodos. How many episodes should
there be? In Greek drama there could be as few as three, or as many
as six. In Seneca and Roman tragedy, which largely adopted its formal
conventions from the Greek, the number of episodes was mostly five,
which is where Renaissance theatre derives its convention that a play
should have five acts. Eliot, however, is very particularly not copying Middlemarch 98 Shakespeare or even Seneca in her tragic novel, but instead going back to
the Sophoclean source. What this means is that Floss has a parodos in its
first chapter, whose narrator (‘I remember those large dipping willows, I
remember the stone bridge…’) takes on the role of chorus. The episodes
of the story are interspersed with stasimon-like commentary by the
narrator and number, I would argue, six: [1] Maggie’s youth; [2] the
family’s loss of the Mill; [3] Maggie’s friendship with Philip; [4] Tom’s
recovery of the fortune, Tulliver horsewhipping Wakem and dying of an
apoplexy; [5] Maggie’s affair with Stephen; [6] the Flood. In each case
Eliot interposes narrative with observation, commentary and sections of
what amount, almost, to prose poetry in describing the world she has
created. The exodos is Eliot’s ‘Conclusion’. The Greek element exists beneath the surface, as it were, of a
thoroughly and minutely realised English idiom—the same idiom
that Eliot would refine and hone, without such specific Classical
underpinning, ten years later for Middlemarch. In this earlier novel Eliot
does sophisticated things with the Greek mode of externalising interior
states and the novelistic mode of internalising them. So, for example:
Philip Wakem is physically deformed, but Mr. Tulliver is emotionally or
psychologically deformed, a fact reflected in his surname, since the Greek
τυλιος, tulios, from τυλη, means ‘lumpy or hunchbacked’. Eliot plays
many such Greek games in her novel: whilst ‘St Oggs’ is a perfectly
English sounding name, perhaps related (we might think) to the Gaelic
‘Ogham’ we can also note that the Greek ὄγκος, ogkos, means ‘pride,
self-importance, pretension’, as well as ‘swelling, tumour’. ‘The Floss’
is another very English sounding name, from the Old-English for ‘flow’
[cf. the German flosz, river]. Homer’s Odyssey: But then we turn to the Greek verb φλύω
to find that it means ‘to boil over, to bubble up, to overrun’, but also ‘to
babble, to fill up with words’, both of which are peculiarly appropriate
to this work. That said, not every critic has seen Maggie as a straightforward
Antigone. Clearly Maggie shares Antigone’s strong-minded rebellious spirit, and
her ‘sisterly piety’, and she too is torn by opposing principles ‘at war
with each other.’ But when we consider Maggie’s case she seems to be
divided by principles of a very different kind to those exerting their
contrary influence on Antigone. Opposing Maggie’s version of ‘sisterly 6. Myth, Middlemarch and the Mill: Out in Mid-Sea 99 piety’ and ‘reverence for the gods’ […] are not the ‘duties of citizenship’
as for Antigone, but rather other forms of feeling, or in Eliot’s vocabulary,
varieties of sympathy: her compassion for Philip Wakem and her passion
for Stephen Guest.9 ‘Maggie’s dilemma’, argues McDonagh, in a point to which I’ll return
in a moment, ‘seems reducible to a conflict not of laws or duties but of
feelings, and indeed feelings for opposing men; the father and brother
versus the friend and the lover’. It is interesting, and may or may not
be significant, that Mill on the Floss contains no explicit references at all
to the Antigone. Maybe Eliot felt she didn’t need to spell out explicitly
what was so obvious; but that doesn’t seem to have been her practice
elsewhere. Take Philip Wakem, the intelligent, sensitive crippled boy
whom Maggie rejects (because he’s ugly, and then because her brother
tells her to) but whose quiet, empathetic intellect proves essential to
Maggie’s own spiritual growth. It seems clear to me that he is called
Philip in allusion to Sophocles’ magic cripple Philoctetes; and it seems
that way in part because Eliot all but lays it out. When they are still
children, Tom injures his foot, and during his convalescence he, Maggie
and Philip become close (although after his recovery Tom distances
himself from Philip again): After that, Philip spent all his time out of school-hours with Tom and
Maggie. 9
Josephine McDonagh, ‘The Early Novels’, in The Cambridge Companion to George
Eliot, ed. by George Levine (Cambridge: Cambridge University Press, 2001), pp.
38–56 (53–54), https://doi.org/10.1017/ccol0521662672.003 Homer’s Odyssey: But I should be so sorry,—
so sorry for you.’ Philip coloured; he had meant to imply, would she love
him as well in spite of his deformity, and yet when she alluded to it so
plainly, he winced under her pity.10 that, because the lines are so short.’ ‘It’s about Philoctetes, the lame man
I was telling you of yesterday,’ he answered, resting his head on his
hand, and looking at her as if he were not at all sorry to be interrupted. Maggie, in her absent way, continued to lean forward, resting on her
arms and moving her feet about, while her dark eyes got more and
more fixed and vacant, as if she had quite forgotten Philip and his book. ‘Maggie,’ said Philip, after a minute or two, still leaning on his elbow
and looking at her, ‘if you had had a brother like me, do you think you
should have loved him as well as Tom?’ Maggie started a little on being
roused from her reverie, and said, ‘What?’ Philip repeated his question. ‘Oh, yes, better,’ she answered immediately. ‘No, not better; because I
don’t think I could love you better than Tom. But I should be so sorry,—
so sorry for you.’ Philip coloured; he had meant to imply, would she love
him as well in spite of his deformity, and yet when she alluded to it so
plainly, he winced under her pity.10 This sort of textual specificity, though, is not something carried
systematically through the novel. Indeed elsewhere Eliot pokes mild
fun at Tom’s tutor, the Rev. Mr. Stelling, who ‘was so broad-chested and
resolute that he felt equal to anything’ and who was certain he ‘would
by and by edit a Greek play, and invent several new readings. He had
not yet selected the play, for having been married little more than two
years, his leisure time had been much occupied with attentions to Mrs. Stelling; but he had told that fine woman what he meant to do some day,
and she felt great confidence in her husband, as a man who understood
everything of that sort’.11 This is a mild poke at scholarship, of course,
rather than tragedy as such, but it stages the larger issue: the Rev. Stelling’s domestic duties, insofar as they come into conflict with his
Attic ambition, take precedence. 10
George Eliot, Mill on the Floss (Edinburgh: William Blackwood, 1860), book 2, ch. 6,
https://www.gutenberg.org/files/6688/6688-h/6688-h.htm
11
Ibid., book 2, ch. 1. Homer’s Odyssey: Tom listened with great interest to a new story of Philip’s about
a man who had a very bad wound in his foot, and cried out so dreadfully
with the pain that his friends could bear with him no longer, but put him
ashore on a desert island, with nothing but some wonderful poisoned
arrows to kill animals with for food. ‘I didn’t roar out a bit, you know,’ Tom said, ‘and I dare say my foot
was as bad as his. It’s cowardly to roar.’ But Maggie would have it that when anything hurt you very
much, it was quite permissible to cry out, and it was cruel of people
not to bear it. She wanted to know if Philoctetes had a sister, and why
she didn’t go with him on the desert island and take care of him. One day, soon after Philip had told this story, he and Maggie were in
the study alone together while Tom’s foot was being dressed […] ‘What
are you reading about in Greek?’ [Maggie] said. ‘It’s poetry, I can see 100 Middlemarch that, because the lines are so short.’ ‘It’s about Philoctetes, the lame man
I was telling you of yesterday,’ he answered, resting his head on his
hand, and looking at her as if he were not at all sorry to be interrupted. Maggie, in her absent way, continued to lean forward, resting on her
arms and moving her feet about, while her dark eyes got more and
more fixed and vacant, as if she had quite forgotten Philip and his book. ‘Maggie,’ said Philip, after a minute or two, still leaning on his elbow
and looking at her, ‘if you had had a brother like me, do you think you
should have loved him as well as Tom?’ Maggie started a little on being
roused from her reverie, and said, ‘What?’ Philip repeated his question. ‘Oh, yes, better,’ she answered immediately. ‘No, not better; because I
don’t think I could love you better than Tom. 6. Myth, Middlemarch and the Mill: Out in Mid-Sea 101 ‘Here, Lucy!’ he said in a loud whisper. Lucy came carefully as she was
bidden, and bent down to look at what seemed a golden arrow-head
darting through the water. It was a water-snake, Tom told her; and Lucy
at last could see the serpentine wave of its body, very much wondering
that a snake could swim. Maggie had drawn nearer and nearer; she must
see it too, though it was bitter to her, like everything else, since Tom did
not care about her seeing it. At last she was close by Lucy; and Tom,
who had been aware of her approach, but would not notice it till he was
obliged, turned round and said,– ‘Now, get away, Maggie; there’s no room for you on the grass here. Nobody asked you to come.’ There were passions at war in Maggie at
that moment to have made a tragedy, if tragedies were made by passion
only; but the essential τι μέγεθoς which was present in the passion was
wanting to the action; the utmost Maggie could do, with a fierce thrust of
her small brown arm, was to push poor little pink-and-white Lucy into
the cow-trodden mud.12 The Greek, τι μέγεθoς, means ‘that greatness, magnitude’ or ‘necessary
sublimity’. Eliot’s point is that though little children may feel with
heroic, or tragic, intensity, they can’t do anything very much, and that
means that their little dramas can never be properly tragic. And what
Eliot considers true of children, scales in her telling to adults as well. We are not heroes, she says; we are ordinary, middling people. Tragedy
does not describe our sorrow, even when that sorrow is very acute. Here
is Mill’s narrator on the plight of Tom and Maggie’s father, whose pride
and obstinacy bring him to financial ruin, and takes somatic form in an
apoplexy that leaves him bedridden. Mr. Tulliver, you perceive, though nothing more than a superior miller
and maltster, was as proud and obstinate as if he had been a very
lofty personage, in whom such dispositions might be a source of that
conspicuous, far-echoing tragedy, which sweeps the stage in regal robes,
and makes the dullest chronicler sublime. 12
Ibid., book 1, ch. 10. Homer’s Odyssey: The novel, it turns out, is much more a
domestic, private mode than it is a tragic, public one. Early in Mill Eliot is explicit on precisely this matter. Young Tom and
Maggie are entertaining their younger cousin, pretty little Lucy (who
will go on, when grown-up, to plight her troth with handsome Stephen
Guest). The kids are supposed to stay in the garden, but Tom wants to
look at the pond and leads the two girls astray to see if they can find any
water-snakes. 6. Myth, Middlemarch and the Mill: Out in Mid-Sea 6. Myth, Middlemarch and the Mill: Out in Mid-Sea The pride and obstinacy of
millers and other insignificant people, whom you pass unnoticingly
on the road every day, have their tragedy too; but it is of that unwept,
hidden sort that goes on from generation to generation, and leaves no
record,—such tragedy, perhaps, as lies in the conflicts of young souls,
hungry for joy, under a lot made suddenly hard to them, under the
dreariness of a home where the morning brings no promise with it, and
where the unexpectant discontent of worn and disappointed parents 102 Middlemarch weighs on the children like a damp, thick air, in which all the functions
of life are depressed; or such tragedy as lies in the slow or sudden death
that follows on a bruised passion, though it may be a death that finds
only a parish funeral.13 Poor old Mr. Tulliver, who evokes in us neither pity nor any sort of
terror. Perhaps it’s not that Thomas Gray’s ‘mute inglorious Milton’ (to
quote his famous ‘Elegy Written in a Country Graveyard’) is denied his
public eloquence and glory by the mere happenstance of being born
into ordinary parochial life, but rather that ordinary parochialism
ontologically contradicts greatness as such—not that Gray’s villager
might have written Paradise Lost if only things had gone a little different
for him, but rather that a Milton who doesn’t speak gloriously isn’t
Milton in any meaningful sense at all. Indeed, isn’t it within the bounds
of possibility that Gray is celebrating, rather than lamenting, this silent
ingloriousness? The next line in his poem talks of Gray’s parochial
Cromwell as guiltless of his country’s blood. Surely it’s better to be
laid in a country graveyard without blood on your hands than with? (Pericles on his deathbed declared his proudest boast was that ‘no
Athenian ever had to put on mourning because of me’.) Maybe it’s not
the novel form, or even the larger social ethos, that makes tragedy such
an ill fit to Eliot’s art. Maybe it’s that the lines of force of her ethical
imagination are always tugging her out of drama as such, away from
the conflict, and towards something neither comic nor tragic but rather
a sense of the fundamental undisclosure of life as it is lived, and the
spiritual benefits of that state. 13
Ibid., book 3, ch. 1.
14
Adam Mars-Jones, ‘Chop, Chop, Chop’, London Review of Books, 38.2 (2016), https://
www.lrb.co.uk/the-paper/v38/n02/adam-mars-jones/chop-chop-chop 13
Ibid., book 3, ch. 1. 13
Ibid., book 3, ch. 1.
14
Adam Mars-Jones, ‘Chop, Chop, Chop’, London Review of Books, 38.2 (2016), https://
www.lrb.co.uk/the-paper/v38/n02/adam-mars-jones/chop-chop-chop 15
Eliot, Middlemarch, ‘Finale’. 6. Myth, Middlemarch and the Mill: Out in Mid-Sea Adam Mars-Jones says that ‘mourning is a
wound that is also somehow an achievement’.14 He wasn’t talking about
tragedy when he said so, but he might as well have been. Tragic drama
stages mourning as a mode of ritualised social-religious sublimity,
parsing its shattering absences and ruptures into a sort of transcendent
achievement. But Eliot, however hard she tried to capture a Sophoclean
grandeur and depth in The Mill on the Floss, was working against the
grain of her genius. At her best she understands not that grief is not an
achievement, but rather that achievement itself is a kind of chimera, that
the best things we can do as human beings, things to do with kindness 6. Myth, Middlemarch and the Mill: Out in Mid-Sea 103 and connection and unobtrusiveness, are actually pointed, forceful,
marvellous unachievements. When she writes novels—even when, as in
this case, she writes a tragic novel—her aim is to capture the wisdom of
the sort of being-in-the-world that evades the drama of tragedy and the
melodramatic eventfulness of fiction.l i
At the end it is the river that is the uncertain quantity, flowing
through a pastoral landscape for most of this novel only to rise up, a
deus ex machina (or deus ex fluvio) to wrap-up the plot with preternatural
abruptness. By the time she came to writing her greatest novel,
Middlemarch, she knew better, and specified breaking the power of the
river as a precondition for her heroine’s happy blankness: Dorothea’s
energy ‘like that river of which Cyrus broke the strength, spent itself
in channels which had no great name on the earth. But the effect of her
being on those around her was incalculably diffusive: for the growing
good of the world is partly dependent on unhistoric acts; and that things
are not so ill with you and me as they might have been, is half owing
to the number who lived faithfully a hidden life, and rest in unvisited
tombs’.15 It’s neither the first nor the last time this present study shall
revert to these final lines of Middlemarch. 1
1, 11, 26, 32, 33, 36, 41, 42, 60, 66, 71, 77, 78; mostly William Shakespeare, but with
some from Francis Beaumont and John Fletcher, Ben Jonson and Samuel Daniel.
2
4, 8, 9, 13, 18, 28, 31, 34, 43, 48, 55, 59, 64, 73.
3
The epigraphs to chapters 3, 12, 16, 21, 24, 25, 37, 39, 44, 50, 52, 56, 58, 62, 64, 68,
76, 80, 82, 83 and 84 are quoted variously from John Milton, Geoffrey Chaucer,
Charles Sedley, Shakespeare’s Sonnets, William Blake, Edmund Spenser, John
Donne—credited as ‘Dr Donne’—William Wordsworth, Henry Wotton, the
anonymous author of the medieval ballad ‘The Squyr of Lowe Degre’, Daniel and
the anonymous author of the fifteenth-century lyric ‘The Not-Browne Mayde’. The
epigraphs of Eliot’s own ‘pastiche’ English verse head chapters 6, 14, 15, 17, 20, 23,
40, 47, 49, 51, 57, 67, 70 and 72. 1
1, 11, 26, 32, 33, 36, 41, 42, 60, 66, 71, 77, 78; mostly William Shakespeare, but with
some from Francis Beaumont and John Fletcher, Ben Jonson and Samuel Daniel.
2
4, 8, 9, 13, 18, 28, 31, 34, 43, 48, 55, 59, 64, 73. https://doi.org/10.11647/OBP.0249.07 7. Epigraphy:
Beginnings and Ends It might be thought perverse, in a book explicitly about the use of
epigraphs in Middlemarch, to have waited so long to quantify the specific
lineaments of Eliot’s epigraphy in the novel. There are, though, reasons
why such work belongs at the end rather than the beginning. An
epigraph precedes a chapter, of course; it comes at the beginning, or
strictly speaking comes before the beginning. But we cannot make sense
of the epigraph until we understand its relationship to the chapter it
sets up, and we can only do that if we digest the whole chapter. So the
epigraph which stands at the opening only makes sense at the close. Middlemarch has eighty-seven chapters, but only eight-six epigraphs,
since the ‘finale’ floats free of one. Thirteen of the novel’s epigraphs
are from Elizabethan/Jacobean dramatists;1 and another fourteen are
from Eliot’s own pastiche versions of Elizabethan and Jacobean drama.2
Twenty-one are from English poets, and another fourteen from Eliot’s
own pastiche verse in broad imitations of this tradition.3 These two
categories, real and pastiche drama from the age of Shakespeare, and
real and pastiche English verse, constitute just under three quarters of all
epigraphs. There are also eight epigraphs quoted from works of English https://doi.org/10.11647/OBP.0249.07 © 2021 Adam Roberts, CC BY 4.0 Middlemarch 106 prose fiction or non-fiction,4 and five from various works of Continental
prose fiction or non-fiction.5 Six are quoted from Continental poets
and two are ‘proverbs’ from the same provenance.6 Two, only, are from
the Bible [69, from Ecclesiasticus and 74 from Tobit]. Only one is an
example of Eliot pastiche-ing English prose—chapter 53’s ‘It is but a
shallow haste which concludeth insincerity from what outsiders call
inconsistency—putting a dead mechanism of “ifs” and “therefores” for
the living myriad of hidden suckers whereby the belief and the conduct
are wrought into mutual sustainment’.7 What this points towards is Eliot marking her novel in terms of
timbre. Roughly a third of epigraphs style their chapters—set them
up, encourage us to read them—in terms of Elizabethan/Jacobean
drama, and between a third and a half style their chapters via poetry. This is not quite to suggest that Eliot is obliquely teasing her reader
on the level of tone, swapping the implication that this novel will
turn out to be a tragedy, or that it will rather tend towards a poetic
justice. 7
This sentiment, gussied into cod-seventeenth-century prose by Eliot, is not
an uncommon one. ‘There is such a power of what Mr. Lecky calls “localizing”
principles and feelings, that a man will be indignant against this, or that form of a
particular vice while he practises other forms of it without scruple. Such a man is
flagrantly inconsistent; we should press the point of his inconsistency as a special
argument to convince him, but we should not think of charging him with insincerity
simply because he is inconsistent and imperfect. […] To cases of mere inconsistency
and imperfection, however glaring, it [the term hypocrisy] should not be applied at
all. Strict hypocrisy, the conscious and deliberate pretence to virtues which a man
has not and does not care to have, is, we suspect, much rarer than people commonly
think’. ‘Hypocrisy’, The Saturday Review [1869], in The Living Age, ed. by E. Littell
(Boston: Littell and Gay, 1869), vol. 103, pp. 279–81 (281), https://www.google.
co.uk/books/edition/Littell_s_Living_Age/uKBIAQAAMAAJ?hl=en&gbpv=1 6
19, 22, 27, 35, 54, 81; Dante, Alfred de Musset, Hesiod, Jean-François Regnard and
Johann Wolfgang von Goethe. The epigraph for 7 is attributed to ‘Italian proverb’
and 46 to ‘Spanish proverb’. 4
5, 10, 29, 45, 61, 63, 79, 85; Robert Burton, Thomas Fuller, Oliver Goldsmith, Thomas
Browne, Samuel Johnson and John Bunyan. J
J
y
5
2, 30, 38, 75, 86; Miguel de Cervantes, Blaise Pascal, François Guizot and Victor
Hugo. 4
5, 10, 29, 45, 61, 63, 79, 85; Robert Burton, Thomas Fuller, Oliver Goldsmith, Thomas
Browne, Samuel Johnson and John Bunyan.
5
2, 30, 38, 75, 86; Miguel de Cervantes, Blaise Pascal, François Guizot and Victor
Hugo. 4
5, 10, 29, 45, 61, 63, 79, 85; Robert Burton, Thomas Fuller, Oliver Goldsmith, Thomas
Browne, Samuel Johnson and John Bunyan.
5
2, 30, 38, 75, 86; Miguel de Cervantes, Blaise Pascal, François Guizot and Victor
Hugo.
6
19, 22, 27, 35, 54, 81; Dante, Alfred de Musset, Hesiod, Jean-François Regnard and
Johann Wolfgang von Goethe. The epigraph for 7 is attributed to ‘Italian proverb’
and 46 to ‘Spanish proverb’.
7
This sentiment, gussied into cod-seventeenth-century prose by Eliot, is not
an uncommon one. ‘There is such a power of what Mr. Lecky calls “localizing”
principles and feelings, that a man will be indignant against this, or that form of a
particular vice while he practises other forms of it without scruple. Such a man is
flagrantly inconsistent; we should press the point of his inconsistency as a special
argument to convince him, but we should not think of charging him with insincerity
simply because he is inconsistent and imperfect. […] To cases of mere inconsistency
and imperfection, however glaring, it [the term hypocrisy] should not be applied at
all. Strict hypocrisy, the conscious and deliberate pretence to virtues which a man
has not and does not care to have, is, we suspect, much rarer than people commonly
think’. ‘Hypocrisy’, The Saturday Review [1869], in The Living Age, ed. by E. Littell
(Boston: Littell and Gay, 1869), vol. 103, pp. 279–81 (281), https://www.google.
co.uk/books/edition/Littell_s_Living_Age/uKBIAQAAMAAJ?hl=en&gbpv=1 Since I can do no good because a woman,
Reach constantly at something that is near it.
—The Maid’s Tragedy: BEAUMONT AND FLETCHER. Since I can do no good because a woman,
Reach constantly at something that is near it. —The Maid’s Tragedy: BEAUMONT AND FLETCHER. Since I can do no good because a woman,
Reach constantly at something that is near it. —The Maid’s Tragedy: BEAUMONT AND FLETCHER. —The Maid’s Tragedy: BEAUMONT AND FLETCHER. From here we move to a description of Dorothea: ‘Miss Brooke had that
kind of beauty which seems to be thrown into relief by poor dress’. It
is an opening sentence that tells us two, linked things about Dorothea:
that she is beautiful and that her beauty is of a particular sort, not over-
obvious or showy, not dependent upon finery or make-up, but something
plainer and purer. A beauty serious rather than trivial or frivolous. But
we might argue that the epigraph has already positioned us to see that
seriousness as severity, and perhaps even to expect violence. The tangle of plot that constitutes The Maid’s Tragedy hints at parallels
with Middlemarch only to tug those parallels in unexpected directions. Aspatia (the titular maid) is in love with, and expects to marry, the
noble Amintor; but the King instead decrees that Amintor must
marry Evadne, supposedly to honour the fact that Evadne’s brother,
Melantius, has just won a famous military victory. Neither woman is
happy about this development, and we might consider this a parallel,
an invitation to read Middlemarch as a story about what happen when
a young woman marries the wrong man. Aspatia and Evadne are not
sisters, like Dorothea and Celia, and Evadne is compelled by exterior
force rather than driven by her own spiritual and scholarly ambition,
but the parallel is suggestive nonetheless. Then, however, we discover
that the king has secretly forced Evadne to become his mistress, and
is arranging the marriage to cover-up this sexual turpitude. Amintor,
apprised of this state of affairs, does not sleep with his new bride and
indeed, the King later instructs him not to have sex with Evadne, but
to allow her to continue attending sexually upon the King at the royal
pleasure. From here the play moves towards its bloody denouement:
Amintor, Melantius and Evadne plan together to assassinate the king. The lines Eliot quotes come from a speech by Evadne, in conversation
with Amintor positioned towards the end of Act 4. 8
Francis Beaumont and John Fletcher, The Maid’s Tragedy (1619), https://www.
gutenberg.org/cache/epub/10847/pg10847.html 7. Epigraphy:
Beginnings and Ends It is, though, to present us with the lenses through which, if we
choose, we can apprehend a finer-grained apprehension of the novel’s
achievement.i Consider, for example, the novel’s very first chapter, and Middlemarch’s
first epigraph. p
p
7
This sentiment, gussied into cod-seventeenth-century prose by Eliot, is not
an uncommon one. ‘There is such a power of what Mr. Lecky calls “localizing”
principles and feelings, that a man will be indignant against this, or that form of a
particular vice while he practises other forms of it without scruple. Such a man is
flagrantly inconsistent; we should press the point of his inconsistency as a special
argument to convince him, but we should not think of charging him with insincerity
simply because he is inconsistent and imperfect. […] To cases of mere inconsistency
and imperfection, however glaring, it [the term hypocrisy] should not be applied at
all. Strict hypocrisy, the conscious and deliberate pretence to virtues which a man
has not and does not care to have, is, we suspect, much rarer than people commonly
think’. ‘Hypocrisy’, The Saturday Review [1869], in The Living Age, ed. by E. Littell
(Boston: Littell and Gay, 1869), vol. 103, pp. 279–81 (281), https://www.google. co.uk/books/edition/Littell_s_Living_Age/uKBIAQAAMAAJ?hl=en&gbpv=1 107 7. Epigraphy: Beginnings and Ends 7. Epigraphy: Beginnings and Ends Since I can do no good because a woman,
Reach constantly at something that is near it.
—The Maid’s Tragedy: BEAUMONT AND FLETCHER. In it, she is full of self-
loathing (‘My whole life is so leprous, it infects/All my repentance’).8
He, bracingly, concurs: ‘Can I believe/There’s any seed of Vertue in that 108 Middlemarch woman[?] […] O Evadne!/Would there were any safety in thy sex,/That
I might put a thousand sorrows off,/And credit thy repentance: but I
must not’. She begs him, abjectly, to forgive her: woman[?] […] O Evadne!/Would there were any safety in thy sex,/That
I might put a thousand sorrows off,/And credit thy repentance: but I
must not’. She begs him, abjectly, to forgive her: I do present my self the foulest creature,
Most poysonous, dangerous, and despis’d of men,
Lerna e’re bred, or Nilus; I am hell,
Till you, my dear Lord, shoot your light into me,
The beams of your forgiveness. …but Amintor cannot bring himself to do so, at least until Evadne speaks
the monologue from which Eliot has extracted her epigraph. …but Amintor cannot bring himself to do so, at least until Evadne speaks
the monologue from which Eliot has extracted her epigraph. I have done nothing good to win belief,
My life hath been so faithless; all the creatures
Made for heavens honours have their ends, and good ones,
All but the cousening Crocodiles, false women;
They reign here like those plagues, those killing sores
Men pray against; and when they die, like tales
Ill told, and unbeliev’d, they pass away,
And go to dust forgotten: But my Lord,
Those short dayes I shall number to my rest,
(As many must not see me) shall though too late,
Though in my evening, yet perceive a will,
Since I can do no good because a woman,
Reach constantly at some thing that is near it;
I will redeem one minute of my age,
Or like another Niobe I’le weep till I am water. Only after this does Amintor relent. It is important to retain a sense of what Evadne is talking about
here: namely, redeeming her sexual sinfulness by murdering the King—
something she, indeed, presently goes off to do. Having tied the king to
his bed and stabbed him to death, Evadne presents herself to Amintor,
holding the knife she has used. She asks him to take her now, fully, as his
wife. When he leaves the stage without making any such commitment
she stabs herself to death. Returning to the stage to find her dying,
Amintor then kills himself too. This, frankly, is a very gnashing, bloody sort of context for the gentle
easing-in of Eliot’s pointedly unviolent novel. But a couple of things are
likely to strike us, if we elect to look at the work through this magnifying
lens. One is the way Evadne’s speech anticipates, in a shamed and tragic 7. Epigraphy: Beginnings and Ends 109 voice, the celebrated last lines of Middlemarch, in which Dorothea too goes
into a mode of storylessness, like, in Beaumont and Fletcher’s words,
a tale that is told, that ‘pass[es] away,/And go[es] to dust forgotten’. Evadne is a crocodile-infested Nilus, where Dorothea is the forcefully
flowing Tigris, broken into 360 channels, representative of the holy days
of the antique calendar and therefore ‘time’ as such—as distinct from
the temporal structures of textual narrative—by way of capturing how
her singular will was diffused into quotidian duties and pleasures of the
everyday. Her full nature, like that river of which Cyrus broke the strength, spent
itself in channels which had no great name on the earth. But the effect
of her being on those around her was incalculably diffusive: for the
growing good of the world is partly dependent on unhistoric acts; and
that things are not so ill with you and me as they might have been, is
half owing to the number who lived faithfully a hidden life, and rest in
unvisited tombs.9 The actual river is the Gyndes, a tributary of the Tigris. Eliot’s reference
here is to the account in Herodotus’ Histories 1:189: The actual river is the Gyndes, a tributary of the Tigris. Eliot’s reference
here is to the account in Herodotus’ Histories 1:189: The Gyndes rises in the hills of Matiene, and descending through the
Dardonians, falls into the Tigris. 9
Eliot, Middlemarch, ‘Finale’.
10
Herodotus, The History of Herodotus, trans. by Isaac Littlebury (Oxford: W.
Baxter, 1824), p. 73, https://www.google.co.uk/books/edition/The_History_of_
Herodotus_Translated_By_I/XgPu0rLKGeIC?hl=en&gbpv=1 9
Eliot, Middlemarch, ‘Finale’. Only after this does Amintor relent. While Cyrus was endeavouring to
pass this same river, which might be crossed in ships, one of his sacred
white horses boldly plunged into the stream, and attempted to swim
over, but the stream having violently whirled it round, carried it away
and drowned it. Cyrus, much offended with the river for this affront,
threatened to render his stream so contemptible, that women should
pass to either side without wetting their knees. After which menace,
deferring his expedition against Babylon, he divided his army into two
parts; and having marked out one hundred and eighty channels, by the
line, on each side of the river, commanded his men to dig out the earth. His design was indeed executed by the great numbers he employed; but
the whole summer was spent in the work. Thus Cyrus punished the river
Gyndes, by draining the stream into three hundred and sixty trenches;
and in the beginning of the next spring advanced with his army towards
Babylon.10 110 Middlemarch Nineteenth-century commentators agreed the rationale offered here
was too thin to explain Cyrus’s actions, since they delayed his war for a
year. Explanation was divided between attempts at rationalisation—for
instance, arguing that Herodotus records a garbled account of Cyrus’s
siege-craft, redirecting rivers in the attack on Babylon—and accounts
that parse the account in religious or mythic terms (since white horses
were sacred to the sun, and there were 360 days in the sacred year). It is
likely Eliot was aware of both sides of this debate. y
We need to return to the beginning of the novel, for we still have to
navigate the pronounced divergence in tone, or mode, between Eliot’s
opening chapter and the grisly contextual implicature of the epigraph
she chooses for it. The lines as quoted speak to the limitations that define
female, as opposed to male, life, and acknowledge that such restrictions
may have deleterious moral as well as practical consequences for actual
women. If we assume that ‘Since I can do no good because a woman
[I will] reach constantly at something that is near it’ means something
bland and conventional, something like: prevented as I am by (as we
would now say) structural sexism from achieving the fullest good, I
will nonetheless try to do the best I can—then, perhaps, clicking the
microscope lens into our instrument and examining the actual source
will disabuse us. 7. Epigraphy: Beginnings and Ends 7. Epigraphy: Beginnings and Ends bearing seemed to gain the more dignity from her plain garments,
which by the side of provincial fashion gave her the impressiveness of
a fine quotation from the Bible,—or from one of our elder poets,—in a
paragraph of to-day’s newspaper.11 In other words, Dorothea is not only beautiful, with that particular
kind of refined beauty that is offset to advantage by plainness—she is
herself a quotation, a particular sort of literary allusion, an epigraph in her
own right. The other women of Middlemarch are workaday journalistic
prose and she is a richer textual inset, a few lines from one of the poets
Eliot herself so lavishly draws upon to augment and adorn her chapter
headings. She is textual, because she is a character is a novel; but she is
doubly textual, a more expressive or poetic ‘text’ than her companions. She stands out. What Eliot is doing here is connecting this conceit, of Dorothea as
an epigraph, to a related set of images to do with clothing, and more
specifically with adornment. This brings into play another way of
thinking of chapter epigraphs: as accessory. Clearly the main function
of Middlemarch as a novel—the story, the characters, the descriptions and
meditations—would be almost entirely unchanged if all the epigraphs
were stripped out. They are not functional parts of the narrative, but
rather they garnish, or adorn, the main text. i The novel’s first interchange between Dorothea and her sister
concerns them dividing up the jewels they have inherited from their
dead mother. Dorothea agrees to this but qualifies herself by saying
that ‘we should never wear them, you know.’ Celia replies that refusing
to do so would indicate the girls ‘are wanting in respect to mamma’s
memory’, and Dorothea begins to soften her puritanism: The casket was soon open before them, and the various jewels spread
out, making a bright parterre on the table. It was no great collection,
but a few of the ornaments were really of remarkable beauty, the finest
that was obvious at first being a necklace of purple amethysts set in
exquisite gold work, and a pearl cross with five brilliants in it. 11
Eliot, Middlemarch, ch. 1. Only after this does Amintor relent. Evadne, here, is not saying that because perfect good is
beyond her she will try to live as virtuously as she can. On the contrary,
she is telling the man she loves, a man she has married despite being in
a sexual relationship with another (married) man, that she will murder
that other. The ‘something near it’ of virtue, in other words, is a miss as
good as a mile. Middlemarch does not tell the story of a marriage marred by a
murderous wife of course, although it is a novel about a marriage in
which the husband dies, unhappy in his heart with the fidelity of the
woman he married, which is not a million miles from A Maid’s Tragedy. Of course, it’s possible all that’s happening here is me attempting to
over-leverage the significance of one short epigraph, merely because it
stands at the head of the first chapter. But I don’t think so. Look at the
second sentence of that opening: [Dorothea’s] hand and wrist were so finely formed that she could wear
sleeves not less bare of style than those in which the Blessed Virgin
appeared to Italian painters; and her profile as well as her stature and 111 7. Epigraphy: Beginnings and Ends Dorothea
immediately took up the necklace and fastened it round her sister’s neck,
where it fitted almost as closely as a bracelet; but the circle suited the
Henrietta-Maria style of Celia’s head and neck, and she could see that it
did, in the pier-glass opposite. 112 Middlemarch ‘There, Celia! you can wear that with your Indian muslin. But this
cross you must wear with your dark dresses.’ Celia was trying not to smile with pleasure. ‘O Dodo, you must keep
the cross yourself.’ ‘No, no, dear, no,’ said Dorothea, putting up her hand with careless
deprecation. ‘Yes, indeed you must; it would suit you—in your black dress, now,’
said Celia, insistingly. ‘You might wear that.’ ‘Yes, indeed you must; it would suit you—in your black dress, now,’
said Celia, insistingly. ‘You might wear that.’ ‘Not for the world, not for the world. A cross is the last thing I would
wear as a trinket.’ Dorothea shuddered slightly. ‘Not for the world, not for the world. A cross is the last thing I would
wear as a trinket.’ Dorothea shuddered slightly. ‘Then you will think it wicked in me to wear it,’ said Celia, uneasily. ‘No, dear, no,’ said Dorothea, stroking her sister’s cheek. ‘Souls have
complexions too: what will suit one will not suit another.’12 No, dear, no, said Dorothea, stroking her sister s cheek
complexions too: what will suit one will not suit another.’12 Souls have complexions too is a deft four-word summary of the work Eliot
undertakes as a writer of fictional character. But this exchange not only
establishes the differences in character of the sisters, it rehearses the
place of epigraphs in the larger logic of the story. Are such quotations
trinkets, trivialising the text, or adornments enriching it? The pearl-and-
gemstone cross is too gaudy for Dorothea, but Celia wins her round,
bringing out ‘a fine emerald [ring] with diamonds’ and comparing the
sunlit jewels to the ‘spiritual emblems in the Revelation of St. John’. Dorothea, persuaded, agrees to keep the ring and its accompanying
bracelet (‘All the while her thought was trying to justify her delight in
the colours by merging them in her mystic religious joy’). So it is the
type, not the fact, of epigraph that matters. And this returns us to the
actual epigraphic choices Eliot has made. 12
Ibid. 7. Epigraphy: Beginnings and Ends We might very well think that
tragedy is serious enough, and poetry beautiful enough, to spiritually
adorn the bald text, and so such quotations comprise three quarters of
the whole. Souls have complexions too is a deft four-word summary of the work Eliot
undertakes as a writer of fictional character. But this exchange not only
establishes the differences in character of the sisters, it rehearses the
place of epigraphs in the larger logic of the story. Are such quotations
trinkets, trivialising the text, or adornments enriching it? The pearl-and-
gemstone cross is too gaudy for Dorothea, but Celia wins her round,
bringing out ‘a fine emerald [ring] with diamonds’ and comparing the
sunlit jewels to the ‘spiritual emblems in the Revelation of St. John’. Dorothea, persuaded, agrees to keep the ring and its accompanying
bracelet (‘All the while her thought was trying to justify her delight in
the colours by merging them in her mystic religious joy’). So it is the
type, not the fact, of epigraph that matters. And this returns us to the
actual epigraphic choices Eliot has made. We might very well think that
tragedy is serious enough, and poetry beautiful enough, to spiritually
adorn the bald text, and so such quotations comprise three quarters of
the whole. Earlier I discussed something many critics have explored: the
autobiographical contexts and resonances of Mill on the Floss. Less is
made of these same contexts with respect to Middlemarch, although they
are manifestly still there. Dorothea is beautiful where Marian Evans was
ugly—ungallant of me to say so, I appreciate, but important, since this
adventitious and fundamentally irrelevant fact had a major impact on
her life possibilities. Dorothea’s attraction to Casaubon, an older and
more learned man, refracts a number of young Evans’s relationships: 12
Ibid. 7. Epigraphy: Beginnings and Ends 113 with R. H. Brabant, Herbert Spencer and John Chapman most notably. In life the possibility of actual emotional or erotic connection with
these clever, older men was prevented by the plain fact of their being
already married. But the affective truth of this repeating not-quite
relationship pattern is, we can intuit, what informs Middlemarch:
that intrinsic, not external, factors prevented their consummation. 13
That Dorothea is a fictionalised autobiographical self-portrait is an idea with a long
history. It is, for instance, asserted in Isadore Gilbert Mudge and Minnie Earl Sears’s
A George Eliot Dictionary: The Characters and Scenes of the Novels, Stories, and Poems
Alphabetically Arranged (London: Routledge & Sons, 1924). For a discussion of this,
see Graham Handley’s George Eliot’s Midlands: Passion in Exile (London: Allison &
Busby, 1991), pp. 15–40. 7. Epigraphy: Beginnings and Ends Consciously or otherwise George Eliot—the writer—knew what Marian
Evans could not allow herself to see: not just that being in love with
the intelligence and learning of a person is not the same being in love
with a person (that much is so obvious it’s almost facile to say so), but
much more importantly that human desire is so constituted that it will
cathect the former into the latter. Her love for literature, art, myth, the
discourses of religion was so intense it carried itself through as much
by eros as by agape and pragma, and in such a situation it’s easy to
fool oneself, or perhaps only to distract oneself from the inevitability
of the counterpoint, that the eros encompasses the mentor, the teacher,
the older man. It does not, of course, and Middlemarch is, amongst other
things, Eliot explaining to Evans that it does not. Accordingly, Marian
Evans’s various affiliations with older scholars and editors, variously
problematic, are here reinscribed as Dorothea actually marrying one
such. And Marian Evans’s eventual amatory redemption, with another
married man, George Henry Lewes, is reworked as Dorothea’s decision
to flout both the disapproval of those older scholars and of society as a
whole and to marry Ladislaw. Lewes was ugly and Ladislaw handsome,
but the novel is entitled to balance out its unflinching emotional honesty
with a little wish-fulfilment. As Marian Evans escaped Coventry to
begin her life, so Dorothea escapes Middlemarch to begin hers.13 This is almost, but not quite, to suggest that Middlemarch is an
autobiographical fiction. The point is not that Eliot has here written
a Prelude or an A la recherche du temps perdu, for manifestly she hasn’t. Nor has she written a David Copperfield, although this case is a little
closer. As Charles Dickens inverts his name’s CD into his protagonist’s 114 Middlemarch DC, so does he invert various aspects of his actual life—killing off his
parents, inserting fairy tale elements (adding Betsey Trotwood as fairy
godmother, strewing David’s path with ogres and monsters, and finally
winning his princess). The logic here is dream logic in a strict sense,
which is to say, it undertakes the psychic work that Freud was interested
in exploring. And, in fact, Middlemarch records a doubled inversion. 14
Colin Burrow, ‘Who Wouldn’t Buy It?’, London Review of Books, 27.2 (2005), https://
www.lrb.co.uk/the-paper/v27/n02/colin-burrow/who-wouldn-t-buy-it
15
Adam Phillips, In Writing (London: Penguin Books, 2019), p. 62. 14
Colin Burrow, ‘Who Wouldn’t Buy It?’, London Review of Books, 27.2 (2005), https://
www.lrb.co.uk/the-paper/v27/n02/colin-burrow/who-wouldn-t-buy-it p p
15
Adam Phillips, In Writing (London: Penguin Books, 2019), p. 62. 7. Epigraphy: Beginnings and Ends 7. Epigraphy: Beginnings and Ends 115 Phillips’s point is that ‘for Freud, truth-telling about lives, such as it
was, could be done only by the person himself, through the method of
free-association, responded to by a psychoanalyst’. But he goes on to
note, shrewdly, that ‘yet, in some ways like the biographer, the analyst
is giving the fragmentary discontinuous speech of the analysand a new
narrative coherence. A new story is told out of an old story differently
told’. That’s a good way of thinking of what Eliot has accomplished in
Middlemarch: a new story being made out of an old story told differently. Quotation and epigraphy are linked ways of invoking old stories, of
literally positioning markers to old stories into the body of the text;
but Eliot uses both to remake and so build towards her new story. Her
epigraphs (I’ve been arguing) are mirrors, which is to say, items of
mimesis, encapsulations of literary realism. But I’ve also been arguing
that they are lenses, which invokes a more complex mode of literary
realism than is comprehended by more linearly reflective modes of
what mimesis means. We are encouraged, throughout this novel, to look
through, as well as to reflect (to reflect the beginning in the end, let’s
say). And amongst the things we are encouraged to look through is the
kind of process of desiring a particular life-story that motivated Eliot
herself. It only looks trivialising—only appears facile—to talk of Dorothea
as Marian Evans’s ‘wish-fulfilment’ version of herself; because wish, or
desire, is actually a much stranger and more complex dynamic than we
generally think of it as being. We never really know why we want what
we want. Indeed, we rarely know even what we want. We only know that
we want. In such a condition (the human condition, the circumstance
Freud spent his career excavating) we often misinvest our desire in
wrongly-conceived or misapprehended targets. It’s what both Dorothea
and Lydgate do, after all (it’s also what Casaubon does when he decides
that marrying Dorothea is what he wants, but critics rarely talk about
that). Indeed, their doing so is what gives this novel its extraordinary
resonance with ordinary readers, because we all understand that
something like this very often characterises our own desiring, and our
own life-choices. 7. Epigraphy: Beginnings and Ends On the one hand, beautiful Dorothea leaves Middlemarch just as plain
Marian left Coventry (even the names invert one another: ‘Dorothea’
means ‘given by God’, and Mary is the woman who gave God). But on
the other hand, plain Mary Garth does what plain Mary Ann never did:
stays in Middlemarch, marries her love as a victory (that is: becomes
a Vincy), has children and lives a fulfilled existence in the place she
holds dear. Mary even becomes a published writer as Marian did,
although this fantasy alternate George Eliot is defined by her sons and
her heimat: a children’s book, Stories of Great Men, taken from Plutarch,
printed by the significantly named ‘Gripp & Co., Middlemarch’. The
main autobiographical ‘fantasy’ of Middlemarch is of a beautiful Marian
Evans who leaves the claustrophobia of parochialism finally to begin
her life with the handsome man she loves. Juxtaposed with this is a
separate, smaller fantasy-autobiography: of the kind of woman Marian
Evans actually was and could have stayed, gripping tight to her locale
and putting her energies and love into her children. I am aware, I hasten to add, of what Colin Burrow pithily calls ‘the
heuristic poverty of biographical explanations of works of art’.14 My
argument here is not that Middlemarch is autobiographical fiction, but
on the contrary that, in a crucial sense, it isn’t. Adam Phillips notes how
hostile Freud was to biography as a whole. The mode is, he thought,
structurally mendacious. We know that Freud, even as a younger man, didn’t want a biography
written about him; and that he is rather terrified (i.e. mocking) of his,
perhaps presumptuously assumed, future biographers. It is equally
evident that in writing about biographers and biographies he is writing
about what he doesn’t want psychoanalysts and psychoanalysis to be
[…] When we speak about biography we speak about what we want
lives, and life-stories, and truth-telling, to be.15 7. Epigraphy: Beginnings and Ends In the case of George Eliot it doesn’t, I think, take us too
far into mere speculation to suggest that she both wanted a life somewhat
like Dorothea’s (to be beautiful, and spiritual, and adored by a handsome 116 Middlemarch man she could adore, and most of all to escape parochial littleness) and a
life like Mary Vincy’s: rooted in a location she loved, surrounded by her
own children. Rationally she knew she couldn’t have both these things,
but desire is not a rational process. This is a roundabout way of saying
that what makes Eliot a great, rather than merely a proficient, novelist
is her intuitive understanding not just that desire sabotages itself but
that it is in this sabotage that art germinates. Dorothea does escape with
the beautiful man she loves, but she publishes no books. Mary stays,
and becomes a published writer, but a writer for children—Eliot’s way
of saying that Mary’s story is of herself, of Marian Evans, for children,
completed and sanctified by children. Mary takes the work of Plutarch,
the most famous biographer of antiquity, perhaps the most famous
biographer of all, and re-writes those biographies. She makes a new
story out of an old story differently told. Both these fictionalised life-
stories stand askew to the life-story of Marian Evans, plain, who did
escape provincial littleness, who did become a published writer, who
did not have children and did not, unlike her Ladislaw, George Henry
Lewes, become a biographer.16 As we grow, and the reality principle intrudes increasingly upon our
lives, we come to understand that it is infantile to believe we can always
get what we want. In such a circumstance the reverse of this—that we
can come, in time, to want what we get—perhaps looks like wisdom
(hard-won, or otherwise); as it might be, the marriage of verity and
wanting. But Eliot is interested in neither of these mutual-mappings of
desire and lived-experience. i It seems to me both significant and characteristic of Eliot’s strategy
of intertextual allusion, that the last book named in Middlemarch
(discounting Lydgate’s unnamed ‘treatise on Gout’) is Plutarch’s Lives,
and that it appears not as itself but as reworked and retold. It is as a
Freudian that Adam Phillips repeats Freud’s belief ‘that the best life
stories are the ones told in psychoanalysis, in the psychoanalytic way. All other stories are rationalized self-deceptions’. 16
George Henry Lewes’s first published book was A Biographical History of Philosophy
(London: Charles Knight & Co., 1846) and he very often returned to biography
across his writing career, as with The Life of Maximilien Robespierre: With Extracts from
his Unpublished Correspondence (Philadelphia: Carey and Hart, 1849), The Life and
Works of Goethe (London: David Nutt, 1855) and Aristotle: A Chapter from the History
of Science (London: Smith, Elder & Co., 1864). 17
Phillips, In Writing, p. 56. 7. Epigraphy: Beginnings and Ends But one need not be a 7. Epigraphy: Beginnings and Ends 7. Epigraphy: Beginnings and Ends 117 Freudian in any doctrinaire sense to agree that when an analyst is ‘akin
to a biographer, he is failing as a psychoanalyst’. The psychoanalytic method is, fortunately, easily explained. But we
should note that there is no comparable biographical method. Nor is the
biographer trying to cure anybody of anything; nor indeed is biography
a mode of medical treatment.17 This study has spent some time considering the degree to which Eliot’s
‘realism’ in Middlemarch is a medical realism. Biography, we might say,
is realism raised to the level of realism: an exercise in le naturalisme
from which the intermixture of fictional character is drained from
the body of scrupulously recorded verisimilitude. But, of course, we
wouldn’t say anything so foolish: Freud is surely right that biography
and autobiography both are rationalised self-deceptions. To get at the
truth of a life, lived, means not recording verifiable exteriorities but, on
the contrary, capturing interior myths and fantasies that are not only
unverifiable, they are radically unfalsifiable too. At the end we come to
understand the purpose of Eliot’s epigraphy, and the underlying logic to
her subtle, wide-ranging and eloquent intertextuality. 1
Eliot, Middlemarch, ch. 31. Postscript: Middlemarch’s thirty-first chapter opens with a conversation between
Lydgate and Rosamond about Dorothea. Lydgate that evening spoke to Miss Vincy of Mrs. Casaubon, and laid
some emphasis on the strong feeling she appeared to have for that formal
studious man thirty years older than herself. ‘Of course she is devoted to her husband,’ said Rosamond, implying
a notion of necessary sequence which the scientific man regarded as the
prettiest possible for a woman; but she was thinking at the same time
that it was not so very melancholy to be mistress of Lowick Manor with a
husband likely to die soon. ‘Do you think her very handsome?’ ‘She certainly is handsome, but I have not thought about it,’ said
Lydgate. ‘I suppose it would be unprofessional,’ said Rosamond, dimpling. There’s quite a lot going on here, and it is not especially flattering to
Lydgate. At the heart of this brief exchange are two different modes of
cause-and-effect. Lydgate, ‘the scientific man’, assumes a ‘billiard-ball
striking another billiard-ball’ model, a conception of necessary sequence. A woman agrees to marry a man. Ergo the woman loves the man. But
Rosamond’s ‘of course’ is not so mechanistic or sequential as this, and
Eliot’s point is that we, as readers, take the force of her rather than
his understanding. Rosamond’s ‘of course’ indexes social convention,
not the motion of the heart, and stands-in for the material rather than
the emotional satisfactions of the union. Not that Rosamond ignores
the way actual desire, for a person rather than for social standing or
material wealth, factors-in to human relationships. Her next statement, https://doi.org/10.11647/OBP.0249.08 https://doi.org/10.11647/OBP.0249.08 © 2021 Adam Roberts, CC BY 4.0 120 Middlemarch though styled as a question, actually figures by way of a mild accusation:
‘you find her attractive, of course?’ Lydgate’s answer is, we presume,
perfectly ingenuous: for his desire runs on rails in a way not true of his
wife. His effective denial is then parried by Rosamond: I suppose it would
be unprofessional, delivered with that tell-tale dimple, means: naturally
you desire her—for she is, as you have conceded, attractive—but you repress
that desire for professional and socially-conventional reasons. Rosamond is over-reading her more simply constituted suitor, just
as he is under-reading his more complexly constituted inamorata. It is a perfect encapsulation of their relationship, a more nuanced
psychologically-grounded portrait of marital incompatibility than the
one offered by Dorothea and Casaubon. 2
‘I was anxious to ascertain what relation the secondary tones of a large bell bore to
its fundamental note, and for this purpose I availed myself of the excellent musical
ear of my friend, Mr. Dodd, during his too short sojourn with me, and we went
accompanied by a flute to the large bell of Salisbury Cathedral’. Charles Tomlinson,
‘Mr Tomlinson’s Experiments and Observations on Visible Vibration’, Records of
General Science, 2 (1835), 124–33 (p. 128). 3
J. Solis Cohen’s The Throat and the Voice (London: Ward, Lock, & Co., 1880)
compares human vocalisation to campanological acoustics: ‘Heavy bells are started
by commencing with gentle impulses in rhythmic accord with the proper oscillation
of the bell’, adding: ‘To quote from an excellent novel, Middlemarch …’ and citing
the epigraph (p.123). The fifth chapter of Frank E. Miller’s The Voice (New York:
G. Schirmer, 1910), ‘The Physiology and Psychology of Voice-Production’, begins:
‘Above this chapter I might well have placed the following lines which George Eliot
wrote above Chapter XXXI of Middlemarch …’, then quoting the epigraph (p.180).
The anonymously authored article on ‘The Bell’ in The Southern Review, 22 (1877),
372, follows a lengthy prose account of campanological acoustics with the words:
‘this is matter-of-fact prose, dealing with bells in the rough. Now listen to this
perfect poetry from George Eliot, which by its magic touch transforms the bell into
a thing of life’, quoting the lines. 4
For example, the unsigned article in The Bible Christian Magazine, 17 (1881), 60 that
quotes Eliot’s lines and adds: ‘thus the slightest touch of faith makes the nature of
the Godhead quiver to the centre’. Joseph William Reynolds’s The Mystery of the
Universe, Our Common Faith (London: Kegan Paul, 1884), p. 274 and Henry Burton’s
The Gospel According to St. Luke (New York: A.C. Armstrong and Son, 1893), p. 74
both quote these lines, to similar purpose. 3
J. Solis Cohen’s The Throat and the Voice (London: Ward, Lock, & Co., 1880)
compares human vocalisation to campanological acoustics: ‘Heavy bells are started
by commencing with gentle impulses in rhythmic accord with the proper oscillation
of the bell’, adding: ‘To quote from an excellent novel, Middlemarch …’ and citing
the epigraph (p.123). The fifth chapter of Frank E. Miller’s The Voice (New York:
G. Schirmer, 1910), ‘The Physiology and Psychology of Voice-Production’, begins:
‘Above this chapter I might well have placed the following lines which George Eliot
wrote above Chapter XXXI of Middlemarch …’, then quoting the epigraph (p.180).
The anonymously authored article on ‘The Bell’ in The Southern Review, 22 (1877),
372, follows a lengthy prose account of campanological acoustics with the words:
‘this is matter-of-fact prose, dealing with bells in the rough. Now listen to this
perfect poetry from George Eliot, which by its magic touch transforms the bell into
a thing of life’, quoting the lines.
4
For example, the unsigned article in The Bible Christian Magazine, 17 (1881), 60 that
quotes Eliot’s lines and adds: ‘thus the slightest touch of faith makes the nature of
the Godhead quiver to the centre’. Joseph William Reynolds’s The Mystery of the
Universe, Our Common Faith (London: Kegan Paul, 1884), p. 274 and Henry Burton’s
The Gospel According to St. Luke (New York: A.C. Armstrong and Son, 1893), p. 74
both quote these lines, to similar purpose.
5
‘If it is not immediately clear that these lines are about social form, rather than, say,
the acoustics of bells, the evidence is nonetheless there—most directly in that pointed
word “mass”, and most profoundly in the final cadence, where the “mass” is made
a chorus of individuals singing in “low soft unison.”’ Evan Horowitz, ‘Industrialism
and the Victorian Novel’. Evan Horowitz, ‘Industrialism and the Victorian Novel’,
in The Oxford Handbook of the Victorian Novel, ed. by Lisa Rodensky (Oxford: Oxford
University
Press,
2013),
https://www.oxfordhandbooks.com/view/10.1093/
oxfordhb/9780199533145.001.0001/oxfordhb-9780199533145-e-021373. The moral
he draws is: ‘though the whole of society may seem overgrown or unwieldy, the
right cause, the right ideal, the right note will show its resounding harmony.’ Postscript: In their case the mismatch is
external, something the whole world can see; where Lydgate and
Rosamond appear, to all external observers, to be very well matched
indeed. That glint of steel in Rosamond’s character implicit in ‘it was
not so very melancholy to be mistress of Lowick Manor with a husband
likely to die soon’ recruits empathy—for Rosamond is thinking herself
into Dorothea’s situation—to a materialist ruthlessness of feeling, and
therefore of affect. It is a little thing that resonates significantly in terms
of our understanding of Rosamond’s character. Which is to say: it acts,
as it were, epigraphically, smallness achieving a mode of largeness in the
more capacious context of the novel as a whole. The epigraph to this chapter is a piece of Eliotic verse: How will you know the pitch of that great bell
Too large for you to stir? Let but a flute
Play’neath the fine-mixed metal: listen close
Till the right note flows forth, a silvery rill:
Then shall the huge bell tremble—then the mass
With myriad waves concurrent shall respond
In low soft unison. This versifies a phenomenon well-known to campanologists, and often
discussed during this period.2 Indeed, Eliot’s little section of verse This versifies a phenomenon well-known to campanologists, and often
discussed during this period.2 Indeed, Eliot’s little section of verse Postscript: The Flute inside the Bell 121 describing this acoustic peculiarity was itself widely quoted and copied,
especially in books about bell-ringing or acoustics.3 So widely quoted, in fact, did Eliot’s short poem become that it began
to be discussed on its own merits. Several commentators understood
the passage in a theological sense, as (for instance) saying that our
individual and mortal faith, though small in an absolute sense, might
nonetheless resonate with the vastness of the Godhead.4 More recently,
Evan Horowitz has read the epigraph as being about ‘social form’.5 To
read it as I propose here, as a more self-reflexive gesture on Eliot’s part,
a gloss as much on the realist novelist’s apprehension of the nature of
cause and effect in human character and interpersonal relation, is not
to dismiss such takes, of course. Postscript: Still, the epigraph in situ speaks more
directly to questions of which effects are followed by causes, introducing
the less obvious influences with the more direct hammer-strike—like
Wallace Stevens’s celebrated, if perhaps rather opaque, distinction 5 ‘If it is not immediately clear that these lines are about social form, rather than, say,
the acoustics of bells, the evidence is nonetheless there—most directly in that pointed
word “mass”, and most profoundly in the final cadence, where the “mass” is made
a chorus of individuals singing in “low soft unison.”’ Evan Horowitz, ‘Industrialism
and the Victorian Novel’. Evan Horowitz, ‘Industrialism and the Victorian Novel’,
in The Oxford Handbook of the Victorian Novel, ed. by Lisa Rodensky (Oxford: Oxford
University
Press,
2013),
https://www.oxfordhandbooks.com/view/10.1093/
oxfordhb/9780199533145.001.0001/oxfordhb-9780199533145-e-021373. The moral
he draws is: ‘though the whole of society may seem overgrown or unwieldy, the
right cause, the right ideal, the right note will show its resounding harmony.’ 122 Middlemarch between the beauty of inflections and the beauty of innuendoes.6 We
are, according to the idiom ‘struck’ by another person’s beauty, like
a bell being struck by its clapper. Rosamond and Dorothea are both
beautiful, and Lydgate is struck by both; but, considered in terms of
cause and effect, one has a more insinuating, resonant effect upon him
than the other. Why might this be? To answer such questions we turn,
perhaps, to the character, perhaps even the subconscious subjectivities
of the individual effected; but to do so in this context is to realise how
rich the ironies of Eliot’s characterisation are. Lydgate, who believes in
a simple chain of cause-and-effect, is actually to be acted upon with a
more flute-line trembling. What we feel we ought to desire and what we
actually desire rarely align. That this is so is picked out in the chapter’s eighth paragraph,
following this brief and flirtatious exchange from Lydgate’s courting
of Rosamond. Before he leaves, Lydgate lifts and smells Rosamond’s
perfumed handkerchief ‘as if to enjoy its scent’ (why as if? Is Eliot hinting
at a less self-evident motive?) The narrator continues: But this agreeable holiday freedom with which Lydgate hovered about
the flower of Middlemarch, could not continue indefinitely. 7
Its source evades the editorial labour of Bert G. Hornback in his ‘Norton Critical
Edition’ of the novel (Scranton, PA: W. W. Norton & Co., 1977), although David
Carroll correctly identifies it in his Oxford edition (Oxford: Oxford University
Press, 1997). 6
For a still valuable investigation of nineteenth-century literature—though not,
specifically, of Eliot—under this aegis, see Jerome J. McGann’s The Beauty of
Inflections: Literary Investigations in Historical Method and Theory (Oxford: Clarendon
Press, 1985). 6
For a still valuable investigation of nineteenth-century literature—though not,
specifically, of Eliot—under this aegis, see Jerome J. McGann’s The Beauty of
Inflections: Literary Investigations in Historical Method and Theory (Oxford: Clarendon
Press, 1985).
7
Its source evades the editorial labour of Bert G. Hornback in his ‘Norton Critical
Edition’ of the novel (Scranton, PA: W. W. Norton & Co., 1977), although David
Carroll correctly identifies it in his Oxford edition (Oxford: Oxford University
Press, 1997). 10
See, for instance, Sally Shuttleworth’s reading of Daniel Deronda as a novel
demonstrating Eliot’s rejection of ‘a linear sequence of cause and effect […] full
authoritative knowledge, she asserts, cannot be obtained by tracing through a linear
sequence of cause and effect’. Sally Shuttleworth, George Eliot and Nineteenth-Century
Science: The Make-Believe of a Beginning (Cambridge: Cambridge University Press,
1984), p. 177. 8
This is H. A. J. Munro’s translation, De Rerum Natura Libri Sex, 2 vols (Cambridge:
Deighton Bell & Co., 1866), vol. 2, p. 126. The Latin is: discordia quorum/intervalla
vias conexus pondera plagas/concursus motus turbabat proelia miscens/propter dissimilis
formas variasque figuras,/quod non omnia sic poterant coniuncta manere [De Natura
Rerum, 5:436–38]. 9
See, for instance, David Webb ‘On Causality and Law in Lucretius and Contemporary
Cosmology’, in Contemporary Encounters with Ancient Metaphysics, ed. by Abraham
Jacob Greenstine and Ryan J. Johnson (Edinburgh: Edinburgh University Press,
2017), pp. 254–69. Postscript: It was not
more possible to find social isolation in that town than elsewhere, and
two people persistently flirting could by no means escape from ‘the
various entanglements, weights, blows, clashings, motions, by which
things severally go on.’ The line quoted is neither identified in the text, nor is its provenance
particularly obvious.7 It is, though, germane to this question of human
motivation, of cause and effect, that is shaping Lydgate’s personal,
and the novel’s collective, narrative. The quotation is Lucretian, from
a section of the De Rerum Natura describing how the primal nature of
matter as a ‘state of discord’ led to all the atoms in the universe ‘joining
battle, disordered their interspaces, passages, connexions, weights, Postscript: The Flute inside the Bell 123 blows, clashings, motions, because by reason of their unlike forms and
varied shapes they could not all remain thus joined together nor fall into
mutually harmonious motions’.8 It is, of course, a radically materialist
vision of the universe, although Lucretius’s actual account of cause-and-
effect is rather more nuanced and complex than is sometimes assumed.9
If Lydgate were to take fully to heart the implications of living in this
clashing tempest of interactions he would, we can presume, be less
complacent. There’s a leaven of humour here too, of course: describing
this one Midlands town in the 1830s in terms of a cosmic downpour of
clashing Lucretian atoms. But it touches on something that some critics
of Eliot have argued persuasively: that one of her distinctive attributes
as a writer is precisely her repudiation of linear cause and effect.10 f
To return to Eliot’s epigraphic bell: the particular phraseology in this
short piece of verse is significant. Blow upon your flute, under the giant
metal structure, and ‘the mass/With myriad waves concurrent shall
respond/In low soft union’. That word—concurrent—is an important
one for Middlemarch. It first occurs during an exchange between Bulstrode
and Lydgate, indicative of the difference in their respective world-views. ‘I am aware,’ [Bulstrode] said, ‘that the peculiar bias of medical ability
is towards material means. Nevertheless, Mr. Lydgate, I hope we shall
not vary in sentiment as to a measure in which you are not likely to be
actively concerned, but in which your sympathetic concurrence may be
an aid to me. You recognize, I hope; the existence of spiritual interests in
your patients?’f ‘Certainly I do. p
11
Eliot, Middlemarch, ch. 13. 12
Ibid., ch. 18. Postscript: Informing her that Casaubon ‘may possibly live for fifteen
years or more, without much worse health than he has had hitherto’, at
which news ‘Dorothea had turned very pale, and when Lydgate paused Postscript: The Flute inside the Bell 125 she said in a low voice, “You mean if we are very careful”’. Her point is
that ‘he would be miserable if he had to give up his work’ and Lydgate’s
reply is less lucid than it first seems: ‘I am aware of that. The only course is to try by all means, direct and
indirect, to moderate and vary his occupations. With a happy concurrence
of circumstances, there is, as I said, no immediate danger from that
affection of the heart, which I believe to have been the cause of his late
attack. On the other hand, it is possible that the disease may develop
itself more rapidly: it is one of those cases in which death is sometimes
sudden. Nothing should be neglected which might be affected by such
an issue.’13 The ‘happy concurrence’ to which Lydgate here refers is a notional
congeries of eventualities that will, somehow, protect Casaubon’s fragile
heart. The ‘happy concurrence’ to which Lydgate here refers is a notional
congeries of eventualities that will, somehow, protect Casaubon’s fragile
heart. As the story goes on, Bulstrode’s interference in the management of
the hospital threatens to sink it (the narrator speaks of ‘the outburst of
professional disgust at the announcement of the laws Mr. Bulstrode was
laying down for the direction of the New Hospital, which were the more
exasperating because there was no present possibility of interfering
with his will and pleasure’),14 Lydgate gives up part of his practice to be
able to devote more time to the project (‘I must work the harder, that’s
all, and I have given up my post at the Infirmary’) and Bulstrode assures
him: ‘Mr. Brooke of Tipton has already given me his concurrence, and a
pledge to contribute yearly: he has not specified the sum—probably not
a great one’. This concurrence is a fancy way of saying: he has agreed to
give me some money (though not much money)—the pun on currency
is right there—and marks a further debasement on what ‘concurrent’
might signify. Money also haunts the next connection of Lydgate with
concurrence. 13
Ibid., ch. 30.
14
Ibid., ch. 45.
15
Ibid., ch. 58. Postscript: But those words are apt to cover different meanings
to different minds.’11 124 Middlemarch Sympathetic concurrence, here, mediates between Bulstrode’s spiritual
apprehension of the universe and the physical, Lucretian connections
of Lydgate’s materialism. The word appears again at the meeting
Bulstrode chairs to determine whether the ‘scientific’ Vicar Farebrother
or the more conventionally religious Tyke (‘a man entirely given to his
clerical office’) be given the lucrative position of secretary at the new
hospital—Tyke, of course, being Bulstrode’s man: Lydgate was late in setting out, but Dr. Sprague, the two other surgeons,
and several of the directors had arrived early; Mr. Bulstrode, treasurer
and chairman, being among those who were still absent. The conversation
seemed to imply that the issue was problematical, and that a majority
for Tyke was not so certain as had been generally supposed. The two
physicians, for a wonder, turned out to be unanimous, or rather, though
of different minds, they concurred in action.12 The Doctor is ‘more than suspected of having no religion’ by Middlemarch
society—though this fact is not held against him (‘it is certain that if any
medical man had come to Middlemarch with the reputation of having
very definite religious views, of being given to prayer, and of otherwise
showing an active piety, there would have been a general presumption
against his medical skill’). He and his colleagues concur in preferring
the more scientific Farebrother. Lydgate, though it makes him wince to
be believed to be kowtowing to Bulstrode—and although Farebrother
is his friend—votes for Tyke. His anxieties have some grounding in
reality. ‘Mr. Wrench and Mr. Toller’, the narrator says, ‘were just now
standing apart and having a friendly colloquy, in which they agreed
that Lydgate was a jackanapes, just made to serve Bulstrode’s purpose’. But this passage goes on to point up the mild social hypocrisy of these
gentlemen, for ‘to non-medical friends they had already concurred in
praising the other young practitioner’. Concurrence, once again, speaks
not to harmonious unanimity but rather to more practically-minded
compromises. The next use of the word is again associated with Lydgate: this time
chapter 30’s interview between the doctor and Dorothea over Casaubon’s
failing health. Postscript: During Rosamond’s post-miscarriage convalescence
Lydgate finds himself ‘unable to suppress all signs of inward trouble’, and
as her health recovers he meditates ‘taking her entirely into confidence
on his [financial] difficulties’. There are too many tradesmen’s bills, and
they need to retrench financially: but ‘how could such a change be made
without Rosamond’s concurrence?’.15 By the time we get to chapter 71’s 126 Middlemarch account of Bulstrode’s downfall it is no surprise to see the same word
utilised. Hawley addresses the meeting: In what I have to say, Mr. Chairman, I am not speaking simply on my own
behalf: I am speaking with the concurrence and at the express request
of no fewer than eight of my fellow-townsmen, who are immediately
around us. It is our united sentiment that Mr. Bulstrode should be called
upon—and I do now call upon him—to resign public positions which he
holds not simply as a tax-payer, but as a gentleman among gentlemen.16 This concurrence is a collective outflanking, and marks the end of
Bulstrode. The other bigwigs of Middlemarch are running together, as
a pack (the Latin concurro has the primary meaning ‘I run with others,
I flock’, and only subsequently came to mean ‘I concur, I coincide’: curro
means ‘I run’). If currency is one punning association of concurrence, the
canine or lupine curs is another. Wolves; people; money. It says little to note that Eliot ‘runs together’ her storylines. We could
say the same about most writers. But Eliot has a closer eye than most
to the way ‘running-together’ is both a kind of currency and a kind
of influence—not a billiard ball striking another, but a more subtle
penetration of influence from individual to individual. It is to create a
whole world through the creation of a single flute-note, by sounding
your finer instrument inside the canopy of the bell. Currency means
money (hospitals don’t run without money; younger relatives’ debts
aren’t quitted without money; wives with expensive tastes aren’t
satisfied without it). Currency also means contemporaneity (‘current
affairs’), a more complicated relationship for this novel set pre-Darwin
but very much written by a sensibility formed post-. And, to return
to the beginning of this chapter, there’s a particular, quasi-musical
concurrence chiming, or sounding, through this novel. Bells summon the faithful to church, and summon children to school,
which is to say: they are instruments of congregation. 16
Ibid., ch. 71. 17
Ibid., ch. 77. Postscript: The Flute inside the Bell Postscript: The Flute inside the Bell Dorothea had another errand in Lowick Gate: it was about a new fine-
toned bell for the school-house, and as she had to get out of her carriage
very near to Lydgate’s, she walked thither across the street, having told
the coachman to wait for some packages.17 —leads to an unexpected congregation: —leads to an unexpected congregation: She found herself on the other side of the door without seeing anything
remarkable, but immediately she heard a voice speaking in low tones
which startled her as with a sense of dreaming in daylight, and advancing
unconsciously a step or two beyond the projecting slab of a bookcase, she
saw, in the terrible illumination of a certainty which filled up all outlines,
something which made her pause, motionless, without self-possession
enough to speak. Seated with his back towards her on a sofa which stood against
the wall on a line with the door by which she had entered, she saw
Will Ladislaw: close by him and turned towards him with a flushed
tearfulness which gave a new brilliancy to her face sat Rosamond, her
bonnet hanging back, while Will leaning towards her clasped both her
upraised hands in his and spoke with low-toned fervour. ‘Dorothea’, says Eliot, ‘after the first immeasurable instant of this vision’
retreats. She ‘walked across the street with her most elastic step and was
quickly in her carriage again’. The shock of the encounter, the vibration
of this suspicion, is described by Eliot in terms of a crowd, a ‘throng’
(‘she had seen something so far below her belief, that her emotions
rushed back from it and made an excited throng without an object’), or
as she later says when her sister intuits she is upset, a global population:
in reply to Celia’s question ‘has something happened?’, Dorothea asserts
that ‘a great many things have happened […] all the troubles of all
people on the face of the earth’. This abrupt erosion of lover’s faith is
another kind of concurrence. ‘Dorothea’, says Eliot, ‘after the first immeasurable instant of this vision’
retreats. She ‘walked across the street with her most elastic step and was
quickly in her carriage again’. The shock of the encounter, the vibration
of this suspicion, is described by Eliot in terms of a crowd, a ‘throng’
(‘she had seen something so far below her belief, that her emotions
rushed back from it and made an excited throng without an object’), or
as she later says when her sister intuits she is upset, a global population:
in reply to Celia’s question ‘has something happened?’, Dorothea asserts
that ‘a great many things have happened […] all the troubles of all
people on the face of the earth’. Postscript: In chapter 77 the
widowed Dorothea on the pretext of attending to the donation of a bell
to a school, calls on Lydgate—this at the time of collective suspicion
regarding his closeness to the disgraced Bulstrode—hoping to reassure
him. Her mind is also running on her burgeoning love for Ladislaw. This
‘fine-toned bell’— ‘fine-toned bell’— 127 —leads to an unexpected congregation: This abrupt erosion of lover’s faith is
another kind of concurrence. That it proves a misunderstanding does nothing to defang this
moment, a kind of second disappointment, or loss of innocence, for
Dorothea. The failure of her marriage to Casaubon indexed her own
naivety (for Casaubon was always exactly what he seemed to be);
but this hints that her love for Ladislaw might have fixed itself on an
inconstant and unworthy object. A few chapters later these feelings
are renewed, and again Eliot connects it to the bell. At a loose end, and
somewhat agitated, Dorothea 128 Middlemarch walked straight to the schoolhouse and entered into a conversation with
the master and mistress about the new bell, giving eager attention to
their small details and repetitions, and getting up a dramatic sense that
her life was very busy.18 From here to the parsonage, where Dorothea’s agitation is increased
by the guileless Miss Noble, who has a ‘German box’, a present from
Ladislaw, and whose ardent feelings are the subject of jolly gossip. ‘If Henrietta Noble forms an attachment to any one, Mrs. Casaubon,’ said
[Farebrother’s] mother, emphatically,—’she is like a dog—she would
take their shoes for a pillow and sleep the better.’ ‘Mr. Ladislaw’s shoes, I would,’ said Henrietta Noble. Dorothea made an attempt at smiling in return. She was surprised
and annoyed to find that her heart was palpitating violently, and that
it was quite useless to try after a recovery of her former animation. Alarmed at herself—fearing some further betrayal of a change so marked
in its occasion, she rose and said in a low voice with undisguised anxiety,
‘I must go; I have overtired myself.’19 That’s another function of a bell, of course: as with the tolling bell of
Donne’s ‘no man is an island’ sermon, it recalls us to our mortality, or,
in Dorothea’s case, the death of her hopes. That these late misdirections
are linked by Eliot to Dorothea’s school bell is a mild irony. We could
say: its chime is schooling her in the depth, and precarity, of her own
feelings. Her grief after her visit to the priory rings her like a bell: ‘“Oh,
I did love him!” Then came the hour in which the waves of suffering
shook her too thoroughly to leave any power of thought’. 18
Ibid., ch. 80.
19
Ibid. 18
Ibid., ch. 80. 21
‘As Mary Sibree, to whom she taught German, records it: ‘Placing together one day
the works of Schiller [. . .] Miss Evans said, “Oh, if I had given these to the world,
how happy I should be!”’ (Cross, p. 53). Although her reading of Schiller was at its
most intense in the early I840s, the ‘thrill’ she felt at the sight of his house in Weimar
in I854, as well as references to him as late as in Middlemarch and Daniel Deronda,
show that her attraction to his work remained strong throughout her life. The impact
of his work on her own is considerable’. Deborah Guth, ‘George Eliot and Schiller:
Narrative Ambivalence in Middlemarch and Felix Holt’, Modern Language Review, 94.4
(1999), 913–24 (p. ). See also Guth’s book-length study, George Eliot and Schiller:
Intertextuality and Cross-Cultural Discourse (Surrey: Ashgate Publishing, 2003). 20
Ibid., ch. 81. —leads to an unexpected congregation: Breathe upon your flute, and listen close/Till the right note flows forth,
a silvery rill: Then shall the huge bell tremble—then the mass
With myriad waves concurrent shall respond
In low soft unison. Then shall the huge bell tremble—then the mass
With myriad waves concurrent shall respond
In low soft unison. —leads to an unexpected congregation: Sound waves,
emotional waves, passing out and influencing the world.l That’s another function of a bell, of course: as with the tolling bell of
Donne’s ‘no man is an island’ sermon, it recalls us to our mortality, or,
in Dorothea’s case, the death of her hopes. That these late misdirections
are linked by Eliot to Dorothea’s school bell is a mild irony. We could
say: its chime is schooling her in the depth, and precarity, of her own
feelings. Her grief after her visit to the priory rings her like a bell: ‘“Oh,
I did love him!” Then came the hour in which the waves of suffering
shook her too thoroughly to leave any power of thought’. Sound waves,
emotional waves, passing out and influencing the world.l This flute-note concurrency is illustrated by the scene that follows,
in which Dorothea goes to Rosamond to ‘save’ her—that is, to dissuade
her from having an affair with Ladislaw—and Rosamond, intuiting
the direction in which her delicately circumlocutionary phraseology is
going, steps in when the words stop coming. The moment is articulated
in terms not only of mutual vibration, a spontaneous concurrency of
feeling that leads to intimacy, but also of what the epigraph to chapter
31, with which this chapter began, calls ‘a low soft unison’: The waves of her own sorrow, from out of which she was struggling to
save another, rushed over Dorothea with conquering force. She stopped Postscript: The Flute inside the Bell 129 in speechless agitation, not crying, but feeling as if she were being
inwardly grappled. Her face had become of a deathlier paleness, her
lips trembled, and she pressed her hands helplessly on the hands that
lay under them. Rosamond, taken hold of by an emotion stronger than
her own—hurried along in a new movement which gave all things some
new, awful, undefined aspect—could find no words, but involuntarily
she put her lips to Dorothea’s forehead which was very near her, and
then for a minute the two women clasped each other as if they had been
in a shipwreck. ‘You are thinking what is not true,’ said Rosamond, in an
eager half-whisper.20 How will you know the pitch of that great bell/Too large for us to stir? 22
German original available at http://www.zeno.org/Literatur/M/Schiller,+Friedrich/
Theoretische+Schriften/%C3%9Cber+naive+und+sentimentalische+Dichtung.
James Wood prefers ‘simple’ as an Englishing of the German naive: ‘Schiller argues
that the ancient writers, especially the Greeks, were at one with nature, combining
thought and feeling, while the modern writer can only seek or aspire to nature,
worshipping or elegising what he no longer possesses simply. Schiller finds in the
Greeks “a character of calm necessity. Their impatient imagination only traverses
nature to pass beyond it to the drama of human life.” The modern poet, by contrast,
is always sentimental about nature, like a sick man yearning for health. Indeed, the
sentimental poet idealises nature much as we (including, self-confessedly, Schiller)
sentimentalise the Greeks themselves. The problem for modern literature of this
loss of innocence is that, in contrast with the ancient simple poet, we never see “the
object itself”: instead, the modern poet is always reflecting on the impressions he
receives from nature, always “a spectator of his own emotion”. Schiller’s examples
of simple poets are Homer and Shakespeare; of sentimental poets, Milton and
Kleist’. James Wood, ‘Buckets of Empathy’, London Review of Books, 22.7 (2000),
https://www.lrb.co.uk/the-paper/v22/n07/james-wood/buckets-of-empathy 23
Søren Kierkegaard, On Authority and Revelation: The Book on Adler, or a Cycle of Ethico-
Religious Essays, trans. by Walter Lowrie (Princeton: Princeton University Press,
1955), p. 65. Then shall the huge bell tremble—then the mass
With myriad waves concurrent shall respond
In low soft unison. Then shall the huge bell tremble—then the mass
With myriad waves concurrent shall respond
In low soft unison. I have one last observation with respect to the six-and-a-half lines of
Eliot’s bell verse. The relative eclipse of reputation of Friedrich Schiller—
in Britain, I mean—between the nineteenth-century and the present
day occludes the most obvious intertext for Eliot’s short ‘bell’ poem:
Schiller’s lengthy ‘Das Lied von der Glocke’ (1798). Eliot, a dedicated
reader of Schiller, was certainly aware of this ‘Song of the Bell’.21 Schiller
traces the life of the bell from raw materials, through its casting to its
transportation and hanging—this a collective activity, Tausend fleißge
Hände regen/helfen sich in munterm Bund, ‘a thousand hands, busy in
motion, help in cheerful union’—until the bell is finally sounded, and
named ‘CONCORDIA’, whose chime brings all people’s together, and
sings-out with a star-bright sound: 130 Middlemarch Soll eine Stimme sein von oben,
Wie der Gestirne helle Schar! This joyous, ingenuous peroration to the ‘unison’ that Eliot’s bell also
sounds is one of Schiller’s most famous poems. Even more famous is
his essay Über naive und sentimentalische Dichtung (1795–96), ‘On Naïve
and Sentimental Poetry’.22 And it has sometimes seemed to me that
Eliot’s novel sets out, playfully enough but with a serious purpose
for all that, to upend Schiller’s distinction. We could put it this way:
Dorothea at the beginning of Middlemarch is naïve, whereas at the
end, as she realises how easily her sensibility—her genuine love for
Ladislaw—could capsize her, she becomes sentimental. But her naivety
is not a Schillerian unity of subject and object; it is, on the contrary, an
intensely self-considered, self-conscious setting of herself a goal for her
life, where her sentimentality is so spontaneous that it eventually moves
her, and the object of her love, out of the artificiality of the fiction that is
Middlemarch altogether. In The Book on Adler (1872), Søren Kierkegaard
claims that ‘though it is indeed by writing that one justifies the claim to
be an author, it is also, strangely enough, by writing that one virtually
renounces this claim. Then shall the huge bell tremble—then the mass
With myriad waves concurrent shall respond
In low soft unison. To find the conclusion it is necessary first of all
to observe that it is lacking, and then in turn to feel quite vividly the
lack of it’.23 The coming-together of Dorothea and Ladislaw feels to some 23 Postscript: The Flute inside the Bell 131 readers like a conclusion as well as a consummation, but Eliot is canny
enough to understand that it actually represents the lack—the rather
vivid lack—of a conclusion. Or to put it another way: a hammer strike
meeting the bell’s metal might be simple, but there is more haunting
and spiritual unison in the flute-song, sentimental though it be, inside
the bell’s hood. A bell is revealed as—if this isn’t too bizarre a way of putting it—
an auditory mirror: our action upon it, direct or inferential, is bounced
back resonantly to us. The chiming of bells is a preliminary, a kind of
aural epigraph, to a church service; and a short text, an epigraph, is the
verbal preliminary to the sermon at the heart of the service. Such items
stand not as models of the larger, or longer, work to which they append
themselves so much as fractal ratio minores, encapsulations that reflect,
like the drop of ink at the end of the pen with which Eliot opens Adam
Bede. We can see in them, and through them, and what we can see are
the vistas Eliot’s great novel opens to us. It would, however, be perverse to end a study that proposes to read
Eliot’s novel via mirrors and lenses with a bell. After all, Middlemarch is
not lacking in deictic pointers to its own specular design. This is how
chapter 27 opens: An eminent philosopher among my friends,24 who can dignify even
your ugly furniture by lifting it into the serene light of science, has
shown me this pregnant little fact. Your pier-glass or extensive surface
of polished steel made to be rubbed by a housemaid, will be minutely
and multitudinously scratched in all directions; but place now against
it a lighted candle as a centre of illumination, and lo! the scratches will
seem to arrange themselves in a fine series of concentric circles round
that little sun. It is demonstrable that the scratches are going everywhere
impartially and it is only your candle which produces the flattering
illusion of a concentric arrangement, its light falling with an exclusive
optical selection. 24
It is tricky to prove, but nonetheless likely, that the ‘eminent friend’ referred to
here was scientist William Edward Ayrton (1847–1908), who lectured to the Royal
Society on mirrors and electric illumination, and was involved in a number of
advances in arc-lights, electrical communication and other things. Eliot befriended
Ayrton’s daughter Hertha in the early 1870s, and helped her gain a place at Girton. 25
‘“Parable” means, etymologically, “thrown beside,” from the Greek para, beside,
and ballein, to throw. A parable is set or thrown at some distance from the meaning
which controls it and to which it obliquely or parabolically refers, as, in its definition,
a parabolic curve is controlled, across a space, by its parallelism to a line on the
cone of which it is a section […] the parabola creates that line in the empty air,
just as the parables of Jesus remedy a defect of vision, give sight to the blind, and
make the invisible visible’. Joseph Hillis Miller, Reading for Our Time: Adam Bede
and Middlemarch Revisited (Edinburgh: Edinburgh University Press, 2012), p. 65. Then shall the huge bell tremble—then the mass
With myriad waves concurrent shall respond
In low soft unison. These things are a parable. The scratches are events,
and the candle is the egoism of any person now absent—of Miss Vincy,
for example. 132 Middlemarch This ‘parable’ has been widely discussed by Eliot’s critics, although
given how assiduously Eliot herself spells-out its meaning, elaboration
runs the risk of being supererogatory. For J. Hillis Miller, the crucial
thing here is the way Eliot describes her own mimetic mirror-work, as
novelist, in parabolic terms: as the ‘parable’ lays clear the lines of sight
that are gathered, on parabolic trajectories, by this mirror.25 Barbara
Leckie, with perhaps greater penetration into Eliot’s craft, focuses
instead on the way her mimetic reflectivity is augmented (rather than,
as we might think, compromised) by the ‘cross-hatching of scratches’
here identified: ‘the cross-hatching of scratches also signal one of the
novel’s central organising motifs: the web. That is, the pier glass is at
once a reflective surface and a surface that invokes a web; it represents
the mirror not as a straightforward reflection but rather, as Leah Price
puts it, “the mirror as a system of infinite connections”’.26 It is a web, and
a bell, and both are in some sense a mirror—the mimetic art in which a
small, distorted thing reflects back to us the large, beautiful thing. This ‘parable’ has been widely discussed by Eliot’s critics, although
given how assiduously Eliot herself spells-out its meaning, elaboration
runs the risk of being supererogatory. For J. Hillis Miller, the crucial
thing here is the way Eliot describes her own mimetic mirror-work, as
novelist, in parabolic terms: as the ‘parable’ lays clear the lines of sight
that are gathered, on parabolic trajectories, by this mirror.25 Barbara
Leckie, with perhaps greater penetration into Eliot’s craft, focuses
instead on the way her mimetic reflectivity is augmented (rather than,
as we might think, compromised) by the ‘cross-hatching of scratches’
here identified: ‘the cross-hatching of scratches also signal one of the
novel’s central organising motifs: the web. That is, the pier glass is at
once a reflective surface and a surface that invokes a web; it represents
the mirror not as a straightforward reflection but rather, as Leah Price
puts it, “the mirror as a system of infinite connections”’.26 It is a web, and
a bell, and both are in some sense a mirror—the mimetic art in which a
small, distorted thing reflects back to us the large, beautiful thing. (
g
g
y
) p
26
Barbara Leckie, Open Houses: Poverty, the Novel, and the Architectural Idea in
Nineteenth-Century Britain (Philadelphia: University of Pennsylvania Press, 2018),
p. 191, https://doi.org/10.9783/9780812295177 27
Theocritus, Idylls, 16:3–4. 28
‘Idyll XVI: The Graces; Or, Hiero’, The Idylls of Theocritus, Bion and Moschus, and the
War-songs of Tyrtaeus, trans. by Rev. J. Banks (London: George Bell and Sons, 1878),
p. 84. Then shall the huge bell tremble—then the mass
With myriad waves concurrent shall respond
In low soft unison. l
The chapter with which this passage opens pre-begins with this
epigraph: Let the high Muse chant loves Olympian:
We are but mortals, and must sing of man. This is Eliot’s translation of the following two lines from Theocritus: This is Eliot’s translation of the following two lines from Theocritus: Μοῦσαι μὲν θεαὶ ἐντί, θεοὺς θεαὶ ἀείδοντι:
ἄμμες δὲ βροτοὶ οἵδε, βροτοὺς βροτοὶ ἀείδωμεν.27 Μοῦσαι μὲν θεαὶ ἐντί, θεοὺς θεαὶ ἀείδοντι:
ἄμμες δὲ βροτοὶ οἵδε, βροτοὺς βροτοὶ ἀείδωμεν.27 A more literal rendering might go: ‘the Muses, though, are gods and
being gods do sing of gods; we who are here (οἵδε) are mortals, and as
mortals let us sing of mortals.’ Eliot loses something by condensing the Postscript: The Flute inside the Bell 133 thrice-repeated θεαὶ (goddesses) and thrice-repeated βροτός (mortal
men) that balance it, not least the gender distinction between female
goddesses and mortal men. Theocritus’s poem turns out to be about how far men have fallen
(into love of money and other things) and yet how it remains possible
that they can be redeemed, and open their houses to the Χάριτες—
the ‘Graces’: Aglaea (‘Shining’), Euphrosyne (‘Joy’) and Thalia
(‘Blooming’). Grace (Χάρις) has an important place in Christian
thought, of course; as do ‘parables’. And Theocritus’s poem says that
though we are broken, scratched as in Eliot’s ‘parable’ of the mirror,
grace can still enter in. It is hard not to wonder if Eliot, by invoking
this gracious poem, is not inviting us to see rose-blooming Rosamond
as Thalia, spiritually-illuminated Dorothea as Aglaea and, smaller than
the other two in terms of the space the novel allows her, but surely just
as important in terms of what she says about the lineaments of female
happiness, quietly joyful Mary Garth as Euphrosyne. And even this, I would say, modest unpacking of a particular
epigraph entails the lensing, or flute-resonance, that Eliot’s epigraphs
so often do. Her choices as a translator, by de-gendering and
de-repetitising a gendered, triply-insistent original, universalise and
render less insistently rhetorical the underlying sentiment. Most of all,
by translating the original triad of Muse-Graces as a single ‘Muse’, Eliot
gestures, delicately enough, at the unifying vision she is attempting in
her novel. 29
J. Hillis Miller, ‘Optic and Semiotic in Middlemarch’, in The Worlds of Victorian
Fiction, ed. by Jerome Buckley (Cambridge: Harvard University Press, 1975), pp.
125–45 (126–27). For Miller, the optical is only one of three ‘totalizing metaphors’
that construe the novel, and is moreover subordinated in his reading to the more
prominent ‘textual’ metaphors (fabric, web and so on) and metaphors of ‘flow’ or
‘stream’. He also, in passing, suggests a meta-metaphor, describing these three as
‘a family of intertwined metaphors and motifs’ and glossing his own comment in a
footnote: ‘what, exactly, is the nature of the resemblance which binds together the
members of this family and makes it seem of one genetic stock? Why, if Eliot’s goal
is to describe what is “really there,” objectively, must there be more than one model
in order to create a total picture?’ Miller, ‘Optic and Semiotic’, p. 134. Like jesting
Pilate he does not stay for an answer to these question. Then shall the huge bell tremble—then the mass
With myriad waves concurrent shall respond
In low soft unison. Here, for comparison, is a roughly-contemporaneous Victorian
translation of the opening lines of Theocritus’s sixteenth idyll: This is ever a care to the daughters of Jove, ever to poets, to hymn
immortals, to hymn the glories of brave men. The Muses indeed are
goddesses; goddesses sing of gods: but we are mortals here; let us mortals
sing of mortals. Yet who of as many as dwell under the bright dawn, will
open his doors, and graciously welcome in his home our Graces, and not
send them away again unrewarded?28 The translator here adds a footnote, glossing Χάριτες as ‘i.e. his poems. For a similar prosopopoeia see Horace’s Epistle 1:20 where he compares For a similar prosopopoeia see Horace’s Epistle 1:20 where he compares 134 Middlemarch his book with a damsel desiring to go forth in public’. Theocritus’s
poem, in other words, is a poem about poetry, a self-reflexive text, not
in a hermetically sealed or inward manner but, on the contrary, in the
sense that poetry goes out into the world. Eliot’s novel, similarly, refracts
its textualities dialectically between epigraph-small and chapter-, and
novel-, large. This specular epigraphy is a line of sight that combines the
microscopic and the telescopic, that shines upon the mirror’s scratches
in order not to overlook or occlude them but rather to transform them
in the brilliancy of Eliot’s imaginative reconfiguration into something as
beautiful as true. That Middlemarch is a novel that balances the small and
the large is hardly a new critical observation of course. Back in 1975, J. Hillis Miller argued that Eliot’s configures Middlemarch such that a fragment is examined as a ‘sample’ of the larger whole of which it is
a part, though the whole impinges on the part as the ‘medium’ within
which it lives, as national politics affect Middlemarch when there is a
general election, or as the coming of the railroad upsets rural traditions. Eliot’s strategy of totalization is to present individual character or event
in the context of that wider medium and to affirm universal laws of
human behavior in terms of characters.29 This strikes me as both an over-emphasis on ‘totalization’ as Eliot’s
aesthetic strategy, and an over-emphasis on such in-world events as
elections and railway development. The refractive epigraphy I am
arguing for here as constitutive of the novel is less lineally accretive
than Miller’s model. 30
Eliot, Middlemarch, ch. 77. Then shall the huge bell tremble—then the mass
With myriad waves concurrent shall respond
In low soft unison. In Middlemarch we look through the epigraphs,
as through a lens; and also back at the quoted text (as in a mirror),
and both directions, one gesturing telescopically at the larger, the
other condensing attention microscopically upon the former—and by Postscript: The Flute inside the Bell 135 extension, one inviting us to view the whole of this middled England
as a vista or panorama, the other inviting us to zero-in on the minutiae
that constitute this life-vista, as minutiae constitute all our lives. In all
this Eliot is beautifully aware of the textuality of lived experience, not
just in the sense that texts (like books and paintings) have a large role
in creating and shaping us as human beings, but in the sense that life is
a process of reading and re-reading other humans, and their situations,
and life as such. In that, the radicalism of the epigraph is its insistence
that such reading is always close-reading, actually; that the smallest
of expressions or gestures may embody the largest of significances. The delicate sound of a flute resonates all the bell-like universe into
contrapuntal music. Towards the end, Ladislaw finds that he cannot pour out his heart to
the (now widowed) Dorothea and that he is constrained to a brevity of
expression. This, though, is presented in the novel as no bad thing. That simplicity of hers, holding up an ideal for others in her believing
conception of them, was one of the great powers of her womanhood. And it had from the first acted strongly on Will Ladislaw. He felt, when
he parted from her, that the brief words by which he had tried to convey
to her his feeling about herself and the division which her fortune made
between them, would only profit by their brevity when Dorothea had to
interpret them: he felt that in her mind he had found his highest estimate.30 Brevity is the highest mode of communicating with the expansive
simplicity of fulness—and vice versa: in a nutshell, it’s the whole novel. Bibliography Armstrong, Isobel, Victorian Glassworlds: Glass Culture and the Imagination 1830–
1880 (Oxford: Oxford University Press, 2008). Baker, William, and Donald P Leinster-Mackay, The Libraries of George Eliot and
George Henry Lewes (Victoria, BC: English Literary Studies, University of
Victoria, 1981). Baltazar, Lisa, ‘The Critique of Anglican Biblical Scholarship in Eliot’s
“Middlemarch”’, Literature and Theology, 15 (2001), 40–60, https://doi.org/
10.1093/litthe/15.1.40 Bate, Walter Jackson, The Burden of the Past and the English Poet (London: Chatto
and Windus, 1971). Beale, Anthony, ed., D. H. Lawrence: Selected Literary Criticism (New York: Viking
Press, 1956). Beaty, Jerome, Middlemarch from Notebook to Novel: A Study of George Eliot’s Creative
Method (Illinois: University of Illinois Press, 1960). Beaumont Francis, and John Fletcher, The Maid’s Tragedy (1619), https://www. gutenberg.org/cache/epub/10847/pg10847.html Beer, Gillian, Darwin’s Plots: Evolutionary Narrative in Darwin, George Eliot and
Nineteenth-Century Fiction (London: Routledge and Kegan Paul, 1983). Béclard, Pierre Auguste, Additions to the General Anatomy of Xavier Bichat, trans. by George Hayward (Boston: Richardson and Lord, 1823). ‘The Bell’ [n.a.], The Southern Review, 22 (1877), 372. ‘The Bell’ [n.a.], The Southern Review, 22 (1877), 372. Burrow, Colin, ‘Who Wouldn’t Buy It?’, London Review of Books, 27.2 (2005), https://
www.lrb.co.uk/the-paper/v27/n02/colin-burrow/who-wouldn-t-buy-it Burton, Henry, The Gospel According to St. Luke (New York: A.C. Armstrong and
Son, 1893). Burstein, Miriam, Narrating Women’s History in Britain, 1770–1902 (Aldershot,
Hampshire: Ashgate, 2004). Cohen, J. Solis, The Throat and the Voice (London: Ward, Lock, & Co., 1880). Dodd, Valerie, George Eliot: an Intellectual Life (London: Macmillan 1990) 138 Middlemarch Dryden, John, The Hind and the Panther: A Poem, in Three Parts (London: Printed
for
Jacob
Tonson,
1687),
http://www.online-literature.com/dryden/
poetical-works-vol1/15/ Eagleton, Terry, Sweet Violence: The Idea of the Tragic (Oxford: Blackwell
Publishers, 2003). Eliot, George, Adam Bede (Edinburgh: William Blackwood and Sons, 1859),
https://www.gutenberg.org/files/507/507-h/507-h.htm Eliot, George, ‘The Antigone and its Moral’, Leader, 7 (March 29, 1856), 306. Eliot, George, ‘Art and Belles Lettres: Review of Modern Painters’, Westminster
Review, 65 (April 1856), 625–33. Eliot, George, Daniel Deronda (Edinburgh: William Blackwood and Sons, 1876),
http://www.gutenberg.org/files/7469/7469-h/7469-h.htm Eliot, George, Middlemarch (Edinburgh: William Blackwood and Sons, 1871),
http://www.gutenberg.org/files/145/145-h/145-h.htm Eliot, George, Mill on the Floss (Edinburgh: William Blackwood, 1860), https://
www.gutenberg.org/files/6688/6688-h/6688-h.htm Empson, William, Seven Types of Ambiguity, rev. edn (New York: New Directions,
1947). Bibliography Erskine-Hill, Howard, ‘Pope’s Epigraphic Practice’, The Review of English Studies,
62.254 (2011), 261–74, https://doi.org/10.1093/res/hgq027 Fleishman, Avrom, George Eliot’s Intellectual Life (Cambridge: Cambridge
University Press, 2010), https://doi.org/10.1017/cbo9780511691706 Flint, Kate, ‘The Materiality of Middlemarch’, in Middlemarch in the Twenty-First
Century, ed. by Karen Chase (Oxford: Oxford University Press, 2006), pp. 65–86. Fuller, Thomas, The History of the Worthies of England [1662], ed. by John Nichols
(London: F.C. and J. Rivington, 1811). Furst, Lilian R, ‘Not So Long Ago: Historical Allusion in Realist Fiction’ in
Through the Lens of the Reader: Explorations of European Narrative (Albany: State
University of New York Press, 1992), pp. 133–48. Gaston, Sean, ‘George Eliot and the Anglican Reader’, Literature and Theology,
31.3 (2017), 318–37, https://doi.org/10.1093/litthe/frw026 Ginsburg, Michael Peled, ‘Pseudonym, Epigraphs, and Narrative Voice:
Middlemarch and the Problem of Authorship’, ELH, 47.3 (1980), 542–58,
https://doi.org/10.2307/2872795 Guizot,
François-Pierre-Guillaume,
Cours
D’Histoire
Moderne:
Histoire
de la Civilisation en France (Paris: Didier, 1846), vol. 3, https://
www.google.co.uk/books/edition/Histoire_de_la_civilisation_en_
France/_A-HYbpWLgQC?hl=en&gbpv=1 139 Bibliography Guth, Deborah, ‘George Eliot and Schiller: Narrative Ambivalence in Middlemarch
and Felix Holt’, Modern Language Review, 94.4 (1999), 913–24. Guth, Deborah, George Eliot and Schiller: Intertextuality and Cross-Cultural
Discourse (Surrey: Ashgate Publishing, 2003). Handley, Graham, George Eliot’s Midlands: Passion in Exile (London: Allison &
Busby, 1991). Herodotus, The History of Herodotus, trans. by Isaac Littlebury (Oxford:
W. Baxter,
1824),
p. 73,
https://www.google.co.uk/books/edition/
The_History_of_Herodotus_Translated_By_I/XgPu0rLKGeIC?hl=en&
gbpv=1 Higdon, David Leon, ‘George Eliot and the Art of the Epigraph’, Nineteenth-
Century Fiction, 25.2 (1970), 127–51. Homer, Odyssey, trans. by A. T. Murray (London: William Heinemann, 1919),
https://www.perseus.tufts.edu/hopper/text?doc=Perseus%3Atext%3A199
9.01.0136%3Abook%3D5%3Acard%3D262 Horace, The Art of Poetry: To the Pisos, ed. and trans. by C. Smart and Theodore
Alois Buckley (New York: Harper and Brothers, 1863), http://www.perseus. tufts.edu/hopper/text?doc=Perseus%3Atext%3A1999.02.0065%3Acard
%3D1 Horowitz, Evan, ‘Industrialism and the Victorian Novel’. Evan Horowitz,
‘Industrialism and the Victorian Novel’, in The Oxford Handbook of the Victorian
Novel, ed. by Lisa Rodensky (Oxford: Oxford University Press, 2013), https://
www.oxfordhandbooks.com/view/10.1093/oxfordhb/9780199533145. 001.0001/oxfordhb-9780199533145-e-021373 ‘Hypocrisy’ [n.a.], The Saturday Review [1869], in The Living Age, ed. by E. Littell
(Boston: Littell and Gay, 1869), vol. 103, pp. 279–81, https://www.google.co.uk/
books/edition/Littell_s_Living_Age/uKBIAQAAMAAJ?hl=en&gbpv=1 Jackson, Catherine, ‘The “Wonderful Properties of Glass”: Liebig’s Kaliapparat
and the Practice of Chemistry in Glass’, Isis, 106.1 (2015), 43–69, https://doi. org/10.1086/681036 Jameson, Fredric, The Antimonies of Realism (London: Verso Books, 2014). Jones, H. Bibliography S., Intellect and Character in Victorian England: Mark Pattison and the
Invention of the Don (Cambridge: Cambridge University Press, 2007), https://
doi.org/10.1017/cbo9780511660283 Kidd, Colin, The World of Mr Casaubon: Britain’s Wars of Mythography 1700–
1870 (Cambridge: Cambridge University Press, 2016), https://doi. org/10.1017/9781139226646 Kierkegaard, Søren, On Authority and Revelation: The Book on Adler, or a Cycle
of Ethico-Religious Essays, trans. by Walter Lowrie (Princeton: Princeton
University Press, 1955). 140 Middlemarch Kitchel, Anna Theresa, ed., Quarry for Middlemarch (Riverside: University of
California Press, 1950). Kuzmic, Tatiana, ‘The German, the Sclave, and the Semite’: Eastern Europe in
the Imagination of George Eliot’ Nineteenth-Century Literature, 68.4 (2014),
513–41, https://doi.org/10.1525/ncl.2014.68.4.513 Leckie, Barbara, Open Houses: Poverty, the Novel, and the Architectural Idea in
Nineteenth-Century Britain (Philadelphia: University of Pennsylvania Press,
2018), https://doi.org/10.9783/9780812295177 Lewes, George Henry, Aristotle: A Chapter from the History of Science (London:
Smith, Elder and Company, 1864). Lewes, George Henry, A Biographical History of Philosophy (London: Charles
Knight and Co., 1846). Lewes, George Henry, The Life and Works of Goethe (London: David Nutt, 1855). Lewes, George Henry, The Life of Maximilien Robespierre: With Extracts from his
Unpublished Correspondence (Philadelphia: Carey and Hart, 1849). Lewes, George Henry, ‘Realism in Art: Recent German Fiction’, Westminster
Review, 70 (1858), 493–94. Lucretius, De Rerum Natura Libri Sex, 2 vols, trans. by H. A. J. Munro (Cambridge:
Deighton Bell & Co., 1866). Macdonald, Fiona, ‘The Only Surviving Recording of Virginia Woolf’,
BBC
Culture
(28
March
2016),
https://www.bbc.com/culture/
article/20160324-the-only-surviving-recording-of-virginia-woolf Mars-Jones, Adam, ‘Chop, Chop, Chop’, London Review of Books, 38.2 (2016),
https://www.lrb.co.uk/the-paper/v38/n02/adam-mars-jones/chop-chop-
chop Mason, Michael York, ‘Middlemarch and Science: Problems of Life and Mind,
The Review of English Studies, 22.86 (1971), 151–69, https://doi.org/10.1093/
res/xxii.86.151 McClintock, John, Cyclopaedia of Biblical, Theological, and Ecclesiastical Literature, 2
vols (New York: Harper, 1868). McDonagh, Josephine, ‘The Early Novels’, in The Cambridge Companion to George
Eliot, ed. by George Levine (Cambridge: Cambridge University Press, 2001),
pp. 38–56, https://doi.org/10.1017/ccol0521662672.003 McGann, Jerome J., The Beauty of Inflections: Literary Investigations in Historical
Method and Theory (Oxford: Clarendon Press, 1985). McKee, Patricia, Heroic Commitment in Richardson, Eliot and James (Princeton:
Princeton University Press, 1986). Miller, Frank E., The Voice (New York: G. Schirmer, 1910). 141 Bibliography Miller, J. Hillis, ‘Optic and Semiotic in Middlemarch’, in The Worlds of Victorian
Fiction, ed. by Jerome Buckley (Cambridge: Harvard University Press, 1975),
pp. 125–45. Miller, J. Hillis, Reading for Our Time: Adam Bede and Middlemarch Revisited
(Edinburgh: Edinburgh University Press 2012). Bibliography Milton, Paul, ‘Inheritance as the Key to all Mythologies: George Eliot and Legal
Practice’, Mosaic: A Journal for the Interdisciplinary Study of Literature, 28.1
(1995), 49–68. Moldstad, David, ‘The Mill on the Floss and Antigone’, PMLA, 85.3 (1970), 527–31,
https://doi.org/10.2307/1261454 Moring, Meg M., ‘George Eliot’s Scrupulous Research: The Facts behind Eliot’s
Use of the Keepsake in Middlemarch’, Victorian Periodicals Review, 26.1 (1993),
19–23. Mudge, Isadore Gilbert, and Minnie Earl Sears, A George Eliot Dictionary: The
Characters and Scenes of the Novels, Stories, and Poems Alphabetically Arranged
(London: Routledge & Sons, 1924). Müller, Karl Otfried, History of the Literature of Ancient Greece, trans. by George
Cornewall Lewis (London: n.p., 1840). Nuttall, A. D., Dead from the Waist Down. Scholars and Scholarship in Literature and
the Popular Imagination (New Haven: Yale University Press, 2003). Page, Norman (ed), Tennyson: Interviews and Recollections (London: Macmillan
1983) Pascal, Blaise, Pensées, introduction by T. S. Eliot (New York: E. P. Dutton and Co,
1958), https://www.gutenberg.org/files/18269/18269-h/18269-h.htm Pattison, Mark, Isaac Casaubon 1559–1614 (London: Longmans, Green and Co.,
1875), Phillips, Adam, ‘Getting Ready to Exist’, London Review of Books, 19.4 (1997),
https://lrb.co.uk/the-paper/v19/n14/adam-phillips/getting-ready-to-exist Phillips, Adam, In Writing (London: Penguin Books, 2019). Polybius, Histories, ed. by Theodorus Büttner-Wobst after L. Dindorf (Leipzig:
Teubner, 1893), http://www.perseus.tufts.edu/hopper/text?doc=Plb.+3.31
.&fromdoc=Perseus%3Atext%3A1999.01.0233 Purcell, Nicholas, ‘Periploi: Voyages around’, Oxford Classical Dictionary (2015),
https://oxfordre.com/classics/view/10.1093/acrefore/9780199381135. 001.0001/acrefore-9780199381135-e-4872 Rebellato, Dan, ‘Sightlines: Foucault and Naturalist Theatre’, in Foucault’s Theatres,
ed. by Tony Fisher and Kélina Gotman (Manchester: Manchester University
Press, 2019), pp. 147–59, https://doi.org/10.7765/9781526132079.00020
Reynolds, Joseph William, The Mystery of the Universe, Our Common Faith
(London: Kegan Paul, 1884). 142 Middlemarch Ricks, Christopher, Allusion to the Poets (Oxford: Oxford University Press, 2002). Rignall, John, ed., Oxford Reader’s Companion to George Eliot (Oxford: Oxford
University Press, 2000). Rothfield, Lawrence, Vital Signs: Medical Realism in Nineteenth-Century Fiction
(Princeton: Princeton University Press, 1994). Runcimann, David, Political Hypocrisy: The Mask of Power, from Hobbes to Orwell
and Beyond (Princeton: Princeton University Press, 2010). Ruskin, John, Modern Painters, vol. 5 (London: Smith, Elder and Co., 1860),
https://www.gutenberg.org/files/44329/44329-h/44329-h.htm Sanders, Andrew, The Victorian Historical Novel 1840–1880 (London: Palgrave
Macmillan, 1979) Schiller, Friedrich, Über naive und sentimentalische Dichtung (1795–96), ‘On
Naïve
and
Sentimental
Poetry’,
http://www.zeno.org/Literatur/M/
Schiller,+Friedrich/ Scott, Walter, The Antiquary (Boston: Estes and Lauriat, 1893), https://www. gutenberg.org/files/7005/7005-h/7005-h.htm Scott, Walter, Guy Mannering, or the Astrologer (Boston: Estes and Lauriat, 1893),
https://www.gutenberg.org/files/5999/5999-h/5999-h.htm Shaw, Harry E., Narrating Reality: Austen, Scott, Eliot (Ithaca: Cornell University
Press, 1999). Bibliography Shuckburgh, Evelyn S., The Histories of Polybius (London: Macmillan and Co.,
1889). Shuttleworth, Sally, George Eliot and Nineteenth-Century Science: The Make-Believe
of a Beginning (Cambridge: Cambridge University Press, 1984). Tambling, Jeremy, ‘Middlemarch, Realism and the Birth of the Clinic’, ELH, 57.4
(1990), 939–60. Theocritis, ‘Idyll XVI: The Graces; Or, Hiero’, in The Idylls of Theocritus, Bion
and Moschus, and the War-songs of Tyrtaeus, trans. by Rev. J. Banks (London:
George Bell and Sons, 1878), p. 84. Thomson, Patricia, ‘The Three Georges’, Nineteenth-Century Fiction, 18.2 (1963),
137–50, https://doi.org/10.1525/ncl.1963.18.2.99p0183d Thonemann, Peter, ‘Wall of Ice’, London Review of Books, 30.7 (2008), 23–24. Tolstoy, Leo, Anna Karenina, trans. by Constance Garnett (New York: Random
House, 1939), https://www.gutenberg.org/files/1399/1399-h/1399-h.htm Tomlinson, Charles, ‘Mr Tomlinson’s Experiments and Observations on Visible
Vibration’, Records of General Science, 2 (1835), 124–33. Travis, Roger, ‘From “Shattered Mummies” to “An Epic Life”: Casaubon’s
Key to All Mythologies and Dorothea’s Mythic Renewal in George Eliot’s 143 Bibliography Middlemarch’, International Journal of the Classical Tradition, 5.3 (1999), 367–82,
https://doi.org/10.1007/bf02687693 Middlemarch’, International Journal of the Classical Tradition, 5.3 (1999), 367–82,
https://doi.org/10.1007/bf02687693 Vitaglione, Daniel, George Eliot and George Sand: A Comparative Study
(unpublished PhD thesis, University of St Andrews, 1990), http://hdl. handle.net/10023/15069 Watt, Ian, The Rise of the Novel: Studies in Defoe, Richardson and Fielding (Berkeley:
University of California Press 1957). Watts, Alaric Alexander, ed., The Literary Souvenir, or, Cabinet of Poetry and
Romance (London: [n.p.], 1826). Webb, David, ‘On Causality and Law in Lucretius and Contemporary
Cosmology’, in Contemporary Encounters with Ancient Metaphysics, ed. by
Abraham Jacob Greenstine and Ryan J. Johnson (Edinburgh: Edinburgh
University Press, 2017), pp. 254–69. Wettlaufer, Alexandra K., ‘George Sand, George Eliot, and the Politics of
Difference’, The Romanic Review, 107.1–4 (2016), 77–102, https://doi. org/10.1215/26885220-107.1-4.77 Williams, Raymond, Keywords: A Vocabulary of Culture and Society (Oxford:
Oxford University Press, 1976). Wood, James, ‘Buckets of Empathy’, London Review of Books, 22.7 (2000), https://
www.lrb.co.uk/the-paper/v22/n07/james-wood/buckets-of-empathy Wormald, Mark, ‘Microscopy and Semiotic in Middlemarch’, Nineteenth-Century
Literature, 50 (1996), 501–24, https://doi.org/10.2307/2933926 Wright, T. R., ‘‘Middlemarch as a Religious Novel, or Life without God’, in Images
of Belief in Literature, ed. by David Jasper (London: The Macmillan Press
1984), pp. 138–52. Ziolkowski, Theodore J., ‘The Craft(iness) of Epigraphs’, The Princeton
University Library Chronicle, 76.3 (2015), 519–20, https://doi.org/10.25290/
prinunivlibrchro.76.3.0519 List of Illustrations Fig. 1
Christianus Walz, Rhetores Graeci, vol. 1 (Stuttgart and Tubingen:
J. G. Cotta, 1832), title page, https://www.google.co.uk/
books/edition/Rhetores_Graeci_ex_codicibus_Florentinis/
KzTGebC5F6gC?hl=en&gbpv=1. Public domain. 38 Fig. 2
Robert Brown, A Brief Account of Microscopical Observations on
the Particles Contained in the Pollen of Plants; and On the General
Existence of Active Molecules in Organic and Inorganic Bodies
([n.p.], 1828), title page, https://www.google.co.uk/books/
edition/A_Brief_Account_of_Microscopical_Observa/bz8-
AAAAcAAJ?hl=en&gbpv=1. Public domain. 44 Fig. 3
François Pierre Guillaume Guizot, Cours D’Histoire Moderne
(Brussels: Louis Hauman & Co., 1835), vol. 1, title page,
https://www.google.co.uk/books/edition/_/aYNfDbifZJoC
?hl=en&gbpv=1. Public domain. 66 Index Dryden, John 89
Eagleton, Terry 95
Einstein, Albert 45
Eliot, Thomas Stearnes 7, 27, 141
Empson, William 6, 138
Erskine-Hill, Howard 5
Euripides 96
Fleishman, Avrom 53
Fletcher, John 107, 109
Flint, Kate 13
Foucault, Michel 12, 56–58, 141
Fuller, Thomas 70, 106
Furst, Lilian 13 Dryden, John 89
Eagleton, Terry 95
Einstein, Albert 45
Eliot, Thomas Stearnes 7, 27, 141
Empson, William 6, 138
Erskine-Hill, Howard 5
Euripides 96
Fleishman, Avrom 53
Fletcher, John 107, 109
Flint, Kate 13
Foucault, Michel 12, 56–58, 141
Fuller, Thomas 70, 106
Furst, Lilian 13
Gaston, Sean 83
Ginsburg, Michael Peled 9
Gissing, George 32
Goethe, Johann Wolfgang von 21, 106,
116, 140
Goldsmith, Oliver 106
Guizot, François Pierre Guillaume
65–67, 106, 138
Halliday, Andrew 75
Handley, Graham 113
Hardy, Thomas 2
Herodotus 23, 109–110, 139
Hesiod 106
Higdon, David Leon 8
Homer 4, 48, 90, 92, 130, 139
Horace 80, 83, 133, 139
Horowitz, Evan 121
Hugo, Victor 30, 106
Jackson, Catherine 62
James, Henry 8, 18–20, 35, 67, 72, 130,
140, 143 Aeschylus 96
Arendt, Hannah 68
Armstrong, Isabel 62–63, 137
Austen, Jane 3, 21, 142
Baker, William 53
Baltazar, Lisa 86
Balzac, Honoré de 56
Bate, Walter Jackson 19, 21, 137
Beale, Anthony 20, 137
Beaty, Jerome 37
Beaumont, Francis 107, 109
Beer, Gillian 33, 54–55
Bichat, Marie François Xavier 54–56, 137
Blake, William 105
Browne, Thomas 106
Browning, Robert 68
Brown, Robert 56–57
Bunyan, John 106
Burrow, Colin 21–22, 114, 137
Burstein, Miriam 3
Burton, Robert 106
Cervantes, Miguel de 106
Chaucer, Geoffrey 105
Cicero 3–4
Cioran, Emil 29
Cocteau, Jean 22
Conrad, Joseph 7, 29
Dante 106
Darwin, Charles 33, 55–56, 126, 137
De Staël, Germaine 21
Dickens, Charles 21, 113
Disney, Walt 94
Dodd, Valerie 25
Donne, John 105 Aeschylus 96
Arendt, Hannah 68
Armstrong, Isabel 62–63, 137
Austen, Jane 3, 21, 142 Halliday, Andrew 75
Handley, Graham 113
Hardy, Thomas 2
Herodotus 23, 109–110, 139
Hesiod 106
Higdon, David Leon 8
Homer 4, 48, 90, 92, 130, 139
Horace 80, 83, 133, 139
Horowitz, Evan 121
Hugo, Victor 30, 106
Jackson, Catherine 62
James, Henry 8, 18–20, 35, 67, 72, 130,
140, 143 148 Middlemarch Jameson, Fredric 32, 139
Johnson, Samuel 106
Jones, H Stuart 32
Joyce, James 19–20
Kidd, Colin 85
Kierkegaard, Søren 130
Kitchel, Anna Theresa 13
Kuzmic, Tatania 75
Leckie, Barbara 132
Leinster-Mackay, Donald 53
Lewes, George Henry 25, 31, 35–36, 53,
96, 113, 116, 137, 140
Lucretius 4, 122–123, 140, 143
Macdonald, Fiona 5
Mars-Jones, Adam 102
Marvell, Andrew 6
Mason, Michael York 11
Mayhew, Henry 75
McClintock, John 80
McDonagh, Josephine 99
McGann, Jerome J 122
McKee, Patricia 72
Miller, Joseph Hillis 134
Milton, John 17–18, 105, 130, 141
Milton, Paul 86
Moring, Meg 37
Mudge, Gilbert 113
Müller, Karl Otfried 35–37, 86, 88, 141
Müller, Max 86
Musset, Alfred de 106
Nuttall, Anthony 32, 141
Pascal 4, 12, 25–30, 63, 106, 141
Pascal, Blaise 63
Pattison, Mark 32–33, 139
Petronius 7
Peyre, Henri 95
Phillips, Adam 22, 114–116, 141
Polybius 77
Pound, Ezra 7 Rebellato, Dan 12, 56–58, 141
Richardson, Samuel 92, 95
Ricks, Christopher 6
Rignall, John 80
Robespierre, Maximilien 116
Rothfield, Lawrence 11, 63
Rousseau, Jean-Jacques 66–67
Runciman, David 69
Ruskin, John 78–79, 142
Sanders, Andrew 3
Sand, George 21, 25–27, 30, 143
Sappho 4, 35–37, 41–42
Schiller, Friedrich 129
Scott 1–5, 21, 142
Sears, Minnie Earl 113
Sedley, Charles 105
Shakespeare, William 5, 13, 25, 41, 98,
105, 130
Shuckburgh, Evelyn 77
Shuttleworth, Sally 11, 123
Sophocles 95–97
Southey, Robert 76–77
Spenser, Edmund 105
Stanislaw II 73
Stevens, Wallace 121
Strauss, David 83
Tambling, Jeremy 57
Theocritus 132
Thomson, Patricia 26
Thonemann, Peter 32
Tolstoy, Leo 48–49, 95, 142
Travis, Roger 86
Turner 78
Verne, Jules 74–75
Virgil 2
von Bunsen, Ernest 85
Watt, Ian 94
Watts, Alaric 53
Webb, David 123
Wettlaufer, Alexandra 26
Williams, Raymond 50 139
30
a 13
ald 53
25, 31, 35–36, 53,
40
140, 143
2
11
99
2
34
05, 130, 141
5–37, 86, 88, 141
6
141
, 106, 141
139
4–116, 141
Rebellato, Dan 12, 56–58, 141
Richardson, Samuel 92, 95
Ricks, Christopher 6
Rignall, John 80
Robespierre, Maximilien 116
Rothfield, Lawrence 11, 63
Rousseau, Jean-Jacques 66–67
Runciman, David 69
Ruskin, John 78–79, 142
Sanders, Andrew 3
Sand, George 21, 25–27, 30, 143
Sappho 4, 35–37, 41–42
Schiller, Friedrich 129
Scott 1–5, 21, 142
Sears, Minnie Earl 113
Sedley, Charles 105
Shakespeare, William 5, 13, 25, 41, 98,
105, 130
Shuckburgh, Evelyn 77
Shuttleworth, Sally 11, 123
Sophocles 95–97
Southey, Robert 76–77
Spenser, Edmund 105
Stanislaw II 73
Stevens, Wallace 121
Strauss, David 83
Tambling, Jeremy 57
Theocritus 132
Thomson, Patricia 26
Thonemann, Peter 32
Tolstoy, Leo 48–49, 95, 142
Travis, Roger 86
Turner 78
Verne, Jules 74–75
Virgil 2
von Bunsen, Ernest 85
Watt, Ian 94
Watts, Alaric 53
Webb, David 123
Wettlaufer, Alexandra 26
Williams, Raymond 50 Jameson, Fredric 32, 139
Johnson, Samuel 106
Jones, H Stuart 32
Joyce, James 19–20
Kidd, Colin 85
Kierkegaard, Søren 130
Kitchel, Anna Theresa 13
Kuzmic, Tatania 75
Leckie, Barbara 132
Leinster-Mackay, Donald 53
Lewes, George Henry 25, 31, 35–36, 53,
96, 113, 116, 137, 140
Lucretius 4, 122–123, 140, 143
Macdonald, Fiona 5
Mars-Jones, Adam 102
Marvell, Andrew 6
Mason, Michael York 11
Mayhew, Henry 75
McClintock, John 80
McDonagh, Josephine 99
McGann, Jerome J 122
McKee, Patricia 72
Miller, Joseph Hillis 134
Milton, John 17–18, 105, 130, 141
Milton, Paul 86
Moring, Meg 37
Mudge, Gilbert 113
Müller, Karl Otfried 35–37, 86, 88, 141
Müller, Max 86
Musset, Alfred de 106
Nuttall, Anthony 32, 141
Pascal 4, 12, 25–30, 63, 106, 141
Pascal, Blaise 63
Pattison, Mark 32–33, 139
Petronius 7
Peyre, Henri 95
Phillips, Adam 22, 114–116, 141
Polybius 77
Pound, Ezra 7
Purcell, Nicholas 90
Rebellato, Dan 12, 56–58, 141
Richardson, Samuel 92, 95
Ricks, Christopher 6
Rignall, John 80
Robespierre, Maximilien 116
Rothfield, Lawrence 11, 63
Rousseau, Jean-Jacques 66–67
Runciman, David 69
Ruskin, John 78–79, 142
Sanders, Andrew 3
Sand, George 21, 25–27, 30, 143
Sappho 4, 35–37, 41–42
Schiller, Friedrich 129
Scott 1–5, 21, 142
Sears, Minnie Earl 113
Sedley, Charles 105
Shakespeare, William 5, 13, 25, 41, 98,
105, 130
Shuckburgh, Evelyn 77
Shuttleworth, Sally 11, 123
Sophocles 95–97
Southey, Robert 76–77
Spenser, Edmund 105
Stanislaw II 73
Stevens, Wallace 121
Strauss, David 83
Tambling, Jeremy 57
Theocritus 132
Thomson, Patricia 26
Thonemann, Peter 32
Tolstoy, Leo 48–49, 95, 142
Travis, Roger 86
Turner 78
Verne, Jules 74–75
Virgil 2
von Bunsen, Ernest 85
Watt, Ian 94
Watts, Alaric 53
Webb, David 123
Wettlaufer, Alexandra 26
Williams, Raymond 50 Jameson, Fredric 32, 139
Johnson, Samuel 106
Jones, H Stuart 32
Joyce, James 19–20 Leckie, Barbara 132 Sanders, Andrew 3
Sand, George 21, 25–27, 30, 143
Sappho 4, 35–37, 41–42
Schiller, Friedrich 129
Scott 1–5, 21, 142
Sears, Minnie Earl 113
Sedley, Charles 105
Shakespeare, William 5, 13, 25, 41, 98,
105, 130 Leinster-Mackay, Donald 53 Lewes, George Henry 25, 31, 35–36, 53,
96, 113, 116, 137, 140 Macdonald, Fiona 5
Mars-Jones, Adam 102
Marvell, Andrew 6
Mason, Michael York 11
Mayhew, Henry 75
McClintock, John 80
McDonagh, Josephine 99
McGann, Jerome J 122
McKee, Patricia 72
Miller, Joseph Hillis 134
Milton, John 17–18, 105, 130, 141
Milton, Paul 86
Moring, Meg 37
Mudge, Gilbert 113
Müller, Karl Otfried 35–37, 86, 88, 141
Müller, Max 86
Musset, Alfred de 106
Nuttall, Anthony 32, 141
Pascal 4, 12, 25–30, 63, 106, 141
Pascal, Blaise 63
Pattison, Mark 32–33, 139
Petronius 7
Peyre, Henri 95
Phillips, Adam 22, 114–116, 141
Polybius 77
Pound, Ezra 7
Purcell, Nicholas 90 Mars-Jones, Adam 102 Marvell, Andrew 6 Mason, Michael York 11 Shuckburgh, Evelyn 77 Mayhew, Henry 75 y
y
McClintock, John 80 McDonagh, Josephine 99 McGann, Jerome J 122 Spenser, Edmund 105
Stanislaw II 73 McKee, Patricia 72 Stevens, Wallace 121 Milton, John 17–18, 105, 130, 141 Müller, Karl Otfried 35–37, 86, 88, 141 Müller, Max 86 149 Index Wright, Terence 11
Ziolkowski, Theodore J 6
Zola, Émile 12, 32, 56–57 Wilson, Catherine 63
Woolf, Virginia 5
Wordsworth, William 9, 21, 105
Wormald, Mark 62 Wilson, Catherine 63
Woolf, Virginia 5
Wordsworth, William 9, 21, 105
Wormald, Mark 62 About the Team Alessandra Tosi was the managing editor for this book. Share All our books — including the one you have just read — are free to access
online so that students, researchers and members of the public who can’t
afford a printed edition will have access to the same ideas. This title will be
accessed online by hundreds of readers each month across the globe: why not
share the link so that someone you know is one of them? This book and additional content is available at:
https://doi.org/10.11647/OBP.0249 This book and additional content is available at: Alessandra Tosi was the managing editor for this book. Adele Kreager performed the copy-editing and proofreading. Anna Gatti designed the cover. The cover was produced in InDesign
using the Fontin font. Luca Baffa typeset the book in InDesign and produced the paperback
and hardback editions. The text font is Tex Gyre Pagella; the heading
font is Californian FB. Luca produced the EPUB, MOBI, PDF, HTML,
and XML editions — the conversion is performed with open source
software freely available on our GitHub page (https://github.com/
OpenBookPublishers). Customise Personalise your copy of this book or design new books using OBP and third-
party material. Take chapters or whole books from our published list and
make a special edition, a new anthology or an illuminating coursepack. Each
customised edition will be produced as a paperback and a downloadable PDF. Find out more at: https://www.openbookpublishers.com/section/59/1 Like Open Book Publishers
Follow @OpenBookPublish
Read more at the Open Book Publishers You may also be interested in: Love and its Critics
From the Song of Songs to Shakespeare
and Milton’s Eden
By Michael Bryson and Arpi Movsesian
https://doi.org/10.11647/OBP.0117 MIDDLEMARCH
Epigraphs and Mirrors AdAm RobeRts Using epigraphs as a lens to open up new vistas, this study explores a wide range
of connections. Moving freely between epigraphs and the main text, Roberts
succeeds in throwing fresh light on the manifold ‘middleness’ of Middlemarch and
the richness and sophistication of George Eliot’s realism. John Rignall In Middlemarch, George Eliot draws a character passionately absorbed by abstruse
allusion and obscure epigraphs. Casaubon’s obsession is a cautionary tale, but
Adam Roberts nonetheless sees in him an invitation to take Eliot’s use of epigraphy
and allusion seriously, and this book is an attempt to do just that. Roberts considers the epigraph as a mirror that refracts the meaning of a text,
and that thus carries important resonances for the way Eliot’s novels generate
their meanings. In this lively and provoking study, he tracks down those allusions
and quotations that have hitherto gone unidentified by scholars, examining their
relationship to the text in which they sit to unfurl a broader argument about the
novel – both this novel, and the novel form itself. Middlemarch: Epigraphs and Mirrors is both a study of George Eliot and a
meditation on the textuality of fiction. It is essential reading for specialists and
students of George Eliot, the nineteenth century novel, and intertextuality. It will
also richly reward anyone who has ever taken pleasure in Middlemarch. This is the author-approved edition of this Open Access title. As with all Open
Book publications, this entire book is available to read for free on the publisher’s
website. Printed and digital editions, together with supplementary digital material,
can also be found at http://www.openbookpublishers.com e
book
ebook and OA editions
also available
OPEN
ACCESS
Cover image: Vilhelm Hammershoi, Interior with a Mirror (1907). Cover design by Anna Gatti.
|
W4250570643.txt
|
https://zenodo.org/records/1514634/files/article.pdf
|
de
|
Lachskonservierung in Nordamerika
|
Naturwissenschaften
| 1,913
|
public-domain
| 1,048
|
tIeft l i. l
4. 4. 1913J
K l c i a c Mittcilungcn.
Abstufung f~thig, die normale Nervenfaser kann nur Erregungen yon einerlei Stih'ke leiten; ein Reiz, der eine
Nerveufaser trifft, erregt entweder diesclbe oder cr erregt sic nicht, wenn er sie aber erregt, so ist die St~trke
dieser Erregung immer gleieh, mug nun der Reiz ein
starker oder ein schwacher gewesen sein (Alles-oderNiehts-Gesetz). Die Verschiedenheit der Reizerfolge yon
starken and sehwaehen Reizen beruht nur auf der Ver~:hiedcnheit in der Anzahl der gereizten Nervenfasern.
J.M.
Viele Kalkfleehten leben nicht auf der Oberfl~ebe des
Gesteins, sondern dringen ganz in dessert Inheres ein,
so da~ ihr Thallus vbllig oder grbl3tenteils im Kalk verborgen ist und selbst die Fruchtbecher (Apothecien) im
] n n e r n des Steins entstehen, um erst sparer naeh aul~en
durehzubrechen. Bekanntlich sind die Flechten keine
einheitlichen Organismen, sondern bilden ein Konsortium
yon Pilzhyphen and Algen (Gonidien), die in einem
seinem Wesen nach noeh framer night ganz klargestellten
symbiotisehen Verh~ltnis zueinander stehen. Beim Eindringen yon Flechten in Kalkstein miissen die Zellen
einen Stoff ausseheiden, der den Kalk auflbst. Na,eh den
bisherigen Untersuchungen, die zumeist an Flechten mit
griinen Algen, z. B. Palmellen, angestellt worden sind,
wird das kalklbsende Stoffwechselprodukt yon den Pilzhyphen ausgesehieden, da die Gonidien allseitig yon
diesen bedeekt sind; ob kS auch yon den Hyphen bereitet
wird, bleibt dabei allerdings zweifelhaft. E. Bachmann,
der schon vor zwanzig J a h r e n griindliche Untersuchungen
fiber die Kalkflechten verbffentlicht hat, macht jetzt Beobachtungen an einer mit goldgelben Chroolepus-Gonidien ausgerfisteten Kalkfleehte bekannt, die zeigen, da~
die Alge selbst~tndig in das Gestein eindringen kann.
Die yon ihm hergestellten Dtinnsehliffe liei.~en erkennen,
datl an einigen Stellen die Hyphen dem lebhaften Wachsturn der Algenfa.den nicht folgen konnten ur/d diese an
den Spitzen freilie~en. Daraus geht hervor, dab die
Chroolepusf[tden die F~higkeit besitzen, Kalk selbst~ndig
aufzulbsen; sie miissen also die kalklbsende S~ure selbst
erzeugen and abscheiden. So fressen sie enge, sehaehtfbrmige ]:Iiihlungen in den Kalkstein hinein. SobaM
sit yon den Hyphen erfaBt worden sind, beginnen sie lebhalter zu waehsen, zum Tell hefeartig zu sprossen and
nehmen dabei oft sehr bizarre Form an. Dadureh and
durch das Wachstum der lfyphen wird der Kalk
schwammartig durchlbchert and erl~ngt infolgedessen die
F~higkeit, die atmosplfiixisehe Feuchtigkeit reichlieher
aufzunehmen und 15nger festzuhalten. (Bcr. D. Bot. Ges.
1913, 31, 3.)
iV. M.
Kallose in Algenmembranen. Unter den Meeresalge~
ha.ben die Caulerpaceen in besonderem Marie die allgemeine Aufmerksamkeit auf sieh gelenkt, da sie bei ansehnlicher Grbfle nur einzellig sind und dabei die Formen
ld~herer Pflanzen mit Wurzeln, Stengeln und Blbttern
naehahmen. Man hat bei der Untersuchung ihrer Zeltwiinde gefunden, dab diese nicht die Eigenschaften eigentticher Zellulosemembranen haben; dennoch wird in den
Besehreibangen vielfach nicht hierauf Rticksicht genommen, und namentlich wird allenthalben yon den
,,Zellulosebalken" gesproehen, welehe die Zellen dieser
Algen durchsetzen. Eine neuerdings von Robert Mirande
w)rgenommene Prtifung verschiedener Caulerpa-Arten hat
zu dem Ergebnis gefiihrt, dab ihre Membranen tells aus
Pektinstoffen, felts aus Kallose bestehen. Die Kallose
ist yon der Zellulose u. a. dadurch unterschieden, dab
sie in verdlinnten Alkalien 15slich, in Kupferoxydammoniak unlbslich ist nnd sieh mit Chlorzinkjodlbsung
nicht blau, sondern rotbrauu f~rbt. AuBerdem ist sie an
einer I{eihe eharakteristiseher Farbreaktionen erkenn-
343
bar. Bei Phanerogamen kommt sic vor in den Wandverdiekungen (dem Kallus) der siebartig durchl5cherten
Querw~nde der Siebrbhren, in den Membranen der Pollenmutterzellen und in kalkhaltigen Membranen, wie hamentlich in den als Cystolithen bekannten traubenartigen
Zellwandgebilden, die vorztiglich aus den Bt~ttzellen des
Gummibaums bekannt sin& Ihr Vorkommen ist ferner
bei Pilzen (Membranen yon Peronospora, Sporangien yon
Mueor) und bei einigen Algen (Oedogonium, Ascophyllum, Laminaria) naehgewiesen worden. In allen
diesen Fi~llen aber linden wir sie entweder zusammen
mit Zellulose oder fiir sieh allein. Fiir die Caulerpen ist
dagegen die Vereinigung der Kallose mit Pektinstoffen
eharakteristiseh. Weitere Untersuehungen zeigten, da~
dieser besondere Membrantypus aueh anderen Meeresalgen aus der Klasse der Siphoneen, n~mlieh auBer den
Caulerpaceen aueh den Bryopsidaceen, Derbesiaceen and
Codiaceen eigentiimlieh ist. Die im SiiBw~sser lebenden
Vaucheriaceen
haben
dagegen
Zellulosemembranen.
(Compt. rend. 1913, 156, 475.)
F.M.
Laehskonservierung in Nordamerika. Eines
der
wiehtigsten Fisehprodukte in Amerika ist der Laehs,
and es hat sich dort zur Ver~rbeitung dieses Fisches zu
Konserven eine grof3e Industrie entwickelt. Als die beste
Qualitbt gelten die Fische, die das rbteste Fleisch und
den grbf.~ten 01gehalt aufweisen. Rund 225 Millionen
Pfund yon diesen Fisehen wurdea im vergangenen J a h r e
konserviert; hierzu werden von dieser Industrie sehr
grot3e Mengen Chemikalien, namentlieh S~lzs~ure und
Atznatron, ferner Zinnblech, Lbtmetall und Lack verbraucht. Bei der Konservierung werden die Fische mit
l:Iilfe yon Masehinen yon Kopf, Schwanz, Flossen nnd
Eingeweiden befreit, in Stticke geschnitten, gesalzen und
in Bfichsen verpackt. Wie die ,,Chemilcer-Zeitung" berichter, werden die Biichsen maschinell verlbtet, sodann
gektih]t und durch Eintauchen in heil~es Ws.sser anf
luftdichten VerschluI3 geprtift. Hierauf werden sic
ein bis zwei Stunden in Dampfretorten gebr~cht, dann
wird, w~thrend sie noeh heiB sind, tier Deckel durehlocht, damit noch etwa vorhandene Luft nnd etwas
FRissigkeit entweichen kbnnen. Hierauf werden die
Biiehsen wieder gediehtet und eine Stunde lung bei l | 5 "
sterilisiert. Die Biichsen werden mit Atznatron gewaschen, nochmals auf ihre Dichtigkeit gepriift a n d
schlieBlieh lackiert und mit Etiketten beklebt, wormff sic
zuln Versand fertig sind.
S.
Eine Wasserstoffernleitung.
Der Luftsehiffhafen in
F r a n k f u r t a. M. unterseheidet sich hiusiehtlieh der Gasversorgung wesentlieh yon allen antteren Einriehtungen
dieser Art. D~s zum Fiillen der Luftsehiffe nStige
Wasserstoffgas wird hier n~mlieh mit Hilfe einer FernIeitung, die wohl die erste ihrer A r t in Deutschland ist,
yon der Chemischen Fabrik Griesheim-Elektron aus nach
:l~rankfurt geleitet. Die Leitung hat eine L~nge yon
4½ km und wurde, um Gasverluste infotge yon undichten
:Rohrverbindungen zu vermeiden, fast in ihrer ganzen
Lbnge autogen gesehweif~t; nur in grbBeren Abst~tnden
sin4 die Rohre durch Muffen verbunden. Sie sind so bemessen, dab tItglich bequem 1000 cbm Gas durchgeleitet
werden kbnnen, wobei ein Druck yon etwa 1000 mm
Wassers~ule zur Anwendung gelangt. Die Leitung endet
im Luftschiffh~fen in einen 6000 cbm fassenden GasbehAlter. Von da gelangt das Gas in unterirdischen
Leitnngen in die Halle, in deren Zementboden sich
18 Sch~chte mit Gasentnabmestellen befinden, die dutch
Schlguehe mit den einzelnen Gaszellen des Luftschiffes
verbunden werden. Der Wasserstoff entsteht in Gries~
helm als Nebenprodukt bei der elektrochemischen Herstellung yon £ t z n a t r o n und Chlor aus Kochsalz, und
|
|
https://openalex.org/W2034706898
|
https://biblio.ugent.be/publication/8517679/file/8519792
|
English
| null |
Does Virulence Assessment of Vibrio anguillarum Using Sea Bass (Dicentrarchus labrax) Larvae Correspond with Genotypic and Phenotypic Characterization?
|
PloS one
| 2,013
|
cc-by
| 8,829
|
Abstract Background: Vibriosis is one of the most ubiquitous fish diseases caused by bacteria belonging to the genus Vibrio such as
Vibrio (Listonella) anguillarum. Despite a lot of research efforts, the virulence factors and mechanism of V. anguillarum are
still insufficiently known, in part because of the lack of standardized virulence assays. Methodology/Principal Findings: We investigated and compared the virulence of 15 V. anguillarum strains obtained from
different hosts or non-host niches using a standardized gnotobiotic bioassay with European sea bass (Dicentrarchus labrax
L.) larvae as model hosts. In addition, to assess potential relationships between virulence and genotypic and phenotypic
characteristics, the strains were characterized by random amplified polymorphic DNA (RAPD) and repetitive extragenic
palindromic PCR (rep-PCR) analyses, as well as by phenotypic analyses using Biolog’s Phenotype MicroArrayTM technology
and some virulence factor assays. Conclusions/Significance: Virulence testing revealed ten virulent and five avirulent strains. While some relation could be
established between serotype, genotype and phenotype, no relation was found between virulence and genotypic or
phenotypic characteristics, illustrating the complexity of V. anguillarum virulence. Moreover, the standardized gnotobiotic
system used in this study has proven its strength as a model to assess and compare the virulence of different V. anguillarum
strains in vivo. In this way, the bioassay contributes to the study of mechanisms underlying virulence in V. anguillarum. Citation: Frans I, Dierckens K, Crauwels S, Van Assche A, Leisner J, et al. (2013) Does Virulence Assessment of Vibrio anguillarum Using Sea Bass (Dicentrarchus
labrax) Larvae Correspond with Genotypic and Phenotypic Characterization? PLoS ONE 8(8): e70477. doi:10.1371/journal.pone.0070477 Editor: Dongsheng Zhou, Beijing Institute of Microbiology and Epidemiology, China Editor: Dongsheng Zhou, Beijing Institute of Microbiology and Epidemiology, China Editor: Dongsheng Zhou, Beijing Institute of Microbiology and Epidemiology, China Received April 14, 2013; Accepted June 10, 2013; Published August 6, 2013 Copyright: 2013 Frans 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 study was supported by European FP7 project ‘Promicrobe – Microbes as positive actors for more sustainable aquaculture’ (Project Reference
227197) and by Ghent University project ‘‘Host microbial interactions in aquatic production’’ (BOF12/GOA/022). This work was financially supported by the
‘‘Agency for Innovation by Science and Technology in Flanders (IWT)(www.iwt.be)’’. Abstract 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. Competing Interests: The authors have declared that no competing interests exist. * E-mail: hans.rediers@biw.kuleuven.be . These authors contributed equally to this work. Vibriosis, caused by Vibrio (Listonella) anguillarum, has been
reported as one of the most important infectious diseases affecting
many economically important fish, bivalves and crustaceans [3–5]. Symptoms are red spots on the ventral and lateral areas of the fish
and swollen and dark skin lesions that can ulcerate and bleed. Furthermore, the eyes are often infected, initially resulting in
opacity, and later on in ulceration and exophthalmia. Internally,
the intestines may be distended and filled with a clear, viscous
liquid. Outbreaks of this disease often result in high mortality rates
of infected fish. Moreover, in acute epizootics, infection spreads so
rapidly that the majority of infected fish die without showing any
clinical signs [5–7]. Because of this high morbidity and mortality
rate, the disease is responsible for severe economic losses in both
larviculture and aquaculture worldwide. Disease outbreaks can be Ingeborg Frans1,2,4,5, Kristof Dierckens5, Sam Crauwels1,2, Ado Van Assche1,2, Jørgen Leisner3,
Marianne H. Larsen3, Chris W. Michiels4, Kris A. Willems1,2, Bart Lievens1,2, Peter Bossier5.,
Hans Rediers1,2*. 1 Laboratory for Process Microbial Ecology and Bioinspirational Management (PME&BIM), Thomas More Mechelen, Campus De Nayer, Department of Microbial and
Molecular Systems (M2S), KU Leuven Association, Sint-Katelijne-Waver, Belgium, 2 Scientia Terrae Research Institute, Sint-Katelijne-Waver, Belgium, 3 Department of
Veterinary Disease Biology, University of Copenhagen, Frederiksberg, Denmark, 4 Centre for Food and Microbial Technology, M2S, KU Leuven, Heverlee, Belgium,
5 Laboratory of Aquaculture and Artemia Reference Center, Department of Animal Production, Ghent University, Gent, Belgium Does Virulence Assessment of Vibrio anguillarum Using
Sea Bass (Dicentrarchus labrax) Larvae Correspond with
Genotypic and Phenotypic Characterization? Does Virulence Assessment of Vibrio anguillarum Using
Sea Bass (Dicentrarchus labrax) Larvae Correspond with
Genotypic and Phenotypic Characterization? Ingeborg Frans1,2,4,5, Kristof Dierckens5, Sam Crauwels1,2, Ado Van Assche1,2, Jørgen Leisner3,
Marianne H. Larsen3, Chris W. Michiels4, Kris A. Willems1,2, Bart Lievens1,2, Peter Bossier5.,
Hans Rediers1,2*. tation: Frans I, Dierckens K, Crauwels S, Van Assche A, Leisner J, et al. (2013) Does Virulence Assessment of Vibrio anguillarum Using
brax) Larvae Correspond with Genotypic and Phenotypic Characterization? PLoS ONE 8(8): e70477. doi:10.1371/journal.pone.0070477 Virulence Testing g
The 15 selected isolates were made rifampicin (Rif) resistant by
inoculating the strains at a final density of 107 CFU mL21 in
marine broth with addition of an increasing concentration (1–
100 mg L21) of Rif. After 24 hrs culturing on a shaker at 28uC,
1% of the old culture is used as inoculum for the next culture untill
a resistance for 100 mg L21 Rif by natural mutation is reached. Next, the 15 isolates were subjected to the virulence assay
previously developed by Dierckens et al. [25], consisting of a
standardized gnotobiotic model system with axenic European sea
bass (D. labrax L.) larvae as hosts. To this end, D. labrax eggs were
obtained from natural spawning at the hatchery of Ecloserie
Marine de Gravelines (France). Following egg disinfection [25],
germ-free eggs were allowed to hatch for 60 h. Subsequently, 12
freshly hatched sea bass larvae were aseptically transferred one by
one into a transparent sterile screw cap vial with 10 mL filtered
(0.2 mm), autoclaved sea water (FASW) containing 10 mg L21 Rif
and sterile fish homogenate equal to three dead sea bass larvae,
providing some nutrients to the bacteria in a gnotobiotic
environment. Vials were rotated at 4 rpm with an axis tangential
to the axis of the vials, providing aeration and avoiding
sedimentation awaiting bacterial inoculation. Five days after
hatching (DAH 5), sea bass larvae were counted for the first time. In addition, bacterial strains were grown in 10% marine broth
containing NaCl (resulting in the same salinity as the water in the
sea bass larvae experiment, i.e. 36 g L21), and incubated on a
horizontal shaker at 120 rpm at 1660,5uC for two days. On DAH
7, the gnotobiotic sea bass larvae were challenged with a
suspension of approximately 105 cfu mL21 V. anguillarum (as
determined by a spectrophotometer at 550 nm). On DAH 9, 11,
and 13 (i.e. 2–6 days post-exposure), survival of the sea bass larvae
was monitored by microscopic analysis, i.e. by counting the
number of living sea bass larvae in relation to the situation at DAH
7. For each strain, 10 replicates were evaluated. Non-challenged
larvae, kept under similar conditions, were used as a control. In
order to verify the gnotobiotic status of the assay, axenity was
tested on DAH 3 by plating fish larvae homogenates and water
samples as described by Dierckens et al. [25]. Virulence Assessment of Vibrio anguillarum Virulence Assessment of Vibrio anguillarum influenced by water quality and temperature, the amount of stress
imposed upon the fish, and the strain and virulence of the bacteria. Out of 23 identified O-serotypes (O1–O23), only serotypes O1
and O2, and to a lesser extent serotype O3, have been linked to
vibriosis in fish [8]. The other V. anguillarum serotypes represent
environmental isolates from sediment, plankton or seawater that
are mainly non-pathogenic. Over the last couple of years,
knowledge of the virulence of this bacterium has been largely
increased by the use of molecular and biochemical analysis
approaches [9,10]. In general, virulence factors in V. anguillarum
have been classified into those that are necessary for chemotaxis
and motility, for adhesion and invasion, including proteases
[11,12], hemolysins [13–16], lipopolysaccharides (LPS) [17–19],
and those that are required for bacterial proliferation and
persistence. Regarding the latter, it is for example known that
siderophore-mediated iron-sequestering systems, enabling growth
in iron-limiting conditions, contribute significantly to the virulence
of this pathogen. Two different siderophore-mediated systems
have been described in V. anguillarum strains. In most pathogenic
strains of serotype O1, the system is mediated by the 65 kb
virulence plasmid pJM1, harbouring genes for the biosynthesis of
the siderophore anguibactin and its cognate transport system [20]. In contrast, serotype O2 strains and some plasmidless serotype O1
strains produce a chromosomally encoded siderophore vanchro-
bactin [21–24]. Nevertheless, despite these studies, the exact role
and contribution of many of these virulence factors in full V. anguillarum virulence remain still largely unknown, e.g. by the lack
of epidemiological studies and standardized virulence assays. and UK. In previous studies, most isolates have been assessed for
the presence or absence of the pJM1 virulence plasmid (Table 1)
[8,28–33]. Nevertheless, as bacterial strains may lose plasmids over
time, presence of the virulence plasmid has been confirmed in this
study by isolation and sequencing. In addition, bacterial identities
were confirmed as V. anguillarum by 16S rRNA gene sequencing,
followed by BLAST analysis against GenBank (see phylogenetic
analysis). Strains were stored in trypticase soy broth (TSB; Oxoid,
Erembodegem, Belgium) containing 1% NaCl and 15% (v/v)
glycerol at 280uC. Ethics Statement All necessary permits were obtained for the described virulence
studies. The experiment was approved by the ethical committee of
Ghent University (no. EC2005/95). Virulence Testing No bacteria could be
detected after 72 h incubation. In addition, after the larvae
survival experiment, homogenized fish larvae were plated on 10%
marine agar (MA; Difco Laboratories, Detroit, USA) to check for
microbial contamination as well as to verify the identity of the
inoculated strains by DNA analysis (RAPD fingerprinting; see
further). Throughout the entire experiment, eggs and (challenged)
larvae were kept at a salinity of 36 g L21 in a temperature-
controlled room at 1660.5uC in constant dim light (10 candela
steradian m22). Statistical analysis of the larval survival data was
performed by means of R v2.12.1. Survival was reported as mean
values 6 standard error of the mean (SEM). Data were tested for
normality and subjected to non-parametric tests. Kruskal–Wallis
one-way analysis was used to compare the survival of the sea bass
larvae. Bonferroni test was used for multiple comparisons among Recently, a gnotobiotic sea bass (Dicentrarchus labrax) larvae
model system has been developed and optimized for studying host-
pathogen interactions and virulence assessment of opportunistic
pathogens such as Aeromonas hydrophila and V. anguillarum [25]. The
European sea bass was chosen as host because of its high economic
importance for larviculture and aquaculture [26]. Briefly, in this
system, gnotobiotic larvae are challenged via immersion in
inoculated water or encapsulated Artemia sp., followed by an
assessment of the survival of the sea bass larvae. In this paper, we
investigated and compared the virulence of 15 V. anguillarum strains
obtained from different hosts or non-host niches using this
standardized gnotobiotic bioassay. Here, the assay has been used
for the first time to evaluate the virulence of a comprehensive set of
different V. anguillarum strains. In addition, to assess potential
relationships between virulence and genotypic and phenotypic
characteristics, the strains were characterized by two complemen-
tary PCR-based genotyping methods, including repetitive extra-
genic
palindromic
PCR
(rep-PCR)
and
random
amplified
polymorphic DNA (RAPD) PCR, and phenotypic analysis using
Biolog’s Phenotype MicroArrayTM technology [27]. Introduction Over the last five decades, the world aquaculture industry has
grown considerably and according to the Food and Agriculture
Organization (FAO), aquaculture represents the fastest-growing
animal-food-producing sector [1]. This development has been
accompanied by a transition to more intensive farming methods
supporting an increased profitability. A side-effect of these
intensified production systems is an increased threat by diseases
caused by a variety of microorganisms, including bacteria, fungi,
viruses and protozoa. Despite all research activity that has been
carried out in order to develop rapid diagnostic tests and effective
disease prevention strategies [2], large-scale disease outbreaks are
still causing considerable economical losses [1]. August 2013 | Volume 8 | Issue 8 | e70477 1 PLOS ONE | www.plosone.org August 2013 | Volume 8 | Issue 8 | e70477 PLOS ONE | www.plosone.org Bacterial Strains Fifteen V. anguillarum strains, representing the major pathogenic
serotypes O1, O2 and O3, were used in this study (Table 1). Fourteen strains have been isolated from different species of fish,
including sea bass, rainbow trout (Oncorhynchus mykiss) and cod
(Gadus morhua L.), while one isolate was recovered from sediment. Furthermore, the isolates were originating from six geographical
regions, including Denmark, Norway, Finland, Greece, France August 2013 | Volume 8 | Issue 8 | e70477 PLOS ONE | www.plosone.org 2 Virulence Assessment of Vibrio anguillarum Table 1. Vibrio anguillarum strains used in this study. Strain
Host or environment
Origin
Serotype
Virulence
plasmida
Reference
VIB15
Sea bass
Greece
O1
+
28
VIB93
Rainbow trout
Denmark
O1
+
28
87-9-116
Rainbow trout
Finland
O1
2
30
87-9-117
Rainbow trout
Finland
O1
+
30
VaNT1
Rainbow trout
Denmark
O1
+
8
S3 4/9
Mucus, Rainbow trout
Denmark
O1
2
29
JLL237
Rainbow trout
Hjarnø, Denmark
O1
2
33
43
Sea bass
UK
O1
2
31
VIB12
Sea bass
Greece
O2
2
28
VIB103
Cod
Denmark
O2
2b
28
VIB160
Sediment
Denmark
O2
2
28
JLL143
Rainbow trout
Denmark
O2
2
33
HI610
Cod
Norway
O2
2
Parisvannet, Norway
VIB113
Rainbow trout
Denmark
O3
2
28
CNEVA NB11008
Sea bass
France
O3
2
32
a+ = Present; 2 = Absent (also confirmed in this study). bPresence of plasmid .200 kb. doi:10.1371/journal.pone.0070477.t001 a+ = Present; 2 = Absent (also confirmed in this study). bPresence of plasmid .200 kb. doi:10.1371/journal.pone.0070477.t001 a+ = Present; 2 = Absent (also confirmed in this study). bPresence of plasmid .200 kb. doi:10.1371/journal.pone.0070477.t001 doi:10.1371/journal.pone.0070477.t001 means in case of non-homogeneity. Significance was accepted at
p,0.05. means in case of non-homogeneity. Significance was accepted at
p,0.05. alignment performed using ClustalW a Maximum Likelihood tree
was constructed using the MEGA5 software. The sequences
obtained in this study were deposited in GenBank under the
accession numbers KF150774 to KF150818. Phylogenetic Analysis y g
y
Genomic DNA was extracted following overnight incubation on
marine agar at 28uC, using the phenol/chloroform extraction
method as described by Lievens et al. [34]. Subsequently, the 16S
ribosomal RNA (rRNA) gene, as well as the genes encoding an N-
acetylmuramoyl-L-alanine amidase involved in the separation of
daughter cells after cell division (amiB) [35] and an extracellular
metalloprotease involved in virulence in V. anguillarum (empA) [11]
were partially amplified with the primers 63F and 1492R, ami8
and ami417, and empAF and empAR, respectively [36–39]. PCR
amplification was performed in a total volume of 20 ml containing
0.3 mM of each primer, 0.3 mM of each deoxynucleoside
triphosphate (Invitrogen, Merelbeke, Belgium), 2.0 U Taq DNA
polymerase (Bioke´, Leiden, The Netherlands), 10X ThermoPol
Reaction Buffer (Bioke´), and 1 ng genomic DNA (as measured by
a Nanodrop spectrophotometer). Before amplification, DNA
samples were denatured at 94uC for 2 min. Subsequently, 35
cycles of the following steps were run: 45 s at 94uC, 45 s at 59uC
(16S rRNA gene, empA) or 54uC (amiB), and 45 s at 72uC, followed
by a final extension step at 72uC for 10 min. Sequencing of
purified PCR products was performed using the forward primer
used for DNA amplification for the empA and amiB amplicons and
using the forward and reverse primer for the 16S rRNA gene
amplicons. For the latter, forward and reverse sequences were
individually trimmed for quality based on the obtained electro-
pherogram, using a Phred-score of .20 (i.e. 0.01% error rate) as a
cut-off value. Paired sequences were then aligned using the
ClustalW algorithm within the MEGA5 software package [40],
followed by manual sequence editing based on the paired
electropherograms, leading to an accurate consensus sequence. Subsequently, a phylogenetic analysis was performed based on the
in silico concatenated nucleotide sequences comprising 16S rRNA,
amiB and empA. To this end, following multiple sequence Phenotyping For each strain, carbon source oxidation was determined by
Phenotype MicroArrayTM (PM) technology (Biolog, Hayward,
CA) using PM plate 1. Using this technology, kinetic profiles are
generated by continuously monitoring the metabolic activity
during incubation [27]. The inoculum was prepared by growing
strains for 24 hours at 25uC on trypticase soy agar supplemented
with 1% NaCl. Cells were suspended in 10 ml inoculation fluid
(IF-0 supplemented with 1% (w/v) NaCl, Biolog) until an optical
density (600 nm) of 0.38 (60.02) was reached, using a SPEC-
TRAmax PLUS384 UV-vis spectrophotometer (Molecular Devic-
es). The inoculum was diluted (1:5) in inoculation fluid containing
dye mix D (Biolog). Each well was inoculated with 100 ml. Plates
were incubated in the OmniLogH automated incubator-reader of
Biolog for eight days at 25uC and were read every 15 minutes. Resulting data were analyzed using OmniLogH PM Kinetic
Analysis software (version 1.6) according to the manufacturer’s
instructions. Comparison of the isolates was performed by
numerical analysis using the Pearson product–moment correlation
coefficient
and
hierarchical
clustering
with
UPGMA. The
clustering results were validated using cophenetic correlation
[43]. A selection of reactions was performed at least twice to check
reproducibility, and yielded similar results. Additional phenotypic assays associated with virulence have
been performed. All enzymatic and hemolytic assays were done
according to Natrah et al. [44]. Briefly, overnight cultures of each
bacterial strain were diluted to an OD600 of 0.5. For each assay,
5 ml of diluted culture was spotted in the middle of the test plate. MA plates supplemented with 1% Tween 80 (Sigma–Aldrich) or
1% egg yolk emulsion (Sigma–Aldrich) were used for the lipase
and phospholipase assays, respectively. The development of
opalescent zones around the colonies was observed and the
diameter of the zones was measured after 2–4 days of incubation
at 28uC. The caseinase assay plates were prepared by mixing
double strength MA with a 4% skim milk powder suspension
(Oxoid), sterilized separately at 121uC for 5 min. Clearing zones
surrounding the bacterial colonies were measured after 2 days of
incubation. Gelatinase assay plates were prepared by mixing 0.5%
gelatin (Sigma–Aldrich) into MA. After 7 days of incubation,
saturated ammonium sulfate (80%) in distilled water was poured
over the plates and after 2 min, the diameters of the clearing zones
around the colonies were measured. Hemolytic assay plates were
prepared by supplementing MA with 5% defibrinated sheep blood
(Oxoid). Virulence Assessment of Vibrio anguillarum agarose gel followed by 120 min electrophoresis at 4 V/cm in
16Tris/acetate-EDTA (TAE) buffer. Gels were stained with
ethidium bromide and visualized with UV light. A 1 kb DNA
ladder (Smartladder; Eurogentec, Seraing, Belgium) was used as
molecular weight marker. Gel images were acquired with the
BioChemi System (UVP, Upland, CA, USA). Obtained images
were processed by using GelCompar software, version 6.6.4
(Applied Maths, Sint-Martens-Latem, Belgium). Following nor-
malization and background subtraction, fingerprint similarities
based on the combined dataset were calculated using the Pearson
correlation coefficient. Cluster analysis was performed by the
unweighted pair group method with arithmetic averages (UP-
GMA) [42]. All reactions were performed at least twice to check
reproducibility, and yielded similar results. In all analyses, sterile
distilled water was used as a negative control. Phenotyping Clearing zones were measured after 2 days of incubation. All assays were done at least in triplicate. Virulence Testing In order to assess the virulence of 15 V. anguillarum isolates,
gnotobiotic sea bass larvae were challenged with V. anguillarum,
whereupon the larval survival was monitored by microscopical
analysis at DAH 9, 11 and 13 (Fig. 1; Table 2). After DAH 13 the
sea bass larvae in the control treatment died of starvation, making
us to decide to terminate the experiment at DAH 13 (six days after
inoculation). Survival on DAH 13 of the sea bass larvae challenged
with the serotype O1 strains VaNT1, VIB93, S3 4/9 and 87-9-116
(ranging from 9363% to 7868% survival) was not significantly
different from the control group (8964%). Treatment with the O2
strain VIB12 (6765%) was significantly different from the axenic
control but not significantly different from inoculations with S3 4/
9 and 87-9-116. As such, based on these observations these five
strains were classified as avirulent strains, at least in the gnotobiotic
system used here. The other ten strains caused a significantly
higher mortality compared to the avirulent strains as well as the
axenic control and were classified as virulent strains. Strains
VIB15 and 87-9-117, two O1 serotype strains containing the
virulence plasmid, showed high virulence towards sea bass larvae
(33610%
and
1368%
survival,
respectively). Remarkably,
although strain 87-9-117 was originally isolated from rainbow
trout, it also caused high mortality in sea bass larvae, indicating
that there is no stringent host-specificity for vibriosis. Two other
O1 serotype strains (43 and JLL237), although lacking the
virulence plasmid, were also virulent (2265% and 462% survival,
respectively). Strains VIB103, JLL143, and VIB160, belonging to
serotype O2 also caused high mortality (2963%, 2364%, and
662% survival, respectively). Apparently, although strain VIB160
was not isolated from fish but from sediment, it showed high
virulence towards sea bass larvae. In addition, all tested O3 strains
(VIB113 and CNEVA NB11008) appeared to be highly virulent
(363% and
864% survival,
respectively). An independent
replication of this gnotobiotic sea bass challenging experiment
confirmed the results shown in Fig. 1. For each experiment, the
identity of the inoculated strains was confirmed by isolating the
bacteria again at the end of the experiment (DAH 13) followed by
RAPD fingerprinting, confirming that mortality was caused by the
tested V. anguillarum strains and not by non-added strains. DNA Fingerprinting DNA extracted from all isolates studied was subjected to two
fingerprinting techniques, including RAPD and rep-PCR. With
regard to the RAPD analysis, first 20 decamer oligonucleotides,
randomly chosen from the Operon primer kits (Operon Technol-
ogies Inc, Alameda, CA, USA), were screened on a subset of five
bacterial strains from Table 1 to select the most discriminative
RAPD primers. Two primers, OPV-12 (59-ACCCCCCACT-39)
and OPN-08 (59-ACCTCAGCTC-39), resulted in a clear and
discriminating fingerprint, and these were selected for further
experiments. Likewise, for the rep-PCR analysis, two primers and
one primer set were first tested on the same set of five isolates,
including
the
BOXA1R
primer
(59-CTACGGCAAGGC-
GACGCTGACG-39),
the
(GTG)5
primer
(59-
GTGGTGGTGGTGGTG-39) and the primer pair REP1R-I
(59-IIIICGICGICGICATCIGGC-39) and REP2-I (59-ICGICT-
TATCIGGCCTAC-39) [41]. As the BOXA1R and (GTG)5
primers generated only very weak bands or an insufficient number
of fragments, only REP1R-I and REP2-I, yielding a clear and
discriminating fingerprint, was maintained for analysis of the
whole collection. All amplifications were performed using a Bio-
Rad T100 thermal cycler in a reaction volume of 20 ml containing
0.5 mM of each primer, 0.15 mM of each deoxynucleoside
triphosphate (Invitrogen), 2.0 U Taq DNA polymerase (Bioke´),
10X ThermoPol Reaction Buffer (Bioke´), and 1 ng genomic DNA
(as measured by a Nanodrop spectrophotometer). The reaction
mixture was initially denatured at 94uC for 2 min, followed by 35
cycles of 1 min at 94uC, 1 min at 35uC (RAPD) or 40uC (rep-
PCR), and 2 (RAPD) or 4 min (rep-PCR) at 72uC, with a final
extension step at 72uC for 10 min. Obtained PCR products were
separated by loading 7 ml of the reaction volume on a 1% (w/v) 3 August 2013 | Volume 8 | Issue 8 | e70477 PLOS ONE | www.plosone.org 3 Virulence Assessment of Vibrio anguillarum Virulence Assessment of Vibrio anguillarum DNA Analysis To assess a potential relation between virulence and genotypic
background, all strains were subjected to both a phylogenetic
analysis and DNA fingerprinting. First, a phylogenetic tree was
constructed based on the in silico concatenated sequences of the
16S rRNA gene (1365 bp), amiB (365 bp) and empA (371 bp)
sequences
(Fig. 2). However,
due
to
the
high
degree
of
conservation of these genes (98–100% similarity), not all strains
could be discriminated from each other. In particular, five out of
the eight O1 strains (87-9-116, 87-9-117, VaNT1, VIB93 and
VIB15) showed identical 16S rRNA, amiB and empA sequences, as
did the two O3 strains (VIB113, CNEVA NB11008) (Fig. 2). Next, two RAPD analyses (primers OPV-12 and OPN-08) and
one rep-PCR analysis (primer pair REP1R-I and REP2-I) were
performed. RAPD and rep-PCR patterns were obtained yielding 5
to 14 distinct bands. The UPGMA dendrogram derived from
Pearson correlation based on the combined datasets showed high
congruence with the phylogenetic tree (Fig. 3; Table 2). However,
the discriminative power displayed was considerably higher with
the fingerprinting methods. Only strain VIB12, belonging to
serotype O2, clustered differently in both trees. Based on a
similarity level of 50%, 5 distinct clusters could be identified in the PLOS ONE | www.plosone.org PLOS ONE | www.plosone.org August 2013 | Volume 8 | Issue 8 | e70477 4 Virulence Assessment of Vibrio anguillarum Figure 1. Survival (in percentage) of sea bass larvae during the gnotobiotic experiment (unfed larvae) before and after challenge (7
days after hatching) with the 15 selected Vibrio anguillarum isolates. Error bars represent mean 6 SEM (n = 10). doi:10.1371/journal.pone.0070477.g001 Figure 1. Survival (in percentage) of sea bass larvae during the gnotobiotic experiment (unfed larvae) before and after challenge (7
days after hatching) with the 15 selected Vibrio anguillarum isolates. Error bars represent mean 6 SEM (n = 10). doi:10.1371/journal.pone.0070477.g001 the two O3 strains (fingerprints sharing 100% similarity), two O2
serotype strains (VIB12 and VIB160) and one O1 strain (S3 4/9) the two O3 strains (fingerprints sharing 100% similarity), two O2
serotype strains (VIB12 and VIB160) and one O1 strain (S3 4/9) UPGMA dendrogram. Cluster I only contained O1 serotype
strains (5 out of the eight studied), while cluster II was comprised of UPGMA dendrogram. Cluster I only contained O1 serotype
strains (5 out of the eight studied), while cluster II was comprised of Table 2. Virulence Assessment of Vibrio anguillarum Figure 2. Maximum Likelihood phylogram based on a 2101 bp
concatamer of 16S rRNA, amiB and empA gene sequences of the
Vibrio anguillarum isolates investigated in this study. The
percentage of trees from 1000 bootstrap resamples supporting the
topology is indicated when above 50. doi:10.1371/journal.pone.0070477.g002 12 carbon sources (L-arabinose, 29-deoxyadenosine, adenosine, D-
glucose-1-phosphate, D-glucose-6-phosphate, D-fructose-6-phos-
pate, L-lyxose, pyruvic acid, inosine, fumaric acid, L-asparagine,
and D-ribose). These findings were confirmed in an independent
experiment. Out of 95 carbon sources tested in this study, 40 were
consumed by all other 14 V. anguillarum strains (L-arabinose, D-
xylose, acetic acid, L-aspartic acid, L-lactic acid, L-alanine, 29-
deoxyadenosine, adenosine, D-glucose-6-phosphate, D,L-malic
acid, D-fructose-6-phospate, succinic acid, citric acid, L-lyxose,
uridine, pyruvic acid, D-sorbitol, inosine, D-gluconic acid, L-malic
acid, L-serine, fumaric acid, b-methyl-D-glucoside, L-asparagine,
glycerol, Ala-Gly, L-threonine, Gly-Pro, L-glutamic acid, D-
alanine, D-fructose, D-mannose, a-D-glucose, sucrose, D-manni-
tol, L-glutamine, L-proline, D-galactose, D-ribose, and N-acetyl-
D-glucosamine), while 20 were only metabolized by some strains
and 35 by none of the strains tested (D-glucuronic acid, D-
glucosaminic acid, 1,2-propanediol, a-methyl-D-galactoside, L-
rhamnose, D-threonine, mucic acid, D-aspartic acid, L-fucose, a-
hydroxyglutaric acid-g-lactone, D-galactonic acid-c-lactone, D-
saccharic acid, m-tartaric acid, adonitol, glyoxylic acid, glycolic
acid, a-D-lactose, N-acetyl-D-mannosamine, acetoacetic acid,
lactulose, tricarballylic acid, tyramine, glucoronamide, D-melibi-
ose, m-hydroxyphenyl acetic acid, D-malic acid, L-galactonic acid-
c-lactone, mono-methylsuccinate, p-hydroxyphenyl acetic acid, D-
psicose, dulcitol, thymidine, 2-aminoethanol, D-galacturonic acid,
and phenylethylamine) (Table S1). Figure 2. Maximum Likelihood phylogram based on a 2101 bp
concatamer of 16S rRNA, amiB and empA gene sequences of the
Vibrio anguillarum isolates investigated in this study. The
percentage of trees from 1000 bootstrap resamples supporting the
topology is indicated when above 50. doi:10.1371/journal.pone.0070477.g002 Next, the V. anguillarum strains were clustered based on the
ability to utilize different carbon sources. As can be seen from the
UPGMA dendrogram constructed from the PM1 profiles (area
under the curve), clear differences can be observed between the
studied V. anguillarum strains (Fig. 4; Table 2). Based on 90%
similarity, five clusters can be identified, of which cluster A
perfectly matched cluster I obtained by genotyping. The two O3
strains, CNEVA NB11008 and VIB113, which clustered together
by genotyping (cluster II), were separated in this analysis (cluster B
and D, respectively). Strains HI610 (O2 serotype) and 43 (O1
serotype) clustered together in cluster C, which is in agreement
with the genotyping results (clusters V). Virulence Assessment of Vibrio anguillarum Cluster B contained two
O1 strains, JLL237 and S3 4/9, two O2 strains, VIB103 and as well. Cluster V is represented by two O2 strains (HI610 and
VIB103), supplemented with one O1 strain (43). Isolates JLL237
(O1 serotype) and JLL143 (O2 serotype) landed in a separate
cluster, cluster III and IV, respectively (Fig. 3). Although there is
some correspondence between genetic clustering and serotype, our
results do not suggest a correlation with the results obtained in our
virulence assay, as both the avirulent and virulent strains appear
scattered throughout the dendrogram. DNA Analysis Genotypic and Phenotypic properties of the Vibrio anguillarum strains used in this study. Strain
Serotype
Virulence
assay
(%
survival)a
Cluster
Genotypingb
Cluster
Phenotypingc
Enzyme assaysd
Lipase Phospholipase
Caseinase
Hemolytic
Gelatinase
VIB15
O1
33610
I
A
2
+
+
+
+
VIB93
O1
8965
I
A
+
+
+
+
+
87-9-116
O1
7868
I
A
+
+
+
2
+
87-9-117
O1
1368
I
A
+
+
+
+
+
VaNT1
O1
9363
I
A
+
+
+
+
+
S3 4/9
O1
8367
II
B
+
+
+
+
+
JLL237
O1
462
IV
B
+
+
+
+
+
43
O1
2265
V
C
+
+
+
2
+
VIB12
O2
6765
II
E
+
+
2
2
+
VIB103
O2
2963
V
B
+
2
+
+
+
VIB160
O2
662
II
B
+
+
+
+
+
JLL143
O2
2364
III
D
+
+
+
+
+
HI610
O2
2364
V
C
+
2
+
+
+
VIB113
O3
363
II
D
+
+
+
+
+
CNEVA
NB11008
O3
864
II
B
+
+
+
2
+
aResults from DAH 13, the mean % survival 6 SEM is presented (n = 10) (see also Fig. 1). bClustering results (combined datasets) at a similarity level of 50% (see also Fig. 3). cClustering results at a similarity level of 90% (see also Fig. 4). dEnzyme activity:+ = Present; 2 = Absent. doi:10.1371/journal.pone.0070477.t002
PLOS ONE | www.plosone.org
5
August 2013 | Volume 8 | Issue 8 | e70477 Table 2. Genotypic and Phenotypic properties of the Vibrio anguillarum strains used in this study. Table 2. Genotypic and Phenotypic properties of the Vibrio anguillarum strains used in this study. August 2013 | Volume 8 | Issue 8 | e70477 August 2013 | Volume 8 | Issue 8 | e70477 PLOS ONE | www.plosone.org PLOS ONE | www.plosone.org Virulence Assessment of Vibrio anguillarum Virulence Assessment of Vibrio anguillarum VIB160, and one O3 strain, CNEVA NB11008. Cluster C
contained
strains
JLL143
(O2
serotype)
and
VIB113
(O3
serotype). As previously mentioned, the O2 strain VIB12 showed
very low metabolic activity and therefore clustered separately. Similar to the genotypic analysis, no correlation could be observed
between virulence and the phenotypic analysis. VIB160, and one O3 strain, CNEVA NB11008. Cluster C
contained
strains
JLL143
(O2
serotype)
and
VIB113
(O3
serotype). As previously mentioned, the O2 strain VIB12 showed
very low metabolic activity and therefore clustered separately. Similar to the genotypic analysis, no correlation could be observed
between virulence and the phenotypic analysis. general, our results were in line with other virulence character-
ization studies of V. anguillarum. For example, strains VIB15,
VIB103, 87-9-117, JLL143, JLL237 and CNEVA NB11008,
which were found to be virulent in other studies ([28,32,33], M. Halberg Larsen, unpublished data), were also virulent in our study. Additionally, strains VIB93, 87-9-116, VaNT1 and S3 4/9 which
were avirulent in earlier studies ([8,28,30,45], M. Halberg Larsen,
unpublished data), were avirulent here as well. On the other hand,
the virulence characteristics of strains VIB160 and VIB113, which
were both virulent in our study, were in contrast to previous
studies [28]. This discrepancy may be explained by a different host
specificity combined with the use of a different infection model
system, i.e. intraperitoneal injection of Atlantic salmon versus
challenge of sea bass larvae by immersion [46,47]. Additionally,
despite strain VIB12 was originally isolated from a diseased sea
bass, this strain was found to be avirulent in our screening system. Potentially, this could be explained by the developmental stage of
the fish or potential co-infections facilitating entry of V. anguillarum
in the adult fish. In addition, the production of extracellular enzymes, which are
possibly involved in virulence and invasion of host tissue [44], of
the 15 V. anguillarum strains was determined on agar plates
containing various substrates (Table 2). Strain VIB12 lacked both
caseinase and hemolytic activity, which may explain its avirulent
behavior. Remarkably, although strain VIB15 was identified as a
virulent strain towards sea bass larvae, it was the only strain which
did not contain lipase activity. Likewise, two virulent O2 strains,
VIB103 and HI610, were deficient in phospholipase activity. Finally, no hemolytic activity was detected in the avirulent strain
87-9-116, and the virulent strains 43 and CNEVA NB11008,
belonging to serotype O1, O2 and O3, respectively (data not
shown). Virulence Assessment of Vibrio anguillarum Although the virulence plasmid pJM1 is generally regarded as
an important virulence factor in V. anguillarum, no strict relation
between the presence of the plasmid and virulence was detected in
our study. For example, serotype O1 strains VaNT1 and VIB93,
both containing the virulence plasmid [8,28], were found to be
avirulent in our study. It is well known that bacteria can be
deprived of their plasmids during storage or passage of the strains
[48]. Therefore, presence or absence of pJM1 was verified for all
our strains based on plasmid isolation and sequencing, confirming
the strain characteristics. The avirulent character of these strains
on sea bass larvae, both originally isolated from rainbow trout, Phenotypic Characterization For all V. anguillarum strains, high metabolic activity was
observed, except for the O2 strain VIB12, which only consumed Figure 3. RAPD (two gels on the left) and rep-PCR (gel on the right) fingerprints and corresponding dendrogram (combined
datasets) derived from UPGMA linkage of Pearson correlation coefficients of the Vibrio anguillarum isolates investigated in this
study. The percentage of trees from 100 bootstrap resamples supporting the topology is indicated when above 50. doi:10.1371/journal.pone.0070477.g003 Figure 3. RAPD (two gels on the left) and rep-PCR (gel on the right) fingerprints and corresponding dendrogram (combined
datasets) derived from UPGMA linkage of Pearson correlation coefficients of the Vibrio anguillarum isolates investigated in this
study. The percentage of trees from 100 bootstrap resamples supporting the topology is indicated when above 50. doi:10.1371/journal.pone.0070477.g003 August 2013 | Volume 8 | Issue 8 | e70477 PLOS ONE | www.plosone.org 6 Virulence Assessment of Vibrio anguillarum Virulence Assessment of Vibrio anguillarum In addition to the Omnilog Phenotyping, the production of
extracellular enzymes potentially involved in virulence was
determined for each isolate. Indeed, it was demonstrated that
the avirulent strain VIB12 lacked both caseinase and hemolytic
activity. However, no clear relation between enzymatic activity
and virulence could be observed in this study. For example,
although phospholipase activity has been previously described to
be an important virulence factor for V. vulnificus, two virulent V. anguillarum strains, VIB103 and HI610, lacked phospholipase
activity [58]. In addition, although strain VIB15 was identified as a
virulent strain towards sea bass larvae, it was the only strain
lacking lipase activity. Finally, no hemolytic activity was detected
in avirulent strain 87-9-116, and in virulent strains 43, CNEVA
NB11008, belonging to serotype O1, O2 and O3, respectively. may be explained by a stringent host specificity, which may differ
from strain to strain (see earlier). In addition, the lack of virulence
of VaNT1 may be explained by its ‘‘rough’’ colony morphology
[8]. It has been recognized that rough strains, which lack the
lipopolysaccharide O-antigen, are more susceptible to comple-
ment-mediated killing, resulting in an avirulent phenotype [17,49]. In contrast, two other O1 serotype strains that contain the
virulence plasmid (VIB15 and 87-9-117) did result in a high
mortality of the sea bass larvae, and, remarkably, strains lacking
the virulence plasmid were found to cause high mortality in our
study system (43 and JLL237). However, as plasmidless O1 strains
may have a chromosome-encoded iron sequestering system
instead of the pJM1 plasmid-encoded iron uptake system, its
function may have remained intact, contributing to its virulence
[50,51]. These data strongly suggest that presence of the virulence
plasmid is not crucial for full virulence towards sea bass larvae. ,
g g
yp
,
,
p
y
Altogether, the genetic and phenotypic properties of the 15 V. anguillarum isolates assessed in this study could not be correlated to
the virulence towards sea bass larvae. This illustrates the
complexity of the virulence mechanisms in V. anguillarum and
suggests that virulence in V. anguillarum is highly multifactorial and
cannot be assigned to one or a few crucial virulence factors. It is
clear that further research is necessary to elucidate the underlying
mechanisms of virulence differences in V. anguillarum. 6. Actis LA, Tolmasky ME, Crosa JH (1999) Vibriosis. In: Woo PTK, Bruno DW
(eds) Fish diseases and disorders, Vol 3. Viral, bacterial and fungal infections.
CABI Publishing, New York, 523–558. Acknowledgments The authors would like to thank Brigitte Van Moffaert for her excellent
technical support. Supporting Information Table S1
Results of the OmniLogH PM Kinetic analysis of 15
selected Vibrio anguillarum strains grown on a PM1 Phenotype
MicroArrayTM plate. For each strain and each carbon source, the
area under the curve is presented. Values below 5000 and above
8000 are indicated in red and green respectively. (XLS) g
g
2. Frans I, Lievens B, Heusdens C, Willems K (2008) Detection and identification
of fish pathogens: what is the future? The Israeli Journal of Aquaculture 60: 211–
227. 11. Denkin SM, Nelson DR (2004) Regulation of Vibrio anguillarum empA
metalloprotease expression and its role in virulence. Applied and Environmental
Microbiology 70: 4193–4204. 4. Paillard C, Leroux F, Borrego JJ (2004) Bacterial disease in marine bivalves:
review of recent studies: trends and evolution. Aquatic Living Resources 17:
477–498. Author Contributions Conceived and designed the experiments: IF KW BL PB CM HR. Performed the experiments: IF. Analyzed the data: IF SC AVA. Contributed reagents/materials/analysis tools: JL ML CM PB KD HR. Wrote the paper: IF BL HR. Conceived and designed the experiments: IF KW BL PB CM HR. Performed the experiments: IF. Analyzed the data: IF SC AVA. Contributed reagents/materials/analysis tools: JL ML CM PB KD HR. Wrote the paper: IF BL HR. 10. Naka H, Crosa JH (2011) Genetic determinants of virulence in the marine fish
pathogen Vibrio anguillarum. Fish Pathology 46: 1–10. Virulence Assessment of Vibrio anguillarum Using
standardized virulence assays such as the one used in this study,
together with whole genome sequencing [59], sequencing of whole
transcriptomes [60] or epigenetics research [61], we should be able
to increase our understanding of V. anguillarum virulence. However,
anticipating on the different advantages of using a gnotobiotic
screening method, it is acknowledged that real-life conditions will
always be far more complex and that findings made under
gnotobiotic conditions will need to be validated. p
In order to assess potential relationships between virulence and
genotypic
and
phenotypic
characteristics,
the
strains
were
subjected to both genotypic and phenotypic characterization. Next to sequence analysis of a number of housekeeping genes,
strains were genotyped using RAPD and rep-PCR, both used
successfully for epidemiological studies of fish pathogens previously
[52–55]. The clustering based on the genetic fingerprints showed
high similarity with the phylogenetic clustering, but had a much
higher discriminatory power. However, whereas some correspon-
dence between genotype and serotype could be observed, no
relation could be found with virulence. In addition, similar to
Vandenberghe et al. [56], a high phenotypic heterogeneity within
the V. anguillarum isolates was observed. Nevertheless, again no
correlation could be made with virulence. On the contrary, despite
some exceptions, in general there was a good agreement between
the phenotypic and genotypic clustering. One exception involves
the two O3 strains VIB113 and CNEVA NB11008 which grouped
in different clusters based on the phenotypic characterization,
because of a few differences in carbon utilization. Strain VIB113
was for example unable to metabolize maltose and maltotriose in
contrast to strain CNEVA NB11008. Furthermore, the distinct
ecological niches from which these two strains were isolated, i.e. sea bass in France (CNEVA NB11008) versus rainbow trout in
Denmark (VIB113), might explain the differences in carbon source
utilization patterns. Keymer et al. [57] also observed a phenotypic
diversity between coastal Vibrio cholerae strains isolated from
different environments. An explanation for the low metabolic
activity of VIB12 could not be found. This strain did not show any
differences in growth characteristics in TSB +1% NaCl compared
to the other V. anguillarum strains using the indirect Rapid
Automated Bacterial Impedance Technique (RABIT) from Don
Whitley Scientific (Shipley, UK) (data not shown), demonstrating
similar growth kinetics among the different isolates. 9. Frans I, Michiels CW, Bossier P, Willems KA, Lievens B, et al. (2011) Vibrio
anguillarum as a fish pathogen: virulence factors, diagnosis and prevention.
Journal of Fish Diseases 34: 643–661. 3. Aguirre-Guzman G, Ruiz HM, Ascencio F (2004) A review of extracellular
virulence product of Vibrio species important in diseases of cultivated shrimp.
Aquaculture Research 35: 1395–1404. 5. Toranzo AE, Magarinos B, Romalde JL (2005) A review of the main bacterial
fish diseases in mariculture systems. Aquaculture 246: 37–61. 1. FAO (2012) The State of World Fisheries and Aquaculture 2012. Food and
Agriculture Organization of the United Nations, Rome. Discussion In this study, a set of 15 V. anguillarum strains from different
origins (sea bass, trout and cod, or sediment) were subjected to a
previously designed standardized virulence assay using axenic
European sea bass larvae as hosts [25]. Here, the utility of the
method to assess and compare the virulence of different V. anguillarum strains was demonstrated on a larger scale for the first
time. Out of the 15 tested strains ten isolates were categorized as
virulent strains, whereas five isolates were found to be avirulent. In Figure 4. Biolog PM1 phenotypes within Vibrio anguillarum strains. The dendrogram was derived by UPGMA cluster analysis of the Biolog
PM1 data (i.e. area under the curve) of the 15 selected V. anguillarum strains. The results were validated using cophenetic correlation. doi:10.1371/journal.pone.0070477.g004 Figure 4. Biolog PM1 phenotypes within Vibrio anguillarum strains. The dendrogram was derived by UPGMA cluster analysis of the Biolog
PM1 data (i.e. area under the curve) of the 15 selected V. anguillarum strains. The results were validated using cophenetic correlation. doi:10.1371/journal.pone.0070477.g004 August 2013 | Volume 8 | Issue 8 | e70477 PLOS ONE | www.plosone.org 7 8. Pedersen K, Grisez L, van Houdt R, Tiainen T, Ollevier F, et al. (1999)
Extended serotyping scheme for Vibrio anguillarum with the definition and
characterization of seven provisional O-serogroups. Current Microbiology 38:
183–189. 7. Austin B, Austin DA (2007) Bacterial fish pathogens: diseases of farmed and wild
fish, 4th edn. Praxis Publishing, Chichester. 7. Austin B, Austin DA (2007) Bacterial fish pathogens: diseases of farmed and wild
fish, 4th edn. Praxis Publishing, Chichester.
8. Pedersen K, Grisez L, van Houdt R, Tiainen T, Ollevier F, et al. (1999)
Extended serotyping scheme for Vibrio anguillarum with the definition and
characterization of seven provisional O-serogroups. Current Microbiology 38:
183–189.
9. Frans I, Michiels CW, Bossier P, Willems KA, Lievens B, et al. (2011) Vibrio
anguillarum as a fish pathogen: virulence factors, diagnosis and prevention.
Journal of Fish Diseases 34: 643–661.
10. Naka H, Crosa JH (2011) Genetic determinants of virulence in the marine fish
pathogen Vibrio anguillarum. Fish Pathology 46: 1–10.
11. Denkin SM, Nelson DR (2004) Regulation of Vibrio anguillarum empA
metalloprotease expression and its role in virulence. Applied and Environmental
Microbiology 70: 4193–4204. Virulence Assessment of Vibrio anguillarum 38. Xiao P, Mo ZL, Mao YX, Wang CL, Zou YX, et al. (2009) Detection of Vibrio
anguillarum by PCR amplification of the empA gene. Journal of Fish Diseases 32:
293–296. 12. Mo Z, Guo D, Mao Y, Ye X, Zou Y, et al.(2010) Identification and
characterization of the Vibrio anguillarum prtV gene encoding a new metallopro-
tease. Chinese Journal of Oceanology and Limnology 28: 55–61. g
p
g
g
tease. Chinese Journal of Oceanology and Limnology 28: 55–61 13. Hirono I, Masuda T, Aoki T (1996) Cloning and detection of the haemolysin
gene of Vibrio anguillarum. Microbial Pathogenesis 21: 173–182. 39. Hong GE, Kim DG, Bae JY, Ahn SH, Bai SC, et al. (2007) Species-specific PCR
detection of the fish pathogen, Vibrio anguillarum, using the amiB gene, which
encodes N-acetylmuramoyl-L-alanine amidase. FEMS Microbiology Letters
269: 201–206. gene of Vibrio anguillarum. Microbial Pathogenesis 21: 173–182. g
g
g
14. Rodkhum C, Hirono I, Crosa JH, Aoki T (2005) Four novel haemolysin genes of 14. Rodkhum C, Hirono I, Crosa JH, Aoki T (2005) Four novel haemolysin genes of
Vibrio anguillarum and their virulence to rainbow trout. Microbial Pathogenesis
39: 109–119. 40. Tamura K, Peterson D, Peterson N, Stecher G, Nei M, et al. (2011) MEGA5:
Molecular evolutionary genetics analysis using maximum likelihood, evolution-
ary distance, and maximum parsimony methods. Molecular Biology and
Evolution 28: 2731–2739. 15. Rock JL, Nelson DR (2006) Identification and characterization of a hemolysin
gene cluster in Vibrio anguillarum. Infection and Immunity 74: 2777–2786. g
g
y
16. Li L, Rock JL, Nelson DR (2008) Identification and characterization of a repeat-
in-toxin gene cluster in Vibrio anguillarum. Infection and Immunity 76: 2620–
2632. 41. Versalovic J, Schneider M, De Bruijn FJ, Lupski JR (1994) Genomic
fingerprinting of bacteria using repetitive sequence-based polymerase chain
reaction. Methods in Molecular and Cellular Biology 5: 25–40. 17. Boesen HT, Pedersen K, Larsen JL, Koch C, Ellis AE (1999) Vibrio anguillarum
resistance to rainbow trout (Oncorhynchus mykiss) serum: role of O-antigen
structure of lipopolysaccharide. Infection and Immunity 67: 294–301. 42. Vauterin L, Vauterin P (1992) Computer-aided objective comparison of
electrophoresis patterns for grouping and identification of microorganisms. Eur Microbiol 1: 37–41. 18. Welch TJ, Crosa JH (2005) Novel role of the lipopolysaccharide O1 side chain in
ferric siderophore transport and virulence of Vibrio anguillarum. Infection and
Immunity 73: 5864–5872. 43. Russek-Cohen E, Colwell RR (1996) Numerical classification of microorgan-
isms. Virulence Assessment of Vibrio anguillarum In: Akkermans ADL, Van Elsas JD, De Bruijn FJ (eds) Molecular
Microbial Ecology Manual. Kluwer Academic Publishers, Dordrecht, The
Netherlands, 1–21.3.2.1. 19. Lindell K, Fahlgren A, Hjerde E, Willassen N, Fa¨llman M, et al. (2012)
Lipopolysaccharide O-antigen prevents phagocytosis of Vibrio anguillarum by
rainbow trout (Oncorhynchus mykiss) skin epithelial cells. PLoS ONE 7: 1–13. 44. Natrah FMI, Ruwandeepika HAD, Pawar S, Karunasagar I, Sorgeloos P, et al. (2011) Regulation of virulence factors by quorum sensing in Vibrio harveyi. Veterinary Microbiology 154: 124–129. 20. Stork M, Lorenzo MD, Welch TJ, Crosa LM, Crosa JH (2002) Plasmid-
mediated iron uptake and virulence in Vibrio anguillarum. Plasmid 48: 222–228. 21. Conchas RF, Lemos ML, Barja JL, Toranzo AE (1991) Distribution of plasmid-
and chromosome-mediated iron uptake systems in Vibrio anguillarum strains of
different origins. Applied and Environmental Microbiology 57: 2956–2962. 45. Pedersen K, Gram L, Austin DA, Austin B (1997) Pathogenicity of Vibrio
anguillarum serogroup O1 compared to plasmids, outer membrane proteins
profiles and siderophore production. Journal of Applied Microbiology 82: 365–
371. 22. Balado M, Osorio CR, Lemos ML (2006) A gene cluster involved in the
biosynthesis of vanchrobactin, a chromosome-encoded siderophore produced by
Vibrio anguillarum. Microbiology 152: 3517–3528. 46. Larsen JL, Pedersen K, Dalsgaard I (1994) Vibrio anguillarum serovars associated
with vibriosis in fish. Journal of Fish Diseases 17: 259–267. g
gy
23. Balado M, Osorio CR, Lemos ML (2008) Biosynthetic and regulatory elements
involved in the production of the siderophore vanchrobactin in Vibrio anguillarum. Microbiology 154: 1400–1413. 47. Mikkelsen H, Lund V, Martinsen LC, Gravningen K, Schroder MB (2007)
Variability among Vibrio anguillarum O2 isolates from Atlantic cod (Gadus morhua
L.): characterisation and vaccination studies. Aquaculture 266: 16–25. 24. Soengas RG, Anta C, Espada A, Paz V, Ares IR, et al. (2006) Structural
characterization of vanchrobactin, a new catechol siderophore produced by the
fish pathogen Vibrio anguillarum serotype O2. Tetrahedron Letters 47: 7113–
7116. 48. Sørensen SJ, Bailey M, Hansen LH, Kroer N, Wuertz S (2005) Studying plasmid
horizontal gene transfer in situ: a critical review. Nature Reviews Microbiology 3:
700–710. 49. Swain P, Behera T, Mohapatra D, Nanda PK, Nayak SK, et al. (2010)
Derivation of rough attenuated variants from smooth virulent Aeromonas hydrophila
and their immunogenicity in fish. Vaccine 28: 4626–4631. 25. Dierckens K, Rekecki A, Laureau S, Sorgeloos P, Boon N, et al. Virulence Assessment of Vibrio anguillarum (2009)
Development of a Listonella (Vibrio) anguillarum challenge test for gnotobiotic sea
bass (Dicentrarchus labrax) larvae. Environmental Microbiology 11: 526–533. 50. Naka H, Lo´pez CS, Crosa JH (2008) Reactivation of the vanchrobactin
siderophore system of Vibrio anguillarum by removal of a chromosomal insertion
sequence originated in plasmid pJM1 encoding the anguibactin siderophore
system. Environmental Microbiology 10: 265–277. 26. FAO 2005–2012. Cultured Aquatic Species Information Programme. Dicen-
trarchus labrax. Cultured Aquatic Species Information Programme. Text by
Bagni, M. In: FAO Fisheries and Aquaculture Department, Rome. g
q
p
27. Bochner BR, Gadzinski P, Panomitros E (2001) Phenotype microarrays for high-
throughput phenotypic testing and assay of gene function. Genome Research 11:
1246–1255. 51. Balado M, Osorio CR, Lemos ML (2009) FvtA is the receptor for the
siderophore vanchrobactin in Vibrio anguillarum: utility as a route of entry for
vanchrobactin analogues. Applied and Environmental Microbiology 75: 2775–
2783. 28. Austin B, Alsina M, Austin DA, Blanch AR, Grimont F, et al. (1995)
Identification and typing of Vibrio anguillarum: a comparison of different methods. Systematic and Applied Microbiology 18: 285–302. 52. Romalde JL, Magarin˜os B, Villar C, Barja JL, Toranzo AE (1999) Genetic
analysis of turbot pathogenic Streptococcus parauberis strains by ribotyping and
ramdom amplified polymorphic DNA. FEMS Microbiology Letters 179: 297–
304. 29. Pedersen K, Larsen JL (1995) Evidence for the existence of distinct populations
of Vibrio anguillarum serogroup O1 based on plasmid contents and ribotypes. Applied and Environmental Microbiology 61: 2292–2296. 53. Wong H, Lin C (2001) Evaluation of typing of Vibrio parahaemolyticus by three
PCR methods using specific primers. Journal of Clinical Microbiology 39: 4233–
4240. 30. Skov MN, Pedersen K, Larsen JL (1995) Comparison of pulsed-field gel
electrophoresis, ribotyping, and plasmid profiling for typing of Vibrio anguillarum
serovar O1. Applied and Environmental Microbiology 61: 1540–1545. 54. Ravelo C, Magarinos SB, Lopez-Romalde S, Toranzo AE, Romalde JL (2003)
Molecular fingerprinting of fish-pathogenic Lactococcus garvieae strains by random
amplified polymorphic DNA analysis. Journal of Clinical Microbiology 41: 751–
756. 31. Grisez L, Chair M, Sorgeloos P, Ollevier F (1996) Mode of infection and spread
of Vibrio anguillarum in turbot Scophthalmus maximus larvae after oral challenge
through live feed. Diseases of Aquatic Organisms 26: 181–187. g
q
g
32. Tiainen T, Pedersen K, Larsen JL (1997) Vibrio anguillarum serogroup O3 and V. anguillarum-like serogroup O3 cross-reactive species – comparison and charac-
terization. Journal of Applied Microbiology 82: 211–218. 55. References August 2013 | Volume 8 | Issue 8 | e70477 8 PLOS ONE | www.plosone.org Virulence Assessment of Vibrio anguillarum Flemming L, Rawlings D, Chenia H (2007) Phenotypic and molecular
characterisation of fish-borne Flavobacterium johnsoniae-like isolates from aquacul-
ture systems in South Africa. Research in Microbiology 158: 18–30. J
pp
gy
33. Bay L, Larsen JL, Leisner JJ (2007) Distribution of three genes involved in the
PJM1 iron-sequestering system in various Vibrio anguillarum serogroups. Systematic and Applied Microbiology 30: 85–92. 56. Vandenberghe J, Thompson FL, Gomez-Gil B, Swings J (2003) Phenotypic
diversity among Vibrio isolates from marine aquaculture systems. Aquaculture
219: 9–20. y
pp
gy
34. Lievens B, Brouwer M, Vanachter ACRC, Levesque CA, Cammue BPA, et al. (2003) Design and development of a DNA array for rapid detection and
identification of multiple tomato vascular wilt pathogens. FEMS Microbiology
Letters 223: 113–122. 57. Keymer DP, Miller MC, Schoolnik GK, Boehm AB (2007) Genomic and
phenotypic diversity of coastal Vibrio cholerae strains is linked to environmental
factors. Applied and Environmental Microbiology 73: 3705–3714. 58. Koo B, Lee J, Kim S, Yoon H, Kim K, et al. (2007) Phospholipase A as a potent
virulence factor of Vibrio vulnificus. International Journal of Molecular Medicine
20: 913–918. 35. Ahn SH, Kim DG, Jeong SH, Hong GE, Kong IS (2006) Isolation of N-
acetylmuramoyl-L-alanine amidase gene (amiB) from Vibrio anguillarum and the
effect of amiB gene deletion on stress responses. Journal of Microbiology and
Biotechnology 16: 1416–1421. 59. Rodkhum C, Hirono I, Stork M, Lorenzo MD, Crosa JH, et al. (2006) Putative
virulence-related genes in Vibrio anguillarum identified by random genome
sequencing. Journal of Fish Diseases 29: 157–166. 36. Lane DJ (1991) 16S and 23S rRNA sequencing. In: Stackebrandt E,
Goodfellow M (eds) Nucleic acids techniques in bacterial systematics. John
Wiley & Sons, Chichester, 115–175. 60. Sorek R, Cossart P (2010) Prokaryotic transcriptomics: a new view on regulation,
physiology and pathogenicity. Nature Reviews Genetics 11: 9–16. 37. Marchesi JR, Sato T, Weightman AJ, Martin TA, Fry JC, et al. (1998) Design
and evaluation of useful bacterium-specific PCR primers that amplify genes
coding for bacterial 16S rRNA. Applied and Environmental Microbiology 64:
795–799. 61. Go´mez-Dı´az E, Jorda` M, Peinado MA, Rivero A (2012) Epigenetics of Host–
Pathogen Interactions: The Road Ahead and the Road Behind. PLOS
Pathogens 8:e1003007 doi:10.1371/journal.ppat.1003007. August 2013 | Volume 8 | Issue 8 | e70477 9 August 2013 | Volume 8 | Issue 8 | e70477 PLOS ONE | www.plosone.org
|
https://openalex.org/W4362618652
|
https://figshare.com/articles/journal_contribution/Figure_S4_from_Impact_of_Tumor_Purity_on_Immune_Gene_Expression_and_Clustering_Analyses_across_Multiple_Cancer_Types/22539337/1/files/40002652.pdf
|
English
| null |
Figure S7 from Impact of Tumor Purity on Immune Gene Expression and Clustering Analyses across Multiple Cancer Types
| null | 2,023
|
cc-by
| 279
|
Supplementary Fig. S4. Relationship with the tumor purity, CYT expression and neoantigen
abundance. (A) A high level of concordance between the abundance of somatic mutations and
neoantigens. (B, C) The abundance of neoantigens were substantially correlated and inversely
correlated with the tumor purity and CYT expression, respectively, in a similar way with the mutation
abundance.
A
ρ = 0.9095
ρ = -0.2126
ρ = 0.1991
NeoAgs abundance (log2)
Mutation abundance (log2)
B
NeoAgs abundance (log2)
C
NeoAgs abundance (log2)
Purity
CYT (log2) Supplementary Fig. S4. Relationship with the tumor purity, CYT expression and neoantigen
abundance. (A) A high level of concordance between the abundance of somatic mutations and
neoantigens. (B, C) The abundance of neoantigens were substantially correlated and inversely
correlated with the tumor purity and CYT expression, respectively, in a similar way with the mutation
abundance. A
ρ = 0.9095
ρ = -0.2126
ρ = 0.1991
NeoAgs abundance (log2)
Mutation abundance (log2)
B
NeoAgs abundance (log2)
C
NeoAgs abundance (log2)
Purity
CYT (log2) A
ρ = 0.9095
ρ = -0.2126
ρ = 0.1991
NeoAgs abundance (log2)
Mutation abundance (log2)
B
NeoAgs abundance (log2)
C
NeoAgs abundance (log2)
Purity
CYT (log2) A
ρ = 0.9095
NeoAgs abundance (log2)
Mutation abundance (log2) ρ = -0.2126
B
NeoAgs abundance (log2)
Purity A B C ρ = 0.1991
C
NeoAgs abundance (log2)
CYT (log2) Mutation abundance (log2) Supplementary Fig. S4. Relationship with the tumor purity, CYT expression and neoantigen
abundance. (A) A high level of concordance between the abundance of somatic mutations and
neoantigens. (B, C) The abundance of neoantigens were substantially correlated and inversely
correlated with the tumor purity and CYT expression, respectively, in a similar way with the mutation
abundance.
|
https://openalex.org/W4223618670
|
https://www.researchsquare.com/article/rs-1529761/latest.pdf
|
English
| null |
Network Pharmacology-based Analysis on Treatment of Diabetic Retinopathy by Berberine
|
Research Square (Research Square)
| 2,022
|
cc-by
| 7,969
|
Network Pharmacology-based Analysis on Treatment of Diabetic Retinopathy
by Berberine Ting-Hua Wang
(
wangtinghua@vip.163.com
) Ting-Hua Wang
(
wangtinghua@vip.163.com
)
Jinzhou Medical University
Na Li
Jinzhou Medical University
Cong Fu
Jinzhou Medical University
Jin-Lin Chen
Jinzhou Medical University
Xi-Liang Guo
Jinzhou Medical University Jinzhou Medical University y
Na Li
Jinzhou Medical University
Cong Fu
Jinzhou Medical University
Jin-Lin Chen
Jinzhou Medical University
Xi-Liang Guo
Jinzhou Medical University Network Pharmacology-based Analysis on Treatment of Diabetic Retinopathy
by Berberine Network Pharmacology-based Analysis on Treatment of Diabetic Retinopathy
by Berberine Introduction Diabetic retinopathy (DR) is caused by chronic hyperglycemia (Youngblood, Robinson et al. 2019). The number of patients with DR is increasing as the elderly
population increases (Bai, Yang et al. 2021). DR is characterized by retinal ischemia, leakage of retinal vascular system, retinal inflammation,
neovascularization and angiogenesis, etc., which can be seen in the changes of micro vessels (Zou, Zhang et al. 2020, Yu, Zhang et al. 2021). DR is also a
common and devastating complication in patients with diabetes mellitus (DM) that can lead to microvascular injury (Chakravarthy and Devanathan 2018). Patients with DM have a 35% chance of developing DR, a devastating complication from which there is no effective and definitive treatment option to recovery
to date (Wang and Zhang 2021). It is also the number one cause of blindness when the disease is severe (Horton and Barrett 2021). DR is a specific
manifestation of severe microvascular injury and can induce some other disease factors (Skol, Jung et al. 2020). Studies have shown that DM initially affects
the retinal neurons of patients, leading to neurodegeneration that occurs early as DR, after which patients develop more pronounced vascular
abnormalities (Kim, Kim et al. 2017). DR not only brings great distress to the life of patients, but also imposes heavy economic burden to their families and
influences the development of society (Kim, Kim et al. 2018). Therefore, there is an urgent need to explore an effective method to alleviate and treat DR in
patients with DM. Berberine is a bioactive alkaloid with high medicinal value isolated from a variety of Chinese herbal medicine, which is quaternary ammonium salt from proto-
berberine group of isoquinoline alkaloid (Ortiz, Lombardi et al. 2014, Cicero and Baggioni 2016, Wang, Feng et al. 2017). Berberine has a variety of
pharmacological effects, including antibacterial, anti-cancer activity, antiviral activity, anti-diabetes (Warowicka, Nawrot et al. 2020). More studies have shown
that berberine has a wide range of bioactive plant chemicals, and berberine is involved in extensive metabolism through oral administration, resulting in very
low plasma exposure to berberine (Imenshahidi and Hosseinzadeh 2019, Song, Hao et al. 2020). Furthermore, berberine not only improve the efficacy but also
the safety of chemotherapy. It have also shown that berberine has good efficacy in many chronic diseases, such as cardiovascular and cerebrovascular
diseases and chronic hypertension (Hou, He et al. 2020, Suadoni and Atherton 2021). Research Article Keywords: Berberine, diabetes retinopathy, network pharmacology, bioinformatics License:
This work is licensed under a Creative Commons Attribution 4.0 International
License. Read Full License Page 1/16 Introduction Berberine has many medicinal values that deserve further study and it
also plays a positive contribution to the treatment of metabolic diseases (Kumar, Ekavali et al. 2015). The purpose of this study is to investigate the protective mechanism of berberine on the treatment of DR by animal experiments, network
pharmacology, bioinformatics, and molecular docking. to investigate the protective mechanism of berberine on the treatment of DR by animal experiments, network
cs and molecular docking Abstract The diabetic retinal injury model was established. After treatment with berberine, OCT and water maze were measured, and 10 genes were screened out by 4D-
DIA quantitative proteomic analysis. Heat map difference analysis and molecular docking were performed. The key words "diabetic retinal injury" were input in
PubMed, and the related genes queried were combined with the results of 10 screened proteome analysis to conduct PPI protein interaction. Then GO and
KEGG analyses were performed with the interacting genes. Results :OCT results showed that the outer nucleus, inner layer and outer accessory layer of RPE
were thickened after berberine treatment. The results of water maze experiment showed that after berberine treatment, the learning and cognitive function of
BBR group rats was significantly higher than that of DM group on day 5. By screening proteome analysis data and making Venny cross map, 10 genes could
be obtained and heat map could be made. Dennd1a and Utp6 were down-regulated in diabetes group. Atp7a, Ppl, Ogn, Nsmcel, Mme, Lmo4, Ca1 and Fn1 were
upregulation, and the berberine treatment group was opposite to the diabetic group. Molecular docking results showed that berberine and berberine could form
stable molecular binding patterns except Fnl, Ogn and Utp6 target proteins. 343 genes were searched through PubMed keywords, and 353 genes were
combined for PPI protein interaction, and 331 genes were obtained for mutual relationship, which were analyzed by GO and KEGG. Conclusion: Berberine has
protective effect on diabetic retina injury. Establishment of DR rat model and drug therapy A total of 30 Sprague-Dawley (SD) Male rats (weighing 180-200g) were provided from the Department of Experimental Animal Science, Kunming Medical
University (No. SCXK (Yunnan) K2020-0004), and were randomly divided into Sham group (n=10), DM group (n=10), and BBR group (rats with DM were treated
with berberine, n=10). All procedures were performed in accordance with the guidelines and approval of the Ethics Committee of the Kunming Medical
University. The animal Ethics code is KMMU20220852,The rats in DM and SAL groups were intraperitoneally injected with levomectin to establish the DM rats
model. After successful modeling, the rats in BBR group were given orally with berberine (100 mg/kg/day) for 4 weeks continuously, and the rats in Sham
group and DM group were given normal saline (100 mg/kg/day). Optical coherence tomography (OCT) OCT is a technique that provides cross-sectional images of biological structures based on differences in the optical properties of tissues.(Katkar, Tadinada et
al. 2018) ,Full name: SPECTRALIS OCT, Heidelberg, Germany,In this experiment, OCT measurement was performed on rats in the control group, DM group and
BBR group. Rats were anesthetized by intraperitoneal injection of 10 g/L pentobarbital sodium (0.6ml/100g) the pupils were dilated with compound
topicamide eye drops and the corneas were kept moist with drops of hydroxy glucan eye drops. The manufacturer of compound Topicamide eye drops is
Shentian Pharmaceutical (China) Co., LTD,Hydroxy Glucan Eye Drops, Alcon Research LLC,Then placed in front of a corneal contact lens, the angle of light
was then adjusted for fundus photography and OCT examination. All images were acquired at one optic disc interval, and the retinal thickness was measured
by ImageJ software. Page 2/16 Page 2/16 Morphological changes of fundus As shown, there was no morphological change in the control group, and the thickness of retinal pigment epithelial (RPE) outer nucleus and intima boundary-
core layer in the DM group was significantly thinner than in the control group. It was shown that the thickness of RPE outer nucleus, intima boundary-core
layer and external morphology layer was thickened in BBR group, compared with control and DM groups. (Figure 1) Morris water maze To detect the learning and cognitive function of rats, we conducted the Morris water maze experiment, and was performed at 1 day (d), 3 d, and 5 d after
modeling (Bromley-Brits, Deng et al. 2011). A 10-cm diameter platform was placed in a black circular pool filled with water with a width of 120 cm and a
height of 56 cm. An automatic camera system connected to a computer was set up above the pool and the pool was divided into four quadrants on the
computer. The rats were then placed in the water and the number of times the rats crossed the platform, the time to climb the platform and the total distance
were recorded using the SMART 3.0 tracking system (Harvard Bioscience (Shanghai) Co., Ltd.). Venn diagram and heat map The genes of berberine and DR were obtained from PubMed by searching the keywords ‘salidroside’ and ‘diabetic retinopathy’, and the shared genes between
them were performed using Venny2.1.0 (https://bioinfogp.cnb.csic.es/tools/venny/index.html). The heat map of protein expression in the samples were
plotted by http://www.bioinformatics.com.cn, a free online platform for data analysis and visualization. Proteomics analysis After 4 weeks of berberine treatment, the rats were anesthetized by intraperitoneal injection of 3% sodium pentobarbital,and the tissues of cortex,
hippocampus, lung and retina were collected and stored at -80℃ for proteomics analysis. The proteomics analysis of samples were performed by Shanghai
Luming Biotechnology Co., Ltd. The four-dimensional data-independent acquisition (4D-DIA) labeled quantitative proteomic analysis was conducted. Total
proteins in the sample were extracted and part of samples was determined by sodium dodecyl sulfate-polyacrylamide gel electrophoresis (SDS-PAGE), and the
other part was taken for trypsin enzymolysis. After desalting the enzymolysis peptide, the samples were identified by liquid chromatography tandem mass
spectrometry (LC-MS/MS). A protein spectrum database was firstly established by the traditional DDA method, and then the mass spectrometry data of each
sample was collected using DIA technique. Finally, based on the DDA database, spectrum matching, quantitative information extraction and subsequent
statistical analysis were carried out. Protein-protein interaction (PPI) network analysis The genes were searched by entering the keyword ‘diabetic retinopathy’ on PubMed (https://pubmed.ncbi.nlm.nih.gov), and the related genes were
recorded. The genes related to DR and screened by Venn diagram were imported into the STRING database (https://string-db.org/) to obtain the relevant PPI
network. The obtained table was sorted out, and the duplicated genes in Node1 and Node2 were deleted, and finally genes with interactions were obtained. Bi l
i
l f
i
i h
l
i Molecular docking erberine and genes. Firstly, the protein crystal structure of the gene was searched in Protein Data Bank Molecular docking was performed for berberine and genes. Firstly, the protein crystal structure of the gene was searched in Protein Data Bank
(PDB) (https://www.rcsb.org), and the 2D structure of berberine was downloaded from PubChem (https://pubchem.ncbi.nlm.nih.gov/). The target protein
structure was dehydrated with PyMOL software to separate the ligand and receptor. With the target protein as the receptor and the active substance as the
ligand, the active site of molecular docking was determined according to the coordinate of the ligand in the target protein complex. Molecular docking is
performed using AutoDock Vina. Statistical analysis All data were entered into SPSS (version 21.0, SPSS Inc., USA) for statistical analysis. The one-way ANOVA was used for examination of the quantitative data,
and the results were expressed as mean ± standard deviation (SD). *P<0.05 was considered as statistically significant. Biological function enrichment analysis The genes screened from PPI network analysis were analyzed by Gene Ontology (GO) (http://www.geneontology.org) and Kyoto Encyclopedia of Genes and
Genomics (KEGG) (https://www.kegg.jp/kegg/pathway.html) analyses using R 4.1.0 (http://www.r-project.org). It was required to pre-install activePerl.exe and
R 4.1.0, and then the software package in the script was used for installation. After the installation, The genes were pasted into Symbol ID, the script was
opened, the script was pasted into R software, the ID was converted, the ID was pasted into GO and KEGG analyses, and the script for GO and KEGG analyses
was pasted into R 4.1.0. The biological process (BP), cellular component (CC), and molecular function (MF) involved in GO enrichment analysis and KEGG
signaling pathways were obtained, and were also plotted by http://www.bioinformatics.com.cn. Results of Morris water maze Page 3/16
In order to detect the rats' learning and cognitive function, we,3,5 1 day after surgery the sham group, DM group, BBR water maze platform incubation
experiment in rats, using the single factor analysis of variance and repeated measurement variance analysis in SPSS software to carry on the analysis, the
results of the analysis concluded that the diabetes in rats after building, compared with the sham group, The learning and cognitive functions of rats in the Page 3/16 DM group were significant, P=0.002. After berberine treatment, on day 5, as shown in Figure 2, the learning and cognitive functions of rats in the BBR group
were significantly higher than those in the DM group. As shown in Figure 2, according to the results of repeated measurement anOVA, the sphericity test,
P=0.138, P > 0.05, satisfies the sphericity hypothesis. The sphericity test is subject to the sphericity test. The intra-subjective effect test results show are P <
0.05, indicating that there is a certain difference between different treatment groups. DM group were significant, P=0.002. After berberine treatment, on day 5, as shown in Figure 2, the learning and cognitive functions of rats in the BBR group
were significantly higher than those in the DM group. As shown in Figure 2, according to the results of repeated measurement anOVA, the sphericity test,
P=0.138, P > 0.05, satisfies the sphericity hypothesis. The sphericity test is subject to the sphericity test. The intra-subjective effect test results show are P <
0.05, indicating that there is a certain difference between different treatment groups. Table 1
Repeat measure ANOVA table
Repeat measure ANOVA table
Variables
DF
SS
MF
F
P
Intervene
2
40345.701
20172.850
168.293
<0.01
Intergroup error
20
2397.346
119.867
13.077
<0.01
Time
2
2268.910
1134.455
4.771
0.003
Time*Intervene
4
1655.623
413.906
Repeated measurement
40
3469.999
86.750
Sh
d
f b
b
i
d DR Table 1
Repeat measure ANOVA table
Repeat measure ANOVA table
Variables
DF
SS
MF
F
P
Intervene
2
40345.701
20172.850
168.293
<0.01
Intergroup error
20
2397.346
119.867
13.077
<0.01
Time
2
2268.910
1134.455
4.771
0.003
Time*Intervene
4
1655.623
413.906
Repeated measurement
40
3469.999
86.750 Repeat measure ANOVA table Comparison of expression level of key genes Molecular Docking As shown, Atp7a, Cal, Dennd1a, Lmo4, Mme, Nsmce1, and Ppl genes were able to form a stable molecular binding pattern with, indicating that these genes
had a good binding activity with berberine, however, Fnl, Ogn, and Utp6 genes were not able to dock with berberine (Figure 5). Shared genes of berberine and DR The sequencing data were collated and the screening data were identified by protein profiling. By setting P < 0.05 and logFC absolute value > 0.5 as screening
conditions, 73 proteins from the Sham group and 140 proteins from the DR-Berberine group were analyzed. There were 10 shared genes were obtained from
the intersection of 73 genes in the Sham group and 140 proteins in DR-Berberine group, including Dennd1a, Utp6, Fn1, Nsmce1, Lmo4, Ca1, Ogn, Ppl, Mme and
Atp7a (Figure 3, Table 2). There were 10 shared genes were obtained from the intersection of 73 genes in the Sham group and 140 proteins in DR-Berberine group, including Dennd1a,
Utp6, Fn1, Nsmce1, Lmo4, Ca1, Ogn, Ppl, Mme and Atp7a Table 2
The raw data of proteomics analysis. Omics raw data
Accession
ProteinDescriptions
Gene
Name
MW
[KDa]
Qvalue
Cscore
C3-2
C4-2
C5-2
E2-2
E3-2
E
A0A0G2K6J1
DENN domain-
containing 1A
Dennd1a
120.4645
1.23E-22
0.787164
-2.19851
-1.12243
-2.32555
-2.58972
-2.61238
-
F1M805
UTP6 small
subunit
processome
component
Utp6
70.23084
3.97E-28
0.795101
-3.04151
-3.93692
-1.67742
-3.3605
-2.13941
-
A0A096P6L8
Fibronectin
Fn1
272.4461
2.66E-75
0.843369
0.289827
2.646698
3.939096
0.734381
1.124997
0
A0A0G2JSX1
Non-structural
maintenance of
chromosomes
element 1 homolog
Nsmce1
33.30919
0.000604
0.737861
1.070106
0.611183
0.106892
0.576944
0.215285
0
A0A0G2K919
LIM domain only 4
Lmo4
18.0077
0.000991
0.729988
-2.47686
-2.49854
-3.24286
-2.17676
-3.02981
-
B0BNN3
Carbonic
anhydrase 1
Ca1
28.29963
9.47E-59
0.82902
2.366539
-0.81989
3.750589
0.768434
1.807509
1
D3ZVB7
Mimecan
Ogn
34.06928
7.18E-42
0.812023
-1.11086
0.137761
0.377591
2.075826
3.631153
1
D4A5T8
Periplakin
Ppl
204.1472
2.45E-63
0.833184
-0.66663
0.434097
-0.93671
0.017401
0.217498
-
P07861
Neprilysin
Mme
85.79512
7.84E-61
0.830929
-0.68506
-1.03119
-0.46674
-1.17448
-0.54597
-
P70705
Copper-
transporting
ATPase 1
Atp7a
162.0929
6.54E-19
0.781901
-0.49372
-0.37961
-0.54716
-0.41664
-0.02699
-
Note: C Table Notes: C is sham group, E is diabetic retina injury group, D is berberine administration group
Comparison of expression level of key genes The raw data of proteomics analysis. Page 4/16 Page 4/16 The expression level of 10 shared genes were analyzed by proteomics and shown in Figure 4. The Dennd1a and Utp6 were downregulated in the DM group,
while Atp7a, Ppl, Ogn, Nsmcel, Mme, Lmo4, Ca1 and Fn1 were upregulated. However, in the BBR group, Dennd1a and Utp6 were upregulated, and Atp7a, Ppl,
Ogn, Nsmcel, Mme, Lmo4, Ca1 and Fn1 were downregulated. PPI network anlysis A total 353 genes were obtained, including the 10 shraed genes and 343 genes obtained from the PubMed by searching for the keywords ‘diabetic
retinopathy’ (Table 3). The PPI network analysis was performed for 353 genes, and interactions were found between 331 genes after screening out
duplicates (Table4, Figure 6). There were 5 genes that were associated with the genes queried in PubMed, which were Atp7a, Lmo4, Mme, Ogn and Ppl. Table 3 Page 5/16 List of 353 genes related diabetic retinopathy
Ghrelin
p-AKT
ERK2
Bcl-2
IL-1 β
MCP-1
FoxOs
ROS
p-mTOR
HRMECs
HSP
mRNA
JNK
SMP30
ARPE-19
REDOX
LC3
MAPKs
Lmo4
HRPC
Akt
IL-1B
Col12a1
Pro
hRPEs
microRNA
RBY79
GSK-3β
IL-18
Chad
PRR
HIF-1α
miR-139-5p
SO-RB50
RPE-EMT
NLRP3
Bgn
Gyp17
COX-2
lncRNA H19
TNF
PEI-CeO₂
VEGF
PPP1CA
NF-κB
VEGF-A
TGF-β
5-LOX
HA-CeO₂
RPE
YAP
SERCA2a
FGF2
EndMT
IL-1
STK25
RGC
STZ
PP1
miR-140-3p
IL-1β
IL-8
RGCs
Muller
HG
AGEs
circsLC16A12
IL-17A-KO
iNOS
CCK-8
SOD
Gln
PKC
RUNX1
IL-17A
FGF
Caspase-3
TUNEL
mTORC1
syndcan-1
RNS
IL-17RA
IGF-1
p53
TNF-α
NLR
CD44
ML-SA1
IL-17RA-shRNA
GAPDH
LC3-II
IL-6
GCL
syndecan-3
MCOLN1
IL-23
GSH
LC3-I
MCP-1
caspase-1
RRMECs
TRPML1
SIRT1/NOCTh1
CCN1
p-p53
MDA
CGA
syndecan-2
rMC1
AGE-RAGE
GLP-1RA
p53
T2DM
HREC
syndecan-4
PGC1α
CUR
GLP-1
CASP8
GHSR
APRE19
glypican-1
SOD3
INS
TCM
CASP9
IL17A
M2 ipRGCs
glypican-3
CCN1
CUR + INS
Keap1-Nrf2-ARE
p38αMAPK
RMC
M3 ipRGCs
p-ERK
TLR2
IL-17
GMFB
c-Jun N
IL17RA
M1
4-HNE
DPP
ADGRE1
miR-5195-3p
JNK1
Th17
AMPK
WIF1
GLP
C57BL6
miR-124-3p
ERK1
Act1
SIRT1
Wnt
SGLT
CCL2
CCK-8
SGK1
TRAF6
NAD
pdx1
eGFR
CD45
G3BP2
PAC
IKK
NADH
MAP1LC3
RIPK1
CXCL1
p38MAPK
Hsa-miR-3184-3p
NFκB
LKB1
SQSTM1
RIPK3
DAMPs
Irs2-KO
hsa-miR-24-3p
EAAT1
TLR4
BECN1
TNFR1
DBA/2J
Irs2
hsa-miR-197-3p
Ins2
MD2
DAPI
IFNR
HSPGs
TH
BMP4
USA
NOX4
EdU
TLR
IL6
miR-195
MiR-340-5p
CA
NADPH
ERG
MLKL
PCO
ChIP
miR-18a-3p
Gibco
TAK-242
FITC
SGLT2i
PDGF
Co-IP
VEGFR2
MD
HMGB-1
CTRP3
Cx43
PDR
LPS
VEGF121
Abcam
TRX1
Claudin-5
TGFβ1
PVD
P38 MAP
eVEGF-38
ZO1
PGC-1α
Occluding
P2X7R
PVR
FASN
eVEGF-53
GFAP
NRF1
CRP
ATP
TG
NFAT2
MAPK
GS
TFAM
INS-1
NRK-52E
TGF1
p-NF-κB
Rho GTPase
SYTO13
ERK
c-jun
pCD5
TM
TRPC6
CDC42
PI
AMPK
Akt
BCX
Th1
FC-DenseNet
ROCK
Nrf2
MEK
TLR9
GAP43
Th2
MA-FC-DenseNet
VEGF165
AGE
MEK1
MTOR
NCAM
αSMA
ATG4D
RIPK3
RAGE
MEK2
EMT
HO-1
mTOR
miR-125b-5p
circEhmt1
ECM
circRNA
YY1
L6H21
miR-15b-5p
Wnt/β
NFIA List of 353 genes related diabetic retinopathy NeH2
circADAM9
Snail1
SIRT2
Glu
GLP1R
P21
HO1
CARM1
Smurf2
SIRT3
DR
S1PR2
OGG1
Nox2
KLF3
LOX
SIRT4
IS
JTE-013
RGC-5
LC3B-II. Table 3 Trx-R
CaMKII
SIRT5
IL-17
hRVECs
8-OHdG
p62
FGF-1
SH-SY5Y
SIRT6
NFKB
PFK-2
ICAM-1
PI3K
p38 MAPK
Bax
SIRT7
STAT-3
cJun
JNK
Dennd1a
Utp6
Fn1
Nsmce1
Lmo4
Ca1
Ogn
Ppl
Mme
Atp7a
Table 4
Related genes in the PPI network Page 7/16 Related genes in the PPI network
ADHFE1
FGF2
LY96
ROS1
YY1
PRKAB1
MCL1
AGER
FN1
MAP1LC3A
RRAD
DECR1
GCLC
BCL10
AKT1
FOXM1
MAP2K1
RUNX1
SGK1
MAPK14
SDC4
AKT1S1
G3BP2
MAP2K2
SDC2
MAPK1
LOX
GLP1R
ALOX5
GABPA
MAP2K7
SDC3
CCL2
SPARC
DENND1A
APC
GAP43
MAPK1
SDC4
CRP
GHSR
ALOX5
ARHGAP18
GAPDH
MAPK14
SGK1
TLR2
SNAI1
TXN
ATG16L1
GCLC
MAPK3
SIRT1
MAPK3
BMP4
MAP1LC3A
ATG4D
GFAP
MAPK8
SIRT2
NOX4
SIRT2
IRS2
ATP7A
GH1
MCL1
SIRT3
IL1B
APC
TH
BAX
GHSR
MCOLN1
SIRT4
FGF2
YY1
IL33
BCL10
GJA1
MLKL
SIRT5
ICAM1
SMURF2
SOD3
BCL2
GLP1R
MME
SIRT6
TP53
MAP2K2
SIRT3
BECN1
GMFB
MTOR
SIRT7
EGFR
KDR
SQSTM1
BMP4
GPC1
NCAM1
SLC1A3
IL18
PIK3CA
AKT1S1
C1QTNF3
GPC3
NDUFS1
SMURF2
CXCL8
NRP1
ATG16L1
CARKD
GSS
NEIL2
SNAI1
CASP3
SOD1
GAP43
CARM1
GSTA4
NELFCD
SOD1
NLRP3
CCNA2
MAPK8
CASP1
GTF2H1
NFATC1
SOD3
TLR9
TJP1
MAP2K7
CASP3
HMOX1
NFIA
SPARC
PTGS2
GJA1
BCL2
CASP8
HSP90AA1
NLRP3
SQSTM1
JUN
BAX
CDC42
CASP9
HTRA1
NLRX1
STIM2
TLR4
MAP2K1
CLDN5
CCL2
ICAM1
NOS2
STK11
CXCL1
FASN
NFATC1
CCNA2
IFNAR1
NOX4
STK25
CASP1
STK11
CD44
CD180
IL17A
NRF1
STUB1
AKT1
PPP1CA
PTPRC
CD44
IL17RA
NRP1
TBX21
INS
NOS2
TRAF6
CDC42
IL18
NT5C
TFAM
VEGFA
SIRT7
TMEM206
CEACAM5
IL1B
OCLN
TG
TNF
CASP9
NCAM1
CGA
IL23A
OGG1
TH
IL6
HSP90AA1
TXNIP
CHRM1
IL33
OGN
TJP1
TFAM
SIRT6
FGF1
CLDN5
IL6
PIK3CA
TLR2
CYBB
PPL
S1PR2
CNPY3
INS
PRKAB1
TLR4
TNFRSF1A
FOXM1
GFAP
COL12A1
IRF6
PRRT2
TLR9
KEAP1
IL17A
SIRT5
CRP
IRS2
PTGS2
TNF
TBX21
ATP7A
WIF1
CXCL1
ISL1
PTPRC
TNFRSF1A
SIRT4
FN1
ATG4D
CXCL8
JUN
PVRL1
TP53
SIRT1
OCLN
NLRX1
CYBB
KDR
RGN
TRAF3IP2
HMOX1
CASP8
RIPK1
DENND1A
KEAP1
RIPK1
TRAF6
STUB1
MTOR
RIPK3
DSPP
LOX
RIPK3
TXN
GAPDH
BECN1
MCOLN1
DUSP26
ROS1
EMR1
FAM20C
LMO4
GH1
NFIA Related genes in the PPI network ERG
SDC2
CEACAM5
G3BP2
ST3GAL4
NEIL2
MLKL
EXTL3
IRF6
PVRL1
PDX1
STK25
DOCK7
SLC1A3
FASN
DSPP
SDC3
NRF1
YY1AP1
GSTA4
RASIP1
FGF1
GPC3
MME
RPE
GSS
TG
OGG1
PPA1
IFNAR1 GO enrichment analysis As shown, the top 10 BPs of GO enrichment analysis involved in berberine on the treatment of DR were as follows: response to oxidative stress, cellular
response to chemical stress, cellular response to oxidative stress, response to molecule of bacterial origin, reactive oxygen species metabolic process,
activation of protein kinase activity, response to lipopolysaccharide, cellular response to biotic stimulus, regulation of reactive oxygen species metabolic
process, and response to reactive oxygen species. The first 10 CCs involved of GO enrichment analysis were raft, membrane microdomain, membrane region,
Golgi lumen, focal adhesion, cell-substrate junction, lysosomal lumen, late endosome, endoplasmic reticulum lumen, and endocytic vesicle. The top 10 MFs
involved in berberine on the treatment of DR were NAD+ binding, protein Serine/threonine kinase activity, cytokine receptor binding, NAD-dependent protein
deacetylase activity, protein serine/threonine/tyrosine kinase activity, MAP kinase activity, NAD binding, receptor ligand activity, signaling receptor activator
activity, and protein deacetylase activity. Among them, the most important biological process is Response to oxidative stress, which involves most cell groups
including membrane raft, and the most important molecular function is NAD+ binding. KEGG signaling pathways analysis It was shown that the first ten signaling pathways involved in the berberine on the treatment of DR were as follows: lipid and atherosclerosis, salmonella
infection, AGE- signaling pathway in diabetic complications, NOD-like receptor signaling pathway, fluid shear stress and atherosclerosis, Kaposi sarcoma-
associated herpesvirus infection, toll-like receptor signaling pathway, TNF signaling pathway, shigellosis, and hepatitis B (Figure 8A). The corresponding genes
of each signaling pathway were sorted for the first 20 KEGG pathways, and the pathways were classified. The environmental information processing pathway
was TNF signaling pathway. The signaling pathways of organismal systems were as follows: Nod-like receptor signaling pathway, Toll-like receptor signaling
pathway, and IL-17 signaling pathway. The signaling pathways involved in the human diseases were lipid and atherosclerosis, salmonella infection, AGE-
RAGE signaling pathway in diabetic complications, fluid shear stress and atherosclerosis, Kaposi sarcoma-associated herpesvirus infection, shigellosis,
hepatitis B, yersinia infection, influenza A, non-alcoholic fatty liver disease, pathogenic Escherichia coli infection, chagas disease, pertussis, proteoglycans in
cancer, tuberculosis, and human cytomegalovirus infection. Table 5
The top 10 KEGG signaling pathways. ID
Description
pvalue
p.adjust
qvalue
Count
hsa05417
Lipid and atherosclerosis
4.53E-23
1.09E-20
3.96E-21
34
hsa05132
Salmonella infection
5.52E-22
6.62E-20
2.41E-20
35
hsa04933
AGE-RAGE signaling pathway in diabetic complications
1.34E-19
1.07E-17
3.91E-18
23
hsa04621
NOD-like receptor signaling pathway
1.40E-18
8.42E-17
3.07E-17
28
hsa05418
Fluid shear stress and atherosclerosis
1.82E-18
8.75E-17
3.19E-17
25
hsa05167
Kaposi sarcoma-associated herpesvirus infection
6.00E-18
2.11E-16
7.68E-17
28
hsa04620
Toll-like receptor signaling pathway
6.16E-18
2.11E-16
7.68E-17
22
hsa04668
TNF signaling pathway
3.35E-17
1.00E-15
3.65E-16
22
hsa05131
Shigellosis
4.85E-17
1.29E-15
4.71E-16
30
hsa05161
Hepatitis B
8.40E-17
2.02E-15
7.34E-16
25 Table 5
The top 10 KEGG signaling pathways. The top 10 KEGG signaling pathways. Discussion In this paper, we established DR rats model to investigated the effects of berberine on the treatment of DR using behavioral experiments, proteomics, PPI
network, GO and KEGG analysis. It was shown that there were 2 down-regulated genes, namely Dennd1a and Utp6, and 8 up-regulated genes, namely Atp7a,
Ppl, Ogn, Nsmcel, Mme, Lmo4, Ca1 and Fn1 in the DM group, while the opposite was true in BBR group. Molecular docking showed that berberine could form a
stable molecular binding pattern with other genes except Fnl, Ogn and Utp6, Then, a total of 331 genes with interaction relationship were analyzed by GO and
KEGG analyses. The results suggested that the most important BP, CC, and MF involved in the berberine on the treatment of DR were response to oxidative
stress, raft, and NAD+ binding, respectively, and the most important signaling pathway was lipid and atherosclerosis. (Chen, Lin et al. 2021) Page 9/16 Page 9/16 Diabetic retinopathy (DR) is a neurovascular disease that can seriously cause blindness (Youngblood, Robinson et al. 2019). To study the protective effect of
berberine on DR, we carried out animal experiments, OCT detection and Morris water maze test (Baldan Ramsey and Pittenger 2010). It has been reported that
berberine can protect retinal morphology from hyperglycemic injury and reduce glycogen accumulation (Yin, Tan et al. 2021). The results of Morris water maze
showed that the learning and cognitive functions of rats with DM treated with berberine were significantly improved, and the thickness of RPE outer nucleus,
intima boundary-core layer and external morphology layer was thickened in DR rats treated with berberine. We sorted out the data after proteomics measurement, and 73 proteins in sham group and 140 proteins in DR-Berberine group were analyzed. There were 10
shared genes were obtained after intersection using Venn diagram, namely Dennd1a, Utp6, Fn1, Nsmce1, Lmo4, Ca1, Ogn, Ppl, Mme and Atp7a. The
polymorphism of Dennd1a gene is associated with obesity, and the complications of obesity will occur after diabetic lesions (Kadioglu, Altun et al. 2018). Utp6
is a protein that can participate in ribosomal biogenesis (Champion, Kundrat et al. 2009). Fn1 is the accumulated component of the extracellular matrix and in
the case of hyperglycemia, it is also a glycoprotein that is present in plasma and extracellular matrix (Wang, Zhao et al. 2021). Nsmce1 gene has been
reported to maintain genome integrity (Gong, Wang et al. 2020). Discussion 2021), the top 10 genes with the closest association were AKT1:HSP90AA1, AKT1:MTOR, AKT1S1:MTOR,
BCL2:BECN1, CASP1:IL1B, CASP1:NLRP3, CASP8:TNFRSF1A, CASP8:RIPK3, CASP8:RIPK1, EGFR:HSP90AA1. These closely related genes may play a key role
in the protection of berberine on the DR. GO enrichment analysis shows that the most important biological process is response to oxidative stress. It has been reported that antioxidant induced by
oxidative stress can improve glucose homeostasis, which plays a key role in the pathophysiology of diabetes (Yaribeygi, Sathyapalan et al. 2020). The most
involved cell component is membrane raft, the microregion of plasma membrane, which can provide regulation of cell metabolism at different levels (Sviridov
and Miller 2020). The most important molecular function is NAD+ binding and NAD plays an important role in cellular energy homeostasis (Chen, Bang et al. 2015). NAD can effectively intervene in diet, so as to control the pathological changes in DM (Yoshino, Mills et al. 2011). According to the results of GO enrichment analysis, multiple genes regulate each of the first 10 pathways in BP, CC and MF, which may play a role in the
protective mechanism of berberine on DR. KEGG pathway analysis showed that the first pathway was lipid and atherosclerosis, and hyperglycemia was
through the deficiency of insulin secretion. Insulin is a metabolic hormone and lack of insulin leads to abnormal lipid metabolism. DM induces atherosclerosis,
and DM is followed by increased blood glucose levels and dyslipidemia, and abnormal blood lipids (Poznyak, Grechko et al. 2020). Salmonella neck abscess
may lead to DM, which is a risk factor for salmonella infection (Pastagia and Jenkins 2013). The third pathway is AGE-RAGE signaling pathway in diabetic
complications. AGE is the end product of advanced glycation and RAGE is a transmembrane protein, and RAGE is upregulated with the increase of circulating
AGE level. AGE-RAGE signal transduction can also indirectly affect the occurrence of diabetes complications (Kay, Simpson et al. 2016). NOD-like receptor
signaling pathway has been identified as a key regulator of inflammation-related angiogenesis (Liu, Lu et al. 2019). The fifth pathway is fluid shear stress and
atherosclerosis, which is a regulatory factor of gene expression in vascular cells that is correlated with diabetes abnormalities (Papadaki, Eskin et al. 1999). The six pathway is Kaposi sarcoma-associated herpesvirus infection, (Ye, Zeng et al. 2016). Toll-like receptor signaling pathway is one of the factors of
obesity-induced inflammatory response (Rogero and Calder 2018). Discussion We hypothesized that DR would lead to decreased learning and cognitive function in rats, and
Nsmcelc had a regulatory effect on behavioral cognitive function in rats. Lmo4 can proliferate and inhibit apoptosis, oxidative stress and existing
inflammatory response, and also reduce the damage of retinal pigment epithelial cells (Shao, Chen et al. 2021). After modeling of DR, the hippocampal CA1
region is extensively damaged (Zhang, Zhang et al. 2015). Ogn is a homeostasis mediator of bone and glucose and also helps regulate glucose
metabolism (Lee, Ali et al. 2018). DM leads to elevated Ppl (blood lipids) after eating, and metabolic activation (Mme) cell populations associated with insulin
resistance are generated in obese environments. It has been reported that Atp7a has a protective effect on DM against endothelial dysfunction through
extracellular superoxide dismutase (Sudhahar, Urao et al. 2013). Differential expression of heat map showed that there were two down-regulated genes in the
DM group, namely Dennd1a and Utp6, and 8 up-regulated genes, namely Atp7a, Ppl, Ogn, Nsmce1, Mme, Lmo4, Ca1 and Fn1. In the BBR group, there were 8
down-regulated genes, Atp7a, Ppl, Ogn, Nsmce1, Mme, Lmo4, Ca1 and Fn1, and 2 up-regulated genes, Dennd1a and Utp6, respectively. Additionally, the 10 shared genes may plays an important role in the protection of berberine on the treatment of DR. We verified molecular docking with these
10 genes as receptors and berberine as ligands, and all the other 8 genes, Dennd1a, Utp6, Nsmce1, Lmo4, Ca1, Ppl, Mme and Atp7a, could dock with the drug
except for Fnl and Ogn target proteins which failed to dock successfully with berberine ligands. Therefore, berberine could improve DR on the basis of the
regulation of these genes. Among the 10 proteomic genes analyzed, Atp7a, Lmo4, Mme, Ogn and Ppl were correlated with the genes queried in PubMed. However, according to the
comprehensive score (Zhang, Han et al. 2021), the top 10 genes with the closest association were AKT1:HSP90AA1, AKT1:MTOR, AKT1S1:MTOR,
C 2
C
C S
C S
3 C S 8
S
C S 8
3 C S 8
G
S 90
h
l
l
l
d
l
k
l Among the 10 proteomic genes analyzed, Atp7a, Lmo4, Mme, Ogn and Ppl were correlated with the genes queried in PubMed. However, according to the
comprehensive score (Zhang, Han et al. Conclusion In this study, we explored the key targets and mechanisms of berberine protection against diabetic retinopathy based on proteomics and network
pharmacology, and Dennd1a, Utp6, Fn1, Nsmce1, Lmo4, Ca1, Ogn, Ppl, Mme and Atp7a genes were found that they were closely associated with the protective
effect of berberine on the diabetic retinopathy. Discussion In the DR, the TNF molecular pathway may be the cause of its pathogenesis and
progression (Dewanjee, Das et al. 2018). Shigellosis may be a complication of diabetes. By vaccinating against viral hepatitis, the burden of diabetes is
reduced and the risk of developing diabetes is reduced (Karnchanasorn, Ou et al. 2016). There are corresponding enriched genes in each of the signaling
pathways of KEGG, and these genes may play a key role in the protective mechanism of berberine on the DR, which needs to be further explored. Author's Contribution WTH and GXL conceived and designed the study. FC and CJL conducted experiments, LN analyzed data and wrote manuscripts. All authors have read and
approved the manuscript. The authors point out that all data were generated internally, without the use of paper mills. Money Translational study of microrNA-target gene regulatory network in stroke and acute brain injury. Major Science and Technology Project of Sichuan Province (in
the field of social development), Project No. 2020YFS0043, fund 1 million, period 2020.1-2021.12, principal: Wang Tinghua Declarations Ethical approval and consent for participation Page 10/16 Page 10/16 All procedures were performed in accordance with the guidelines and approval of the Ethics Committee of the Kunming Medical University. Approved by the
Animal Experiment Ethics Review Committee of Kunming Medical University, the approval number is KMMU20220852 No human studies are involved No human studies are involved The animal ethics code is KMMU20220852 I declare that all authors agree to publish. Whether there is supporting data I declare that the data and materials contained in this manuscript have not been published elsewhere and are available. References 1. Bai, J., et al. (2021). "Ghrelin Ameliorates Diabetic Retinal Injury: Potential Therapeutic Avenues for Diabetic Retinopathy." Oxid Med Cell Longev 2021:
8043299. https://doi.org/10.1155/2021/8043299 2. Baldan Ramsey, L. C. and C. Pittenger (2010). "Cued and spatial learning in the water maze: equivalent learning in male and female mice." Neurosci Lett
483(2): 148-151. https://doi.org/10.1016/j.neulet.2010.07.082 3. Bromley-Brits, K., et al. (2011). "Morris water maze test for learning and memory deficits in Alzheimer's disease model mice." J Vis
Exp(53). https://doi.org/10.3791/2920 4. Chakravarthy, H. and V. Devanathan (2018). "Molecular Mechanisms Mediating Diabetic Retinal Neurodegeneration: Potential Research Avenues and
Therapeutic Targets." J Mol Neurosci 66(3): 445-461. https://doi.org/10.1007/s12031-018-1188-x 4. Chakravarthy, H. and V. Devanathan (2018). "Molecular Mechanisms Mediating Diabetic Retinal Neurodegeneration: Potential Research Avenues and
Therapeutic Targets." J Mol Neurosci 66(3): 445-461. https://doi.org/10.1007/s12031-018-1188-x 5. Champion, E. A., et al. (2009). "A structural model for the HAT domain of Utp6 incorporating bioinformatics and genetics." Protein Eng Des Sel 22(7): 431-
439. https://doi.org/10.1093/protein/gzp022 5. Champion, E. A., et al. (2009). "A structural model for the HAT domain of Utp6 incorporating bioinformatics and genetics." Protein Eng Des Sel 22(7): 431-
439. https://doi.org/10.1093/protein/gzp022 6. Chen, Y., et al. (2015). "Acyl-CoA-binding domain containing 3 modulates NAD+ metabolism through activating poly(ADP-ribose) polymerase 1." Biochem
J 469(2): 189-198. https://doi.org/10.1042/bj20141487 6. Chen, Y., et al. (2015). "Acyl-CoA-binding domain containing 3 modulates NAD+ metabolism through activating poly(ADP-ribose) polymerase 1." Biochem
J 469(2): 189-198. https://doi.org/10.1042/bj20141487 7. Chen, Z., et al. (2021). "Network pharmacology based research into the effect and mechanism of Yinchenhao Decoction against Cholangiocarcinoma."
Chin Med 16(1): 13. https://doi.org/10.1186/s13020-021-00423-4 7. Chen, Z., et al. (2021). "Network pharmacology based research into the effect and mechanism of Yinchenhao Decoction against Cholangiocarcinoma."
Chin Med 16(1): 13. https://doi.org/10.1186/s13020-021-00423-4 8. Cicero, A. F. and A. Baggioni (2016). "Berberine and Its Role in Chronic Disease." Adv Exp Med Biol 928: 27-45. https://doi.org/10.1007/978-3-319-41334-
1_2 8. Cicero, A. F. and A. Baggioni (2016). "Berberine and Its Role in Chronic Disease." Adv Exp Med Biol 928: 27-45. https://doi.org/10.1007/978-3-319-41334-
1_2 9. Dewanjee, S., et al. (2018). "Molecular mechanism of diabetic neuropathy and its pharmacotherapeutic targets." Eur J Pharmacol 833: 472-
523. https://doi.org/10.1016/j.ejphar.2018.06.034 9. Dewanjee, S., et al. (2018). "Molecular mechanism of diabetic neuropathy and its pharmacotherapeutic targets." Eur J Pharmacol 833: 472-
523. https://doi.org/10.1016/j.ejphar.2018.06.034 523. https://doi.org/10.1016/j.ejphar.2018.06.034 10. Gong, M., et al. (2020). "A transcriptomic analysis of Nsmce1 overexpression in mouse hippocampal neuronal cell by RNA sequencing." Funct Integr
Genomics 20(3): 459-470. https://doi.org/10.1007/s10142-019-00728-6 10. Conflict of interest There is no conflict interest in this study References M., et al. (2016). "The Role of AGE/RAGE Signaling in Diabetes-Mediated Vascular Calcification." J Diabetes Res 2016:
6809703. https://doi.org/10.1155/2016/6809703 18. Kim, Y. S., et al. (2018). "Alpha-lipoic acid reduces retinal cell death in diabetic mice." Biochem Biophys Res Commun 503(3): 1307-
1314. https://doi.org/10.1016/j.bbrc.2018.07.041 18. Kim, Y. S., et al. (2018). "Alpha-lipoic acid reduces retinal cell death in diabetic mice." Biochem Biophys Res Commun 503(3): 1307-
1314. https://doi.org/10.1016/j.bbrc.2018.07.041 1314. https://doi.org/10.1016/j.bbrc.2018.07.041 19. Kim, Y. S., et al. (2017). "Metformin protects against retinal cell death in diabetic mice." Biochem Biophys Res Commun 492(3): 397-
403. https://doi.org/10.1016/j.bbrc.2017.08.087 19. Kim, Y. S., et al. (2017). "Metformin protects against retinal cell death in diabetic mice." Biochem Biophys Res Commun 492(3): 397-
403. https://doi.org/10.1016/j.bbrc.2017.08.087 20. Kumar, A., et al. (2015). "Current knowledge and pharmacological profile of berberine: An update." Eur J Pharmacol 761: 288-
297. https://doi.org/10.1016/j.ejphar.2015.05.068 20. Kumar, A., et al. (2015). "Current knowledge and pharmacological profile of berberine: An update." Eur J Pharmacol 761: 288-
297. https://doi.org/10.1016/j.ejphar.2015.05.068 297. https://doi.org/10.1016/j.ejphar.2015.05.068 21. Lee, N. J., et al. (2018). "Osteoglycin, a novel coordinator of bone and glucose homeostasis." Mol Metab 13: 30-
44. https://doi.org/10.1016/j.molmet.2018.05.004 21. Lee, N. J., et al. (2018). "Osteoglycin, a novel coordinator of bone and glucose homeostasis." Mol Metab 13: 30-
44. https://doi.org/10.1016/j.molmet.2018.05.004 22. Liu, P., et al. (2019). "NOD-like receptor signaling in inflammation-associated cancers: From functions to targeted therapies." Phytomedicine 64:
152925. https://doi.org/10.1016/j.phymed.2019.152925 22. Liu, P., et al. (2019). "NOD-like receptor signaling in inflammation-associated cancers: From functions to targeted therapies." Phytomedicine 64:
152925. https://doi.org/10.1016/j.phymed.2019.152925 23. Ortiz, L. M., et al. (2014). "Berberine, an epiphany against cancer." Molecules 19(8): 12349-12367. https://do 23. Ortiz, L. M., et al. (2014). "Berberine, an epiphany against cancer." Molecules 19(8): 12349-12367. https://doi.org/10.3390/molecules190812349
24. Papadaki, M., et al. (1999). "Fluid shear stress as a regulator of gene expression in vascular cells: possible correlations with diabetic abnormalities."
Diabetes Res Clin Pract 45(2-3): 89-99. https://doi.org/10.1016/s0168-8227(99)00036-4 24. Papadaki, M., et al. (1999). "Fluid shear stress as a regulator of gene expression in vascular cells: possible correlations with diabetic abnormalities."
Diabetes Res Clin Pract 45(2-3): 89-99. https://doi.org/10.1016/s0168-8227(99)00036-4 24. Papadaki, M., et al. (1999). "Fluid shear stress as a regulator of gene expression in vascular cells: possible correlations with diabetic abnormalities."
Diabetes Res Clin Pract 45(2-3): 89-99. https://doi.org/10.1016/s0168-8227(99)00036-4 25. Pastagia, M. and S. G. Jenkins (2013). "Salmonella neck abscess as an opportunistic infection in diabetes mellitus." Case Rep Infect Dis 2013:
708419. https://doi.org/10.1155/2013/708419 25. Pastagia, M. References Gong, M., et al. (2020). "A transcriptomic analysis of Nsmce1 overexpression in mouse hippocampal neuronal cell by RNA sequencing." Funct Integr
Genomics 20(3): 459-470. https://doi.org/10.1007/s10142-019-00728-6 11. Horton, W. B. and E. J. Barrett (2021). "Microvascular Dysfunction in Diabetes Mellitus and Cardiometabolic Disease." Endocr Rev 42(1): 29-
55. https://doi.org/10.1210/endrev/bnaa025 11. Horton, W. B. and E. J. Barrett (2021). "Microvascular Dysfunction in Diabetes Mellitus and Cardiometabolic Disease." Endocr Rev 42(1): 29-
55. https://doi.org/10.1210/endrev/bnaa025 12. Hou, Q., et al. (2020). "Berberine: A Traditional Natural Product With Novel Biological Activities." Altern Ther Health Med 26(S2): 20-27. 12. Hou, Q., et al. (2020). "Berberine: A Traditional Natural Product With Novel Biological Activities." Altern Ther Health Med 26(S2): 20-27. 13. Imenshahidi, M. and H. Hosseinzadeh (2019). "Berberine and barberry (Berberis vulgaris): A clinical review." Phytother Res 33(3): 504-
523. https://doi.org/10.1002/ptr.6252 13. Imenshahidi, M. and H. Hosseinzadeh (2019). "Berberine and barberry (Berberis vulgaris): A clinical review." Phytother Res 33(3): 504-
523. https://doi.org/10.1002/ptr.6252 14. Kadioglu, E., et al. (2018). "The role of DENND1A and CYP19A1 gene variants in individual susceptibility to obesity in Turkish population-a preliminary
study." Mol Biol Rep 45(6): 2193-2199. https://doi.org/10.1007/s11033-018-4380-8 14. Kadioglu, E., et al. (2018). "The role of DENND1A and CYP19A1 gene variants in individual susceptibility to obesity in Turkish population-a preliminary
study." Mol Biol Rep 45(6): 2193-2199. https://doi.org/10.1007/s11033-018-4380-8 15. Karnchanasorn, R., et al. (2016). "Viral Hepatitis and Diabetes: Clinical Implications of Diabetes Prevention Through Hepatitis Vaccination." Curr Diab Rep
16(10): 101. https://doi.org/10.1007/s11892-016-0790-y 15. Karnchanasorn, R., et al. (2016). "Viral Hepatitis and Diabetes: Clinical Implications of Diabetes Prevention Through Hepatitis Vaccination." Curr Diab Rep
16(10): 101. https://doi.org/10.1007/s11892-016-0790-y Page 11/16 16. Katkar, R. A., et al. (2018). "Optical Coherence Tomography." Dent Clin North Am 62(3): 421-434. https://doi.org/10.1016/j.cden.2018.03.004
17. Kay, A. M., et al. (2016). "The Role of AGE/RAGE Signaling in Diabetes-Mediated Vascular Calcification." J Diabetes Res 2016: 16. Katkar, R. A., et al. (2018). "Optical Coherence Tomography." Dent Clin North Am 62(3): 421-434. https://doi.org/10.1016/j.cden.2018.03.004
17. Kay, A. M., et al. (2016). "The Role of AGE/RAGE Signaling in Diabetes-Mediated Vascular Calcification." J Diabetes Res 2016:
6809703. https://doi.org/10.1155/2016/6809703 16. Katkar, R. A., et al. (2018). "Optical Coherence Tomography." Dent Clin North Am 62(3): 421-434. https://doi.org/10.1016/j.cden.2018.03.004 16. Katkar, R. A., et al. (2018). "Optical Coherence Tomography." Dent Clin North Am 62(3): 421-434. https://doi.org/10.1016/j.cden.2018.03.004 17. Kay, A. M., et al. (2016). "The Role of AGE/RAGE Signaling in Diabetes-Mediated Vascular Calcification." J Diabetes Res 2016:
6809703. https://doi.org/10.1155/2016/6809703 17. Kay, A. References and S. G. Jenkins (2013). "Salmonella neck abscess as an opportunistic infection in diabetes mellitus." Case Rep Infect Dis 2013:
708419. https://doi.org/10.1155/2013/708419 26. Poznyak, A., et al. (2020). "The Diabetes Mellitus-Atherosclerosis Connection: The Role of Lipid and Glucose Metabolism and Chronic Inflammation." Int J
Mol Sci 21(5). https://doi.org/10.3390/ijms21051835 26. Poznyak, A., et al. (2020). "The Diabetes Mellitus-Atherosclerosis Connection: The Role of Lipid and Glucose Metabolism and Chronic Inflammation." Int J
Mol Sci 21(5). https://doi.org/10.3390/ijms21051835 27. Rogero, M. M. and P. C. Calder (2018). "Obesity, Inflammation, Toll-Like Receptor 4 and Fatty Acids." Nutrien 27. Rogero, M. M. and P. C. Calder (2018). "Obesity, Inflammation, Toll-Like Receptor 4 and Fatty Acids." Nutrients 10(4). https://doi.org/10.3390/nu10040432 27. Rogero, M. M. and P. C. Calder (2018). "Obesity, Inflammation, Toll-Like Receptor 4 and Fatty Acids." Nutrients 10(4). https://doi.org/10.3390/nu10040432
28. Shao, K., et al. (2021). "MicroRNA-139-5p Alleviates High Glucose-Triggered Human Retinal Pigment Epithelial Cell Injury by Targeting LIM-Only Factor 4." 28. Shao, K., et al. (2021). "MicroRNA-139-5p Alleviates High Glucose-Triggered Human Retinal Pigment Epithelial Cell Injury by Targeting LIM-Only Factor 4."
Mediators Inflamm 2021: 1629783. https://doi.org/10.1155/2021/1629783 28. Shao, K., et al. (2021). "MicroRNA-139-5p Alleviates High Glucose-Triggered Human Retinal Pigment Epithelial Cell Injury by Targeting LIM-Only Factor 4
Mediators Inflamm 2021: 1629783. https://doi.org/10.1155/2021/1629783 29. Skol, A. D., et al. (2020). "Integration of genomics and transcriptomics predicts diabetic retinopathy susceptibility genes." Elife
9. https://doi.org/10.7554/eLife.59980 29. Skol, A. D., et al. (2020). "Integration of genomics and transcriptomics predicts diabetic retinopathy susceptibility genes." Elife
9. https://doi.org/10.7554/eLife.59980 31. Suadoni, M. T. and I. Atherton (2021). "Berberine for the treatment of hypertension: A systematic review." Complement Ther Clin Pract 42:
101287. https://doi.org/10.1016/j.ctcp.2020.101287 32. Sudhahar, V., et al. (2013). "Copper transporter ATP7A protects against endothelial dysfunction in type 1 diabetic mice by regulating extracellular
superoxide dismutase." Diabetes 62(11): 3839-3850. https://doi.org/10.2337/db12-1228 33. Sviridov, D. and Y. I. Miller (2020). "Biology of Lipid Rafts: Introduction to the Thematic Review Series." J Lipid Res 61(5): 598-
600. https://doi.org/10.1194/jlr.IN119000330 34. Wang, F. and M. Zhang (2021). "Circ_001209 aggravates diabetic retinal vascular dysfunction through regulating miR-15b-5p/COL12A1." J Transl Med
19(1): 294. https://doi.org/10.1186/s12967-021-02949-5 35. Wang, K., et al. (2017). "The metabolism of berberine and its contribution to the pharmacological effects." Drug Metab Rev 49(2): 139-
157. https://doi.org/10.1080/03602532.2017.1306544 36. Wang, Y., et al. (2021). "Identification of fibronectin 1 (FN1) and complement component 3 (C3) as immune infiltration-related biomarkers for diabetic
nephropathy using integrated bioinformatic analysis." Bioengineered 12(1): 5386-5401. https://doi.org/10.1080/21655979.2021.1960766 37. References Warowicka, A., et al. (2020). "Antiviral activity of berberine." Arch Virol 165(9): 1935-1945. https://doi.org/10 37. Warowicka, A., et al. (2020). "Antiviral activity of berberine." Arch Virol 165(9): 1935-1945. https://doi.org/10.1007/s00705-020-04706-3 38. Yaribeygi, H., et al. (2020). "Molecular Mechanisms Linking Oxidative Stress and Diabetes Mellitus." Oxid Med Cell Longev 2020:
8609213. https://doi.org/10.1155/2020/8609213 39. Ye, F., et al. (2016). "High Glucose Induces Reactivation of Latent Kaposi's Sarcoma-Associated Herpesvirus." J Virol 90(21): 9654-
9663. https://doi.org/10.1128/jvi.01049-16 40. Yin, Z., et al. (2021). "Berberine prevents diabetic retinopathy through inhibiting HIF-1α /VEGF/ NF-κ B pathway in db/db mice." Pharmazie 76(4): 165-
171. https://doi.org/10.1691/ph.2021.01012 41. Yoshino, J., et al. (2011). "Nicotinamide mononucleotide, a key NAD(+) intermediate, treats the pathophysiology of diet- and age-induced diabetes in
mice." Cell Metab 14(4): 528-536. https://doi.org/10.1016/j.cmet.2011.08.014 42. Youngblood, H., et al. (2019). "Proteomic Biomarkers of Retinal Inflammation in Diabetic Retinopathy." Int J Mol Sci
20(19). https://doi.org/10.3390/ijms20194755 43. Yu, M., et al. (2021). "Gliquidone improves retinal injury to relieve diabetic retinopathy via regulation of SIRT1/Notch1 pathway." BMC Ophthalmol 21(1):
451. https://doi.org/10.1186/s12886-021-02215-8 44. Zhang, L., et al. (2021). "Exploring the mechanisms underlying the therapeutic effect of Salvia miltiorrhiza in diabetic nephropathy using network
pharmacology and molecular docking." Biosci Rep 41(6). https://doi.org/10.1042/bsr20203520 45. Zhang, Y. W., et al. (2015). "Memory dysfunction in type 2 diabetes mellitus correlates with reduced hippocampal CA1 and subiculum volumes." Chin Med
J (Engl) 128(4): 465-471. https://doi.org/10.4103/0366-6999.151082 Page 12/16 Page 12/16 Page 12/16 Figure 1 Images of OCT fundus in control, DM, and BBR groups. Images of OCT fundus in control, DM, and BBR groups. Images of OCT fundus in control, DM, and BBR groups. A. The OCT images of control group. B. The OCT images of DM group. C. The OCT images of BBR group. (DM group, rats with diabetes mellitus; BBR group,
rats with DR were treated with berberine.) A. The OCT images of control group. B. The OCT images of DM group. C. The OCT images of BBR group. (DM group, rats with diabetes mellitus; BBR group,
t
ith DR
t
t d
ith b
b
i
) A. The OCT images of control group. B. The OCT images of DM group. C. The OCT images of BBR group. (DM group, rats with diabetes mellitus; BBR group,
t
ith DR
t
t d
ith b
b
i
) A. The OCT images of control group. B. The OCT images of DM group. C. The OCT images of BBR group. (DM group, rats with
rats with DR were treated with berberine.)
Figure 2
Water maze platform incubation period 46. Zou, W., et al. (2020). "p38 promoted retinal micro-angiogenesis through up-regulated RUNX1 expression in diabetic retinopathy." Biosci Rep
40(5). https://doi.org/10.1042/bsr20193256 Venn diagram of shared genes between the salidroside and diabetic retinopathy. There were 10 shared genes were obtained from the intersection of 73 genes in the Sham group and 140 proteins in DR-Berberine group, including Dennd1a,
Utp6, Fn1, Nsmce1, Lmo4, Ca1, Ogn, Ppl, Mme and Atp7a Figure 2 Water maze platform incubation period Water maze platform incubation period Page 13/16 There were 10 shared genes were obtained from the intersection of 73 genes in the Sham group and 140 proteins in DR-Berberine group, including Dennd1a,
Utp6, Fn1, Nsmce1, Lmo4, Ca1, Ogn, Ppl, Mme and Atp7a Figure 6 Protein-protein interaction network of genes. A. Top 20 biological processes (BP) involved in GO analysis. B. Top 20 cellular components (CC) involved in GO analysis. C. Top 20 molecular function (MF)
involved in GO analysis. D. The circular diagram of BP, CC, and MF involved in GO analysis. Molecular docking of 10 shared genes with berberine. A. Molecular docking of Atp7a with berberine. B. Molecular docking of Cal with berberine. C. Molecular docking of Dennd1a with berberine. D. Molecular
docking of Fnl with berberine. E. Molecular docking of Lmo4 with berberine. F. Molecular docking of Mme with berberine. G. Molecular docking of Nsmce1 with
berberine. H. Molecular docking of Ogn with berberine. I. Molecular docking of Ppl with berberine. J. Molecular docking of Utp6 with berberine. Expression level of 10 shared genes in each group. Red indicates up-regulation of gene expression, and blue indicates down-regulation of gene expression. (Red box indicates up, basket indicates down; C was
sham group, E was diabetic retinal injury group,D is berberine drug treatment group ) Page 14/16 Page 14/16 Figure 5
Molecular docking of 10 shared genes with berberine. A. Molecular docking of Atp7a with berberine. B. Molecular docking of Cal with berberine. C. Molecular docking of Dennd1a with berberine. D. Molecular
docking of Fnl with berberine. E. Molecular docking of Lmo4 with berberine. F. Molecular docking of Mme with berberine. G. Molecular docking of Nsmce1 with
berberine. H. Molecular docking of Ogn with berberine. I. Molecular docking of Ppl with berberine. J. Molecular docking of Utp6 with berberine. Figure 5 Figure 5 Molecular docking of 10 shared genes with berberine. GO enrichment analysis GO enrichment analysis A. Top 20 biological processes (BP) involved in GO analysis. B. Top 20 cellular components (CC) involved in GO analysis. C. Top 20 molecular function (MF)
involved in GO analysis. D. The circular diagram of BP, CC, and MF involved in GO analysis. Page 15/16 Page 15/16 Figure 8
KEGG signaling pathways diagram
A. The top 20 KEGG signaling pathways. B. The number of genes involved in the different signaling pathways and systems. Figure 8 KEGG signaling pathways diagram A. The top 20 KEGG signaling pathways. B. The number of genes involved in the different signaling pathways and systems. A. The top 20 KEGG signaling pathways. B. The number of genes involved in the different signaling pathways and systems. Page 16/16
|
https://openalex.org/W1745275742
|
https://iris.unige.it/bitstream/11567/976829/1/Biomed%20Res%20Int%20G2015.pdf
|
English
| null |
The Association between Endometriomas and Ovarian Cancer: Preventive Effect of Inhibiting Ovulation and Menstruation during Reproductive Life
|
BioMed research international
| 2,015
|
cc-by
| 8,671
|
Hindawi Publishing Corporation
BioMed Research International
Volume 2015, Article ID 751571, 10 pages
http://dx.doi.org/10.1155/2015/751571 Hindawi Publishing Corporation
BioMed Research International
Volume 2015, Article ID 751571, 10 pages
http://dx.doi.org/10.1155/2015/751571 Correspondence should be addressed to Giovanni Grandi; grandi.gio@alice.it Correspondence should be addressed to Giovanni Grandi; grandi.gio@alice.it Received 3 April 2015; Accepted 18 August 2015 Received 3 April 2015; Accepted 18 August 2015 Academic Editor: Ivo Meinhold-Heerlein Copyright © 2015 Giovanni Grandi 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. Although endometriosis frequently involves multiple sites in the pelvis, malignancies associated with this disease are mostly
confined to the ovaries, evolving from an endometrioma. Endometriomas present a 2-3-fold increased risk of transformation
in clear-cell, endometrioid, and possibly low-grade serous ovarian cancers, but not in mucinous ovarian cancers. These last
cancers are, in some aspects, different from the other epithelial ovarian cancers, as they do not appear to be decreased by the
inhibition of ovulation and menstruation. The step by step process of transformation from typical endometrioma, through atypical
endometrioma, finally to ovarian cancer seems mainly related to oxidative stress, inflammation, hyperestrogenism, and specific
molecular alterations. Particularly, activation of oncogenic KRAS and PI3K pathways and inactivation of tumor suppressor genes
PTEN and ARID1A are suggested as major pathogenic mechanisms for endometriosis associated clear-cell and endometrioid
ovarian cancer. Both the risk for endometriomas and their associated ovarian cancers seems to be highly and similarly decreased
by the inhibition of ovulation and retrograde menstruation, suggesting a common pathogenetic mechanism and common possible
preventive strategies during reproductive life. Giovanni Grandi,1 Angela Toss,2 Laura Cortesi,2 Laura Botticelli,3
Annibale Volpe,1 and Angelo Cagnacci1 Giovanni Grandi,1 Angela Toss,2 Laura Cortesi,2 Laura Botticelli,3
Annibale Volpe,1 and Angelo Cagnacci1 1Department of Obstetrics Gynecology and Pediatrics, Obstetrics and Gynecology Unit, p
f
y
gy
y
gy
Azienda Ospedaliero Universitaria Policlinico of Modena, Via del Pozzo 71, 41124 Modena, Italy
2 2Department of Oncology, Haematology and Respiratory Disease, Azienda Ospedaliero Universitaria Policlinico of Modena,
Via del Pozzo 71, 41124 Modena, Italy
3Department of Laboratory Medicine and Pathology, Azienda Ospedaliero Universitaria Policlinico of Modena,
Via del Pozzo 71 41124 Modena Italy 2Department of Oncology, Haematology and Respiratory Disease, Azienda Ospedaliero Universitaria Policlinico of Modena,
Via del Pozzo 71, 41124 Modena, Italy
3 3Department of Laboratory Medicine and Pathology, Azienda Ospedaliero Universitaria Policlinico of Modena,
Via del Pozzo 71, 41124 Modena, Italy 1. Introduction hormones finish stimulating lesions and the major issue is due
to the risk of malignant transformation [4]. Endometriosis is a common estrogen-dependent disease
of reproductive age that affects up to 15% of women [1]. This figure can increase in particular setting, like infertile
subjects or women requiring hormonal contraceptives [2]. Endometriosis is linked to pelvic pain, though it is sometimes
completely asymptomatic, and infertility. Pelvic pain can be
represented by dysmenorrhea, dyspareunia, chronic pelvic
pain, dyschezia, and dysuria, and it can affect patients quality
of life [3]. The burden of endometriosis during reproductive
life changes after the menopause, when ovarian steroid Endometriosis is characterized by the presence and/or
the growth of endometrial tissue (both glands and stroma)
outside the uterine cavity that causes a chronic inflammation,
inside or outside the pelvis [1]. In spite of about 90 years of
research, pathogenesis of this disease is still largely unknown. The most widely accepted theory for endometriosis develop-
ment in general remains the one initially proposed by Samp-
son in 1927 [5]. Sampson suggested that the disease originates
from endometrial cells regurgitated through the Fallopian
tubes during menstruation. This theory is supported by some 2 BioMed Research International 2 endometrioid and clear-cell ovarian cancers. The risk of
malignant transformation of atypical endometriomas is about
4-fold increase. There are histological evidences of transi-
tion from endometriosis, through atypical endometriosis, to
EAOC [17]. The most important features in the endometrial
epithelium for the study of malignant transformation are
cytologic atypia and/or hyperplasia [18]. Moderate atypia
(often reactive) is characterized by a layer of flattened or
cuboidal cells with a large, pleomorphic, and hyperchromatic
nucleus; vice versa severe atypia, which can be considered
a premalignant lesion, is characterized by cells with a pale
or pleomorphic and hyperchromatic nucleus, eosinophilic
cytoplasm, and intraluminal projections (Figure 1). Thomas
and Campbell [19] classified atypical endometriosis on the
basis of the following histologic criteria: large nucleus, hyper-
chromatic or pale, with accentuated pleomorphism, decrease
in the cytoplasm/nucleus relation, and cellular stratification. The presence of hyperplasia in the glandular epithelium is less
common but is described in some atypical endometriomas
(Figure 1). In a review of a large series of studies, approxi-
mately 8% of endometriomas are reported to contain atypical
endometriosis [20]. Increased awareness of the characteris-
tics of atypical endometriomas will improve early detection
of patients with endometriosis who are at risk of EAOC. 1. Introduction The proposed step by step process of transformation from
retrograde menstruation to ovarian cancer is presented in
Figure 2. anatomical common findings: endometriosis is more preva-
lent in patients with M¨ullerian congenital anomalies [6], in
uteri with a retrograde pattern of myometrial contractility [7],
or in particular uterine conformations [8]. On the other hand,
this theory does not fit with all the cases of endometriosis, like
those in subjects with Rokitansky-Kuster-Hauser syndrome
that are without a functional endometrium, suggesting that
it is unlikely that tubal regurgitation is the only mechanism
implicated in the endometriosis development [9]. It is likely
that endometriosis is not a single disease but it is composed
by different entities with completely different pathogene-
ses. Indeed, three different entities of endometriosis were
traditionally described: ovarian, peritoneal, and rectovagi-
nal endometriosis [10]. Although endometriosis frequently
involves multiple sites in the pelvis, malignancies associ-
ated with this disease are mostly confined to the ovaries,
evolving from an endometrioma [11]. Reasons prompting
the malignancy to develop only form ovarian endometriosis
are largely unknown but probably due to the particular
microenvironment, present at this specific site.h i
The aim of this review is to highlight the interesting
relation between ovarian endometriomas and endometriosis-
associated ovarian cancer (EAOC): starting from their patho-
genesis, evaluating in parallel their relationships with men-
struation and ovulation, and ending with proposals for
possible common preventive strategies. 2. Ovarian Endometrioma 2.2. Effect of Ovulation Inhibition on Endometrioma Develop-
ment. Endometriosis is strongly correlated with a history of
infertility and nulliparity [1]. Unfortunately, measures for the
prevention of endometrioma before the clinical diagnosis are
not known. 2.1. Pathogenesis of Ovarian Endometrioma. Ovarian endo-
metriomas, also known as “chocolate cysts,” are benign
ovarian cyst containing thick, old blood that appears as a
brown fluid. The pathogenesis of ovarian endometrioma is
a continuous source of controversy. The theories proposed
by Hughesdon [12], Brosens et al. [13], Nezhat et al. [14], and
Vercellini et al. [15] are in agreement about the origin of the
cystic content: the regurgitated endometrium. Conversely,
the mechanism of cyst development is different among these
theories. It was initially assumed that past oral contraceptives
users are at higher risk for endometriosis. The explanation of
this paradigm is that dysmenorrhea, as a reason to initiate
estroprogestins, is significantly more common in women
with endometriosis than in women without the disease (“the
chicken or the egg causality dilemma”) [21]. Hughesdon in 1957 [12] suggested that endometrial im-
plants, located on the surface of the ovary, cause a gradual
invagination of the ovarian cortex, which results in a pseu-
docyst. Brosens et al. [13], in agreement with Hughesdon,
reported menstrual shedding and blood accumulation at
the site of the implants through ovariscopy. On the other
hand, Nezhat et al. [14] proposed that endometriomas may
develop as a result of secondary involvement of functional
ovarian cysts, while Vercellini et al. [15] hypothesized the
development specifically from hemorrhagic corpora lutea,
firstly suggesting a possible relation between ovulation and
endometriomas. A good in vivo model of “zero-time” for the study of the
endometrioma development is the period after a conservative
surgery for stripping of an endometrioma and the risk of
recurrence. Several studies have demonstrated the important
reduction of cyst recurrence after surgery for cystectomy in
case of prolonged ovulation inhibition, like during the use
of estroprogestin contraceptive pills. A recent meta-analysis
found a recurrent endometrioma one year after surgery in 8%
of “always” oral contraceptive users and in 34% of women
who do not use it (pooled odds ratio 0.12; 95% confidence
interval 0.05–0.29) [22]. This rate of recurrence, also during
constant ovulation inhibition, may indicate that ovulation is
not the only mechanism involved in endometrioma develop-
ment. 2. Ovarian Endometrioma However, the presence of bias such as the presence of
residual cyst after a noncomplete surgery cannot be excluded. Nisolle and Donnez in 1997 published a completely
different hypothesis about the development of the endometri-
oma: a celomic metaplasia of invaginated superficial ovarian
epithelium in typical glandular epithelium and stroma, thus
excluding the possible involvement of retrograde menstrua-
tion in endometrioma’s pathogenesis [16]. t
A progestin (dienogest) administered at dosages capable
of inhibiting ovulation demonstrated being efficient in reduc-
ing the stage of endometriosis, evaluated laparoscopically by
the revised American Fertility Society (rAFS) score [23]. In
addition progestins alone, such as norethisterone acetate and From the histopathologic point of view, “atypical endo-
metriomas” are regarded as the precursor lesions for most 3 3 BioMed Research International (b) (b) (a)
(b)
(c)
(d)
Figure 1: Specimens from our institution. (a) Typical endometrioma (20x EE). (b) Endometrioma with moderate atypia: initial hyperplasia
and cellular atypias (40x EE). (c) Endometrioma with severe atypia: marked hyperplasia and more evident cellular atypias (20x EE). (d)
Endometrioid carcinoma (40x EE). (a) (a) (b) (a) (d) (c) (d) (c) Figure 1: Specimens from our institution. (a) Typical endometrioma (20x EE). (b) Endometrioma with moderate atypia: initial hyperplasia
and cellular atypias (40x EE). (c) Endometrioma with severe atypia: marked hyperplasia and more evident cellular atypias (20x EE). (d)
Endometrioid carcinoma (40x EE). Retrograde menstruation
Ovulation
? ? Endometrioma
Celomic metaplasia
Atypical endometrioma
(atypia and/or hyperplasia)
Endometrioid carcinoma
Clear-cell carcinoma
Figure 2: The proposed step by step process of transformation from
retrograde menstruation to typical endometrioma, through atypical
endometrioma, and finally to endometrioid or clear-cell ovarian
cancer. GnRH agonist therapy, inducing amenorrhea and anovu-
lation, is a highly effective treatment option for many subjects
with endometriosis, but it is accompanied by nonnegligible
side effects of bone loss and menopausal symptoms. For these
reasons, its use should not exceed six months [25]. Retrograde menstruation 2.3. Effect of Menstruation Inhibition on Endometrioma
Development. In endometriosis, the cyclical bleeding could
be associated with a retrograde fall of blood containing
cytokines and other inflammation mediators secreted by
ischaemic endometrium. Accordingly, avoiding menstrual
bleeding may improve disease control and can increase the
effect of medical treatments on pain.hf Figure 2: The proposed step by step process of transformation from
retrograde menstruation to typical endometrioma, through atypical
endometrioma, and finally to endometrioid or clear-cell ovarian
cancer. 3.1. Pathogenesis of Endometriosis-Associated Ovarian
Cancer (EAOC) 3.1.1. Prevalence of Ovarian Cancer. Ovarian cancer remains
the most lethal gynaecological tumor and its prevalence
is increasing among gynaecologic malignancies, counting
worldwide for 3.7% of all female cancers and for 4.2% of all
oncologic deaths in women every year [30]. The reason for
this poor prognosis lies mostly in the lack of early detection
strategies and effective treatments at the progression after
surgical cytoreduction and front-line chemotherapy [31]. (serous?) Figure 3: The three “actors” involved in the pathogenesis of
serous, endometrioid, and clear-cell ovarian cancers: the retrograde
menstruation, the ovulation, and the fimbriae. More than 90% of ovarian tumors have epithelial origin,
while the rest of ovarian malignancies arise from germ cells or
granulosa-theca cells. Of all epithelial tumors, about 60–70%
are serous, 5% are mucinous, and 15% are either endometrioid
and clear-cell [32]. Based on the histopathologic and molec-
ular genetic alterations, serous ovarian carcinomas can be
further subdivided in high- (90–95%) and low-grade (5–10%)
subgroups, making up a total of 5 main types of epithelial
ovarian cancers with essential differences in epidemiological
and genetic risk factors, precursor lesions, patterns of spread,
oncogenetic mechanisms, and prognosis [33]. chronic anovulation, such as polycystic ovarian syndrome,
have no such protective effect [37]. Recent investigations have instead suggested that a sub-
stantial number of traditionally considered primary serous,
endometrioid, and clear-cell ovarian cancers originate in the
fallopian tube and the endometrium and involve the ovary
secondarily [33]. Studies of women with BRCA1 or BRCA2 mutations
undergoing risk reducing salpingooophorectomy have high-
lighted the distal fallopian tube as a common (80%) site of
tumor origin and additional studies of unselected women
with pelvic serous carcinoma have demonstrated that serous
tubal intraepithelial carcinoma (STIC) may precede a sig-
nificant percentage of these tumors [38]. The theory of the
pathogenesis from STIC at the fimbriated end of the Fallopian
tube is not confirmed by the fact that ovarian serous cancer
is prevented by tubal ligation, a procedure during which
the ampulla with its fimbriated end is usually preserved
[39]. Vercellini et al. [40] recently unified these theories,
proposing the “incessant menstruation” theory: the iron-
induced oxidative stress derived from retrograde menstru-
ation. The fimbriae, floating in bloody peritoneal fluid, are
exposed to the action of catalytic iron and to the genotoxic
effect of reactive oxygen species, generated from haemolysis
of erythrocytes by pelvic macrophages. 3. Endometriosis-Associated Ovarian Cancer Retrograde menstruation
Endometrioid, clear-cell
(serous?) Ovulation
Endometrioid, clear-cell
(serous?) 2. Ovarian Endometrioma f
There is no data in the literature reporting the effect of
tubal sterilization and the subsequent risk of developing an
endometrioma, but there are cases describing endometrio-
sis recurrence after hysterectomy. Likely, the recurrence of
disease after hysterectomy can be due to persistence of the
disease [26]. dienogest [23], given continuously, improve endometriosis-
related pain symptoms. Oral contraceptive pill containing
dienogest inhibits ovulation and maintains cyclic menstrual
bleeding. Still it is highly effective in controlling pain asso-
ciated with the disease, in particular dysmenorrhea, chronic
pelvic pain, and dyspareunia, and in improving quality of life
[24]. Following conservative surgery the continuous instead of
cyclic administration of a hormonal contraceptive, avoiding
cyclic menstrual flows, is associated with a greater reduction
of endometrioma recurrence [27, 28] and a more effective
pain management [24, 29]. These findings empirically suggest
that the development of endometrioma not only is dependent 4 BioMed Research International Ovulation
Retrograde menstruation
Fimbriae
Serous
Endometrioid, clear-cell
(serous?)
Endometrioid, clear-cell
(serous?)
Figure 3: The three “actors” involved in the pathogenesis of
serous, endometrioid, and clear-cell ovarian cancers: the retrograde
menstruation, the ovulation, and the fimbriae. on ovulation, but also is intrinsically connected with men-
struation. These findings should be taken into consideration
when counseling the patients on the most effective therapies
capable of avoiding recurrence of clinical disease, pain, and
associated infertility. 3.1. Pathogenesis of Endometriosis-Associated Ovarian
Cancer (EAOC) Endometriosis was associated with a significantly in-
creased risk of clear-cell and endometrioid invasive ovarian
cancer with an odds ratio ranging from 3.7 to 35.4. A recent
pooled analysis showed also a 2-fold increased risk for low-
grade serous carcinomas [46]. No association was reported
between endometriosis and mucinous or high-grade serous
ovarian cancer or borderline tumors of either subtype [46]. While endometriosis does share some aspects of malignancy,
such as increased growth and vascularization and tissue
invasion, in this disease the pivotal characteristics of cancer
(monoclonal expansion, genetic abnormalities, and replica-
tive advantage) remain to be defined [47]. Experimental
data seems to be consistent with the progression model for
carcinogenesis from the benign precursor to ovarian cancer
but they could not be unequivocally replicated. Activation of the PI3K/AKT pathway (through mutation
of PIK3CA and AKT or inactivating mutations of PTEN)
is a frequent event in clear-cell and endometrioid ovarian
cancers. Activating mutations in PIK3CA have been des-
cribed to occur in 33–40% of clear-cell ovarian cancer, and
loss of PTEN expression has been found in 40% of clear-
cell ovarian cancers and AKT2 amplification in 14% [59,
60]. At the same time, several studies described PI3K/AKT
pathway activation in endometriosis [61–64]; particularly
inactivation of PTEN was detected in more than 75% of
EAOCs [65] and in about 15% of endometriotic lesions [66]. In the endometriotic lesions, PI3K/AKT pathway regulates
FOXO1 protein, a member of the forkhead-box O family, and
the decidua-specific gene IGF binding protein-1 (IGFBP-1),
which are both involved in the decidualization of endometrial
cells. Interestingly, both inhibition of PI3K and AKT led to
increasing nuclear FOXO1 and IGFBP1 levels in response to
treatment with medroxyprogesterone acetate and dibutyryl
cAMP, supporting evidence that the increased PI3K/AKT
pathway is involved in the reduced decidual response in
endometriosis [67]. EAOC is described as an ovarian cancer having both
cancer cells and endometriosis in the same ovary, presence
of cancer in one ovary, and endometriosis in second ovary or
presence of ovarian cancer and pelvic endometriosis. Recent molecular studies have linked endometriosis with
ovarian cancer through pathways related to oxidative stress,
inflammation, and hyperestrogenism and finally to genomic
alterations [48] (Figure 4).i On the bases of the gene expression profile and some
histopathological and clinical features, ovarian cancer has
been divided into two distinct subgroups: type I and type II
ovarian cancers. 3.1. Pathogenesis of Endometriosis-Associated Ovarian
Cancer (EAOC) For other researchers the classification
of ovarian cancers into just two types is artificial and limits
the progress in understanding the biology of the disease: they
have proposed 5 clinically, morphologically, and molecularly
different classes of the disease, basing on different molecular
abnormalities (high-grade serous: BRCA, p53; low-grade
serous: BRAF, KRAS; mucinous: KRAS, HER2; endometri-
oid: PTEN, ARID1A; and clear-cell: HNF1, ARID1A) [33]. Notably, recent genome sequencing studies reported frequent
mutations of ARID1A and PIK3CA genes and moderate
mutations of PPP2R1A and KRAS in ovarian clear-cell carci-
nomas [51, 52] and frequent mutations of PTEN, CTNNB1,
and KRAS in endometrioid cancer [53, 54]. In accordance
with these results, activation of oncogenic KRAS and PI3K
pathways and inactivation of tumor suppressor genes PTEN
and ARID1A are suggested pathogenic mechanisms for clear-
cell and endometrioid ovarian cancers [55, 56]. Oxidative
stress Inflammatory
process Figure 4: Different mechanisms involved in the malignant transfor-
mation of an endometrioma. the following criteria for diagnosing the carcinomatous devel-
opment in endometriosis: (1) coexistence of carcinoma and
endometriosis within the same ovary, (2) a similar histolog-
ical pattern, and (3) exclusion of a second malignant tumor
elsewhere. In 1953, Scott has added a fourth criterion, which
is the demonstration of a histology-proven transition from
benign endometriosis to cancer [41]. Since then, a consid-
erable number of studies have indicated an increased risk of
epithelial ovarian cancer among women with endometriosis
[42–45], with a prevalence of ovarian cancer ranging from
0.7% to 17% of women with endometriosis [4].i Histologically benign endometriosis may harbor genetic
abnormalities that predispose for malignant transforma-
tion. The malignant transformation progresses gradually
from benign endometriosis to carcinoma through interme-
diary endometriotic lesions, such as atypical endometriosis. Mutations of ARID1A have been demonstrated in atypical
endometriosis, indicating the fact that ARID1A mutations
are an early event in the pathogenesis of EAOC. On the
other hand, no alterations of ARID1A expression were found
in the distal nonatypical endometriotic tissue of the same
patients [57]. These data suggest that ARID1A is a tumor
suppressor gene, whose loss of expression leads to a process
of precancerous transition. However, it is widely discussed
at which stage of ovarian cancer development ARID1A
mutations occur. In fact, several studies indicated that loss
of ARID1A expression is also observable in some cases of
nonatypical endometriomas [58]. 3.1. Pathogenesis of Endometriosis-Associated Ovarian
Cancer (EAOC) This would explain
also the distal site of tubal intraepithelial neoplasia. In their
opinion the likelihood of developing epithelial ovarian cancer
may be influenced not by the lifetime number of ovulations,
but by that of menstruations. The three “actors” involved
in the pathogenesis of serous, endometrioid, and clear-cell
ovarian cancers (the retrograde menstruation, the ovulation,
and the fimbriae) are schematically represented in Figure 3. 3.1.2. Pathogenesis of Epithelial Ovarian Cancer. Notably,
each histotype shows a morphological differentiation resem-
bling the normal cells that line the fallopian tube (serous),
endocervix (mucinous), endometrium (endometrioid), and
vagina (clear-cell).h 3.1.2. Pathogenesis of Epithelial Ovarian Cancer. Notably,
each histotype shows a morphological differentiation resem-
bling the normal cells that line the fallopian tube (serous),
endocervix (mucinous), endometrium (endometrioid), and
vagina (clear-cell).h The epidemiological and genetic risk factors, precursor
lesions, pattern of progression, and molecular events during
oncogenesis strongly suggest that mucinous cancers are
unique among epithelial ovarian malignancies and their
development is scarcely influenced by any reproductive factor
and thus is not reduced by anovulation and pregnancy [34]. For all these reasons, the possibilities of prevention during
reproductive life are scarce. Like those proposed for endometriomas, there are various
hypotheses formulated to explain ovarian carcinogenesis for
serous, endometrioid, and clear-cell tumors but none is
perfectly in agreement with epidemiological observations. Fathalla [35] proposed that ovulation implies a sort of
inflammatory response, with cellular infiltration as well as
the release of cytokines and chemokines. This chronic mech-
anism of cellular infiltration and cytokines release, along with
the exposure of the ovarian surface mesothelium to repeated
trauma and repair processes, may induce DNA damage and
result in malignant degeneration. The fundamental issue
unclarified in this hypothesis is that the reduction in ovarian
cancer risk achieved with tubal sterilization is not due
to ovulation inhibition [36]. Furthermore, diseases causing 3.1.3. Endometriosis-Associated Ovarian Cancer (EAOC). The
relationship between endometriosis and ovarian cancer was
firstly described by Sampson in 1927 [5]. Sampson proposed 5 BioMed Research International Malignant
transformation
Genomic
alterations
Inflammatory
process
Oxidative
stress
Estrogens
Figure 4: Different mechanisms involved in the malignant transfor-
mation of an endometrioma. malignant mesodermal, carcinosarcomas, and undifferenti-
ated tumors are classified as type II ovarian cancer. Type II
tumors, which include the majority of epithelial tumors, are
more aggressive and in up to 95% of patients TP53 is affected
by a mutation [49, 50]. 3.1. Pathogenesis of Endometriosis-Associated Ovarian
Cancer (EAOC) Type I ovarian cancer includes low-grade
and borderline serous, endometrioid, mucinous, and clear-
cell carcinomas. The most frequent mutations in this type
of tumors involve KRAS, BRAF, ERBB2, PTEN, PIK3CA,
b-catenin gene (CTNNB1), and ARID1A and PPP2R1A
genes. The other tumors, including high-grade serous, mixed 6 BioMed Research International 6 RTK
(i.e., EGRF/HER2)
KRAS
RAF
MEK1/2
pTEN
ERK1/2
PI3K
AKT
mTOR
ARID1A
Cell proliferation
Malignant transition
Figure 5: Molecular pathways involved in endometriosis-associated
ovarian cancer pathogenesis from endometriotic lesions. In par-
ticular, activation of oncogenic KRAS and PI3K pathways and
inactivation of tumor suppressor genes PTEN and ARID1A. cellular proliferation through the stimulation of cytokine
production, specifically interleukin- (IL-) 8, and RANTES
and also of prostaglandin E2 (PGE2) that can stimulate
the activity of aromatase, resulting in a positive feedback
loop in favor of hyperestrogenism. This highly proliferative
microenvironment in endometrioma presents an enhanced
level of reparative activity, with a higher chance for DNA
damage and mutations.f Among EAOC, there is an important difference in steroid
receptors: the clear-cell subtype typically does not express
estrogen (ER) and progesterone receptors (PR), while the
endometrioid subtype expresses both of them [76]. Expres-
sion of ER could be a pivotal point in the carcinogenic
pathway, separating the development of estrogen-dependent
carcinomas (endometrioid) from estrogen-independent car-
cinomas (clear-cell) [77]. According to some authors, patients with EAOC have a
lower stage of cancer, a distribution of histological subtypes
that differs from the general population, predominantly
lower-grade endometriosis lesions, and significantly better
overall survival as compared with other ovarian carcinomas
[48]. The possible explanation for this evidence is that
benign symptomatic disease leads to an increased number of
examinations and scans, which in turn may lead to an earlier
diagnosis of OC. Conversely, in other trials endometriosis per
se does not appear to predict prognosis especially in clear-
cell and endometrioid tumors, not resulting in a prolonged
overall survival [78]. Figure 5: Molecular pathways involved in endometriosis-associated
ovarian cancer pathogenesis from endometriotic lesions. In par-
ticular, activation of oncogenic KRAS and PI3K pathways and
inactivation of tumor suppressor genes PTEN and ARID1A. Mutations of the gene KRAS were found in 10–20%
of EAOCs [68–70]. In a more recent study, KRAS muta-
tions were identified in 29% of endometriosis-associated
endometrioid cancers but in only 3% of tumors in which
endometriosis was not identified, supporting the hypothesis
that KRAS mutations have an important role only in EAOCs
[71]. 3.1. Pathogenesis of Endometriosis-Associated Ovarian
Cancer (EAOC) Furthermore, Dinulescu et al. forced expression of
oncogenic KRAS or conditional PTEN deletion in ovarian
surface epithelium of a mouse model obtaining preneoplastic
ovarian lesions with an endometrial glandular morphology,
while the combination of both gave rise to invasive and widely
metastatic endometrioid ovarian cancer [72]. The pathways
involved in EAOC pathogenesis from endometriomas are
reassumed in Figure 5.l 3.2. Effect of Ovulation Inhibition on Ovarian Cancer Develop-
ment. Ovarian cancer risk is higher in nulliparous women,
with a history of “incessant ovulation” [79]. Long-term
artificial inhibition of ovulation can be obtained during
reproductive life with the use of hormonal contraceptives. About one-third of ovarian cancers are prevented by ever use
of a hormonal contraceptive [36, 80]. The longer the woman
uses hormonal contraceptives the greater is the reduction in
ovarian cancer risk, with the use for about 15 years reducing
the risk of ovarian cancer of about 50%. Interestingly, this
protective effect continues for more than 30 years after
hormonal contraceptive discontinuation, with a progressive
reduction over time. Also the mortality from ovarian cancer
is reduced in hormonal contraceptives users with a RR of 0.4
(95% CI, 0.3–0.6), which progressively declines in relation to
total duration of use [81]. The mechanism of this protection
is not fully understood but it seems to be directly connected
to the lifetime number of ovulatory cycles inhibited [82]. However, it seems that hormonal contraceptives provide a
stronger protective effect than expected from anovulatory
action alone.hf Chronic inflammation has been demonstrated in the
establishment and progression of endometriosis, through the
secretion of growth factors and proinflammatory cytokines,
including matrix metalloproteinase- (MMP-) 3, interleukin-
(IL-) 6, intercellular adhesion molecule-1, tumor necrosis
factor- (TNF-) alpha, and IL-8, inducing proliferation of peri-
toneal macrophages and mesothelial cells. The inflammatory
state increases during the menstrual phase, probably as the
consequence of the irritative stimulus induced by retrograde
menstruation [73]. Numerous studies have demonstrated an association
between hyperestrogenism and gynecologic malignancies,
including cancers of the breast, endometrium, and ovary
[45]. Several mechanisms facilitate the accumulation of an
excess of estrogens in endometriomas. The enzyme aromatase
is highly present in endometriomas [74]. Aromatase cat-
alyzes the conversion of androstenedione and testosterone,
derived from ovarian and adrenal sources, to estrone and
estradiol (E2), respectively. Furthermore, in endometriomas
the enzyme 17𝛽-hydroxysteroid-dehydrogenase (17𝛽-HSD)
type 2 is lacking. This enzyme can convert E2 to the less
potent estrogen estrone [75]. 3.1. Pathogenesis of Endometriosis-Associated Ovarian
Cancer (EAOC) Excess of E2 can result in The preventive effect of hormonal contraceptives is dif-
ferent among several histological subtypes: a lower degree of
risk reduction being observed for mucinous invasive cancers. After 5 years of hormonal contraceptive use, Beral et al. [82]
showed a risk reduction of 22.1% for serous, of 27.1% for
endometrioid, and of 21.3% for clear-cell carcinomas, but
only a nonsignificant 6.7% reduction for mucinous ones. A
study has estimated that women with endometriosis benefit
most from long-term inhibition of ovulation with hormonal 7 BioMed Research International contraceptives, experiencing a risk reduction of about 80%
following 10 years of use [83]. after the conservative surgery of an ovarian endometri-
oma. For all these reasons, in patients with ovarian endo-
metriosis, methods to inhibit ovulation and/or to reduce
retrograde menstruation should be strongly encouraged if
indicated, for the possibility to protect from endometrioma
recurrence, from the increased risk of transformation in
EOACs, and from the general incidence of high-grade serous
ovarian cancers, although probably similar to that of the
general population.h 3.3. Effect of Menstruation Inhibition on Ovarian Cancer
Development. An in vivo model of absence of retrograde
menstruation is tubal sterilization. A systematic meta-
analysis [39] observed a 34% reduction in the risk of ovarian
cancer after tubal sterilization (RR 0.66; 95% CI 0.60–
0.73). The overall protective effect afforded by tubal ligation
is substantially similar to that observed with hormonal
contraceptive use. Also regarding the histotypes, the effect
appears to be the same as for hormonal contraceptive use,
in particular, the greatest for endometrioid cancers (RR 0.40;
95% CI 0.30–0.53), slightly reduced but significant for serous
subtypes (RR 0.73; 95% CI 0.63–0.85), and absent for the
mucinous subgroup (RR 0.92; 95% CI 0.66–1.30). The pathogenetic transformation from endometriosis to
ovarian cancer is not fully understood, but it seems mainly
related to the cooperation of oxidative stress, inflamma-
tion, hyperestrogenism, and specific genomic alterations. A
pathogenetic view starting from endometrioma and atypical
endometrioma to EAOC seems plausible and supported by
the same gene mutations observed in atypical endometriosis
and EAOC. Consistently, also hysterectomy decreased the risk of
ovarian cancer (RR 0.64, 95% CI 0.48–0.85) [45, 84]. Atypical endometrioma with atypia and/or hyperplasia
is a relatively common figure in the histological specimens
of our surgeries (about one in twelve). 4. Conclusions Endometriosis is a relatively common disease in the general
population, affecting about one in ten women. Women
with endometriosis are at doubled-tripled risk of specific
gonadal malignancies. The ovarian cancer subtypes most
frequently associated with endometriosis are clear-cell and
endometrioid carcinomas that represent about 30% of total
ovarian cancers. Recent data demonstrated a doubled risk
also for low-grade serous ovarian cancers (about 5% of
ovarian cancers) while mucinous (about 5%) and high-grade
serous (about 60%) cancers appear not to be associated with
the disease. This last subtype is the most common epithelial
ovarian cancer, often presenting with an advanced disease
stage at diagnosis for the very early transcoelomic pattern of
spread, resulting in the poorest prognosis [33]. To conclude, the carcinogenetic potential of endometri-
oma is a continuous source of interest and its study may help
to clarify the pathogenesis of ovarian cancer and to better
adopt effective preventive strategies. In our review, we show how both endometriomas and
EAOCs are intrinsically and similarly dependent by the
number of ovulations and retrograde menstruations during
a woman reproductive life. Reduced number of pregnancies
and late pregnancies and reduced time of lactation have led to
a greater exposure of women to risk factors for endometriosis
and EAOC, such as ovulation and cyclic menstrual bleeding,
prompting an increased prevalence of these diseases. 3.1. Pathogenesis of Endometriosis-Associated Ovarian
Cancer (EAOC) Likely an increased
awareness to the characteristics of this entity will improve the
early detection of patients who are at highest risk of EOAC
and will provide further insights into this issue.h Unfortunately, there are no data on ovarian cancer risk
with the use of hormonal contraceptives given in a contin-
uous fashion, in order to avoid cyclic menstrual bleedings. Theoretically such hormonal contraceptive use should be
associated with a further reduction of ovarian cancer risk. There are some limitations about the data reviewed in
this paper. Firstly, the present study is a narrative review that
tends to be mainly descriptive, does not involve a systematic
search of the literature, and often focuses on a subset of
studies in an area chosen based on availability or author
selection, consisting in a possible selection bias. They can
also be confusing at times, particularly if similar studies have
diverging results and conclusions. Furthermore, this review
is not based on prospective randomized controlled trials but
mainly on large observational population studies. For these
reason, the results of the present review should be interpreted
with caution. Conflict of Interests The authors declare that there is no conflict of interests
regarding the publication of this paper. References [1] S. E. Bulun, “Endometriosis,” The New England Journal of Medi-
cine, vol. 360, no. 3, pp. 268–279, 2009. Multiple pregnancies reduce the risk for both the disor-
ders. Tubal sterilization, which avoids menstrual reflux in
peritoneal cavity, is associated with a similar decrease of
ovarian cancer risk (EAOCs and high-grade serous cancers)
and similarly hysterectomy reduces the risk of ovarian cancer. Furthermore, the risk for EAOCs and high-grade serous
cancers is also dramatically reduced by the use of hormonal
contraceptives that reduce the exposure to both ovulation
and cyclic menstrual reflux during reproductive life. Similarly
the continuous use of hormonal contraceptives particularly
in a continuous fashion reduces the risk of recurrence [2] T. Lapp, “ACOG issues recommendations for the management
of endometriosis,” American Family Physician, vol. 62, no. 6, pp. 1431–1434, 2000. [3] G. Grandi, A. Xholli, S. Ferrari, M. Cannoletta, A. Volpe, and
A. Cagnacci, “Intermenstrual pelvic pain, quality of life and
mood,” Gynecologic and Obstetric Investigation, vol. 75, no. 2,
pp. 97–100, 2013. [4] L. N. Heidemann, D. Hartwell, C. H. Heidemann, and K. M. Jochumsen, “The relation between endometriosis and ovarian BioMed Research International 8 8 Clinical Obstetrics and Gynaecology, vol. 18, no. 2, pp. 349–371,
2004. cancer—a review,” Acta Obstetricia et Gynecologica Scandinav-
ica, vol. 93, no. 1, pp. 20–31, 2014. [5] J. A. Sampson, “Peritoneal endometriosis due to menstrual
dissemination of endometrial tissue into the peritoneal cavity,”
American Journal of Obstetrics & Gynecology, vol. 14, pp. 422–
469, 1927. [21] E. Somigliana, P. Vercellini, P. Vigano, A. Abbiati, L. Benaglia,
and L. Fedele, “Endometriosis and estroprogestins: the chicken
or the egg causality dilemma,” Fertility and Sterility, vol. 95, no. 1, pp. 431–433, 2011. [6] J. S. Sanfilippo, N. G. Wakim, K. N. Schikler, and M. A. Yussman,
“Endometriosis in association with uterine anomaly,” American
Journal of Obstetrics & Gynecology, vol. 154, no. 1, pp. 39–43,
1986. [22] P. Vercellini, S. De Matteis, E. Somigliana, L. Buggio, M. P. Frattaruolo, and L. Fedele, “Long-term adjuvant therapy for
the prevention of postoperative endometrioma recurrence:
a systematic review and meta-analysis,” Acta Obstetricia et
Gynecologica Scandinavica, vol. 92, no. 1, pp. 8–16, 2013. [7] A. Salamanca and E. Beltran, “Subendometrial contractility
in menstrual phase visualized by transvaginal sonography in
patients with endometriosis,” Fertility and Sterility, vol. 64, no. 1, pp. 193–195, 1995. [23] G. K¨ohler, T. A. Faustmann, C. Gerlinger, C. Seitz, and A. O. References Mueck, “A dose-ranging study to determine the efficacy and
safety of 1, 2, and 4 mg of dienogest daily for endometriosis,”
International Journal of Gynecology and Obstetrics, vol. 108, no. 1, pp. 21–25, 2010. [8] S. Jenkins, D. L. Olive, and A. F. Haney, “Endometriosis: patho-
genetic implications of the anatomic distribution,” Obstetrics
and Gynecology, vol. 67, no. 3, pp. 335–338, 1986. [24] G. Grandi, A. Xholli, A. Napolitano, F. Palma, and A. Cagnacci,
“Pelvic pain and quality of life of women with endometriosis
during quadriphasic estradiol valerate/dienogest oral contra-
ceptive a patient-preference prospective 24-week pilot study,”
Reproductive Sciences, vol. 22, no. 5, pp. 626–632, 2015. [9] M. K. Cho, C. H. Kim, and S. T. Oh, “Endometriosis in a
patient with Rokitansky-Kuster-Hauser syndrome,” Journal of
Obstetrics and Gynaecology Research, vol. 35, no. 5, pp. 994–996,
2009. [10] M. Nisolle and J. Donnez, “Peritoneal endometriosis, ovarian
endometriosis, and adenomyotic nodules of the rectovaginal
septum are three different entities,” Fertility and Sterility, vol. 68, no. 4, pp. 585–596, 1997. [25] A. D. DiVasta and M. R. Laufer, “The use of gonadotropin
releasing hormone analogues in adolescent and young patients
with endometriosis,” Current Opinion in Obstetrics & Gynecol-
ogy, vol. 25, no. 4, pp. 287–292, 2013. [11] R. J. Kurman and I.-M. Shih, “The origin and pathogenesis
of epithelial ovarian cancer: a proposed unifying theory,” The
American Journal of Surgical Pathology, vol. 34, no. 3, pp. 433–
443, 2010. [26] B. Rizk, A. S. Fischer, H. A. Lotfy et al., “Recurrence of
endometriosis after hysterectomy,” Facts, Views & Vision in
ObGyn, vol. 6, no. 4, pp. 219–227, 2014. [27] N. Vlahos, A. Vlachos, O. Triantafyllidou, N. Vitoratos, and G. Creatsas, “Continuous versus cyclic use of oral contraceptives
after surgery for symptomatic endometriosis: a prospective
cohort study,” Fertility and Sterility, vol. 100, no. 5, pp. 1337–1342,
2013. [12] P. E. Hughesdon, “The structure of endometrial cysts of the
ovary,” Journal of Obstetrics and Gynecology British Empire, vol. 44, pp. 69–84, 1957. [13] I. A. Brosens, P. J. Puttemans, and J. Deprest, “The endoscopic
localization of endometrial implants in the ovarian chocolate
cyst,” Fertility and Sterility, vol. 61, no. 6, pp. 1034–1038, 1994. [28] R. Seracchioli, M. Mabrouk, C. Frasc`a et al., “Long-term cyclic
and continuous oral contraceptive therapy and endometrioma
recurrence: a randomized controlled trial,” Fertility and Sterility,
vol. 93, no. 1, pp. 52–56, 2010. [14] F. Nezhat, C. Nezhat, C. J. References Allan, D. A. Metzger, and D. L. Sears, “Clinical and histologic classification of endometriomas. Implications for a mechanism of pathogenesis,” Journal of
Reproductive Medicine, vol. 37, no. 9, pp. 771–776, 1992. [29] R. Seracchioli, M. Mabrouk, C. Frasc`a, L. Manuzzi, L. Savelli,
and S. Venturoli, “Long-term oral contraceptive pills and
postoperative pain management after laparoscopic excision of
ovarian endometrioma: a randomized controlled trial,” Fertility
and Sterility, vol. 94, no. 2, pp. 464–471, 2010. [15] P. Vercellini, E. Somigliana, P. Vigano, A. Abbiati, G. Barbara,
and L. Fedele, “‘Blood on the Tracks’ from corpora lutea to
endometriomas,” BJOG, vol. 116, no. 3, pp. 366–371, 2009. [16] M. Nisolle and J. Donnez, “Peritoneal endometriosis, ovarian
endometriosis, and adenomyotic nodules of the rectovaginal
septum are three different entities,” Fertility and Sterility, vol. 68, no. 4, pp. 585–596, 1997. [30] J. Ferlay, H.-R. Shin, F. Bray, D. Forman, C. Mathers, and D. M. Parkin, “Estimates of worldwide burden of cancer in 2008:
GLOBOCAN 2008,” International Journal of Cancer, vol. 127, no. 12, pp. 2893–2917, 2010. [17] Y. Tanase, N. Furukawa, H. Kobayashi, and T. Matsumoto,
“Malignant transformation from endometriosis to atypical
endometriosis and finally to endometrioid adenocarcinoma
within 10 years,” Case Reports in Oncology, vol. 6, no. 3, pp. 480–
484, 2013. [31] T. Thigpen, “A rational approach to the management of recur-
rent or persistent ovarian carcinoma,” Clinical Obstetrics and
Gynecology, vol. 55, no. 1, pp. 114–130, 2012. [32] S. C. Mok, J. Kwong, W. R. Welch et al., “Etiology and patho-
genesis of epithelial ovarian cancer,” Disease Markers, vol. 23,
no. 5-6, pp. 367–376, 2007. [18] B. Czernobilsky and W. J. Morris, “A histologic study of ovarian
endometriosis with emphasis on hyperplastic and atypical
changes,” Obstetrics and Gynecology, vol. 53, no. 3, pp. 318–323,
1979. [33] J. Prat, “New insights into ovarian cancer pathology,” Annals of
Oncology, vol. 23, supplement 10, Article ID mds300, pp. x111–
x117, 2012. [19] E. J. Thomas and I. G. Campbell, “Evidence that endometriosis
behaves in a malignant manner,” Gynecologic and Obstetric
Investigation, vol. 50, no. 1, pp. 2–10, 2000. [34] D. W. Cramer and H. Xu, “Epidemiologic evidence for uterine
growth factors in the pathogenesis of ovarian cancer,” Annals of
Epidemiology, vol. 5, no. 4, pp. 310–314, 1995. [20] T. Van Gorp, F. Amant, P. Neven, I. Vergote, and P. References Moerman,
“Endometriosis and the development of malignant tumours of
the pelvis: a review of literature,” Best Practice and Research: [35] M. F. Fathalla, “Incessant ovulation—a factor in ovarian neopla-
sia?” The Lancet, vol. 298, no. 7716, p. 163, 1971. BioMed Research International 9 [36] D. Cibula, A. Gompel, A. O. Mueck et al., “Hormonal contra-
ception and risk of cancer,” Human Reproduction Update, vol. 16, no. 6, pp. 631–650, 2010. [53] I. K. Kolasa, A. Rembiszewska, A. Janiec-Jankowska et al.,
“PTEN mutation, expression and LOH at its locus in ovarian
carcinomas. Relation to TP53, K-RAS and BRCA1 mutations,”
Gynecologic Oncology, vol. 103, no. 2, pp. 692–697, 2006. [37] J. M. Schildkraut, P. J. Schwingl, E. Bastos, A. Evanoff, and C. Hughes, “Epithelial ovarian cancer risk among women with
polycystic ovary syndrome,” Obstetrics and Gynecology, vol. 88,
no. 4, pp. 554–559, 1996. [54] J. Palacios and C. Gamallo, “Mutations in the beta-catenin
gene (CTNNB1) in endometrioid ovarian carcinomas,” Cancer
Research, vol. 58, no. 7, pp. 1344–1347, 1998. [38] A. K. Folkins, E. A. Jarboe, M. H. Roh, and C. P. Crum, “Precur-
sors to pelvic serous carcinoma and their clinical implications,”
Gynecologic Oncology, vol. 113, no. 3, pp. 391–396, 2009. [55] J. Madore, F. Ren, A. Filali-Mouhim et al., “Characterization of
the molecular differences between ovarian endometrioid carci-
noma and ovarian serous carcinoma,” The Journal of Pathology,
vol. 220, no. 3, pp. 392–400, 2010. [39] D. Cibula, M. Widschwendter, O. M´ajek, and L. Dusek, “Tubal
ligation and the risk of ovarian cancer: review and meta-
analysis,” Human Reproduction Update, vol. 17, no. 1, pp. 55–67,
2011. [56] C. Banz, U. Ungethuem, R.-J. Kuban, K. Diedrich, E. Lengyel,
and D. Hornung, “The molecular signature of endometriosis-
associated endometrioid ovarian cancer differs significantly
from endometriosis-independent endometrioid ovarian can-
cer,” Fertility and Sterility, vol. 94, no. 4, pp. 1212–1217, 2010. [40] P. Vercellini, P. Crosignani, E. Somigliana et al., “The ‘incessant
menstruation’ hypothesis: a mechanistic ovarian cancer model
with implications for prevention,” Human Reproduction, vol. 26,
no. 9, pp. 2262–2273, 2011. [57] S. Cornen, J. Adelaide, F. Bertucci et al., “Mutations and dele-
tions of ARID1A in breast tumors,” Oncogene, vol. 31, no. 38, pp. 4255–4256, 2012. [41] R. B. Scott, “Malignant changes in endometriosis.,” Obstetrics
and Gynecology, vol. 2, no. 3, pp. 283–289, 1953. [58] S. Yamamoto, H. Tsuda, M. Takano, S. Tamai, and O. References Matsubara,
“Loss of ARID1A protein expression occurs as an early event
in ovarian clear-cell carcinoma development and frequently
coexists with PIK3CA mutations,” Modern Pathology, vol. 25,
no. 4, pp. 615–624, 2012. [42] L. A. Brinton, G. Gridley, I. Persson, J. Baron, and A. Bergqvist,
“Cancer risk after a hospital discharge diagnosis of endometrio-
sis,” American Journal of Obstetrics & Gynecology, vol. 176, no. 3, pp. 572–579, 1997. [59] R. Popovic and J. D. Licht, “Emerging epigenetic targets and
therapies in cancer medicine,” Cancer Discovery, vol. 2, no. 5,
pp. 405–413, 2012. [43] M. Erzen and J. Kovacic, “Relationship between endometriosis
and ovarian cancer,” European Journal of Gynaecological Oncol-
ogy, vol. 19, pp. 553–555, 1998. [44] S. Ogawa, T. Kaku, S. Amada et al., “Ovarian endometriosis
associated with ovarian carcinoma: a clinicopathological and
immunohistochemical study,” Gynecologic Oncology, vol. 77, no. 2, pp. 298–304, 2000. [60] E. P. Samartzis, A. Noske, K. J. Dedes, D. Fink, and P. Imesch,
“ARID1A mutations and PI3K/AKT pathway alterations in
endometriosis and endometriosis-associated ovarian carcino-
mas,” International Journal of Molecular Sciences, vol. 14, no. 9,
pp. 18824–18849, 2013. [45] A. Melin, P. Spar´en, I. Persson, and A. Bergqvist, “Endometrio-
sis and the risk of cancer with special emphasis on ovarian
cancer,” Human Reproduction, vol. 21, no. 5, pp. 1237–1242, 2006. [61] P. Liu, H. Cheng, T. M. Roberts, and J. J. Zhao, “Targeting the
phosphoinositide 3-kinase pathway in cancer,” Nature Reviews
Drug Discovery, vol. 8, no. 8, pp. 627–644, 2009. [46] C. L. Pearce, C. Templeman, M. A. Rossing et al., “Association
between endometriosis and risk of histological subtypes of
ovarian cancer: a pooled analysis of case-control studies,” The
Lancet Oncology, vol. 13, no. 4, pp. 385–394, 2012. [62] X. Yin, M. E. Pavone, Z. Lu, J. Wei, and J. J. Kim, “Increased
activation of the PI3K/AKT pathway compromises decidualiza-
tion of stromal cells from endometriosis,” The Journal of Clinical
Endocrinology & Metabolism, vol. 97, no. 1, pp. E35–E43, 2012. [47] P. Vigan´o, E. Somigliana, I. Chiodo, A. Abbiati, and P. Vercellini,
“Molecular mechanisms and biological plausibility underlying
the malignant transformation of endometriosis: a critical analy-
sis,” Human Reproduction Update, vol. 12, no. 1, pp. 77–89, 2006. [63] P. Laudanski, J. Szamatowicz, O. Kowalczuk, M. Ku´zmicki, M. Grabowicz, and L. Chyczewski, “Expression of selected tumor
suppressor and oncogenes in endometrium of women with
endometriosis,” Human Reproduction, vol. 24, no. 8, pp. 1880–
1890, 2009. [48] M. References J. Worley Jr., W. R. Welch, R. S. Berkowitz, and S.-W. Ng,
“Endometriosis-associated ovarian cancer: a review of patho-
genesis,” International Journal of Molecular Sciences, vol. 14, no. 3, pp. 5367–5379, 2013. [64] N. Sato, H. Tsunoda, M. Nishida et al., “Loss of heterozygosity
on 10q23.3 and mutation of the tumor suppressor gene PTEN
in benign endometrial cyst of the ovary: possible sequence
progression from benign endometrial cyst to endometrioid
carcinoma and clear cell carcinoma of the ovary,” Cancer
Research, vol. 60, no. 24, pp. 7052–7056, 2000. [49] R. J. Kurman, “Origin and molecular pathogenesis of ovarian
high-grade serous carcinoma,” Annals of Oncology, vol. 24,
supplement 10, pp. x16–x21, 2013. [50] R. J. Kurman and I.-M. Shih, “Pathogenesis of ovarian cancer:
lessons from morphology and molecular biology and their
clinical implications,” International Journal of Gynecological
Pathology, vol. 27, no. 2, pp. 151–160, 2008. [65] J. P. Orezzoli, A. H. Russell, E. Oliva, M. G. Del Carmen, J. Eich-
horn, and A. F. Fuller, “Prognostic implication of endometriosis
in clear cell carcinoma of the ovary,” Gynecologic Oncology, vol. 110, no. 3, pp. 336–344, 2008. [51] K. C. Wiegand, S. P. Shah, O. M. Al-Agha et al., “ARID1A muta-
tions in endometriosis-associated ovarian carcinomas,” The
New England Journal of Medicine, vol. 363, no. 16, pp. 1532–1543,
2010. [66] I. Gounaris, D. S. Charnock-Jones, and J. D. Brenton, “Ovarian
clear cell carcinoma-bad endometriosis or bad endometrium?”
Journal of Pathology, vol. 225, no. 2, pp. 157–160, 2011. [52] S. Jones, T.-L. Wang, I.-M. Shih et al., “Frequent mutations
of chromatin remodeling gene ARID1A in ovarian clear cell
carcinoma,” Science, vol. 330, no. 6001, pp. 228–231, 2010. [67] J. A. Engelman, “Targeting PI3K signalling in cancer: opportu-
nities, challenges and limitations,” Nature Reviews Cancer, vol. 9, no. 8, pp. 550–562, 2009. BioMed Research International 10 [83] F. Modugno, R. B. Ness, G. O. Allen, J. M. Schildkraut, F. G. Davis, and M. T. Goodman, “Oral contraceptive use, repro-
ductive history, and risk of epithelial ovarian cancer in women
with and without endometriosis,”American Journal of Obstetrics
& Gynecology, vol. 191, no. 3, pp. 733–740, 2004. [68] V. Auner, G. Kriegsh¨auser, D. Tong et al., “KRAS mutation
analysis in ovarian samples using a high sensitivity biochip
assay,” BMC Cancer, vol. 9, article 111, 2009. [69] D. Mayr, A. Hirschmann, U. L¨ohrs, and J. References Diebold, “KRAS and
BRAF mutations in ovarian tumors: a comprehensive study
of invasive carcinomas, borderline tumors and extraovarian
implants,” Gynecologic Oncology, vol. 103, no. 3, pp. 883–887,
2006. [84] A. Green, D. Purdie, L. Green, M. L. Dick, C. Bain, and V. Siskind, “Tubal sterilisation, hysterectomy and decreased risk
of ovarian cancer. Survey of Women’s Health Study Group,”
Australian and New Zealand Journal of Public Health, vol. 21,
pp. 337–340, 1997. [70] J. T. Geyer, M. A. L´opez-Garc´ıa, C. S´anchez-Estevez et al.,
“Pathogenetic pathways in ovarian endometrioid adenocarci-
noma: a molecular study of 29 cases,” The American Journal of
Surgical Pathology, vol. 33, no. 8, pp. 1157–1163, 2009. [71] C. J. R. Stewart, Y. Leung, M. D. Walsh, R. J. Walters, J. P. Young,
and D. D. Buchanan, “KRAS mutations in ovarian low-grade
endometrioid adenocarcinoma: association with concurrent
endometriosis,” Human Pathology, vol. 43, no. 8, pp. 1177–1183,
2012. [72] D. M. Dinulescu, T. A. Ince, B. J. Quade, S. A. Shafer, D. Crowley,
and T. Jacks, “Role of K-ras and Pten in the development of
mouse models of endometriosis and endometrioid ovarian can-
cer,” Nature Medicine, vol. 11, no. 1, pp. 63–70, 2005. [73] C. M. Kyama, L. Overbergh, S. Debrock et al., “Increased
peritoneal and endometrial gene expression of biologically
relevant cytokines and growth factors during the menstrual
phase in women with endometriosis,” Fertility and Sterility, vol. 85, no. 6, pp. 1667–1675, 2006. [74] K. M. Zeitoun and S. E. Bulun, “Aromatase: a key molecule in
the pathophysiology of endometriosis and a therapeutic target,”
Fertility and Sterility, vol. 72, no. 6, pp. 961–969, 1999. [75] K. Zeitoun, K. Takayama, H. Sasano et al., “Deficient 17𝛽-hy-
droxysteroid dehydrogenase type 2 expression in endometrio-
sis: failure to metabolize 17𝛽-estradiol,” Journal of Clinical
Endocrinology and Metabolism, vol. 83, no. 12, pp. 4474–4480,
1998. [76] R. A. Soslow, “Histologic subtypes of ovarian carcinoma: an
overview,” International Journal of Gynecological Pathology, vol. 27, no. 2, pp. 161–174, 2008. [77] M. Mandai, K. Yamaguchi, N. Matsumura, T. Baba, and I. Konishi, “Ovarian cancer in endometriosis: molecular biology,
pathology, and clinical management,” International Journal of
Clinical Oncology, vol. 14, no. 5, pp. 383–391, 2009. [78] J. Cuff and T. A. Longacre, “Endometriosis does not confer
improved prognosis in ovarian carcinoma of uniform cell type,”
The American Journal of Surgical Pathology, vol. 36, no. 5, pp. 688–695, 2012. [79] E. H¨ogn¨as, A. Kauppila, E. Pukkala, and J. References S. Tapanainen,
“Cancer risk in women with 10 or more deliveries,” Obstetrics
and Gynecology, vol. 123, no. 4, pp. 811–816, 2014. [80] P. C. Hannaford, S. Selvaraj, A. M. Elliott, V. Angus, L. Iversen,
and A. J. Lee, “Cancer risk among users of oral contraceptives:
cohort data from the Royal College of General Practitioners’
oral contraception study,” British Medical Journal, vol. 335,
article 651, 2007. [81] M. Vessey, D. Yeates, and S. Flynn, “Factors affecting mortality
in a large cohort study with special reference to oral contracep-
tive use,” Contraception, vol. 82, no. 3, pp. 221–229, 2010. [82] Collaborative Group on Epidemiological Studies of Ovarian
Cancer, “Ovarian cancer and oral contraceptives: collaborative
reanalysis of data from 45 epidemiological studies including
23,257 women with ovarian cancer and 87,303 controls,” The
Lancet, vol. 371, no. 9609, pp. 303–314, 2008. References Submit your manuscripts at
http://www.hindawi.com
Stem Cells
International
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
MEDIATORS
INFLAMMATION
of
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Behavioural
Neurology
Endocrinology
International Journal of
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Disease Markers
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
BioMed
Research International
Oncology
Journal of
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Oxidative Medicine and
Cellular Longevity
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
PPAR Research
The Scientific
World Journal
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Immunology Research
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Journal of
Obesity
Journal of
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Computational and
Mathematical Methods
in Medicine
Ophthalmology
Journal of
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Diabetes Research
Journal of
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Research and Treatment
AIDS
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Gastroenterology
Research and Practice
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Parkinson’s
Disease
Evidence-Based
Complementary and
Alternative Medicine
Volume 2014
Hindawi Publishing Corporation
http://www.hindawi.com Submit your manuscripts at
http://www.hindawi.com
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
MEDIATORS
INFLAMMATION
of
Endocrinology
International Journal of
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Disease Markers
The Scientific
World Journal
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Immunology Research
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Journal of
Diabetes Research
Journal of
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Gastroenterology
Research and Practice Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Disease Markers The Scientific
World Journal
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014 The Scientific
World Journal
Hindawi Publishing Corporation Endocrinology
International Journal of
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014 Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
BioMed
Research International Submit your manuscripts at
http://www.hindawi.com Stem Cells
International
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Behavioural
Neurology
Oncology
Journal of
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Oxidative Medicine and
Cellular Longevity
Obesity
Journal of
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Computational and
Mathematical Methods
in Medicine
Ophthalmology
Journal of
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Research and Treatment
AIDS
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Parkinson’s
Disease
Evidence-Based
Complementary and
Alternative Medicine
Volume 2014
Hindawi Publishing Corporation
http://www.hindawi.com Stem Cells
International
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Behavioural
Neurology
Oncology
Journal of
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Oxidative Medicine and
Cellular Longevity
Obesity
Journal of
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Computational and
Mathematical Methods
in Medicine
Ophthalmology
Journal of
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Research and Treatment
AIDS
Hindawi Publishing Corporation
http://www.hindawi.com
Volume 2014
Parkinson’s
Disease
Evidence-Based
Complementary and
Alternative Medicine
Volume 2014
Hindawi Publishing Corporation
http://www.hindawi.com
|
https://openalex.org/W2128303519
|
https://surface.syr.edu/cgi/viewcontent.cgi?article=1002&context=cpr
|
English
| null |
Physician Sovereignty: The Dangerous Persistence of an Obsolete Idea
|
Social Science Research Network
| 2,009
|
cc-by
| 6,874
|
Physician Sovereignty: The Dangerous Persistence of an Obsolete
Physician Sovereignty: The Dangerous Persistence of an Obsolete
Idea
Idea David M. Lawrence
University of Washington Follow this and additional works at: https://surface.syr.edu/cpr Part of the Medicine and Health Commons Syracuse University
Syracuse University
SURFACE at Syracuse University
SURFACE at Syracuse University Institutes, Research Centers, and Campus
Groups Recommended Citation
Recommended Citation Recommended Citation
Recommended Citation
Lawrence, David M., "Physician Sovereignty: The Dangerous Persistence of an Obsolete Idea" (2009). Center for Policy Research. 3. https://surface.syr.edu/cpr/3 Recommended Citation
Recommended Citation
Lawrence, David M., "Physician Sovereignty: The Dangerous Persistence of an Obsolete Idea" (2009). Center for Policy Research. 3. https://surface syr edu/cpr/3 This Policy Brief is brought to you for free and open access by the Institutes, Research Centers, and Campus
Groups at SURFACE at Syracuse University. It has been accepted for inclusion in Center for Policy Research by an
authorized administrator of SURFACE at Syracuse University. For more information, please contact
surface@syr.edu. Policy Brief Center for Policy Research International Technology Transfer
for Climate Policy
David Popp
No. 39/2008
Physician Sovereignty:
The Dangerous Persistence
of an Obsolete Idea
David Lawrence
No. 40/2009 International Technology Tran
for Climate Policy
Physician Sovereignty:
The Dangerous Persistence
of an Obsolete Idea David Lawrence Center for Po No. 39/2008
No. 40/2009 David Lawrence, MD, MPH, was CEO and Chairman of Kaiser
Permanente, the largest nonprofit health care system in the world,
from 1991 to 2002. He is a member of the Institute of Medicine,
the RAND Health Advisory Board, and a founding member of the
Lucien Leape Institute of the National Patient Safety Foundation. He is the author of From Chaos to Care: The Promise of Team-
Based Medicine (2002, Perseus Press). Prior to joining Kaiser
Permanente, Dr. Lawrence served as Health Officer and Director of
Human Services in Multnomah County, Oregon; on the faculty of
the School of Public Health and Community Medicine, University
of Washington; as Advisor to the Ministry of Health of Chile;
and as a Peace Corps physician in the Dominican Republic and
Washington, DC, and Director of the Office of Medical Programs
for the Peace Corps. He earned his MPH at the University of
Washington, MD at the University of Kentucky, and BA at
Amherst College. Dr. Lawrence also deliverd the 1995 Lourie
Lecture. The Herbert Lourie Memorial Lecture on Health Policy, sponsored
by the Maxwell School of Citizenship and Public Affairs of
Syracuse University and the Central New York Community
Foundation, Inc., honors the memory of Herbert Lourie, MD, a
distinguished Syracuse neurosurgeon, professor, and community
leader for nearly 30 years. Generous contributions from his family,
friends, colleagues, and former patients have endowed this series. The Policy Brief series is a collection of essays on current public
policy issues in aging, health, income security, metropolitan
studies, public finance, and related research done by or on behalf
of the Center for Policy Research (CPR) at the Maxwell School of
Syracuse University. Single copies of this publication may be obtained at no cost from
the CPR website at http://www-cpr.maxwell.syr.edu or from the
Center for Policy Research, 426 Eggers Hall, Syracuse, New York
13244-1020. © 2009, Syracuse University. This publication may be distributed
freely for educational and research uses as long as this copyright
notice is attached. No commercial use of this material may be
made without express written permission. Policy Brief Physician Sovereignty:
The Dangerous Persistence
of an Obsolete Idea David Lawrence Physician Sovereignty:
The Dangerous Persistence
of an Obsolete Idea Physician Sovereignty:
The Dangerous Persistence
of an Obsolete Idea To a large extent, my career has involved working with others to
change health care institutions. It’s like running a marathon in a tar
pit. To this day I am struck by how difficult it is to change the way
we have practiced medicine throughout most of the 20th century. Let me give you some examples. In a 2004 interview, John Wennberg, a Lourie Lecturer, and the
force behind the small area variation analysis, observed that little
has changed in the wide variations in physician practices from
community to community during the 30 years his group has been
studying variation.1 In the RAND study of electronic medical records and information
technology diffusion in health care in 2006, the team reported
that fewer than 5% of physicians had fully developed electronic
medical records (EMRs). Moreover, without significant incentives
it will take another 15 to 20 years before the majority of physicians
have EMRs that enable them to practice modern medicine.2 Since the publication of the landmark Institute of Medicine
studies in 1999 and 2001 that called for care integration, better
organization of care, team-based care, and implementation of
best practices for safety, my impression is that, if anything, safety
has deteriorated because the pace of scientific and technological
innovation has outstripped the ability of institutions to keep
pace.3 More and more powerful tools are invented every day— 1 Lourie Lecture Policy Brief therapeutics, diagnostics, surgical interventions—but the systems
to incorporate them safely remain primitive. Another example. In 2003, a RAND-UCLA study reported that
patients get scientifically appropriate care just over 50% of the
time in ambulatory settings.4 Why? Why is the system so resistant
to change? Why do innovations diffuse so slowly and unevenly
into the care system? This is the question I’d like to address today. At the outset, I’d offer two caveats. First, I’m a former (my
wife would say a “recovering”) CEO, and now an olive grower,
decades removed from my stint as an academic and researcher. Instead of data I speak with anecdotes carefully chosen to support
my position. This talk, then, is largely a data-free zone. If you’re
looking for quantitative analyses of the sort that my colleagues do
beautifully, you will be disappointed. I make no apologies; it is,
one might say, a privilege of age. Second, I normally use PowerPoint. Physician Sovereignty:
The Dangerous Persistence
of an Obsolete Idea The subject of this lecture is
more suited to a conversation, however, so you won’t see tables,
graphs, clever cartoons or Microsoft-inspired animation today. The Sovereign Physician Model The heart of the matter is this: to quote Pogo, “We have met the
enemy and it is us.” We doctors are the problem, not because we
are venal or self-serving or insulated from reality. Far from it. The heart of the matter is this: to quote Pogo, “We have met the
enemy and it is us.” We doctors are the problem, not because we
are venal or self-serving or insulated from reality. Far from it. Most of us are hard-working, dedicated professionals. We are the
problem, though, because of the way our profession developed in
the 20th century. This model is no longer appropriate for what lies
ahead. Most of us are hard-working, dedicated professionals. We are the
problem, though, because of the way our profession developed in
the 20th century. This model is no longer appropriate for what lies
ahead. I’ve entitled this talk “The Sovereign Physician: The Dangerous
Persistence of an Obsolete Idea.” The notion of the sovereign
physician comes from Paul Starr’s (1982) work, The Social
Transformation of American Medicine: The Rise of a Sovereign 2 2 David Lawrence David Lawrence Profession and the Making of a Vast Industry.5 Starr argues that
the rise of the sovereign profession we know today was neither
inevitable nor foreordained. It was instead the result of a long
struggle to establish the modern medical profession in the face of
other competitors and forces. Sovereignty is neither good nor bad
in and of itself. It is its manifestations in medical practice, and its
suitability for the future, that is of concern. Manifestations of Physician Sovereignty The first consequence of sovereignty is that it placed our
profession in control of payment and of the definition of the
scope of practice, and it put us in the driver’s seat with regard to
regulation and the medical hierarchy. It also, not directly perhaps
but certainly indirectly, reinforced the idea of the physician as an
independent entrepreneur, a craftsman. Finally, it underscored the
notion that the physician, each physician, acts independently on
behalf of his or her patients. Think about this. When only one doctor treats a patient, this
can work. But when a patient with a chronic disease or complex
clinical problem has multiple doctors, each acting independently,
each making decisions that reflect his or her view of what’s best for
the patient, the result is often confusion and poor care. In my view, this organizing model fosters fragmentation and
duplication, slows the diffusion of new science and technology,
and stifles innovation in care delivery by forcing potential
innovations to conform to the traditional autonomous physician
model and depend on the willingness of each physician to change. The sovereign model is also a major contributor to medical cost
inflation because it encourages variation in clinical practice;
poor organization of care; mis-use, over-use, and under-use of
diagnostic and therapeutic tools; and errors one of every 10 times
we do something.6 The result is waste: the costs of poor quality, 3 Lourie Lecture Policy Brief that may be as high as 30 to 50 cents of every dollar spent on
health care.7 Contrary to popular political rhetoric about profligate insurance
companies or lack of focus on prevention, or weak incentives for
consumers to use the system properly, the core problem today is
the way the care system operates: a delivery model built on the
principle of physician sovereignty. Why Is Physician Sovereignty Wrong for the Future? Why Is Physician Sovereignty Wrong for the Future? More important than its contribution to the current problems, the
sovereign physician model is wrong for the future. Let me cite
several challenges that lie ahead, and in each case identify why the
model is not appropriate for what we face. The Growing Chronic Disease Burden Over the next decades, we can anticipate a dramatic increase in the
frequency of chronic illness driven by demography, socioeconomic
status, and discoveries in health care. According to CDC estimates,
approximately 75% of the total U.S. expenditure for health care
is for chronic disease care. That is with 12% of the population
over 65. By 2025, more than 20% of the population will be 65
years of age or older, driving the rate of chronic illness and total
expenditures on chronic disease up further as well. This is not just
a U.S. problem. China, Japan, Singapore, and most countries of
Western Europe face even more rapidly aging populations than we
do. Why does this matter, the sovereign physician idea, the single
physician advocating for his or her patient? Chronic care
management is best done by a team that may include several
physician specialists (depending on the complexity of the illness)
and the support of other professionals who bring other elements 4 David Lawrence of the rapidly emerging and broadening science that impacts on
chronic disease outcomes. For example: Children with Asthma At Kaiser Permanente, several pediatricians have instituted a
program in which an asthma specialist-pediatrician worked with
a pharmacist, nurse educator, nurse visitor, social worker, etc., to
take care of asthmatic children and their families.8 The frequency
with which the children needed the emergency room (ER) and
required hospitalization after joining this team-based approach
dropped to nearly zero. The team was able to help the family
intervene quickly when problems arose, do home visits, provide
patient education, and help the family become the primary care
providers of their asthma care. The approach was cost-effective,
improved clinical outcomes, and significantly improved the quality
of life for the patients and families alike. Chronic Renal Dialysis Chronic Renal Dialysis Let’s take another example: patients on chronic renal dialysis. A
natural experiment occurred in northern California when we were
able to compare the clinical outcomes for patients on renal dialysis
cared for by a team of professionals within Kaiser Permanente
with care provided by nephrologists practicing alone outside of
Kaiser Permanente. The Kaiser Permanente team included a
nephrologist, social worker, nutritionist, and pharmacist. The
private nephrologists provided the care themselves without the
support of a team. The frequency with which patients came to the
ER with complications of their dialysis was significantly lower for
patients cared for by the integrated team. As with renal dialysis, Dr. Edward Wagner and his colleagues have repeatedly documented
that team-based care for other chronic illness produces better care
and better outcomes.9 We also know what impacts utilization patterns, morbidity and
mortality, quality of life, and independence for people with chronic 5 Lourie Lecture Policy Brief illness in addition to appropriate medical treatment per se. Social
support, good nutrition, connections with family and friends,
ability to manage one’s treatments, all influence what happens. The point is this: the medical science and patient support systems
required to deliver competent and effective chronic disease care are
different from what the sovereign physician model is designed to
do. And what we face going forward is chronic disease at levels we
have never experienced before. Cultural and Ethnic Diversity The second issue that we face is unprecedented population
diversity. In the Los Angeles county school system, I am told,
between 125 and 140 different languages and dialects are spoken. Try taking care of somebody whose first language is not English. When I taught at the University of Washington, I took medical
students to a clinic in Whatcom County, north of Seattle, for
Mexican migrant workers and their families. The students were
asked to obtain a medical history from their patients in English,
then through a translator. Finally, one of us would do a history in
Spanish. As you might expect, we heard three distinct stories. Why is this important? As U.S. public policy for more than a
century, immigration has been encouraged; diversity in cultures,
religions, and languages is the result. Providing culturally
competent and sensitive medical care is not just a moral issue, it
influences quality of life, medical expenditures, and workforce
productivity because it determines whether or not patients and
populations receive the care needed to maximize their health and
wellbeing. Remember you and I need that diverse workforce to pay
for our Medicare and Social Security benefits. We have a personal
interest in assuring that the country’s working population stays
healthy, both today and in the future. 6 6 David Lawrence David Lawrence Delivering culturally competent care will be even more challenging
in the 21st century than it has been in the 20th. Simply stated, we
can’t train enough doctors with the language and cultural skills
to communicate effectively with the changing U.S. population. One physician leader estimated that Kaiser Permanente would
have to hire every Spanish-speaking doctor training in the United
States every year to meet the needs of Spanish-speaking Kaiser
Permanente members in California alone. So, how do we do it? We have to use the skills and backgrounds of other health care
professionals drawn from the diverse populations of the country. Relying on doctors to meet the needs is not only unnecessary, but
too slow, too expensive, and increasingly challenging to finance
given the economic constraints facing both the federal and state
governments. There is another problem that, as physicians, we often are reluctant
to admit: social distance. If a Ph.D. in agronomy tries to work
with farmers, he will have less impact than when a fellow farmer
is given the skills and sent to do the job. Cultural and Ethnic Diversity The same is true in
treating alcohol and drug addiction. Peer counseling or “near-peer”
counseling is often more effective than when the social distance
between patient and counselor is wide as a result of education,
social status, and the like. Doctors are often particularly “distant”
from their patients as a result of years of professional training and
deeply held societal and professional expectations. It is difficult
for us to communicate with our patients and their families under
the best of circumstances as a result; adding diversity and linguistic
and cultural barriers to the mix makes effective communication
and education even more challenging. The Scope and Pace of Scientific Discovery The Scope and Pace of Scientific Discovery The third major issue ahead is the accelerating pace and scope of
innovation and discovery in medical science and technology. We
are in the midst of a discovery tsunami. Dr. Ralph Snyderman, the
former chancellor of Duke University Medical Center, estimates 7 Lourie Lecture Policy Brief that between 1950 and 2000 approximately $1 trillion was invested
in the United States alone for research and development in medical
science and technology.10 I calculate that since the year 2000,
we have spent approximately $100 billion annually on R&D for
medical science and technology.11 In this decade alone, then, we
will invest on R&D what the country invested between 1950
and 2000. This investment doesn’t necessarily translate into big
discoveries, of course. It does mean, however, that the advances in
medicine keep coming faster and faster. It is beyond the ability of
any single professional to comprehend, let alone stay current with
this. Molecular diagnostics and therapeutics are among the newest and
most significant of the advances. We are moving steadily to an era
of medicine in which molecular disturbances and characteristics
will be the basis on which we determine the presence of disease
and suitability for treatment. How far away is that? It depends on
whom you listen to. One leader in the field, Lee Hood, in Seattle,
says it’s right around the corner! Well, the corner for Dr. Hood may
be a decade or more.12 Dr. Larry Gold (www.somalogic.com), and his team have
developed a cost-effective method for identifying large numbers
of circulating proteins thought to reflect disturbances in the body
at the molecular level before overt clinical signs and symptoms
have appeared. These so-called “protein signatures” will enable
more precise diagnoses and treatments than we currently have. Protein signature identification today is limited by how many can
be studied at a time. The SomaLogic team has developed a library
of 700-800 active binding sites for distinct proteins that can be
put on a chip, promising a rapid acceleration in protein signature
discovery. What happens when we are able to screen large populations for
pre-clinical disease using these protein signatures techniques? What happens when we have protein signatures for different 8 David Lawrence David Lawrence clinical conditions and protein or genetic signatures for which
patients will respond to what illnesses? This isn’t science fiction. Gold estimates that his team is 3-5 years from these solutions. The Scope and Pace of Scientific Discovery It’s
already happening here and there: certain cancers, for example. SomaLogic is just one of many companies working in this field. Who knows when it will come? But it’s coming. Think about where this science takes us. We are achieving greater
predictability or certainty in our ability to recognize some diseases
and predict others. As my colleague Richard Bohmer, a physician
at the Harvard Business School, points out, we have a growing
split in medicine. On the one hand are conditions that are relatively
predictable in terms of their diagnostic characteristics and
appropriate therapies, and growing in step with scientific advances. On the other are conditions for which there remains diagnostic and
therapeutic uncertainty.13 In any other industry, the most expensive and specialized
human resources are reserved for the difficult problems, the
most ambiguous situations. In medicine, though, the doctor, the
most expensive, specialized, and scarce professional in the mix,
traditionally has cared for both predictable and unpredictable
situations. Ideally, in the future, we would use doctors only where
their education, skills and experience are irreplaceable. As the
science unfolds and there is greater capacity to predict, we have
the opportunity to move responsibilities to qualified providers
other than doctors, potentially reducing overall costs without
compromising quality. If we continue with the sovereign physician
model, however, it will be difficult to make these changes. Global Market for Health Care Providers The last point to make about health care in the 21st century is
that there aren’t enough doctors or nurses to respond to projected
increases in demand.14 This isn’t a new problem. For the past two
decades we have relied increasingly on foreign medical graduates 9 Lourie Lecture Policy Brief to fill primary care residencies and provide primary care, especially
in rural and underserved areas. We have responded to shortages
of nurses in part by actively recruiting nurses from Canada, Latin
America, Europe, and the Philippines. This is not a bad practice. The problem is that there is a growing
global market for foreign medical and nursing graduates. Singapore is aggressively recruiting and paying physicians and
nurses from other parts of the world, China is doing the same,
and so are several European countries. There is a competitive
international market for foreign medical and nursing graduates that
makes it increasingly unlikely that we can address our domestic
shortages the way we have over the past quarter century. As the science and technology increasingly permit it, pressures will
grow for doctors to be used where they are appropriate and most
essential, and to employ other professionals supported by emerging
technologies in their stead. Recent Innovations in Health Care Delivery Systems The news is not all bad. A number of changes in the delivery
system appear to represent early indications of system change. MinuteClinics MinuteClinics (http://www.minuteclinic.com/en/USA/) opened in
Minneapolis-St. Paul in 2000. These retail health care centers are
staffed by nurse practitioners and physician assistants, although
a doctor is on call. The clinics are now a subsidiary of CVS
Caremark Corporation, and many of them are located within CVS
drugstores. Wal-Mart and Walgreen’s offer similar solutions. The clinics initially spread through 15 states in the Midwest. In
each state the medical society tried to stop them, alleging that
they violated the state’s medical practice act. MinuteClinics won 10 David Lawrence every lawsuit; the medical profession lost each effort to protect its
sovereignty. What’s important about the MinuteClinics is not whether they
represent a successful business model. Rather it is that they provide
some primary care accessibly and affordably to a target population
looking for an alternative. Staffed by nurse practitioners, most are
open seven days a week and don’t require appointments. They
provide preventative and therapeutic care for a limited number
of common conditions and will say “no” if a patient falls outside
these parameters. Like it or not, they are a powerful innovation,
changing the conversation about the medical home and the way
some hospitals are relating to the community. Technology This spring I attended a conference in San Diego sponsored by
Qualcomm and Johnson & Johnson called the “Wireless Health
Conference.” This is the third year of the conference. The first
year there were 20 or 25 start-up and early-stage wireless health
companies in attendance. Last year I’m told there were about
100. This year there were 200 or so and an equal number turned
away because of lack of room. All of the attendees represented
innovative start-up or early stage companies that promise to
provide different health care solutions using wireless technologies. For example, Proteus Biomedal scientists (http://www.proteus.bz/
proteus_technology.html) have programmed micro-transistors on
a silicon chip the size of a grain of sand to send basic biodynamic
information by radio signal when the grain is swallowed in a
pill and activated in the stomach or GI tract. The signal is sent
to a smart Band-Aid receiver located on the body, where the
information can be stored or downloaded into a wireless device
and sent to a reader or a recorder. The reader can be a nurse,
family member, doctor, or, for that matter, virtually anyone
chosen by the patient. My understanding is that only 30%-40% of 11 Lourie Lecture Policy Brief prescriptions are taken properly; imagine what this solution could
do to improve that number. An Israeli entrepreneur-computer scientist and his team have
found that each person’s electrocardiogram is unique, an electronic
fingerprint if you will. The team has built a reader much like
the security gates at an airport. In about 2-3 seconds it captures
enough information to identify you. Not a bad alternative to
putting bracelets on everybody in a hospital. These wireless advances are being tested in homes, on, in, and
around people. It’s breathtaking. With Qualcomm’s support, a
wireless health entrepreneurial ecosystem has sprung up around
San Diego similar to Silicon Valley for high tech measurement and
computing, or the Bay Area for biotechnology. Let me mention one other example. MedExpert, a care navigation
service, is located in Redwood City, California (http://www. medexpert.com). Working with MIT’s IT labs and Stanford’s
computer experts, the MedExpert team has developed a search
engine that sifts through the available scientific literature, reviews
best practices, and summarizes them in a form that the medical
consumer can use. The information is reviewed with a nurse to
help the patient make decisions needed to receive evidence-based
care. Technology An internal study completed last year (and being repeated
with academic researchers) found that a population of about
100,000 people using MedExpert experienced a 15% reduction in
health care costs, year on year, compared to a control population;
users also reported higher levels of satisfaction with the care they
received. Whether or not the study is valid, it is interesting that
a service historically associated with the primary care physician,
namely the navigator or care coordinator, is being performed
satisfactorily with a combination of nurses supported by an
advanced IT search engine. 12 David Lawrence David Lawrence Each of these examples demonstrates how care once the exclusive
domain of the physician has been moved to other professionals,
to nontraditional settings, using emerging technologies to
produce solutions that generate significant patient satisfaction,
improvements in care, at lower cost. They are what Clay
Christensen calls “disruptive innovations.”15 I believe they are
significant, increasing in number, and changing our views about
the sovereign physician model for care delivery. It is unlikely that the traditional role of the physician will change in
the hospital, in intensive care settings or emergency rooms. Having
a captain is critical, someone leading the team and directing the
care. But consider chronic disease care, as mentioned earlier. Or
think of end of life care where the changes have already happened. Hospice is a nurse and counselor-based solution in which the
physician-role is somewhat incidental if not absent entirely. Think
also about prevention or many aspects of traditional primary care. One sees the emergence of what Bohmer and I describe as “care
platforms,” an integrated chronic disease approach, or an end of
life approach, etc., which use professionals differently based on
competence and cost, supported with specialized technologies.16 What this means for the doctor, except perhaps in the acute life-
threatening setting, is that our role changes from the sovereign to
the collaborative professional. Much of the care of the 21st century
is too complex for one doctor to manage. Being a competent,
independent physician, then, is a starting place, but only that. The core condition for excellence and for meeting one’s ethical
responsibilities as a physician is collaboration and teamwork. Technology If
the sovereign model is applied to the realities and challenges of the
21st century, care is likely to be poorer and more expensive than
it is today, harming patients in the process, and as a consequence,
violating our fundamental obligation to those we serve. 13 Lourie Lecture Policy Brief What Does This Say about Health Reform? Most reform discussions ignore the core problem that the delivery
system, built around the physician-as-sovereign model, is obsolete. This is not a new observation. The first criticism of the independent
physician model came in the early 1930’s.17 The problems won’t
be fixed by rewarding individual doctors with pay for performance
programs; this is a system, not an individual physician, problem. Universal coverage that promises greater access to care will be
a cruel hoax if we fail to build alternative primary care models,
navigator models, and chronic disease models, and address the
failing clinical infrastructures in our nation’s cities: the overloaded
ERs, failing safety net hospitals, and so on. Similarly, placing
greater responsibility for choosing among insurance alternatives
on the shoulders of the consumer, the so-called “consumer choice”
health plan idea, is in my view a cynical way for insurance carriers
to gain power. The consumer already lacks the tools and the
information and the resources to make his or her way through the
maze of modern care and the blizzard of insurance choices. Giving
more choices and placing more risk on the individuals and their
families isn’t the way to address this. Effective reform must include restructured financial incentives for
collective care; accountability for quality and safety placed with
institutions and groups in addition to the individual physician;
and support for aggressive research and development into how
to organize and deliver care to achieve the best outcomes at the
lowest cost. Permit me a digression. Does anyone know what today’s budget is for NIH per year? Nearly $30 billion. The budget for the only agency of government
charged with examining the quality and safety of care and the
efficiency of care, AHRQ, is $300 million annually. $300 million
per year to deal with bringing the delivery system up to date and
$30 billion per year to find new science and new technologies to 14 David Lawrence shove onto a delivery system that’s already struggling to deliver
what it knows today! Carolyn Clancy, Director of AHRQ, was on a panel recently
with the head of NIH, who was describing the wonderful new
discoveries coming out of NIH. What Does This Say about Health Reform? When her turn came, Carolyn
remarked, “All of that’s really exciting, but we can’t deliver it.” Health reform has to include an independent body, similar in
concept to the Federal Reserve Board, that can assess the evidence
and direct Medicare, Medicaid, and other federally funded
health programs as to what will be covered and how it should
be provided. Ideally this new body would include private sector
payers and providers so that the decisions would have impact
throughout the entire system. Reform also must include tax incentives for, and a pool of venture
money to promote, innovation in care delivery and diffusion
of best practices. Reform should also include regulations and
incentives to encourage the formation of large insurance pools that
eliminate competition around underwriting and insurance products. This expensive and misplaced focus diverts attention from the
core question of how to encourage health care delivery systems
that compete on the basis of efficiency, effectiveness, safety, and
consumer responsiveness. Finally, reform must include a major effort to stimulate changes
in the nation’s medical schools and health professions education
institutions, with incentives to implement team-based education
and problem solving, and innovative team-based care models,
especially for the chronically ill. Again a digression. Agilent Technologies is a global life sciences
and electronics measurement company spun out of Hewlett
Packard. In nearly 15 years on that board and the board of Hewlett
Packard before that, I am hard-pressed to recall a single operational Again a digression. Agilent Technologies is a global life sciences
and electronics measurement company spun out of Hewlett Packard. In nearly 15 years on that board and the board of Hewlett
Packard before that, I am hard-pressed to recall a single operational 15 Lourie Lecture Policy Brief decision made by one person. A team of people working
collaboratively makes decisions like this. This is the way business
is done. How wonderful it would be if this were the norm in medical
care. We could avoid the situation described by a colleague about
a CEO in her city. The CEO was upset with the care his aging
mother was receiving from four specialists: different medications,
diagnoses, treatment recommendations, and prognoses. He called
each doctor and said, “I’m going to buy an hour of your time. I expect you at my office at such and such a day and time.” Of
course the physicians argued that they didn’t work that way. What Does This Say about Health Reform? When
he reminded them that he was a large employer who funnels a
significant amount of business to them, they agreed to join him as
requested. The CEO began by asking the physicians to describe
what they were doing for the CEO’s mother. As each doctor
talked, the other three were dumbstruck. The CEO told them that
he was leaving the office, locking the door behind him, and would
return in 30 minutes expecting the doctors to have created an
integrated care plan for his mother. The plan was waiting for him
when he returned. How wonderful it would be if this were the norm in medical
care. We could avoid the situation described by a colleague about
a CEO in her city. The CEO was upset with the care his aging
mother was receiving from four specialists: different medications,
diagnoses, treatment recommendations, and prognoses. He called
each doctor and said, “I’m going to buy an hour of your time. i Health reform is a tall order. Whether it’s done incrementally or all
at once, we need a clear roadmap to assess whether or not reform
efforts move us in the right direction. Whatever else it must do,
reform must address the underlying problems created by the way
doctors have been prepared, socialized, and expected to practice
for most of the past century. We who have been in practice a long
time rarely practice in teams; it runs counter to the way we’ve
been trained and socialized. Learning to solve complex problems
together must start in medical schools and health profession
schools. Even now few professionals-in-training receive this
preparation. Fortunately major forces in health care are provoking changes. Innovations are occurring. Changes in the way we practice are 16 David Lawrence beginning. Those forces are also bringing a new definition of the
role of the physician as a highly educated, clinically competent
professional who is irreplaceable when used properly, but whose
skills are misused if there are others who can do them equally well. The battle that lies ahead won’t be easy. Let me tell you one final
anecdote about Dr. Paul Uhlig, a cardiothoracic surgeon.18 I had the
opportunity to observe him and his team with some of his patients
in Concord Hospital, in New Hampshire. What Does This Say about Health Reform? The first thing that was
unique about that was walking into the room of a patient who was
one day post-op after four-vessel bypass surgery, and who was
joking. I don’t know about you, but the patients I’ve seen who are
one or two days post-op are, the term we use is “gorked out”—they
hurt. But these guys were laughing, they were joking. The family
was also relaxed. The lead nurse started by asking the patients and their families
these questions: What was our plan for yesterday? Did those things happen? •• Was there anything that we forgot to do? •• Was there anything we did that bothered you? We need to
••
know! What questions do you have? •• What are your goals? •• And only after those questions were answered did the health
care providers— the pharmacist, nurse, health educator, and
physician—do what they had to do specific to their task in that
team. At the end of the meeting, which took about ten minutes,
the lead nurse summarized the tasks that all people had agreed to,
in front of the patient, and asked, “Are we in agreement with the 17 Lourie Lecture Policy Brief patient and the family, did we capture it all?” Then they walked out
with their marching orders for the day. What happened next? The team that I observed, led by Dr. Uhlig,
decreased an already outstanding complication and death rate
by half. They had exceptionally high patient satisfaction and
exceptionally high satisfaction reported by team members. Nurses
and health educators were scrambling to be on the team. Yet,
despite these achievements, and despite receiving the Eisenberg
Patient Safety Award for System Innovation from the Joint
Commission, Dr. Uhlig was not reappointed. It was incredibly sad, because this exceptional leader was
speaking at the National Patient Safety Foundation, and all over
the country, as an expert in applying aviation safety principles
to health care, getting those kinds of outcomes, and I’m sure it’s
more complicated than I’m making it. But the point is, this is not
easy, this transition is hard because these new ways of thinking—
which are better ways—greatly disrupt the status quo. That sense
of hierarchy and entitlement that is deeply embedded in us as
physicians is extremely difficult to change. Thank goodness it is
changing, because it’s better for our profession, not to mention our
patients. Thank you very much. What Does This Say about Health Reform? Disclosure: The author is a paid advisor to two companies
mentioned in this presentation: SomaLogic and MedExpert. 1.
Mullan, F. 2004. “Wrestling with Variation: An Interview
with Jack Wennberg.” Health Affairs, October 7. 2.
Hillestad, R., J. Bigelow, A. Bower, F. Girosi, R. Meili, R.
Scoville, and R. Taylor. 2005. “Can Electronic Medical Record
Systems Transform Health Care? Potential Health Benefits, 1.
Mullan, F. 2004. “Wrestling with Variation: An Interview
with Jack Wennberg.” Health Affairs, October 7.
2.
Hillestad, R., J. Bigelow, A. Bower, F. Girosi, R. Meili, R.
Scoville, and R. Taylor. 2005. “Can Electronic Medical Record
Systems Transform Health Care? Potential Health Benefits, Endnotes 1. Mullan, F. 2004. “Wrestling with Variation: An Interview
with Jack Wennberg.” Health Affairs, October 7. 1. Mullan, F. 2004. “Wrestling with Variation: An Interview
with Jack Wennberg.” Health Affairs, October 7. 18 David Lawrence David Lawrence Savings, and Costs.” Health Affairs 24(5) (September/October):
1103-1117. Savings, and Costs.” Health Affairs 24(5) (September/October):
1103-1117. 3. Institute of Medicine. 2001. Crossing the Quality Chasm:
A New Health System for the 21st Century. Washington, DC:
National Academies Press; and Institute of Medicine. 2000. To Err
Is Human: Building a Safer Health System. Kohn, Linda T., Janet
M. Corrigan, and Molla S. Donaldson (editors). Washington, DC:
National Academy Press 4. McGlynn, Elizabeth A., Steven M. Asch, John Adams,
Joan Keesey, Jennifer Hicks, Alison DeCristofaro, and Eve A. Kerr. 2003. “The Quality of Health Care Delivered to Adults in the
United States.” New England Journal of Medicine 348 (26) (June
26): 2635-2645; and Asch, Steven M., Eve A. Kerr, Joan Keesey,
John L. Adams, Claude M. Setodji, Shaista Malik, and Elizabeth
A. McGlynn. 2006. “Who Is at Greatest Risk for Receiving Poor-
Quality Health Care?” New England Journal of Medicine 354 (11)
(March 16): 1147-1156. 5. Starr, Paul. 1982. The Social Transformation of American
Medicine: The Rise of a Sovereign Profession and the Making of a
Vast Industry. New York: Basic Books. 5. Starr, Paul. 1982. The Social Transformation of American
Medicine: The Rise of a Sovereign Profession and the Making of a
Vast Industry. New York: Basic Books. 6. Berwick, Don, personal communications. 6. Berwick, Don, personal communications. 7. Personal observation and experience; conversations with
D. Berwick and others about this subject. RAND is currently
attempting to document the potential savings from decreasing
waste in care delivery. 8. This experience is described in detail in my book:
Lawrence, David. 2002. From Chaos to Care: The Promise of
Team-Based Medicine. Cambridge, MA: Da Capo Press. 19 Lourie Lecture Policy Brief 9. Bodenheimer, Thomas, Edward H. Wagner, and Kevin
Grumbach. 2002. “Improving Primary Care for Patients with
Chronic Illness: The Chronic Care Model, Part 2.” Journal of the
American Medical Association 288 (15) (October 16): 1909-1914. 10. Snyderman, R. 2001. Presentation to “The Private Sector
Conference,” Duke University. 11. Endnotes My estimate is based on the current NIH budget ($28B/
year); estimates of private sector investments at 2x this figure; and
R&D budgets for military and space discovery discounted by 50%
for relevance (immediate or longer term) to medical care. 12. Hood, Lee. 2008. Presentation to Senior Management and
Board of Directors, Agilent Technologies. July. 13. Bohmer, R., personal communications. A fuller discussion
of this occurs in Bohmer, Richard M. J. forthcoming. Designing
Health Care: Using Operations Management to Improve
Performance and Delivery. Cambridge, MA: Harvard Business
School Press. 14. This is a controversial assertion. Several global studies
predict shortages worldwide, as do studies in the U.S. If physician-
staffing patterns found at integrated systems (e.g., Mayo, Kaiser
Permanente, Group Health Cooperative) are used, the shortages are
less dramatic. 15. Hwang, Jason, and Clayton M. Christensen. 2008. “Disruptive Innovation in Health Care Delivery: A Framework for
Business-Model Innovation.” Health Affairs 27 (5) (September/
October): 1329-1335. 16. Bohmer, Richard M. J., and David M. Lawrence. 2008. “Care Platforms: A Basic Building Block for Care Delivery.”
Health Affairs 27 (5) (September/October): 1336-1340. 20 David Lawrence 17. Committee on the Cost of Medical Care, and New York
Academy of Medicine. 1932. “Medical Care for the American
People: The Final Report of the Committee on the Costs of
Medical Care, Adopted October 31, 1932.” Publication No. 28. Chicago, IL: University of Chicago Press. 18. A detailed description of Dr. Uhlig’s work in Concord
can be found in “Case Study : Addressing Patient Safety During
Multidisciplinary Collaborative Rounds at Concord Hospital”
posted in September 2008 on the Commonwealth Fund website at
http://www.commonwealthfund.org/innovations/innovations_show. htm?doc_id=707660. 21 Center for Policy Research
Maxwell School of Citizenship and Public Affairs
Syracuse University
426 Eggers Hall
Syracuse, New York 13244-1020
ADDRESS SERVICE REQUESTED ADDRESS SERVICE REQUESTED
|
https://openalex.org/W2049514894
|
https://lipidworld.biomedcentral.com/counter/pdf/10.1186/1476-511X-13-120
|
English
| null |
Increased Hs-CRP/adiponectin ratio is associated with increase carotid intima-media thickness
|
Lipids in health and disease
| 2,014
|
cc-by
| 4,364
|
Abstract Background: High sensitivity C-reactive protein (Hs-CRP) and adiponectin (APN) are two critical cytokines and exert
inverse effects on atherosclerosis initiation and progression. The purpose of our study was to investigate the value
of Hs-CRP and ANP ratio (Hs-CRP/APN ratio) on evaluating atherosclerosis progression. Method: One hundred sixty consecutive participants underwent carotid intima-media thickness (CIMT) measured
by ultrasound were enrolled and drawn fasting blood samples for plasma levels Hs-CRP and APN, serum levels
of lipid profiles and fasting blood glucose evaluation. Other anthropometrics and clinical status were collected
by questionnaire. All participants were divided into 4 groups according to the baseline Hs-CRP/APN ratio and
underwent CIMT measurement every 6 months. CIMT increment and composite cardiovascular endpoints were
compared after 24 months’ follow-up. Results: At baseline, body mass index (BMI), smoking, diabetic mellitus, usage of statins, Hs-CRP and APN
independently correlated with Hs-CRP/APN ratio as analyzed by spearman rank correlation. Smoking, serum level of LDL-C, plasma level of Hs-CRP and Hs-CRP/APN ratio were positively correlated with CIMT while usage of statin
and plasma level of APN were negatively correlated with CIMT as analyzed by multiple linear regression analysis. After 24 months’ follow-up, the progression of CIMT was the most prominent in the fourth quartile of baseline
Hs-CRP/APN ratio. In addition, the incidence of composite cardiovascular endpoint was also higher in the fourth
quartile as compared to the other 3 lower quartiles. Conclusion: Hs-CRP/APN ratio was a useful predictor to discriminate subjects who were at increased risk of
atherosclerosis progression. Keywords: High sensitivity C-reactive protein, Adiponectin, Atherosclerosis Keywords: High sensitivity C-reactive protein, Adiponectin, Atherosclerosis [1,6]. Knowingly, Hs-CRP is a non-specific inflammatory
cytokine, and by means of increasing inflammatory cells
infiltration, augmenting oxidative stress, impairing endo-
thelial function as well as decreasing nitric oxide (NO)
production, Hs-CRP accelerates the formation and dis-
ruption of atherosclerotic plaque [7-9]. On the contrary,
adiponectin (APN) is a cardio-protective cytokine due to
its capability to inhibiting inflammatory cytokines such as
interleukin-6, TNF-α and Hs-CRP expressions, down-
regulating monocytes chemoattractant proein-1 (MCP-1)
expression, increasing NO generation as well as enhancing
myocardial blood perfusion [10-13]. Increased Hs-CRP/adiponectin ratio is associated
with increase carotid intima-media thickness Huocheng Liao1, Zhiming Li2, Dongdan Zheng3, Jianping Liu1, Yan Liu1, Chun Xiao1 and Hongguang Wang4* © 2014 liao et al.; licensee BioMed Central Ltd. This is an Open Access article distributed under the terms of the Creative
Commons Attribution License (http://creativecommons.org/licenses/by/4.0), which permits unrestricted use, distribution, and
reproduction in any medium, provided the original work is properly credited. The Creative Commons Public Domain
Dedication waiver (http://creativecommons.org/publicdomain/zero/1.0/) applies to the data made available in this article,
unless otherwise stated. * Correspondence: guang99@vip.sina.com
4Internal Medicine-Cardiovascular Department, Dongying People’s Hospital of
Shandong Province, NO.137, Nanyi Road, Dongying, Shangdong Province, China
Full list of author information is available at the end of the article Liao et al. Lipids in Health and Disease 2014, 13:120
http://www.lipidworld.com/content/13/1/120 Liao et al. Lipids in Health and Disease 2014, 13:120
http://www.lipidworld.com/content/13/1/120 Liao et al. Lipids in Health and Disease 2014, 13:120
http://www.lipidworld.com/content/13/1/120 Results Fasting blood samples were drawn from each participant
and transferred on ice to center laboratory for analysis. An IMMAGE automatic immunoassay system (Beckmann-
Coulter) was used to examine plasma level of Hs-CRP. Intra-assay variability coefficient lied between 3.5-5.0%, and
inter-assay variability coefficient between 4.0-7.5%, and
limited detection level was 0.2 mg/L. APN was measured
by a high sensitivity Human adiponectin ELISA kit (BioCat
GmbH)
with
intra-assay
variability
coefficient
lied
between 4.0-5.5% and inter-assay variability coefficient
between 5.0-7.5%. Triglyceride (TG), total cholesterol
(TC), low density lipoprotein-cholesterol (LDL-C), high
density lipoprotein-cholesterol (HDL-C) and fasting
blood glucose were also measured by Automatic Bio-
chemistry Analyzer (Beckman coulter UniCel DxC 800
Synchron). Demographic and clinical characteristics collection Demographic and clinical characteristics such as age,
gender, body mass index (BMI), smoking status, hyper-
tension or current anti-hypertension therapy, dyslipi-
demia or use of lipid-lowering medications and diabetic
mellitus were obtained by the means of computerized
questionnaire. Carotid intima-media thickness measurement Carotid intima-media thickness measurement the aforementioned mechanisms by which Hs-CRP and
APN exert on cardiovascular system, we hypothesized that
Hs-CRP and APN ratio (Hs-CRP/APN ratio) might be
useful as an indicator to help us discriminate the status of
atherosclerosis. Thus that, we conducted a pilot study to
investigate the relationship between Hs-CRP/APN ratio
and CIMT in population without overt cardiovascular
diseases, and then we consecutively measured CIMT in
the follow-up 24 months so as to determine the value of
Hs-CRP/APN ratio in predicting CIMT progression and
future cardiovascular events. Ultrasonic examination was performed with an 8.5 MHz
linear array transducer. The initial and follow-up mea-
surements were performed by two investigators who
were blinded to the characteristics of all participants. Common
carotid
artery
(one
milimeter
below
the
carotid artery bifurcation) was chosen to evaluate CIMT
on both sides. The average inter-observers reliability
coefficient was 0.95 (95% confidence interval (CI) 0.93
to 0.96, p < 0.05) and the intra-observer reliability co-
efficient 0.93 (95% CI 0.91 to 0.94, p < 0.05). The values
of CIMT were averaged by the left and right CIMT
values. The absolute annual change of CIMT was deter-
mined by the following formula: (final value minus base-
line value) divided by the total follow up years. Clinical endpoints All subjects were followed up for the occurrence of first
cardiovascular events, including myocardial infarction,
ischemic stroke, and cardiovascular diseases related
death. Total follow-up lasted for 24 months. Statistical analysis All analyses were performed by SPSS16.0 package. All
values were expressed as mean ± SD or percentage. Cor-
relation between Hs-CRP/APN ratio with demographic
and clinical characteristics were evaluated by Pearson
correlation or Spearman rank correlation as appropriate. Independent correlation between Hs-CRP/APN ratio
and other variables with CIMT were determined by mul-
tiple linear regressions. Subjects were divided into four
groups according to the baseline quartiles of Hs-CRP/
APN ratio. Comparison of CIMT value of each quartile
at the same time point, and comparison of CIMT incre-
ment of each quartile during follow-up were operated by
one-way ANOVA. A p value < 0.05 was considered to be
significant difference. Study population enrollment One hundred and sixty consecutive subjects were ran-
domly enrolled from January 2011 to January 2012, and
all subjects were underwent CIMT measurement by du-
plex ultrasound. Written informed consent was obtained
and the ethics committee of the 3rd People’s Hospital of
Huizhou approved present study. Subjects who initially
without overt cardiovascular diseases, which defined as
angina pectoris, previous myocardial infarction, transient
ischemia attack or ischemic stroke and peripheral artery
diseases, were ruled in, and those with a previous history
of atherosclerotic cardiovascular diseases or baseline
level of Hs-CRP >10 mg/L, which indicated intensively
infectious diseases or collagen diseases or potential tu-
mors, were ruled out. Introduction In the past decades, accumulating evidence from basic
and clinical studies consistently demonstrate that inflam-
mation plays pivotal and complicated roles in the initiation
and progression of atherosclerosis and atherosclerotic
cardiovascular diseases [1-3]. Notably, increased serum
level of inflammatory cytokines portends a higher inci-
dence of cardiovascular events such as myocardial infarc-
tion and ischemic stroke [4,5]. Therefore, guidelines have
recommended that inflammatory cytokines such as high
sensitivity C-reactive protein (Hs-CRP) should be inte-
grated into the algorithm of cardiovascular risk evaluation Carotid intima-media thickness (CIMT), an early and
sensitive indicator for subclinical atherosclerosis, is signifi-
cantly associated with plasma levels of Hs-CRP and APN
as reported by previous studies [14,15]. With respect to * Correspondence: guang99@vip.sina.com
4Internal Medicine-Cardiovascular Department, Dongying People’s Hospital of
Shandong Province, NO.137, Nanyi Road, Dongying, Shangdong Province, China
Full list of author information is available at the end of the article Page 2 of 5 Liao et al. Lipids in Health and Disease 2014, 13:120
http://www.lipidworld.com/content/13/1/120 Liao et al. Lipids in Health and Disease 2014, 13:120
http://www.lipidworld.com/content/13/1/120 Comparison of clinical events During the 24 months’ follow-up, there were totally 4
cases of myocardial infarction and 6 cases of ischemic
stroke occurred. Notably, the incidence of composite
endpoint was higher in the fourth quartile (6 cases) than
the other 3 groups as shown in Table 4. In the fourth
quartile, the first episode of clinical event happened in
the first ten month, while it was in the eighteenth
month when the first clinical event occurred in the first
quartile. Spearman’s rank correlation coefficient (r) is shown. Relationship between CIMT and Hs-CRP/APN ratio and
other variables Relationship between CIMT and Hs-CRP/APN ratio and
other variables was shown in Table 2. Notably, CIMT
significantly correlated with smoking, serum level of
LDL-C, usage of statins, plasma levels of Hs-CRP and
APN, and Hs-CRP/APN ratio. Specifically, usage of
statins
and
plasma
level
of
APN
were
negatively Baseline characteristics and relationship between Hs-CRP/
APN ratio and other variables As shown in Table 1, the age of participants was 55.3 ±
4.8 years and 45.0% of participants were female. Approxi-
mately 58.1% were cigarette smoker, BMI was 26.5 ± 4.1
Kg/m2, 45.0% with diabetic mellitus, 53.1% with hyperten-
sion and nearly 51.9% with anti-hypertension therapy,
current statins usage were 49.3%. Plasma levels of Hs-CRP
and APN were 6.9 ± 1.8 mg/L and 10.8 ± 2.2 μg/L, respec-
tively, and the Hs-CRP/APN ratio was 0.6 ± 0.2. Corre-
lation between Hs-CRP/APN ratio and other variables
was shown in Table 1. For all the variables, BMI, smoking,
diabetic mellitus, usage of statins, and plasma levels of
Hs-CRP and APN significantly correlated with Hs-CRP/
APN ratio (all p values < 0.05). Liao et al. Lipids in Health and Disease 2014, 13:120
http://www.lipidworld.com/content/13/1/120 Page 3 of 5 Page 3 of 5 Table 1 Baseline characteristics and relationship between
Hs-CRP/APN ratio and other variables (n = 160)
Variables
Mean ± SD or percentage
r
P
Age (years)
55.3 ± 4.8
0.21
0.34
Female (%)
72 (45.0)
0.18
0.65
BMI (Kg/m2)
26.5 ± 4.1
0.43
<0.05
Smoking (%)
93 (58.1)
0.72
<0.05
Diabetic mellitus (%)
72 (45.0)
0.34
<0.05
Hypertension (%)
85 (53.1)
0.58
0.15
TG (mmol/L)
1.5 ± 0.5
0.33
0.13
TC (mmol/L)
5.6 ± 0.4
0.26
0.25
HDL-C (mmol/L)
1.6 ± 0.7
0.25
0.16
LDL-C (mmol/L)
4.3 ± 0.8
0.35
0.08
Usage of statins (%)
79 (49.3)
−0.67
<0.05
Anti-hypertension
83 (51.9)
−0.24
0.78
Hs-CRP (mg/L)
6.9 ± 1.8
0.79
<0.001
APN (μg/L)
10.8 ± 2.2
−0.83
<0.001
Hs-CRP/APN ratio
0.6 ± 0.2
Spearman’s rank correlation coefficient (r) is shown. Table 1 Baseline characteristics and relationship between
Hs-CRP/APN ratio and other variables (n = 160) correlated with CIMT (p < 0.05), and other variables
including smoking, serum level of LDL-C, plasma level
of Hs-CRP and Hs-CRP/APN ratio were positively
correlated with CIMT (p < 0.05). Comparison of CIMT within quartiles of Hs-CRP/APN ratio
According to baseline Hs-CRP/APN ratio, participants
were divided into four quartiles. Hs-CRP/APN ratio from
the first to the fourth quartile was 0.10 ± 0.03, 0.34 ± 0.06,
0.50 ± 0.10 and 0.68 ± 0.13, respectively. As presented in
Table 3, CIMT was significantly different between each
quartile at the same time point and the increment of
CIMT in the fourth quartile was the greatest when
compared to the other 3 groups. β standard regression coefficient. Discussion Our present study shows that in participants without
overt atherosclerotic cardiovascular diseases, increased
baseline Hs-CRP/APN ratio portends a higher risk of
CIMT progression and a higher incidence of cardiovas-
cular events during 24 months follow-up. Future study
is imperative in investigating whether decreasing Hs-
CRP/APN ratio could result in better cardiovascular
outcomes. Table 2 Relationship between CIMT and Hs-CRP/APN ratio
and other variables
Characteristics
β
P
Age
0.24
0.36
Female
0.43
0.15
BMI
0.23
0.11
Smoking
0.18
0.04
Diabetic mellitus
0.27
0.08
Hypertension
0.29
0.16
TG
0.15
0.57
TC
0.27
0.64
HDL-C
−0.22
0.12
LDL-C
0.25
0.03
Usage of statins
−0.33
0.01
Anti-hypertension
0.33
0.28
Hs-CRP
0.46
0.01
APN
-.031
0.01
Hs-CRP/APN ratio
0.53
0.02
β standard regression coefficient. Table 2 Relationship between CIMT and Hs-CRP/APN ratio Table 2 Relationship between CIMT and Hs-CRP/APN ratio
and other variables Previously, a substantial number of studies have reported
the association between cardiovascular risk factors and
plasma levels of Hs-CRP and APN. For example, BMI was
reported positively correlated with Hs-CRP level while
negatively with APN level [15,16], which therefore might
partially explain the positive relationship between BMI
and Hs-CRP/APN ratio in our current study. Smoking
is a crucial risk factor contributing to continuous sys-
temic inflammation due to its effects on impairing
endothelial function and promoting vascular inflamma-
tion [17]. Commonly, in population with long-term
cigarette smoking, the plasma level of Hs-CRP was
increased therefore resulting in the increased Hs-CRP/
APN ratio. Accordingly, most of the complications of
diabetes mellitus resulted from endothelial dysfunction
and activation [18,19], which characterized by reduced
NO
production
and
inflammatory
cytokines
up-
regulation and subsequently leaded to plasma levels of
Hs-CRP increase and APN decrease. Previously, many Liao et al. Lipids in Health and Disease 2014, 13:120
http://www.lipidworld.com/content/13/1/120 Liao et al. Discussion Lipids in Health and Disease 2014, 13:120
http://www.lipidworld.com/content/13/1/120 Page 4 of 5 Table 3 Comparison of CIMT within quartiles of Hs-CRP/APN ratio
CIMT (mm)
1st (n = 40)
2nd (n = 40)
3rd (n = 40)
4th (n = 40)
P
Baseline
0.65 ± 0.14
0.67 ± 0.11
0.70 ± 0.17
0.72 ± 0.15#
< 0.05
6 months
0.66 ± 0.13
0.69 ± 0.15
0.72 ± 0.12
0.73 ± 0.14#
< 0.05
12 months
0.68 ± 0.10
0.72 ± 0.11
0.74 ± 0.14
0.76 ± 0.19#
< 0.05
18 months
0.70 ± 0.11
0.74 ± 0.20
0.77 ± 0.18
0.81 ± 0.18#
< 0.05
24 months
0.71 ± 0.14
0.77 ± 0.19*
0.79 ± 0.16*
0.86 ± 0.20*#
< 0.001
P
0.145
< 0.05
< 0.05
< 0.001
Denote: 1st = the first quartile, 2nd = the second quartile, 3rd = the third quartile, and 4th = the fourth quartile; *P < 0.05, versus baseline level of CIMT at the same
quartile, #P < 0.05, versus the first quartile of CIMT at the same time point. Table 3 Comparison of CIMT within quartiles of Hs-CRP/APN ratio primary and secondary studies have revealed the pleio-
tropic effects of statins, which was largely ascribed to
the reduction of Hs-CRP level and increase NO produc-
tion [20,21]. Therefore, it was no wonder that statins
was negatively correlated with Hs-CRP/APN ratio. However, In the future, to assess whether modifying
above factors could result in a favorable Hs-CRP/APN
ratio is imperative. from our follow-up study was also supported for our rea-
soning. All participants were follow-up for 24 months and
underwent serials CIMT measurement every 6 months. Results showed that the progression of CIMT was more
significant in the fourth quartile of Hs-CRP/APN ratio. Additionally, the incidence of composite outcomes was
also higher in the fourth quartile than that of the other 3
lower quartiles, indicating that baseline Hs-CRP/APN
ratio was a useful parameter for helping us to identify
those who were at increased risk of cardiovascular events. p
Carotid intima-media thickness (CIMT) has been
broadly considered an important parameter to identify
an early status of atherosclerosis, and measure of CIMT
could facilitate physicians to discriminate those who are
at increased risk of cardiovascular events [22,23]. Discussion In
current study, smoking, serum level of LDL-C, usage of
statins, plasma levels of Hs-CRP and APN, and Hs-CRP/
APN ratio were found significantly correlated with
CIMT as evaluated by multiple linear regression analysis. Based on previous studies [17-21], it was reasonable to
explain the relationship between CIMT and cardiovascu-
lar risk factors such as smoking and LDL-C. Neverthe-
less, this was the first time we reported that Hs-CRP/
APN ratio was also significantly associated with CIMT. Since plasma level of Hs-CRP and APN were affected
by many conditions as reported above, it was not pos-
sible for us to conclude that Hs-CRP/APN ratio was an
independent risk factor for CIMT progression. However,
because Hs-CRP/APN ratio could reflect a broader
spectrum of pathophysiological situation in terms of
both pro-inflammation and anti-inflammation, we be-
lieved that incorporating Hs-CRP/APN ratio into cardio-
vascular risk assessment was useful and helpful for
improving the capacity of risk discrimination. Outcome Finally, there were some limitations of current study. First of all, the sample size was not large enough. Sec-
ondly, because current study was an observational study,
one could not make definite causal relationship between
Hs-CRP/APN ratio and CIMT progression and cardio-
vascular events. Additionally, there were some inhere
biases of observational studies which physicians should
bear in mind when interpreted current study. Conclusion
l In conclusion, according to our current study, Hs-CRP/
APN ratio was a useful predictor for atherosclerosis
progression and clinical events. Because Hs-CRP/APN
ratio highly correlated with BMI, smoking, diabetic mel-
litus, usage of statins, and meanwhile baseline Hs-CRP/
APN ratio significantly correlated with CIMT progres-
sion and the incidence of clinical events, we considered
that further study should be focused on lifestyle modifi-
cation, glucose control and usage of statins so as to
find out whether tough control of these risks factors
and more intensive therapy with statins could improve
the Hs-CRP/APN ratio which finally results in better
clinical outcomes. Table 4 Comparison of clinical events
Cardiovascular events
1st
(n = 40)
2nd
(n = 40)
3rd
(n = 40)
4th
(n = 40)
P
MI
0
0
1
3
NS
Stroke
0
1
2
3
NS
Death
0
0
0
0
NS
Denote: MI = myocardial infarction, NS = no significant. Competing interests
The authors declare that they have no competing interests. HL, ZL, JL and YL performed this study, DZ performed statistic analyses, and
CX and HW designed this study, and HL and ZL wrote this article. All authors
read and approved the final manuscript. References 19. Rahimi Z, Rahimi Z, Shahvaisi-Zadeh F, Sadeghei S, Vessal M, Yavari N:
eNOS 4a/b polymorphism and its interaction with eNOS G894T variants
in type 2 diabetes mellitus: modifying the risk of diabetic nephropathy. Dis Markers 2013, 34:437–443. 1. Libby P, Ridker PM, Maseri A: Inflammation and atherosclerosis. Circulation 2002, 105:1135–1143. 1. Libby P, Ridker PM, Maseri A: Inflammation and atherosclerosis. Circulation 2002, 105:1135–1143. Circulation 2002, 105:1135–1143. 2. Kuller LH, Tracy RP: The role of inflammation in cardiovascular disease. Arterioscler Thromb Vasc Biol 2000, 20:901. 2. Kuller LH, Tracy RP: The role of inflammation in
Arterioscler Thromb Vasc Biol 2000, 20:901. 2. Kuller LH, Tracy RP: The role of inflammation in cardiovascular disease. Arterioscler Thromb Vasc Biol 2000, 20:901. 20. Yamazaki D, Ishida M, Watanabe H, Nobori K, Oguma Y, Terata Y, Koyama T,
Iino K, Kosaka T, Ito H: Comparison of anti-inflammatory effects and
high-density lipoprotein cholesterol levels between therapy with
quadruple-dose rosuvastatin and rosuvastatin combined with ezetimibe. Lipids Health Dis 2013, 12:9. 3. Ridker PM, Danielson E, Fonseca FA, Genest J, Gotto AM Jr, Kastelein JJ,
Koenig W, Libby P, Lorenzatti AJ, MacFadyen JG, Nordestgaard BG,
Shepherd J, Willerson JT, Glynn RJ: Rosuvastatin to prevent vascular
events in men and women with elevated C-reactive protein. N Engl J
Med 2008, 359:2195–2207. 3. Ridker PM, Danielson E, Fonseca FA, Genest J, Gotto AM Jr, Kastelein JJ,
Koenig W, Libby P, Lorenzatti AJ, MacFadyen JG, Nordestgaard BG,
Shepherd J, Willerson JT, Glynn RJ: Rosuvastatin to prevent vascular
events in men and women with elevated C-reactive protein. N Engl J
Med 2008, 359:2195–2207. 21. Qu HY, Xiao YW, Jiang GH, Wang ZY, Zhang Y, Zhang M: Effect of
atorvastatin versus rosuvastatin on levels of serum lipids, inflammatory
markers and adiponectin in patients with hypercholesterolemia. Pharm Res 2009, 26:958–964. 4. Blake GJ, Rifai N, Buring JE, Ridker PM: Blood pressure, C-reactive protein,
and risk of future cardiovascular events. Circulation 2003, 108:2993–2999. 4. Blake GJ, Rifai N, Buring JE, Ridker PM: Blood pressure, C-reactive protein,
and risk of future cardiovascular events. Circulation 2003, 108:2993–2999. 5. Tanne D, Benderly M, Goldbourt U, Haim M, Tenenbaum A, Fisman EZ,
Matas Z, Adler Y, Zimmlichman R, Behar S: C-reactive protein as a
predictor of incident ischemic stroke among patients with preexisting
cardiovascular disease. Stroke 2006, 37:1720–1724. 22. Received: 2 June 2014 Accepted: 23 July 2014
Published: 29 July 2014 Received: 2 June 2014 Accepted: 23 July 2014
Published: 29 July 2014 Published: 29 July 2014 Authors’ information 14. Wang TJ, Nam BH, Wilson PW, Wolf PA, Levy D, Polak JF, D’Agostino RB,
O’Donnell CJ: Association of C-reactive protein with carotid atherosclerosis
in men and women: the Framingham Heart Study. Arterioscler Thromb Vasc
Biol 2002, 22:1662–1667. Huocheng Liao and Zhiming Li co-first authors. Acknowledgements
We appreciate very much for the kindly help from Dr. Junzhong Su. We appreciate very much for the kindly help from Dr. Junzhong Su. Author details 1Department of Cardiology, the 3rd People’s Hospital, Huizhou, China. 2Department of Cardiology, Huizhou Municipal Central Hospital, 41st Eling
North RD, Huicheng District, Huizhou, China. 3Department of Cardiology, The
First Affiliated Hospital of Sun Yat-sen University, Guangzhou, China. 4Internal
Medicine-Cardiovascular Department, Dongying People’s Hospital of Shandong
Province, NO.137, Nanyi Road, Dongying, Shangdong Province, China. 16. Greenfield JR, Samaras K, Jenkins AB, Kelly PJ, Spector TD, Gallimore JR,
Pepys MB, Campbell LV: Obesity is an important determinant of baseline
serum C-reactive protein concentration in monozygotic twins, independent
of genetic influences. Circulation 2004, 109:3022–3028. 17. Hasday JD, Bascom R, Costa JJ, Fitzgerald T, Dubin W: Bacterial endotoxin
is an active component of cigarette smoke. Chest 1999, 115:829–835. 18. Tabit CE, Shenouda SM, Holbrook M, Fetterman JL, Kiani S, Frame AA,
Kluge MA, Held A, Dohadwala MM, Gokce N, Farb MG, Rosenzweig J,
Ruderman N, Vita JA, Hamburg NM: Protein kinase C-beta contributes
to impaired endothelial insulin signaling in humans with diabetes
mellitus. Circulation 2013, 127:86–95. References Balla J, Magyar MT, Bereczki D, Valikovics A, Nagy E, Barna E, Pál A, Balla G,
Csiba L, Blaskó G: Serum levels of platelet released CD40 ligand are
increased in early onset occlusive carotid artery disease. Dis Markers 2006,
22:133–140. 6. Stone NJ, Robinson JG, Lichtenstein AH, Bairey Merz CN, Blum CB, Eckel RH,
Goldberg AC, Gordon D, Levy D, Lloyd-Jones DM, McBride P, Schwartz JS,
Shero ST, Smith SC Jr, Watson K, Wilson PW: 2013 ACC/AHA guideline
on the treatment of blood cholesterol to reduce atherosclerotic
cardiovascular risk in adults: a report of the American College of
Cardiology/American Heart Association Task Force on Practice
Guidelines. Circulation 2014, 129:S1–1S45. 23. Davidson MH, Rosenson RS, Maki KC, Nicholls SJ, Ballantyne CM, Mazzone T,
Carlson DM, Williams LA, Kelly MT, Camp HS, Lele A, Stolzenbach JC:
Effects of fenofibric acid on carotid intima-media thickness in patients
with mixed dyslipidemia on atorvastatin therapy: randomized,
placebo-controlled study (FIRST). Arterioscler Thromb Vasc Biol 2014,
34:1298–1306. 7. Pasceri V, Willerson JT, Yeh ET: Direct proinflammatory effect of C-reactive
protein on human endothelial cells. Circulation 2000, 102:2165–2168. doi:10.1186/1476-511X-13-120
Cite this article as: Liao et al.: Increased Hs-CRP/adiponectin ratio is
associated with increase carotid intima-media thickness. Lipids in Health
and Disease 2014 13:120. doi:10.1186/1476-511X-13-120
Cite this article as: Liao et al.: Increased Hs-CRP/adiponectin ratio is
associated with increase carotid intima-media thickness. Lipids in Health
and Disease 2014 13:120. 8. Devaraj S, Xu DY, Jialal I: C-reactive protein increases plasminogen
activator inhibitor-1 expression and activity in human aortic endothelial
cells: implications for the metabolic syndrome and atherothrombosis. Circulation 2003, 107:398–404. 9. Verma S, Li SH, Badiwala MV, Weisel RD, Fedak PW, Li RK, Dhillon B,
Mickle DA: Endothelin antagonism and interleukin-6 inhibition
attenuate the proatherogenic effects of C-reactive protein. Circulation
2002, 105:1890–1896. 10. Ouchi N, Kihara S, Arita Y, Maeda K, Kuriyama H, Okamoto Y, Hotta K,
Nishida M, Takahashi M, Nakamura T: Novel modulator for endothelial
adhesion molecules: adipocyte-derived plasma protein adiponectin. Circulation 1999, 100:2473–2476. 11. Ouchi N, Kihara S, Arita Y, Nishida M, Matsuyama A, Okamoto Y, Ishigami M,
Kuriyama H, Kishida K, Nishizawa H, Hotta K, Muraguchi M, Ohmoto Y,
Yamashita S, Funahashi T, Matsuzawa Y: Adipocyte-derived plasma protein,
adiponectin, suppresses lipid accumulation and class A scavenger receptor
expression in human monocyte-derived macrophages. Circulation 2001,
103:1057–1063. Acknowledgements 15. Yang WS, Lee WJ, Funahashi T, Tanaka S, Matsuzawa Y, Chao CL, Chen CL,
Tai TY, Chuang LM: Weight reduction increases plasma levels of an
adipose-derived anti-inflammatory protein, adiponectin. J Clin Endocrinol
Metab 2001, 86:3815–3819. Authors’ contributions HL, ZL, JL and YL performed this study, DZ performed statistic analyses, and
CX and HW designed this study, and HL and ZL wrote this article. All authors
read and approved the final manuscript. Denote: MI = myocardial infarction, NS = no significant. Page 5 of 5 Liao et al. Lipids in Health and Disease 2014, 13:120
http://www.lipidworld.com/content/13/1/120 Authors’ information
Huocheng Liao and Zhiming Li co-first authors. Authors’ information
Huocheng Liao and Zhiming Li co-first authors. Authors’ information References Submit your next manuscript to BioMed Central
and take full advantage of:
• Convenient online submission
• Thorough peer review
• No space constraints or color figure charges
• Immediate publication on acceptance
• Inclusion in PubMed, CAS, Scopus and Google Scholar
• Research which is freely available for redistribution
Submit your manuscript at
www.biomedcentral.com/submit Submit your next manuscript to BioMed Central
and take full advantage of:
• Convenient online submission
• Thorough peer review
• No space constraints or color figure charges
• Immediate publication on acceptance
• Inclusion in PubMed, CAS, Scopus and Google Scholar
• Research which is freely available for redistribution
Submit your manuscript at
www.biomedcentral.com/submit Submit your next manuscript to BioMed Central
and take full advantage of:
• Convenient online submission
• Thorough peer review
• No space constraints or color figure charges
• Immediate publication on acceptance
• Inclusion in PubMed, CAS, Scopus and Google Scholar
• Research which is freely available for redistribution
Submit your manuscript at
www.biomedcentral.com/submit Submit your next manuscript to BioMed Central
and take full advantage of: Submit your next manuscript to BioMed Central
and take full advantage of: • Convenient online submission 12. Okamoto Y, Arita Y, Nishida M, Muraguchi M, Ouchi N, Takahashi M, Igura T,
Inui Y, Kihara S, Nakamura T, Yamashita S, Miyagawa J, Funahashi T,
Matsuzawa Y: An adipocyte-derived plasma protein, adiponectin, adheres
to injured vascular walls. Horm Metab Res 2000, 32:47–50. j
13. Arita Y, Kihara S, Ouchi N, Maeda K, Kuriyama H, Okamoto Y, Kumada M,
Hotta K, Nishida M, Takahashi M, Nakamura T, Shimomura I, Muraguchi M,
Ohmoto Y, Funahashi T, Matsuzawa Y: Adipocyte-derived plasma protein
adiponectin acts as a platelet-derived growth factor-BB-binding protein
and regulates growth factor-induced common postreceptor signal in
vascular smooth muscle cell. Circulation 2002, 105:2893–2898.
|
https://openalex.org/W4380482650
|
https://www.researchsquare.com/article/rs-3052564/latest.pdf
|
English
| null |
Turbine inlet valve’s self-excited vibrations risk the safe operation of hydropower plants
|
Research Square (Research Square)
| 2,023
|
cc-by
| 10,302
|
Turbine inlet valve’s self-excited vibrations risk the
safe operation of hydropower plants Hesham Awad Research Article Keywords: Valve, self excited vibration, penstock resonance, seal, hydropower plant
Posted Date: June 13th, 2023
DOI: https://doi.org/10.21203/rs.3.rs-3052564/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 Journal of Vibration Engineering &
Technologies on June 26th, 2023. See the published version at https://doi.org/10.1007/s42417-023-
01049-6. Turbine inlet valve’s self-excited vibrations risk
the safe operation of hydropower plants Hesham Awad
Arab Academy for Science, Technology and Maritime (AASTMT), Mechanical Engineering
Department. Abu kir, 1029 – Egypt
Phone:+201007038970
Email:hesham.saber@aast.edu
Jorge Parrondo
Universidad de Oviedo, Departemento de Energia. Wifredo Ricart s/n, Edificio Este (Energia), 33203 – Spain
Phone:+34628575742
Email:parrondo@uniovi.es 1- Introduction: Hydropower generates almost one-sixth of the global power generation, trailing only natural
gas and coal [1]. The industry’s contribution to power production is almost 55 % more than
nuclear technologies and greater than all other renewable energy resources combined, including
solar PV, wind, geothermal, and bioenergy [2]. Thus, performing transient flow analysis on the
hydropower plants is essential to maintain the safe and reliable operation of the power plants. A hydroelectric power plant consists of a reservoir, penstocks, a turbine inlet valve (TIV), a
turbine-generator mechanism for producing electricity, and a draft tube to discharge the water
flow out of the turbine, such as the Salime power plant. The Salime plant is a reservoir power
plant located in the southwestern area of Asturias, Spain [3]. The plant has a nominal head of 105
m and 160 MW rated output power, divided into four power units with a 170 m³/s joint flow rate. Each unit consists of a Francis turbine coupled to an electric generator on a vertical shaft. Furthermore, each unit has its own 80 m long penstock, as well as its own valves and control
elements, allowing each unit to operate independently, as shown in Figure 1. Butterfly
valve
Penstock
Discharge
chamber
Turbine
Spherical valve
Figure 1. Lay-out of the main hydraulic elements for each unit of the Salime power Plant. Butterfly
valve Discharge
chamber Figure 1. Lay-out of the main hydraulic elements for each unit of the Salime power Plant. The turbine inlet valve (TIV) at the Salime plant is a spherical (ball) valve that prevents water
flow to the turbine when it is not operating or is undergoing maintenance. The (TIV) at the Salime
power plant comprises two annular metal seals and a ball with a bore in the midst, as in Figures 2a
and 2b. The upstream seal is the fixed maintenance seal that provides additional water tightness
(i.e., under manual operation) when the service seal malfunctions. On the other hand, the sliding
service seal is responsible for blocking any leakage flow between the valve casing and the ball. When the ball valve is closed, in normal situations, the penstock water pressure flows thru the
pilot pipe and presses the seal against its seat on the ball’s surface, as shown in Figures 2b and 2c. As a result, the seal seats on the ball surface, blocking any leakage flow. Abstract: The main function of the turbine inlet valve (TIV) in a hydroelectric power plant is to
prevent flow of water to the turbine whenever the turbine is not operating. Usually, the valve
responsible for this operation is spherical with annular seals to perform the sealing function. Occasionally, when the valve is set into a closed orientation, the annular seal may not
execute its sealing function properly though develop periodic oscillations accompanied by
periodic leakage flows. These seal vibrations cause pressure fluctuations in the penstock
pipeline, which risks the plant’s reliable and safe operation. So, the primary goal of this
research is to present a simplified theoretical model, able to clarify the excitation mechanism
of the periodic seal vibration and simulate the plant's transient behavior. Afterwards,
develop some recommendations to enhance the stable operation of the (TIV). The system
governing equations comprises the water hammer equations to model the water flow through
the various pipelines, the vibrating seal equation of motion, and the system boundary
conditions. Results revealed that the dynamic instability of the (TIV) vibrations is more
likely to arise at higher input reservoir energy levels and at the 1st harmonic of the seal
oscillation. Also, modifying the (TIV) by increasing pilot pipeline head losses and reducing
its diameter can eliminate the (TIV) vibrations and warrant the plant’s safe operation. Keywords: Valve- self excited vibration- penstock resonance- seal- hydropower plant. 1- Introduction: In practice, however,
when the turbine is not working and the valve is oriented into a close position, the service seal
starts to vibrate instead of staying fixed to the ball surface. These periodic vibrations were observed as violent internal hits coupled with significant pressure fluctuations, which can surpass
the penstock’s pressure security limit of 13.5 Bar in case no security actions are applied, as shown
in Figure 3. Figure. 2. Description of the (TIV) at the Salime power plant. a) Spherical valves at the Salime power
house, before (left) and after (right) installation. b) Spherical valve in closed position with pilot pipeline to
transmit penstock pressure. c) Illustrative diagram of the Sliding seal operation Figure. 2. Description of the (TIV) at the Salime power plant. a) Spherical valves at the Salime power
house, before (left) and after (right) installation. b) Spherical valve in closed position with pilot pipeline to
transmit penstock pressure. c) Illustrative diagram of the Sliding seal operation Unfortunately during this vibration incident, the Salime plant's acquisition system can only
register one data per second, so the signal quality has been insufficient for appropriate dynamic
analysis. Although according to the subjective perception of the plant technicians, the tapping
frequency would be of the order of 1-3 Hz. In addition, the likeliness of the vibratory events might
increase when the reservoir’s water level falls below the maximum value; but no clear trend was
established by the technicians. This phenomenon ceased once an alarm sensor installed near the (TIV) revealed a pressure
value surpassing the penstock pipeline's pressure security limit. The alarm sensor caused the
butterfly valve at the penstock's entrance, as in Figure 1, to close, eliminating the pressure
oscillations and the seal vibrations, as in Figure 3. Although the butterfly valve closure solved the
problem, this solution was not favorable for managers of the power plant due to the subsequent
reasons: firstly, the subsequent operation following this event is more complex and takes a longer
time compared to usual conditions. Secondly, there was high water leakage flow passing through
the valve, and lastly, there were not extra security measures if another unexpected event happens. Figure 3. Penstock pressure signal recorded at the (TIV) upstream side at a vibratory episode of the valve of unit
number 3 [4]. Figure 3. 1- Introduction: Penstock pressure signal recorded at the (TIV) upstream side at a vibratory episode of the valve of unit
number 3 [4]. Therefore, in the meantime, another solution is applied at the power plant to overcome these
drawbacks according to the following hypothesis. Since no external force was applied to the seal
to cause the periodic seal oscillations, the seal vibrations are expected to be self-excited [5] as a
result of an unsteady leakage flow passing through a gap that may exist between the ball surface
and the service seal. This gap may be a result of the subsequent causes: (1) deficiency of water
pressure forces applied to the seal after the valve closure, (2) seal manufacturing defect, or (3)
inaccurate seal assembly. Consequently, an additional compressed air system is installed at the
pilot pipeline of the (TIV), which aims to ensure the seal's full closure by augmenting the pressure
forces applied to the seal. Indeed, this solution effectively eliminated the periodic seal's vibration
and solved the 1st solution's drawbacks. Although, it was noticed on several occasions that the
(TIV) vibrations still appear if the compressor does not operate or if there is a delay in the
operation of the compressor air system. In fact, the trouble of (TIV) self-excited vibrations has long been recognized in various power
plants, though cases mentioned in the literature are pretty scarce. Abbott et al. in 1963 [6] and
Wylie and Streeter in 1965 [7] studied the penstock’s self-excited vibrations and pressure
fluctuations due to the leakage of the penstock valve at the Bersimis No.2 power station (Canada). System analysis revealed that the valve leakage caused by the deficiency of pressure forces
applied to the inflatable seal was the source of the penstock's pressure fluctuations. Gummer in
1995 [8] reported on significant pressure fluctuations in the penstock pipeline throughout priming
as well as load rejection at the Maraetai 1 hydro station (New Zealand). In a similar way, head
gate seal leakage caused by insufficient oil pressure application was the cause of these pressure
oscillations. More recently, Caney and Zulovic [9] in 2004 and Kube et al. [10] in 2010
investigated the penstock pressure oscillations at the Gordon power plant (South-West Tasmania)
utilizing a computer code-named (Hytran solutions). Likewise, the developed pressure fluctuations were caused by the leakage of the (TIV), which was a spherical valve as in the case of
the Salime plant. 1- Introduction: The computer code exhibited the ability to compute the frequency of pressure
oscillations. However, it could not calculate the correct pressure oscillation values due to
neglecting the dynamic characteristics of the seal. Finally, Chaudry in 2014 [11] used a leakage
flow velocity graph to compare the stability conditions of a normal valve and a leaking valve. It is
observed that for a stable normal valve, a system disruption triggered by altering the velocity of
the leakage flow diminishes over a period of time until it reaches steady-state conditions. On the
other hand, a system disturbance increases over time for a leaking valve. In accordance with the mentioned studies, (TIV) vibration is a significant issue that can
jeopardize the power plant's safe and reliable operation. In fact, the authors have previously
studied the problem of the (TIV) vibration in the Salime plant as in [12-13]. In these studies, the
developed theoretical models can explain the cause of the (TIV) vibrations as well as compute the
maximum value of the pressure oscillations. However, they could not calculate the frequency of
both the (TIV) vibration and the pressure oscillations, which is in the range of 1 to 3 Hz as
proclaimed by the technicians in the power plant. According to Chaudry [11], if the pipeline flow
oscillation speed Lj ω is minimal compared to the pipeline wave speed aj (i.e. 𝐿𝑗𝜔
𝑎𝑗 ≪1), the
system can be modeled as a lumped system where fluid compressibility effects can be neglected. But for the case of the Salime power plant, by considering the proclaimed frequency range, the 80
m penstock length, and the pipeline wave speed of 1275 m/s, the
𝐿𝑗𝜔
𝑎𝑗 is not much smaller than
one. Thus, it is believed that the previous established models could not predict the frequency of
the (TIV) oscillations because fluid compressibility and pipeline wall elasticity effects were
neglected. Therefore, the first goal of this research is to create a simplified theoretical model capable of
explaining and computing the self-excited vibrations of the (TIV) while considering fluid
compressibility and pipeline wall elasticity effects, seal dynamic characteristics, and power plant
relevant data. The second aim is to establish the conditions of the stable and unstable operation of
the (TIV). 1- Introduction: In which, an evaluation stage for these stability conditions will be carried out under
various system configurations to deliver some suggestions on how to improve the (TIV) dynamic
performance related to the seal’s vibrations. Finally, this research makes a contribution to the
sustainable development goals (SDGs) number 7 and 9, since the outcomes of this work can
enhance the reliable and safe operation of the power plant (target 7.1) and improve the
manufacturing of the (TIV) (target 9.5). 2.1. Preliminary assessment of the (TIV) dynamic behavior leading to the model
construction: As stated in the introduction, the (TIV) dynamic behavior is believed to be a result of the
seal's vibration due to the unsteady leakage flow passing through the gap between the ball surface and
the service seal. This kind of vibration is correlated to a category named movement-induced excitation
flow-induced vibrations; as the vibrations of the seal are self-excited [5]. Regarding the case at hand,
if the seal is disturbed, the flow rate on both sides of the seal varies due to the clearance of the seal. Hence, the pressure force applied to the service seal varies where the seal begins to vibrate because of
the elasticity of the seal’s structure. In this case, as the fluid system and the seal start to oscillate, they
couple in a way that the energy source for the seal's oscillatory motion is the fluid system. In case that
the energy provided by the fluid system surpasses the system’s dissipation energy, the system
becomes dynamically unstable. In this circumstance, the pressure fluctuations and the seal oscillations
amplitudes augment until they reach the limit cycle oscillations; where the energy provided by the
fluid system is equal to the system’s dissipation energy. In order to keep the theoretical model as simple as possible while containing the real plant
relevant data, it was decided to take into account the (TIV) scheme of Figure (4a) in addition to the
hydro-mechanical model describing every group of the Salime power plant as in Figure (4b). The
presented system's relative dimensions and positions are specified such as in Table 1. (a)
Exit Flow
Inlet Flow
Qa
Qb
Qc
1
2
4
5
6
3
Qd
Fixed maintenance
seal
Sliding service
seal Ld
Lb1
Lb2
Lb3
Lg
Lc
msc
c
k
sc
sc
1
1
2L
3L
r
2r
3r
2
4L 4 4r
5 5r
5L
6L
3
y
La
45
(a)
Ball casing section
Exit Flow
Inlet Flow
Qa
Qb
Qc
1
2
4
5
6
3
Qd
yog
ygu
Fixed maintenance
seal
Sliding service
seal
(b)
Figure 4. a) Simplified diagram of the closed valve with relevant positions. b) Simplified hydro-mechanical
diagram for each group of Salime hydro-electric power plant with seal physical features, notations and vibration
coordinate. 2.1. Preliminary assessment of the (TIV) dynamic behavior leading to the model
construction: Fixed maintenance
seal Ld
Lb1
Lb2
Lb3
Lg
Lc
msc
c
k
sc
sc
1
1
2L
3L
r
2r
3r
2
4L 4 4r
5 5r
5L
6L
3
y
La
45
Ball casing section
yog
ygu
(b) (a) (b) Figure 4. a) Simplified diagram of the closed valve with relevant positions. b) Simplified hydro-mechanical
diagram for each group of Salime hydro-electric power plant with seal physical features, notations and vibration
coordinate. Table 1. Relative positions and dimensions of the Salime power plant hydro-mechanical model
Point 1
Penstock entry
Point 2
Pilot pressure take off point
Point 3
Penstock water pressure flow thru the pilot pipeline
Point 4
Inlet to service seal clearance (gap) Point 5
Exit from the service seal clearance
Point 6
Discharge chamber
La
Penstock length up to the valve entry
La=80 m
Lb1
Pipe length via the spherical valve to the ball surface
Lb1=6 m
Lb2
Fixed maintenance seal's length in the direction of the
flow
Lb2= 10 mm
Lb3
Distance between the sliding service seal and the fixed
maintenance seal
Lb3= 1.24 m2
Lg
Clearance length in the direction of the flow
Lg=12.5 mm
Lc
Pipeline length between the ball exit and the discharge
chamber
Lc=25 m
Ld
Pilot pipeline length
Ld=15 m
ygu
Unstrained clearance thickness as the service seal is
offloaded neither dynamically nor statically
yog
Mean clearance thickness after being statically stressed
y
Service seal's vibration displacement from the static
equilibrium position (i.e. yog )
cs , ks , ms
Service seal’s structure damping, stiffness, and mass
coefficients. cs=610.51 N s m-1, ks=1.243x105
N m-1, and ms=74.95 kg,
csg , ksg , msg
Seal’s structure damping, stiffness, and mass coefficients
corresponding to the seal’s clearance circumference
length
Seal material
Stainless steel
ρ=7800 kg m-3 and E=200 GPa The (TIV) dynamic behaviour is computed in two steps as it is assumed that the (TIV)
vibrations are self-excited because of the presence of unsteady leakage flow. The first step is
calculating the dynamic fluid force applied to the seal due to the existence of the unsteady leakage
flow, whilst the following step is solving the equation of motion of the seal to determine the dynamic
behaviour of the valve. 2.2. Calculation of the dynamic fluid force applied to the seal: According to Figures 4a and 4b, three types of equations are considered to calculate the
dynamic fluid force applied to the service seal. Firstly, the water hammer equations are applied for the
pipelines to compute the unsteady pressure and flow rate taking into consideration fluid
compressibility and pipeline wall elasticity effects [11]. Also, for the system boundary conditions,
presented in the system different junctions and the fluid flow through the service seal clearance, the
continuity and the energy equations are applied [14]. Therefore, the fluid system governing equations
constructing the theoretical model for the Salime power plant is as follow. 1- Pipeline j water hammer equations: 1- Pipeline j water hammer equations: 𝑔 𝐴𝑗
𝑎𝑗
2 𝜕𝐻
𝜕𝑡+ 𝜕𝑄
𝜕𝑥= 0
Eq.(1) Continuity equation: Continuity equation: Eq.(1) 𝜕𝐻
𝜕𝑥+
1
𝑔 𝐴𝑗
𝜕𝑄
𝜕𝑡+
f𝑗𝑄𝑗
𝑛
2𝑔𝑑𝑗𝐴𝑗
𝑛= 0
Eq.(2) Momentum equation: - System boundary conditions:
Branching junction at point
2:
𝐻2
𝐿= 𝐻2
𝑟= 𝐻3
𝐿
Eq.(3)
𝑄2
𝐿= 𝑄2
𝑟+ 𝑄3
𝐿
Eq.(4)
Service seal inlet boundary
at point 4:
𝐻4
𝐿+
𝑄4
𝐿2
2𝑔𝐴𝑏3
2 = 𝐻4
𝑟+ 𝑄4
𝑟2
2𝑔𝐴𝑔2
Eq.(5)
𝑄4
𝐿= 𝑄4
𝑟
Eq.(6)
Oscillating
service
seal
boundary at point 45:
𝐻4
𝑟+ 𝑄4
𝑟2
2𝑔𝐴𝑔2 = 𝐻5
𝐿+ 𝑄5
𝐿2
2𝑔𝐴𝑔2
Eq.(7)
𝑄5
𝐿= 𝑄4
𝑟+ 𝑖𝜔𝐴𝑠𝑠𝑦
Eq.(8)
Service seal exit boundary at
point 5:
𝐻5
𝐿+ 𝑄5
𝐿2
2𝑔𝐴𝑔2 = 𝐻5
𝑟+ 𝑄5
𝑟2
2𝑔𝐴𝑑
2 + 𝑄5
𝑟2
2𝑔( 1
𝐴𝑔
−1
𝐴𝑑
)
2
Eq.(9)
𝑄5
𝐿= 𝑄5
𝑟
Eq.(10)
Oscillating
dead
end
boundary at section 3r :
𝑄3
𝑟= 𝑖𝜔𝐴𝑜𝑠𝑦
Eq.(11) 2- System boundary conditions:
Branching junction at point
2:
𝐻2
𝐿= 𝐻2
𝑟= 𝐻3
𝐿
Eq.(3)
𝑄2
𝐿= 𝑄2
𝑟+ 𝑄3
𝐿
Eq.(4)
Service seal inlet boundary
at point 4:
𝐻4
𝐿+
𝑄4
𝐿2
2𝑔𝐴𝑏3
2 = 𝐻4
𝑟+ 𝑄4
𝑟2
2𝑔𝐴𝑔2
Eq.(5)
𝑄4
𝐿= 𝑄4
𝑟
Eq.(6)
Oscillating
service
seal
boundary at point 45:
𝐻4
𝑟+ 𝑄4
𝑟2
2𝑔𝐴𝑔2 = 𝐻5
𝐿+ 𝑄5
𝐿2
2𝑔𝐴𝑔2
Eq.(7)
𝑄5
𝐿= 𝑄4
𝑟+ 𝑖𝜔𝐴𝑠𝑠𝑦
Eq.(8)
Service seal exit boundary at
point 5:
𝐻5
𝐿+ 𝑄5
𝐿2
2𝑔𝐴𝑔2 = 𝐻5
𝑟+ 𝑄5
𝑟2
2𝑔𝐴𝑑
2 + 𝑄5
𝑟2
2𝑔( 1
𝐴𝑔
−1
𝐴𝑑
)
2
Eq.(9)
𝑄5
𝐿= 𝑄5
𝑟
Eq.(10)
Oscillating
dead
end
boundary at section 3r :
𝑄3
𝑟= 𝑖𝜔𝐴𝑜𝑠𝑦
Eq.(11) 2- System boundary conditions:
Branching junction at point
2:
𝐻2
𝐿= 𝐻2
𝑟= 𝐻3
𝐿
Eq.(3)
𝑄2
𝐿= 𝑄2
𝑟+ 𝑄3
𝐿
Eq.(4)
Service seal inlet boundary
at point 4:
𝐻4
𝐿+
𝑄4
𝐿2
2𝑔𝐴𝑏3
2 = 𝐻4
𝑟+ 𝑄4
𝑟2
2𝑔𝐴𝑔2
Eq.(5)
𝑄4
𝐿= 𝑄4
𝑟
Eq.(6)
Oscillating
service
seal
boundary at point 45:
𝐻4
𝑟+ 𝑄4
𝑟2
2𝑔𝐴𝑔2 = 𝐻5
𝐿+ 𝑄5
𝐿2
2𝑔𝐴𝑔2
Eq.(7)
𝑄5
𝐿= 𝑄4
𝑟+ 𝑖𝜔𝐴𝑠𝑠𝑦
Eq.(8)
Service seal exit boundary at
point 5:
𝐻5
𝐿+ 𝑄5
𝐿2
2𝑔𝐴𝑔2 = 𝐻5
𝑟+ 𝑄5
𝑟2
2𝑔𝐴𝑑
2 + 𝑄5
𝑟2
2𝑔( 1
𝐴𝑔
−1
𝐴𝑑
)
2
Eq.(9)
𝑄5
𝐿= 𝑄5
𝑟
Eq.(10)
Oscillating
dead
end
boundary at section 3r :
𝑄3
𝑟= 𝑖𝜔𝐴𝑜𝑠𝑦
Eq.(11) 𝐻2
𝐿= 𝐻2
𝑟= 𝐻3
𝐿
Eq.(3)
𝑄2
𝐿= 𝑄2
𝑟+ 𝑄3
𝐿
Eq.(4)
𝐻4
𝐿+
𝑄4
𝐿2
2𝑔𝐴𝑏3
2 = 𝐻4
𝑟+ 𝑄4
𝑟2
2𝑔𝐴𝑔2
Eq.(5)
𝑄4
𝐿= 𝑄4
𝑟
Eq.(6)
𝐻4
𝑟+ 𝑄4
𝑟2
2𝑔𝐴𝑔2 = 𝐻5
𝐿+ 𝑄5
𝐿2
2𝑔𝐴𝑔2
Eq.(7)
𝑄5
𝐿= 𝑄4
𝑟+ 𝑖𝜔𝐴𝑠𝑠𝑦
Eq.(8)
𝐻5
𝐿+ 𝑄5
𝐿2
2𝑔𝐴𝑔2 = 𝐻5
𝑟+ 𝑄5
𝑟2
2𝑔𝐴𝑑
2 + 𝑄5
𝑟2
2𝑔( 1
𝐴𝑔
−1
𝐴𝑑
)
2
Eq.(9)
𝑄5
𝐿= 𝑄5
𝑟
Eq.(10)
𝑄3
𝑟= 𝑖𝜔𝐴𝑜𝑠𝑦
Eq.(11) Oscillating
service
seal
boundary at point 45: The fluid system governing equations can be solved in the time domain using the method of
characteristics (MOC) or in the frequency domain using the transfer matrix or the impedance method. 1- Pipeline j water hammer equations: The water hammer equations and the system boundary conditions are solved in the frequency domain
using the transfer matrix method due to its simplicity and low computational time compared to the
(MOC). In addition, applying the transfer matrix method to compute the mentioned equations is
appropriate since the developed model considers decayed or diverged sinusoidal pressure and flow
rate oscillations (i.e., according to the stability of the periodic seal’s oscillations), linear friction terms,
and linear boundary conditions. Transfer matrix method: By applying the transfer matrix method, the instantaneous pressure head H and discharge Q
are split into mean components and time-dependent components superimposed over them (i.e.,
Q=Qo+q and H=Ho+h). Where the oscillated pressure head h and discharge q are complex variables
function of time t and distance x along the pipeline as follows: ℎ= 𝑅𝑒(ℎ(𝑥)𝑒𝑖𝜔𝑡)
Eq.(12)
𝑞= 𝑅𝑒(𝑞(𝑥)𝑒𝑖𝜔𝑡)
Eq.(13) ℎ= 𝑅𝑒(ℎ(𝑥)𝑒𝑖𝜔𝑡)
𝑞= 𝑅𝑒(𝑞(𝑥)𝑒𝑖𝜔𝑡) Eq.(12) Eq.(13) The transfer matrix method calculates the fluid system transient behavior by computing the
following three transfer matrices. The first transfer matrix is the field transfer matrix Fj, which relates the upstream state variables (pressure and flow rate oscillations) to the downstream state variables of
pipeline j. The second transfer matrix is the point transfer matrix Pj that relates the state variables just
to the right and to the left of a boundary condition j. Finally, the third transfer matrix is the overall
transfer matrix U, which relates the downstream state variables of a system to the upstream state
variables. For the case of interest, the seal oscillations are of diverging or decaying amplitude (i.e.,
depending on system stability) as the seal vibrations are self-excited. Therefore, the system
components transfer matrices (i.e., field and point transfer matrices) are written for the free-damped
oscillation as the related pressure and flow rate oscillations are expected to be of decayed or diverged
amplitudes. Thus, to represent the free-damped oscillations, the estimated transfer matrices are written
by replacing iω with the complex frequency iω+δ [11]. Pipeline Field transfer matrix (Fj): For free damped oscillations, the field transfer matrix relating the downstream and upstream
state variables of a pipeline j, can be computed as follows [11], 𝑍𝑗+1
𝐿
= 𝐹𝑗𝑍𝑗
𝑅
Eq.(14) Eq.(14) 𝑍𝑗+1
𝐿 and 𝑍𝑗
𝑅 represent the state vectors that comprises the state variables (ℎ and 𝑞) at both ends of a
pipeline j, as in Figure 5, while 𝐹𝑗 resembles the pipeline j field transfer matrix. 𝑍𝑗+1
𝐿 and 𝑍𝑗
𝑅 represent the state vectors that comprises the state variables (ℎ and 𝑞) at both ends of a
pipeline j, as in Figure 5, while 𝐹𝑗 resembles the pipeline j field transfer matrix. Figure 5. Boundaries of Pipeline j. In matrix notation Eq.(14) becomes:
[𝑞
ℎ]
𝑗+1
𝐿
= [
cosh(𝜇𝑗𝐿𝑗)
−sinh(𝜇𝑗𝐿𝑗) 1
𝑍𝑗
−sinh(𝜇𝑗𝐿𝑗)𝑍𝑗
cosh(𝜇𝑗𝐿𝑗)
] [𝑞
ℎ]
𝑗
𝑟
where, 𝜇𝑗= √(
𝑖𝜔+𝛿
𝑎𝑗)
2
+
𝑔(𝑖𝜔+𝜎)𝑅𝑗𝐴𝑗
𝑎𝑗
2
and 𝑍𝑗=
𝜇𝑗𝑎𝑗
2
𝑔(𝑖𝜔+𝛿)𝐴𝑗 Figure 5. Boundaries of Pipeline j. Figure 5. Boundaries of Pipeline j. Figure 5. Boundaries of Pipeline j. Figure 5. Boundaries of Pipeline j. In matrix notation Eq.(14) becomes: Zj represents pipeline j characteristic impedance, Rj resembles pipeline j friction losses, aj is pipeline j
wave speed, and iω+δ is the complex frequency for free-damped oscillations. Point transfer matrix (Pj): For the case under consideration, there are two boundary conditions the branch with an
oscillating dead end, as in Figure 4b section 3r, and the valve service seal. The following sections
present the computation of the point transfer matrices related to these boundary conditions. Branching junction with an oscillating dead end (Point matrix P2): To estimate the mainline 12 … 6
̅̅̅̅̅̅̅̅ overall transfer matrix, the branching junction point transfer
matrix P2, as in Figure 4b, must be calculated first. To compute P2, the boundary condition at section
3r must be specified [11]. So, as there is no other forces boundaries at the branch, and by considering
𝑄3
𝑟= (𝑖𝜔+ 𝛿)𝐴𝑜𝑠𝑦 and neglecting the head losses at point 2, the branch junction with oscillating
dead-end point transfer matrix P2 can be computed as follows, 𝑍2
𝑟= 𝑃2𝑍2
𝐿
Eq.(15)
In matrix notation Eq. (15) becomes: 𝑍2
𝑟= 𝑃2𝑍2
𝐿
Eq.(15)
In matrix notation Eq. (15) becomes: Eq.(15) 𝑍2
𝑟= 𝑃2𝑍2
𝐿 𝑍2
𝐿
Eq.(15)
x notation Eq. (15) becomes: 2
2
2
In matrix notation Eq. (15) becomes: [
𝑞
ℎ
𝑌
]
2
𝑟
= [
1
−sinh(𝜇𝑑𝐿𝑑)
𝑍𝑐cosh(𝜇𝑑𝐿𝑑)
−𝐴𝑜𝑠(𝑖𝜔+ 𝛿)
cosh(𝜇𝑑𝐿𝑑)
0
1
0
0
0
1
] [
𝑞
ℎ
𝑌
]
2
𝐿
Valve service seal transfer matrix (Pv): Valve service seal transfer matrix (Pv): In the presented hydro-mechanical model, the valve service seal point transfer matrix Pv is
divided into three-point transfer matrices. The first point P4 represents the seal inlet point transfer
matrix at point 4. The second point P45 presents the oscillating service seal point transfer matrix at
point 45 between sections 4r and 5L. Finally, the third point P5 resembles the seal exit point transfer
matrix at point 5, as in Figure 4b. The point transfer matrix at points 4 and 5 can be computed by relating the energy head and
the flow rate at both sides of points 4 and 5. By using the energy and continuity equations Eqns. (5, 6,
9, and 10), linearizing the nonlinear equations, and converting the developed linearized equations into
the frequency domain using Eqns. (12 and 13) for free damped oscillations, 𝑃4 and 𝑃5 can be
computed as follows. Branching junction with an oscillating dead end (Point matrix P2): [
𝑞
ℎ
𝑌
]
4
𝑟
=
[
1
0
0
𝑄𝑜𝑏
𝑔( 1
𝐴𝑏3
2 −1
𝐴𝑜𝑔
2 )
1
−
𝑄𝑜𝑏
2 𝐿𝑜
𝑔𝐴𝑜𝑔
3
0
0
1
]
⏟
𝑃4
[
𝑞
ℎ
𝑌
]
4
𝐿
Eq.(16) [
𝑞
ℎ
𝑌
]
4
𝑟
=
[
1
0
0
𝑄𝑜𝑏
𝑔( 1
𝐴𝑏3
2 −1
𝐴𝑜𝑔
2 )
1
−
𝑄𝑜𝑏
2 𝐿𝑜
𝑔𝐴𝑜𝑔
3
0
0
1
]
⏟
𝑃4
[
𝑞
ℎ
𝑌
]
4
𝐿
Eq.(16) Eq.(16) [
𝑞
ℎ
𝑌
]
5
𝑟
=
[
1
0
0
2𝑄𝑜𝑔
𝑔𝐴𝑐2 ( 𝐴𝑐
𝐴𝑜𝑔
−1)
1
𝑄𝑜𝑔
2 𝐿𝑜
𝑔𝐴𝑑𝐴𝑜𝑔
2
0
0
1
]
⏟
𝑃5
[
𝑞
ℎ
𝑌
]
5
𝐿
Eq.(17) Eq.(17) The point transfer matrix P45 can be calculated in the same manner as in P4 and P5 but while
neglecting the head losses between sections 4r and 5L, and applying the continuity and energy
equations Eqns. (7 and 8). Accordingly, P45 can be calculated as follows. [
𝑞
ℎ
𝑌
]
5
𝐿
=
[
1
0
(𝑖𝜔+ 𝛿)𝐴𝑠𝑠
0
1
−
𝑄𝑜𝑔(𝑖𝜔+ 𝛿)𝐴𝑠𝑠
𝑔 𝐴𝑜𝑔
2
0
0
1
]
⏟
𝑃45
[
𝑞
ℎ
𝑌
]
5
𝐿
Eq.(18)
Overall transfer matrix U: [
𝑞
ℎ
𝑌
]
5
𝐿
=
[
1
0
(𝑖𝜔+ 𝛿)𝐴𝑠𝑠
0
1
−
𝑄𝑜𝑔(𝑖𝜔+ 𝛿)𝐴𝑠𝑠
𝑔 𝐴𝑜𝑔
2
0
0
1
]
⏟
𝑃45
[
𝑞
ℎ
𝑌
]
5
𝐿
Eq.(18)
Overall transfer matrix U: Eq.(18) Overall transfer matrix U: Fa
P2
Fb1
P4
P45
P5
Fc
Fc P5 P45 P4 Fb1 P2 Fa
1r
2L
2r
4L
4r
5L
5r
6L
1r
6L
1r
6L
Fa
Fb1
P4
P
P5
Fc
Fd
Oscillating dead end
3r
3L
1r
2L
2r
4L
4r
5L
5r
6L
45
U
Figure 6: Transfer matrix block diagram of the hydro-mechanical model. Figure 6: Transfer matrix block diagram of the hydro-mechanical model. After computing system components transfer matrices, a general block diagram of the hydro-
mechanical model is drawn as in Figure 6. The inner blocks represent system component’s transfer
matrices. The overall transfer matrix U is computed by multiplying the field and point transfer
matrices in order from the right side to the left side to relate upstream and downstream state variables
as follows. Branching junction with an oscillating dead end (Point matrix P2): 𝑍6
𝐿= 𝑈𝑍1
𝑟
𝑈= 𝐹𝑐 𝑃5 𝑃45 𝑃4 𝐹𝑏1 𝑃2 𝐹𝑎 Eq.(19) The Field transfer matrices of pipelines a, b, c and d can be computed by utilizing Eq. (14). However, since Rj alters due to pipeline minor losses and type of flow, each pipeline friction losses
presented in Figure 4b are calculated as follows. 𝑅𝑎=
f𝑎𝑄𝑜𝑎
𝑔𝑑𝑎𝐴𝑎2 , 𝑅𝑏=
f𝑏1𝑄𝑜𝑏
𝑔𝑑𝑏𝐴𝑏1
2 +
𝑄𝑜𝑏( 1
𝐴𝑏2−1
𝐴𝑏3)
2
2𝑔𝐿𝑏1
, 𝑅𝑐=
f𝑐𝑄𝑜𝑐
𝑔𝑑𝑐𝐴𝑐2 and 𝑅𝑑=
32 𝜈
𝑔𝑑𝑑𝐴𝑑
2 + 𝐾𝐿𝑑. 2.3. Service seal’s equation of motion: 2.3. Service seal’s equation of motion: 𝑚𝑠𝑔= 𝑚𝑠(
θg
2𝜋)
𝑘𝑠𝑔= 720 𝐸 𝐼
𝐿𝑜3 𝑚𝑠𝑔= 𝑚𝑠(
θg
2𝜋)
Eq.(20)
𝑘𝑠𝑔= 720 𝐸 𝐼
𝐿𝑜3
Eq.(21)
where 𝐿𝑜= 𝐿𝑠(
θg
2𝜋), 𝐿𝑠= 𝜋∅ , and θg is the gap angle corresponding to the clearance
circumference length 𝐿𝑜 Eq.(21) 𝑘𝑠𝑔=
𝐿𝑜3
Eq.(21)
where 𝐿𝑜= 𝐿𝑠(
θg
2𝜋), 𝐿𝑠= 𝜋∅ , and θg is the gap angle corresponding to the clearance
circumference length 𝐿𝑜 where 𝐿𝑜= 𝐿𝑠(
θg
2𝜋), 𝐿𝑠= 𝜋∅ , and θg is the gap angle corresponding to the clearance
circumference length 𝐿𝑜 where 𝐿𝑜= 𝐿𝑠(
θg
2𝜋), 𝐿𝑠= 𝜋∅ , and θg is the gap angle corresponding to the clearance
circumference length 𝐿𝑜 𝑐𝑠𝑔= 2𝜉√𝑚𝑠𝑔𝑘𝑠𝑔
Eq.(22) 𝑐𝑠𝑔= 2𝜉√𝑚𝑠𝑔𝑘𝑠𝑔 Eq.(22) Once the dynamic fluid force applied to the seal is determined, the periodic seal's oscillations
can be calculated employing the equation of motion of the seal [15] as follows: Once the dynamic fluid force applied to the seal is determined, the periodic seal's oscillations
can be calculated employing the equation of motion of the seal [15] as follows: 𝑚𝑠𝑔𝑦̈ + 𝑐𝑠𝑔𝑦̇ + 𝑘𝑠𝑔𝑦= 𝐹(𝑡)
Eq.(23a) 𝑚𝑠𝑔𝑦̈ + 𝑐𝑠𝑔𝑦̇ + 𝑘𝑠𝑔𝑦= 𝐹(𝑡) Eq.(23a) 2.3. Service seal’s equation of motion: As stated in the introduction, the clearance between the ball surface and the service seal is
believed to be the cause of the periodic seal vibrations and the related penstock pressure fluctuations. According to the structure of the seal, it is anticipated that one part of the seal adheres to the ball
surface while the other part deflects away from it, as shown in Figure 7. 31
31
2220
O
31
45
12,5
20
(a)
(b)
(c)
Maximum clearnce
Figure 7. (TIV) service seal specifications. a) Service seal section view. b) Side view of the un-deformed service
seal with dimensions in mm. c) Deformed service seal side view with maximum clearance position Maximum clearnce Figure 7. (TIV) service seal specifications. a) Service seal section view. b) Side view of the un-deformed service
seal with dimensions in mm. c) Deformed service seal side view with maximum clearance position Figure 7. (TIV) service seal specifications. a) Service seal section view. b) Side view of the un-deformed service
seal with dimensions in mm. c) Deformed service seal side view with maximum clearance position In order to compute the (TIV) vibrations related to the seal’s oscillations, the seal structure
mass, stiffness, and damping coefficients corresponding to the clearance circumference length 𝐿𝑜 are
calculated first. Thus, the seal structure coefficients are computed in the same way as in [12], where
an average seal vibration displacement and mean seal clearance thickness are taken into consideration. 2.4. System stability conditions: For the case under consideration, the hydrodynamic force exerted on the seal depends only on
the seal vibration motion since the vibration of the seal is self-excited [5]. Therefore, the
hydrodynamic force applied to the seal can be presented as parameters function of the seal vibration
components 𝑦, 𝑦̇ and 𝑦̈ [5]. In consequence, the vibrating seal equation of motion can be presented as
in Eq (23b) where 𝑚𝑤, 𝑐𝑤 and 𝑘𝑤 are the added water mass, damping and stiffness coefficients
representing the fluid dynamic force as follows. 𝑚𝑠𝑔𝑦̈ + 𝑐𝑠𝑔𝑦̇ + 𝑘𝑠𝑔𝑦= 𝐹(𝑡)
(𝑚𝑠𝑔+ 𝑚𝑤)
⏟
𝑚𝑒𝑞
𝑦̈ + (𝑐𝑠𝑔+ 𝑐𝑤)
⏟
𝑐𝑒𝑞
𝑦̇ + (𝑘𝑠𝑔+ 𝑘𝑤)
⏟
𝑘𝑒𝑞
𝑦= 0
Eq.(23b) Eq.(23b) The developed seal equation of motion Eq.(23b) presents the behavior of a free vibration
damped system where the characteristic root of Eq.(23b) designates the seal vibration behavior. The
characteristic root of the seal equation of motion is considered to be the same as the time-dependent
pressure and flow rate complex frequency 𝑖𝜔+ 𝛿 as the developed model considers free damped
oscillations and the hydrodynamic force depends only on the seal motion. Therefore, the seal response
and the equation of motion characteristic root can be computed as follows [15], 𝑦= 𝑌𝑒(𝑖𝜔+𝛿)𝑡
Eq.(24)
𝜔= 𝜔𝑛√1 −𝜉2 = √
𝑘𝑒𝑞
𝑚𝑒𝑞
√1 −(
𝑐𝑒𝑞
2√𝑚𝑒𝑞𝑘𝑒𝑞
)
2
Eq.(25)
𝛿= −𝜔𝑛𝜉= −√
𝑘𝑒𝑞
𝑚𝑒𝑞
𝑐𝑒𝑞
2√𝑚𝑒𝑞𝑘𝑒𝑞
Eq.(26) 𝑦= 𝑌𝑒(𝑖𝜔+𝛿)𝑡
Eq.(24)
𝜔= 𝜔𝑛√1 −𝜉2 = √
𝑘𝑒𝑞
𝑚𝑒𝑞
√1 −(
𝑐𝑒𝑞
2√𝑚𝑒𝑞𝑘𝑒𝑞
)
2
Eq.(25)
𝛿= −𝜔𝑛𝜉= −√
𝑘𝑒𝑞
𝑚𝑒𝑞
𝑐𝑒𝑞
2√𝑚𝑒𝑞𝑘𝑒𝑞
Eq.(26) Eq.(24) Eq.(26) Also, the added water mass, damping, and stiffness coefficients representing the fluid
dynamic force can be computed as in Eqns. (27-29) with the aid of both the seal equation of motion
Eq. (23b), and the seal response Eq. (24). 𝑚𝑤= 0
Eq.(27)
𝑐𝑤= −𝐹𝐼
𝑌𝜔
Eq.(28) Eq.(27)
Eq.(28) 𝑚𝑤= 0
𝑐𝑤= −𝐹𝐼
𝑌𝜔 Eq.(27) Eq.(27)
Eq.(28) Eq.(28) Eq.(28) 𝑘𝑤= −𝐹𝑅
𝑌+ 𝐹𝐼𝜎
𝑌𝜔 Eq.(29) FR and FI represent the seal’s hydrodynamic force real and imaginary components, while Y is
the seal vibration displacement amplitude and is considered to be a real number since there is no other
forcing function in the system [11]. For such a system, the dynamic stability is recognized by the seal equivalent damping
coefficient 𝑐𝑒𝑞 and 𝛿 values. If 𝛿> 0, the system is dynamically unstable as the seal response will
grow exponentially (i.e., see Eq.(24)). 2.4. System stability conditions: In contrast, If 𝛿< 0, the system is dynamically stable since the
seal response will damps over time reaching its equilibrium position yog. In addition to the dynamic
stability limit (𝛿≤0), there is also a static limit because the thickness of the clearance depends on the
hydro-pressure force applied to the seal. So, if the average seal clearance yog under static load is equal
to zero, thus no leakage flow is developed and the seal could not undertake vibrations. 3- Theoretical model computation procedure: The computation of the pressure and flow rate oscillations in the frequency domain is
established through several steps as follows. Firstly, the steady-state variables such as steady-state
flow rate, pressure head, and seal gap cross-section area are calculated. Once the steady state variables
are computed an expression for the overall transfer matrix U, function of ω and δ, can be calculated
through Eq. (19). Afterwards, by employing the free end conditions (i.e ℎ1
𝑟= 0 and ℎ6
𝐿= 0) to the
overall transfer matrix 𝑈, the fluctuated flow rate at the intake reservoir 𝑞1
𝑟 and at the discharge
chamber 𝑞6
𝐿 can be determined as a function of ω and 𝛿. Next, the equivalent hydrodynamic force
applied to the seal can be solved in the frequency domain as a function of ω and 𝛿 by applying 𝑞1
𝑟,
and 𝑞6
𝐿 into the other transfer matrices Eqns.(14-18). Finally, By converting the equivalent
hydrodynamic force acting on the seal into added water mass, damping, and stiffness coefficients such
as in Eqns.(27, 28, and 29), and by substituting the seal response Eq.(24) into the seal’s equation of
motion Eq.(23b), the complex version of the seal’s equation of motion Eq.(23b) could be adopted to
solve ω and 𝛿. 4- Discussion and Results: The turbine inlet valve (TIV) self-excited vibrations is a significant problem, which can raise
the penstock pressure beyond its security limit of 13.5 Bar, as in Figure 3. Consequently, if no
security actions are applied, these pressure fluctuations can cause devastating accidents such as
penstock burst and powerhouse submerging, risking the safe operation of the hydropower plant. Therefore, the discussion and result section is divided into two sections. The first section tackles the
next questions: How both the unstable (TIV) vibrations and the related pressure fluctuations are developed?, what are the operating parameters that may influence the (TIV) vibration problem?, and
finally Is the presented compressible flow model capable of simulating the practical problem of both
the (TIV) vibrations and the related penstock pressure oscillation at the Salime plant?. Next, the second section presents an evaluation phase that aims to yield some
recommendations to enhance the penstock pressure fluctuations as well as the (TIV) vibrations. The
evaluation phase is based on assessing the influence of different system configurations on the (TIV)
vibrations. The methodology applied to alter the system configuration is based on the parameters that
can be practically modified. Finally, since this study considers fluid compressibility, the fluid of the piping system can be
represented by an infinite number of springs and masses connected in series where springs represent
fluid compressibility. As a result, the hydro-mechanical model, presented in Figure 4b, is modeled as
a distributed system with infinite degrees of freedom or modes of oscillations with infinite oscillation
periods. In which, the first period is named fundamental, while the others are named higher harmonics
[11]. However, in this study, the first 10 harmonics are only computed as they are of practical
importance [11]. (TIV) self-excited vibrations : Basically, power plant managers may shut down a turbine due to load requirements or
maintenance procedures by closing the turbine inlet valve at various input reservoir energy levels. Therefore, Figure 8 shows the effect of the input reservoir energy level H1 on the (TIV) dynamic
behavior. The results are computed at a fixed gap angle θg=60o and pipeline wave speed a=1270 m/s. The (TIV) dynamic behavior is identified by two parameters δ as in Eq.(26) and the seal’s oscillation
frequency 𝑓=
𝜔
2𝜋 as in Eq.(25). According to Eqn. (26), the sign of δ, which characterizes the
dynamic behavior of the (TIV), depends on the seal’s equivalent damping coefficient ceq. Also, the
seal equivalent damping coefficient depends mainly on the added water damping cw, which describes
the action of the dynamic fluid force on the seal’s motion, since the seal’s structure damping csg is
constant for a fixed gap angle. If 𝑐𝑤 < 0, in this situation, the fluid force excites the seal vibrations
rather than damping it. As a result, the (TIV) may have three different dynamic behaviors. First, if
𝑐𝑒𝑞> 0 (i.e., |𝑐𝑠𝑔| > |𝑐𝑤| and δ < 0), the dynamic system is said to be a dynamically stable system
as the displacement of seal’s vibration y and the related penstock pressure fluctuations P2 damp over
time until reaching their steady-state values, such as in the case of point A, see Figures 8a and 8c. Second, If 𝑐𝑒𝑞= 0 (i.e., |𝑐𝑠𝑔| = |𝑐𝑤| and δ = 0), the dynamic system is said to be critically stable. In
this case, both the seal vibrations and the related penstock pressure fluctuations oscillate but with
constant amplitude, as in the case of point B, see Figures 8a and 8d. Finally, if 𝑐𝑒𝑞< 0 (i.e., |𝑐𝑠𝑔| <
|𝑐𝑤| and δ > 0), the hydro-mechanical system is identified as an unstable dynamic system. In this situation, the (TIV) vibrations correlated to the seal vibrations and the penstock pressure fluctuations
diverge over time, as in the case of point C, see Figures 8a and 8e. On the other side, since the damping factor values 𝜉 are minimal, and the seal’s equivalent
mass is constant for a fixed gap angle hence the seal’s vibration frequency f is influenced mainly by
the seal’s equivalent stiffness coefficient keq according to Eqns.(25 and 27). (TIV) self-excited vibrations : As a result, at a fixed gap
angle, the seal’s oscillation frequency is predominantly affected by the added water stiffness kw
because the seal structure stiffness is constant. If 𝑘𝑤< 0, in this case, the fluid dynamic force is in
phase with the seal displacement. In this situation, the dynamic fluid force reduces the seal’s
equivalent stiffness leading to lower oscillation frequency for the seal’s vibration as well as the related
penstock pressure fluctuations. Although, if 𝑘𝑤> 0, the fluid dynamic force is out of phase of the
seal vibration displacement. Therefore, the dynamic fluid force tends to augment the seal’s equivalent
stiffness leading to higher frequency values. Figure 8. Influence of H1 on the (TIV) dynamic behavior at θg=60o and a=1270 m/s. a) Relation between H1, δ,
and ceq for the 1st ten harmonics. b) Relation between H1, and f for the 1st ten harmonics. c, d, and e) Relation
between seal vibration displacement y and penstock pressure P2 for the three points A, B, and C. Figure 8. Influence of H1 on the (TIV) dynamic behavior at θg=60o and a=1270 m/s. a) Relation between H1, δ,
and ceq for the 1st ten harmonics. b) Relation between H1, and f for the 1st ten harmonics. c, d, and e) Relation
between seal vibration displacement y and penstock pressure P2 for the three points A, B, and C. So, according to the previous explanations, Figure 8 can interpret the effect of H1 on the
dynamic behavior of the (TIV) through the following points. First, for the mentioned gap angle and
pipeline wave speed, increasing H1 excites more the seal's oscillation since δ increases for all
harmonics except for the 2nd harmonic. Second, at θg=60o and a=1270 m/s, the (TIV) dynamic behavior is only unstable at the first harmonic when H1 > 62.5 m as the δ values are > 0, as in Figure
8a. Third, at a specific harmonic, varying H1 has a trivial effect on the seal's equivalent stiffness. As a
result, at a particular harmonic, the oscillation frequency for the (TIV) vibrations and the penstock
pressure fluctuation is independent of H1 as in Figure 8b. Finally, since the damping factor values at
all harmonics are minimal, the seal's vibration frequency is approximately the same as the seal's
natural frequency (i.e., 𝜔≈𝜔𝑛 as in Eq. (25)). (TIV) self-excited vibrations : Practically, if the valve is set into a closed position and there is a deficiency of the pressure
forces applied to the service seal, a gap is developed between the seal and the ball surface, which is
usually unknown. Therefore, Figure 9 evaluates the effect of the seal gap angle and the input reservoir
energy level on the dynamic seal behavior. Figure 9. Influence of θg and H1 on δ and f at 30o ≤ θg ≤ 80o, 50 m ≤ H1 ≤ 150 m, and a=1270 m/s. Figure 9. Influence of θg and H1 on δ and f at 30o ≤ θg ≤ 80o, 50 m ≤ H1 ≤ 150 m, and a=1270 m/s. Figure 9 demonstrates that at low gap angles (i.e., θg < 60o), both the periodic seal’s vibrations
and the related penstock pressure fluctuations are dynamically stable since the δ values, for all values
of H1, are below zero. However, increasing the gap angle (i.e., θg ≥ 60o) increases the dynamic fluid
force excitation to the seal oscillation. As a result, the seal oscillations increase over time (i.e., δ > 0),
leading to dynamically unstable penstock pressure oscillations, which risks the reliable and safe
operation of the power plant. Also, Figure 9 exhibit that at θg > 60o, the seal oscillations as well as the
penstock pressure oscillations are only unstable at the first harmonic since δ > 0 and increases by
increasing H1. Finally, Figure 9f evaluates the system dynamic stability only for H1 ≤ 100 m because for H1 > 100 m, there was no clearance between the service seal and the ball of the (TIV). In this
situation, no leakage flow originates to initiate the periodic seal's vibrations. Figure 10 exhibits the penstock pressure P2 at the first harmonic to validate the ability of the
developed model to appropriately simulate the practical problem of the penstock pressure oscillations
at the Salime power plant. The penstock pressure P2 is computed at H1=90 m, pipeline wave speed of
1270 m/s and various seal gap angles from 40 to 80 degrees. Figure 10. Penstock pressure oscillation P2 over time at H1=90 m and a=1270 m/s. a) 40o ≤ θg ≤ 55o. b) 60o ≤ θg
≤ 80o Figure 10. Penstock pressure oscillation P2 over time at H1=90 m and a=1270 m/s. a) 40o ≤ θg ≤ 55o. Parametric study: The parametric study aims to yield some recommendations to enhance the stability of (TIV)
vibrations, which consequently warrants the reliable and safe operation of the hydropower plant. Therefore, the (TIV) vibrations are assessed under various system configurations. The methodology
applied to change the system configuration is based on the parameters that can be practically
modulated, such as the pilot pipeline’s geometry and hydraulic losses, and the seal’s physical and
geometrical parameters. Finally, all the upcoming evaluations are based on the case of H1=150 m and
θg=70o, representing the worst seal dynamic behavior (i.e., maximum δ) as in Figure 9e, to exhibit the
efficiency of these system configuration modifications on improving the stability of the (TIV)
vibrations. Figure 11 shows the effect of the pilot pipeline geometry on the stability of the (TIV)
vibrations. The pilot pipeline geometry is changed by varying the pilot pipeline length from 10 m to
20 m and the pipeline diameter from 5 mm to 70 mm. The results mentioned in Figure 11 are only for
the first four harmonics since the δ values for all other harmonics are below zero. By observing the
variation of δ over dd and Ld, results showed that modifying the pilot pipeline diameter to be in the
range of 5 ≤ dd ≤ 15 improves the stability of the (TIV) vibrations as δ<0 for all harmonics and pilot
pipeline lengths. As a result, the (TIV) vibrations damp over time (i.e., δ<0), eliminating the penstock
pressure divergence and enhancing the power plant safe operation. To assess the effect of the pilot pipeline hydraulic losses on the (TIV) vibrations while
maintaining the dimensions of the pilot pipeline; the head losses are varied by changing the pipeline
minor losses coefficient KLd as in Figure 12. By augmenting the pilot pipeline hydraulic losses (i.e.,
by augmenting KLd), the energy dissipated by the fluid system surpasses the energy transferred to the
seal structure, particularly at the first two harmonics. As a result, the negative added water damping
decreases, decreasing the δ values, and damping the periodic seal's vibrations over time (i.e., δ < 0),
such as in Figure 12. Figure 13 evaluates the seal geometry influence on the dynamic stability of the (TIV)
vibrations. (TIV) self-excited vibrations : b) 60o ≤ θg
≤ 80o By observing the dynamic behavior of the penstock pressure oscillations P2 over time, the following
observations are concluded. Firstly, for all gap angles, the theoretical model can calculate the value of
the penstock steady-state pressure ( i.e., 𝑃𝑜2 = 9 Bar) for both the dynamically stable and unstable
pressure oscillations, which agrees with the experimental data, see Figures 3 and 10. Secondly, for the
dynamically unstable systems (i.e., θg ≥ 60o), the pressure fluctuations can surpass the penstock
pressure security limit (13.5 Bar) in case no security actions are applied, which agrees also with the
experimental data as in Figures 3 and 10b. Finally, the theoretical model confirmed that the frequency
of the penstock pressure fluctuations lies in the same proclaimed frequency range from 1 Hz to 3 Hz,
as in Figure 10. In which, the computed results proved that at large gap angles θg ≥ 70o, the seal’s
equivalent stiffness keq decreases significantly because the seal’s structure stiffness reduces at a
significant rate, see Eq(21). As a result, the seal’s vibration frequency reduces at higher gap angles, such as in Figure 10b. Therefore, according to the available experimental data, the technician’s
observations and the mentioned results, the developed theoretical model can develop the (TIV)
vibrations as well as the penstock pressure fluctuations. Also, it confirms that the origin of the (TIV)
vibrations and the related penstock pressure oscillations is the service seal leakage. Parametric study: The seal geometry is varied by changing both the seal’s surface area facing the gap flow
Ass and the seal’s external surface area Aos facing the flow pressure passing thru the pilot pipeline. Figure 13a demonstrates that decreasing Aos while increasing Ass could improve the dynamic stability
of the (TIV) vibrations for the first harmonic since the values of δ decreases. Although, this modification has the opposite effect for the second harmonic as it significantly increases the seal
dynamic instability as both the negative added water damping and the values of δ increase, as in
Figure 13b. Therefore, modifying the seal geometry cannot guarantee to enhance the (TIV) dynamic
stability across all seal vibrations harmonics. Figure 11. Influence of pilot pipeline geometry Ld and dd on δ at H1=150m, θg=70o, a=1270 m/s, and for the 1st
four harmonics. Figure 11. Influence of pilot pipeline geometry Ld and dd on δ at H1=150m, θg=70o, a=1270 m/s, and for the 1st
four harmonics. Figure 12. . Influence of pilot pipeline minor loss coefficient KLd on δ at H1=150m, θg=70o, a=1270 m/s, and for
the 1st ten harmonics Figure 12. . Influence of pilot pipeline minor loss coefficient KLd on δ at H1=150m, θg=70o, a=1270 m/s, and for
the 1st ten harmonics Figure 13. Ass and Aos influence on δ at H1=150m, θg=70o, a=1270 m/s, and for the 1st four harmonics Figure 13. Ass and Aos influence on δ at H1=150m, θg=70o, a=1270 m/s, and for the 1st four harmonics Figure 14 evaluates the effect of the seal material on the vibrations of the (TIV), at: H1=150
m, different gap angles, fixed pilot pipeline geometry Ld=15 m, and dd=30 mm, and for four different
materials [16]. The service seal’s materials properties are identified as in Table 2. Table2. Seal’s different materials properties. Material
Moduls of
Elasticity E (GPa)
Density ρ
(g/cm3)
ksg (MN/m)
at θg=50o
ksg (MN/m)
at θg=60o
ksg (MN/m)
at θg=70o
Carbon - Ultra-high modulus
(pitch precursor)
730
2.15
169.3
98.01
61.7
Aluminum oxide 99.9% pure
380
3.98
88.1
51.02
32.1
Aluminum oxide 96% pure
303
3.98
70.29
40.68
25.6
Stainless steel
200
7.80
46.4
26.85
16.9
Miscellaneous Nonferrous
Alloys (Monel 400)
180
8.8
41.76
24.16
15.21 For the first harmonic and all θg, increasing the seal structure stiffness by choosing a material
of higher modulus of elasticity E, such as Carbon-Ultra modulus, decreases the negative added water
damping. Parametric study: Thus, the seal’s vibration damps over time, leading to a stable dynamic system (i.e., δ < 0),
as in Figure 14. Although, for the second harmonic, increasing the seal structure stiffness excites more
the seal vibrations (i.e., δ > 0). Therefore, from the dynamic stability point of view, choosing a material of higher modulus of elasticity may help enhance the (TIV) vibrations at higher gap angles as
in Figure 14c. However, at lower gap angles, it may increase the (TIV) vibrations over time,
particularly at the second harmonic such as in Figure 14a. Figure 14. Seal material effect on δ and f at H1=150m, a=1270 m/s, and for the 1st ten harmonics Figure 14. Seal material effect on δ and f at H1=150m, a=1270 m/s, and for the 1st ten harmonics Besides, the dynamic stability limit (i.e., 𝛿≤0) there is also a static stability limit since the
origin of seal’s oscillation is the clearance between the valve’s ball surface and service seal. Therefore, Figure 15 examines the effect of the seal's material and geometry on achieving the static
stability condition. The static stability condition is achieved when there is no clearance between the
ball surface and the service seal of the valve (i.e., yog=0). In this case, no leakage is developed and the
seal could not vibrate. As shown in Figure 14, varying the material of the seal could not maintain the
valve vibrations stability since it also depends on the gap angle of the seal θg and the harmonic of the
seal’s vibration. However, the material of the seal has a significant effect on the thickness of the seal
clearance yog. Choosing a material of low modulus of elasticity E, such as Monel 400 as in Table 2,
decreases the structure stiffness of the seal. Consequently, the seal clearance thickness yog decreases
under the same H1 as in Figure 15a. As a result, choosing a material with a lower modulus of elasticity
is preferable because the full closure of the seal clearance (i.e., yog=0) can be achieved at a lower input
reservoir energy level, as shown in Figure 15a. Similarly, although the seal's geometry cannot guarantee the stability of the (TIV) vibrations
at all harmonics, such as in Figure 13, it influences significantly the clearance of the seal creating the
leakage flow. Parametric study: Figure 15b displays how the seal’s surface areas affect the gap flow rate and the seal
clearance employing the parameter γ that defines the ratio between the surface areas of the seal 𝛾=
𝐴𝑠𝑠
𝐴𝑜𝑠. It can be seen that augmenting the surface area of the seal facing the pilot pipe Aos (decreasing γ)
decreases the input reservoir energy level H1 needed to fully close the seal’s clearance (i.e., yog=0 and
Qog=0) since the steady-state pressure forces applied to the seal increases. Hence, augmenting Aos while selecting a seal material with a lower modulus of elasticity can enhance the vibration problem
of the (TIV) as the static stability condition can be achieved at lower H1. Figure 15. a) Effect of seal material on yog and Qog at θg=70o. b) Effect of seal geometry on yog and Qog at θg=70o
and for steel seal’s material. Figure 15. a) Effect of seal material on yog and Qog at θg=70o. b) Effect of seal geometry on yog and Qog at θg=70o
and for steel seal’s material. Conclusions: Also, decreasing the diameter of
the pilot pipeline can improve the dynamic stability of the (TIV) vibrations as it decreases the
dynamic fluid force excitation to the service seal oscillations, particularly at the 1st harmonic. 2. Augmenting pilot pipeline friction losses can improve the dynamic stability of the (TIV)
vibrations. As a result, installing a valve at the pilot pipeline that's able to be closed to a
particular degree can improve the plant’s stable operation. Also, decreasing the diameter of
the pilot pipeline can improve the dynamic stability of the (TIV) vibrations as it decreases the
dynamic fluid force excitation to the service seal oscillations, particularly at the 1st harmonic. 2. Augmenting pilot pipeline friction losses can improve the dynamic stability of the (TIV)
vibrations. As a result, installing a valve at the pilot pipeline that's able to be closed to a
particular degree can improve the plant’s stable operation. Also, decreasing the diameter of
the pilot pipeline can improve the dynamic stability of the (TIV) vibrations as it decreases the
dynamic fluid force excitation to the service seal oscillations, particularly at the 1st harmonic. 3. From the dynamic stability point of view, varying the seal’s geometry or material cannot
guarantee stable operation across all harmonics of the (TIV) vibrations. However, the steady-
state analysis showed that enlarging the surface area of the seal confronting the pilot pipeline
and choosing a seal material with a low modulus of elasticity can establish the seal’s full
closure at a lower input reservoir energy head, eliminating the reason behind the (TIV)
vibrations. 4. To appropriately simulate the (TIV) self-excited vibrations and the related penstock pressure
oscillations at the Salime power plant, the dynamic seal characteristics, fluid compressibility,
and pipeline wall elasticity effects must be considered. 4. To appropriately simulate the (TIV) self-excited vibrations and the related penstock pressure
oscillations at the Salime power plant, the dynamic seal characteristics, fluid compressibility,
and pipeline wall elasticity effects must be considered. Finally, this study can help in interpreting the vibrations of other types of valves (check
valves, and pressure relief valves) [17-21] that operate at small openings since they share a
common feature regarding the development of the destabilizing force. Conclusions: The proposed study confirmed the importance of analyzing the turbine inlet valve (TIV)
vibration because it may provoke pressure fluctuations in the pipelines surpassing the designated
safety limit, causing disastrous accidents such as penstock bursts. The theoretical model
developed showed the capability to explain the mechanism behind the periodic (TIV) vibrations. Moreover, it can estimate the transient hydraulic behavior of the plant depending on the relevant
physical and geometrical characteristics. The developed study using the constructed model has
confirmed that the case of interest belongs to the type of flow-induced vibrations denoted as
movement-induced excitation since the periodic (TIV) vibrations result from the unstable
coupling between the valve’s service seal oscillatory motion and the fluid system due to the
service seal leakage. So, even when the seal is in equilibrium, a slight disturbance can cause
decaying (stable system) or increasing (unstable system) pressure and flow oscillations,
depending on the dynamic fluid force excitation to the seal oscillation. The developed theoretical model succeeded to establish the conditions for stable and unstable
(TIV) vibrations. After evaluating these conditions, the following points are concluded. 1. Theoretical model analysis shows that (TIV) vibration instability occurs when the fluid
system and the valve’s service seal motion interact in a way where the coupled flow-structure
system possesses a negative equivalent damping coefficient. In addition, the unstable
behavior of the periodic seal's vibrations and the related penstock pressure fluctuations are 1. Theoretical model analysis shows that (TIV) vibration instability occurs when the fluid
system and the valve’s service seal motion interact in a way where the coupled flow-structure
system possesses a negative equivalent damping coefficient. In addition, the unstable
behavior of the periodic seal's vibrations and the related penstock pressure fluctuations are less likely to occur at lower input reservoir energy levels and tight seal's gap angle. Moreover,
the seal vibration instability is more often to be established at the 1st harmonic of the periodic
seal vibrations where the dynamic fluid force tends to excite more the seal oscillations rather
than damping them. 2. Augmenting pilot pipeline friction losses can improve the dynamic stability of the (TIV)
vibrations. As a result, installing a valve at the pilot pipeline that's able to be closed to a
particular degree can improve the plant’s stable operation. Conclusions: A common feature for the
developing of the valve’s vibration instability is that when the fluid system and the valve
obstructing element are in oscillatory motion, they interact in a way that the fluid force reinforces
the oscillatory motion of the valve’s obstructing element. In this situation, the fluid system
provides an ongoing supply of energy to the vibrating element, causing the unstable vibration (i.e. vibrations of increasing amplitude) of the valve’s obstructing element. Conflict of interest: On behalf of all authors, the corresponding author states that there is no conflict of interest. References: 1- https://www.hydroreview.com/hydro-industry-news/installed-global-hydropower-capacity-could-reach-1200-
gw-in-2022-report-says/#gref. 1- https://www.hydroreview.com/hydro-industry-news/installed-global-hydropower-capacity-could-reach-1200-
gw-in-2022-report-says/#gref. 2- IEA (International Energy Agency), July 2021, Hydropower Special Market Report Analysis and forecast to
2030. https://www.iea.org/reports/hydropower-special-market-report. 2030. https://www.iea.org/reports/hydropower-special-market-report. 3- Gijon: Saltos del Navia C.B., Salto de Salime, [referred on the 23 of January 2022]. https://www.saltosdelnavia.es/salto-de-salime. 4- Saltos del Navia (2014). Sobrepresión del grupo nº 3. Saltos del Navia C.B. Internal report. 5- Naudascher, E. and Rockwell, D. (1994). Flow induced vibrations: an engineering guide. A.A.Balkema. doi.org/10.1201/9780203755747. 6- Abbott, H. F.; Gibson, W. L.; McCaig, I. W. (1963). Measurements of Auto-Oscillation in a Hydroelectric
Supply Tunnel and Penstock System. Journal of Basic Engineering, 85(4), 625–. doi:10.1115/1.3656933. 7- Wylie, E. B.; Streeter, V. L. (1965). Resonance in Bersimis No. 2 Piping System. Journal of Basic
Engineering, 87(4), 925–. doi:10.1115/1.3650845. 8- Gummer, J. H. (1995). Penstock resonance at Maraetai 1 hydro station. International Journal on Hydropower
and Dams, 2(6). 9- Caney, K., Zulovic, E. (2004). Self-excited penstock pressure oscillations at Gordon Power Station in
Tasmania and other similar events. WaterPower XIV 2004. Austin. Texas. 10- Kube, S. E., Henderson, A. D., Sargison, J. E. (2010). Modelling penstock pressure pulsations in hydro-
electric power stations. 17th Australasian Fluid Mechanics Conference. Auckland. New Zealand. Auckland
University. 2010 December 5-9. 11- Chaudhry, M. H. (2014). Applied Hydraulic Transients (Third Edition). Springer-Verlag, New York. doi.org/10.1007/978-1-4614-8538-4. 12- Awad, H., Parrondo, J. (2020). Hydrodynamic self-excited vibrations in leaking spherical valves with
annular seal. Alexandria Engineering Journal, Vol. 59, No. 3, p. 1515-1524. 13- Awad H, Parrondo J. (2023). Nonlinear dynamic performance of the turbine inlet valves in hydroelectric
power plants. Advances in Mechanical Engineering.;15(1). doi:10.1177/16878132221145269. 14- Cimbala, J.M. & Cengel, Y.A. (2009). Fluid Mechanics Fundamentals and Applications. 2nd edition. McGraw-Hill. New York. 15- Rao, S.S. (2017). Mechanical Vibrations, 6th Edition. Pearson. 15- Rao, S.S. (2017). Mechanical Vibrations, 6th Edition. Pearson. 16- Jr. Callister , W.D., Rethwisch, D.G, (2015). Fundamentals of material science and engineering an
integrated approach, Fifth edition. WILEY. 17- El Bouzidi, S., Hassan, M. and Ziada, S. (2018). Experimental characterization of the self-excited vibrations
of
spring-loaded
valves. Journal
of
Fluids
and
Structures,
76,
558-572. doi.org/10.1016/j.jfluidstructs.2017.11.007. 18- El Bouzidi, S., Hassan, M. and Ziada, S. (2019). Acoustic methods to suppress self-excited oscillations in
spring-loaded
valves. Journal
of
Fluids
and
Structures,
85,
126-137. doi.org/10.1016/j.jfluidstructs.2018.12.007. 18- El Bouzidi, S., Hassan, M. and Ziada, S. (2019). Acoustic methods to suppress self-excited oscillations in
spring-loaded
valves. Journal
of
Fluids
and
Structures,
85,
126-137. doi.org/10.1016/j.jfluidstructs.2018.12.007. 19- Ma, W., Ma, F. 1- https://www.hydroreview.com/hydro-industry-news/installed-global-hydropower-capacity-could-reach-1200-
gw-in-2022-report-says/#gref. and Guo, R. (2019). Experimental research on the dynamic instability characteristic of a
pressure relief valve. Advances in Mechanical Engineering, 11(3), 1-13. doi: 10.1177/1687814019833531. 20- Zheg, F., Zong, C., Li, Q., Qu, F., and Song, X. (2021). An experimentally validated multifidelity hybrid
model for analyzing the pressure variation of a relief system. International Journal of Pressure Vessels and
Piping. 191, 104315, doi.org/10.1016/j.ijpvp.2021.104315. 21- Zong, C., Li, Q., Zheng, F., Chen, D., Li, X., and Song, X. (2022). Fluid-structure coupling analysis of a
pressure vessel-pipe-safety valve system with experimental and numerical methods. International Journal of
Pressure Vessels and Piping. 199, 104707, doi.org/10.1016/j.ijpvp.2022.104707.
|
https://openalex.org/W3043543029
|
https://akjournals.com/downloadpdf/journals/650/161/30/article-p1243.pdf
|
Hungarian
| null |
A diabeteses neuropathia és egyéb szövődmények előfordulása a Debreceni Egyetem Diabeteses Neuropathia Centrumában
|
Orvosi hetilap
| 2,020
|
cc-by
| 6,301
|
Debreceni Egyetem, Általános Orvostudományi Kar, Anyagcsere Betegségek Nem Önálló Tanszék,
Belgyógyászati Intézet, Debrecen Bevezetés: Világszerte jelentősen növekszik a cukorbetegség előfordulása. A distalis típusú szenzomotoros polyneuro
pathia (DSPN) a leggyakrabban előforduló és a legkorábban kimutatható microvascularis szövődmény, mely változa
tos klinikai megjelenése és sokszor atípusos tünetei miatt gyakran csak a cukorbetegség előrehaladott stádiumában
kerül felismerésre. Célkitűzés és módszer: Munkánk során 431 beteg adatait dolgoztuk fel, akiket 2011 és 2018 között a Debreceni Egye
tem Diabeteses Neuropathia Centrumában vizsgáltunk Neurometer® segítségével, és összefüggéseket kerestünk a
különböző szív-ér rendszeri és microvascularis szövődmények (retinopathia, microalbuminuria), a laboratóriumi
paraméterek és a DSPN súlyossága között. Eredmények: A betegek átlagéletkora 63,4 év, 62%-uk nő volt, 92%-uk 2-es típusú cukorbetegségben szenvedett. A cukorbetegség fennállásának átlagos ideje 13,7 év volt. Cardiovascularis betegség a betegek 42%-ánál volt ismert. A microvascularis szövődmények közül a retinopathia előfordulása 12% volt, perzisztáló microalbuminuria a betegek
16%-ánál volt igazolva. A vizsgált betegek 19%-ánál a típusos DSPN-panaszok ellenére sem tudtunk idegi károsodást
kimutatni; 49%-ban enyhe fokú, 19%-ban közepes fokú és 13%-ban súlyos fokú neuropathia volt kimutatható Neu
rometer® segítségével. A cukorbetegséggel összefüggő idegi károsodás kifejezettebb volt diabeteses retinopathia
(p<0,001) és perzisztáló microalbuminuria esetén (p<0,001), e microvascularis szövődmények előfordulása összefüg
gést mutatott a DSPN súlyosságával. A cardiovascularis szövődmények megjelenése nem mutatott korrelációt a peri
fériás idegkárosodás mértékével, és nem találtunk összefüggést a DSPN súlyossági foka és a cardiovascularis betegsé
gek előfordulása között. Következtetés: Eredményeink alapján a diabeteses neuropathia progressziója előre jelezheti az egyéb microvascularis
szövődmények megjelenését 2-es típusú cukorbetegségben, adataink azonban nem mutattak összefüggést a cardio
vascularis betegségek kialakulásával. A Neurometer® segítségével végzett perifériás idegrendszeri vizsgálat alkalmas a
DSPN követésére és a neuropathia súlyosságának megállapítására. A cardiovascularis kockázatot az autonóm ideg
rendszeri funkciót vizsgáló Ewing-féle reflextesztek segítségével jobban meg tudjuk ítélni cukorbetegeinknél. Orv Hetil. 2020; 161(30): 1243–1251. Kulcsszavak: cukorbetegség, diabeteses neuropathia, cardiovascularis szövődmények, microvascularis szövődmén EREDETI KÖZLEMÉNY EREDETI KÖZLEMÉNY A diabeteses neuropathia
és egyéb szövődmények előfordulása
a Debreceni Egyetem Diabeteses
Neuropathia Centrumában
Sztanek Ferenc dr. ■ Balogh Bernadett dr.
Molnár Ágnes dr. ■ Zöld Eszter dr. ■ Tóth Nóra dr.
Jakab András Áron dr. ■ Paragh György dr. Sztanek Ferenc dr. ■ Balogh Bernadett dr. Molnár Ágnes dr. ■ Zöld Eszter dr. ■ Tóth Nóra dr. Jakab András Áron dr. ■ Paragh György dr. Debreceni Egyetem, Általános Orvostudományi Kar, Anyagcsere Betegségek Nem Önálló Tanszék,
Belgyógyászati Intézet, Debrecen Debreceni Egyetem, Általános Orvostudományi Kar, Anyagcsere Betegségek Nem Önálló Tanszék,
Belgyógyászati Intézet, Debrecen Rövidítések tag és vékony szenzoros idegrostok károsodása fordul
elő DSPN-ben a tapintás-, az egyensúly- és hőérzés zava
rát okozva. Az időben történő felismerés, a specifikus
terápia és a megelőző lábápolás jelentősen csökkenti az
érzéskiesésből adódó lábsérülések és a diabeteses lábfe
kélyek kialakulásának kockázatát. Továbbá az autonóm
neuropathia felismerése és kezelése csökkenti a cardio
vascularis kockázatot, és javítja az életminőséget [6]. Ko
rábban igazolódott, hogy a DSPN a cardiovascularis ese
mény bekövetkezésének független prediktora [7],
valamint szoros összefüggést mutat az egyéb microvas
cularis szövődményekkel, a diabeteses retinopathia és a
microalbuminuria fennállásával [8]. ATP = adenozil-trifoszfát; BNO = betegségek nemzetközi
osztályozása; CV = cardiovascularis; CVD = (cardiovascular di
sease) cardiovascularis betegség; DNS = dezoxiribonukleinsav;
DSPN = (distal sensorimotor neuropathy) distalis típusú szen
zomotoros polyneuropathia; eGFR = (estimated glomerular
filtration rate) becsült glomerulusfiltrációs ráta; HbA1c = he
moglobin-A1c; HDL = (high-density lipoprotein) magas sűrű
ségű lipoprotein; SD = standard deviáció; T2DM = (type 2
diabetes mellitus) 2-es típusú cukorbetegség; USA = (United
States of America) Amerikai Egyesült Államok A diabetes mellitus előfordulása világszerte jelentősen
emelkedik, 2018-ban a 2-es típusú cukorbetegségben
(T2DM) szenvedő betegek arányát a felnőtt lakosság
8,8%-ára, számát mintegy 500 millióra becsülték; a pre
valencia a fejlett és a fejlődő országokban egyaránt emel
kedik [1]. A betegek körülbelül 77%-a 20–64 éves, a
munkaképes korosztályba tartozik, tehát jelentős a gaz
dasági és társadalmi jelentősége egyaránt. Az előrejelzé
sek szerint 2045-re az idős betegpopuláció aránya is
megduplázódik [2]. Magyarországon a cukorbetegség
prevalenciája 6,4% körüli, amely az utóbbi években stag
náló tendenciával, az életkor előrehaladtával azonban
fokozatosan növekszik [3]. A betegek több mint 90%-a
T2DM-ben szenved. [ ]
A DSPN leggyakoribb endogén metabolikus oka a cu
korbetegség, kialakulásának pontos mechanizmusa azon
ban jelenleg sem ismert. Kialakulását két fő tényező idézi
elő: az idegszövet vérellátásáért felelős vasa nervorum
károsodása és a sejtanyagcsere kóros változásainak hatá
sa. Az érfali károsodások többféle mechanizmus révén
jöhetnek létre. Az intracelluláris glükóztartalom megnö
vekedése fokozza a mitokondriumok szuperoxid-anion
jainak termelését, felgyorsítja a glikolízis folyamatát, nö
veli a szabad gyökök képződését, továbbá felerősíti a
gyulladásos folyamatokat [9]. A hyperglykaemia fokozza
a fehérjék nem enzimatikus glikolizációját, aminek kö
vetkezménye az előrehaladott glikációs végtermékek fel
szaporodása, az endothelium diszfunkciója, fokozódik a
vasoconstrictor anyagok (például endotelin, angioten
zin) felszabadulása, a vasodilatatiót kiváltó faktorok (pél
dául prosztaciklin, bradikinin) aránya csökken [10]. Kü
lönböző kóros szignálútvonalak aktivációja fokozza a
proinflammatorikus citokinek termelődését és az apop
tózis indukcióját. (Beérkezett: 2020. március 20.; elfogadva: 2020. április 6.) (Beérkezett: 2020. március 20.; elfogadva: 2020. április 6.) 2020 ■ 161. évfolyam, 30. szám Sztanek F, Balogh B, Molnár Á, Zöld E, Tóth N, Jakab AÁ, Paragh Gy. [Diabetic neuropathy and other diabetic
complications at the Diabetic Neuropathy Center of the University of Debrecen]. Orv Hetil. 2020; 161(30): 1243–
1251. Diabetic neuropathy and other diabetic complications at the Diabetic
Neuropathy Center of the University of Debrecen Introduction: The prevalence of diabetes mellitus is significantly increasing worldwide. Distal sensorimotor neuropa
thy (DSPN) is the most common and the earliest detectable microvascular complication. Due to its diverse clinical
appearance and atypical symptoms, DSPN is often recognized in an advanced stage. pp
yp
y
p
g
g
Aim and method: In our study, the data of 431 patients who were examined using the Neurometer® between 2011
and 2018 at the Diabetic Neuropathy Center of the University of Debrecen were processed and the correlations
between cardiovascular and microvascular complications, laboratory parameters and the severity of DSPN were in
vestigated. 2020 ■ 161. évfolyam, 30. szám ■ 1243–1251. 1243 DOI: 10.1556/650.2020.31799 ■ © Szerző(k) Unauthenticated | Downloaded 10/24/24 04:06 AM UTC EREDETI KÖZLEMÉNY Results: The average age of patients was 63.4 years, 62% of them were women, and 92% had type 2 diabetes mellitus. The average duration of diabetes was 13.7 years. Cardiovascular disease (CVD) was diagnosed in 42% of the patients. The incidence of retinopathy was 12%, persistent microalbuminuria was 16%. Despite DSNP complaints, neuronal
damage could not be detected in 19%; in the examined patients 49% had mild, 19% moderate and 13% severe neu
ropathy. Diabetes-related neurological damage was more serious in the presence of both diabetic retinopathy
(p<0.001) and microalbuminuria (p<0.001). The incidence of these microvascular complications and the severity of
DSPN showed a significant positive correlation (p<0.001). There was no correlation between the severity of periph
eral neuropathy and the development of CVD, and we did not find any correlations between the severity of DSPN
and CVD. Conclusion: Based on our investigation, correlation between the progression of diabetic neuropathy and cardiovascu
lar complications was not found, although the progression of diabetic neuropathy indicated the development of
other microvascular diseases. Peripheral neurological examination using the Neurometer® is appropriate for control
ling the DSPN status and the establishment of the severity of neuropathy determines the quality of life in diabetic
patients. Among these patients, the risk of CVD can be assessed by Ewing’s test for autonomic nervous system func
tion. Keywords: diabetes mellitus, diabetic neuropathy, cardiovascular complications, microvasular complications Sztanek F, Balogh B, Molnár Á, Zöld E, Tóth N, Jakab AÁ, Paragh Gy. [Diabetic neuropathy and other diabetic
complications at the Diabetic Neuropathy Center of the University of Debrecen]. Orv Hetil. 2020; 161(30): 1243–
1251. Rövidítések Az endoneuralis vérátáramlás csökke A distalis típusú szenzomotoros polyneuropathia
(DSPN) prevalenciája Európában T2DM esetében 18–
35% között mozog [4]. A DSPN változatos klinikai
megjelenése és sokszor nem típusos tünetei miatt sok
esetben nem valósulhat meg a korai diagnózis, ami a
megfelelő oki és tüneti kezelés elkezdése szempontjából
kiemelkedő fontosságú lenne [5]. A leggyakrabban a vas 1244 ORVOSI HETILAP Unauthenticated | Downloaded 10/24/24 04:06 AM UTC Unauthenticated | Downloaded 10/24/24 04:06 AM UTC EREDETI KÖZLEMÉNY nése, az idegszövet integritásának megbomlása és a javí
tó (repair) mechanizmusok is károsodnak [11]. A
reaktívoxigén-gyökök termelődése fokozódik, a szuper
oxidion és a hidrogén-peroxid közvetlenül károsítják a
fehérjéket és a mitokondriális DNS-t is, valamint az ATP
termelése is gátlás alá kerül. A mitokondriális károsodás
következménye a csökkent neurotróf anyagok termelő
dése is [12]. A reaktív gyökök, többek között a szuper
oxid-anion és peroxinitrit termelődése központi szerepet
játszik az oxidatív stressz fokozódásában, a nitrogén-mo
noxid termelődése csökken, károsodik az endothel funk
ciója és az idegszövet véráramlása [13]. A tartósan magas
vércukorszint következtében a neuronokban a glikolízis
folyamata telítődik, és alternatív anyagcsere-útvonalak,
többek között a poliolútvonal aktiválódik, melynek so
rán szorbitol és a belőle keletkező fruktóz felhalmozó
dik. Mivel a sejtmembrán átjárhatatlan a szorbitol szá
mára, nő az ozmotikus nyomás, aminek következtében
végső soron az axonális transzport és a strukturális fehér
jék is károsodhatnak [14]. A hexózamin-útvonal is alter
natív glükózlebontási folyamatnak felel meg, ennek
során végül N-acetil-glükózamin keletkezik, mely transz
kripciós faktorok oldalláncaihoz kapcsolódva citokinter
melődést és apoptózist indukál [15]. szükséges a diabeteses neuropathia diagnózisának felállí
tásához. A magyarországi diabeteses neuropathia centru
mokban a Neurometer® (Neurotron Inc., Baltimore,
MD, USA, 2002) segítségével kvantitatívan tudjuk vizs
gálni az áramérzet-küszöbérték kóros változásait. A vizs
gálat során a nervus medianust és a nervus peroneus su
perficialist ellenőrizzük különböző áramerősségekkel
(0,01–0,99 mA) többször ismételve, három különböző
frekvencián. 2000 Hz-en a vastag mielinizált rostokat,
250 Hz-en a vékony mielinizált rostokat, még 5 Hz-en a
vékony mielinizálatlan rostokat ingereljük, majd a beteg
áramérzet-küszöbértéke alapján határozzuk meg az idegi
károsodás mértékét. Minél magasabb a páciens áram
érzet-küszöbértéke, annál súlyosabb neuropathiát való
színűsíthetünk. A vizsgálat nemcsak a DSPN szűrésére,
hanem a betegség követésére is alkalmazható [16]. A di
agnózis felállításához együtt kell értékelnünk a betegek
klinikai tüneteit, szénhidrátháztartását és az eszközös
vizsgálatok során kapott eredményeket. A cardiovascula
ris autonóm neuropathia kimutatása a Ewing-féle cardio
vascularis reflextesztek elvégzésével történik. A para
szimpatikus funkciót a mélybelégzés-teszttel, a Valsalva-
hányadossal és a felállás okozta szívfrekvencia-változás
segítségével vizsgáljuk. Rövidítések A szimpatikus idegrendszer mű
ködését a felállás során mért szisztolés vérnyomáscsökke
néssel, illetve a kézszorítási teszt során mért diasztolés
vérnyomás-emelkedés megállapításával határozhatjuk
meg. A cardiovascularis autonóm neuropathia jelenléte
T2DM-ben a szív- és érrendszeri betegségek előfordulá
sának kockázati tényezője, ezért korai diagnosztikája je
lentős szerepet játszhat a fő cardiovascularis események,
mint a szívizominfarktus, a stroke és a szívelégtelenség
megelőzése szempontjából [17]. A diabeteses neuropathia a legtöbbször jellegzetes kli
nikai képpel rendelkezik, azonban atípusos tünetek ese
tén nehezített lehet a diagnózis felállítása. A DSPN-re
jellemző panaszok a szimmetrikus, gyakran az alsó és fel
ső végtagokat érintő, harisnya-, illetve kesztyűujj formá
jában fennálló bizsergés vagy tűszúrásszerű fájdalom. A
betegek jellegzetesen éjszaka és nyugalomban a tünetek
súlyosbodását panaszolják. Az alsó végtagi reflexek reny
hesége vagy kiesése is szembetűnő lehet. Az idegrend
szeri és társuló microangiopathiás károsodások követ
kezménye a diabetesesláb-szindróma kialakulása, mely a
DSPN legrettegettebb szövődménye: a beteg nem érzé
keli a lábán keletkező sérüléseket, mély fekélyek alakul
hatnak ki rossz gyógyulási hajlammal és az amputáció
veszélyével. A DSPN következtében a láb szerkezete is
megváltozhat, ún. Charcot-féle neuropathiás osteoarth
ropathia alakulhat ki [16]. Munkánk során a Diabeteses Neuropathia Centru
munkban vizsgálaton megjelenő cukorbetegek adatait
gyűjtöttük össze, és DSPN jelenlétében kerestük a mic
ro- és macrovascularis szövődményeket, a kóros laborpa
raméterek és az egyéb kockázati tényezők összefüggése
it. Vizsgálatunkkal hangsúlyozni kívánjuk a DSPN korai
felismerésének és kezelésének fontosságát cukorbetege
ink körében. A cukorbetegek szűrése DSPN irányában a legtöbb
ször a háziorvosi rendelőkben, diabetes-szakrendelése
ken és belgyógyászati osztályokon zajlik, részletes kivizs
gálás azonban Magyarországon a regionális diabeteses
neuropathia centrumokban történik [16]. A vibrációér
zést a Rydel–Seiffer-féle, 128 Hz-es kalibrált hangvilla
segítségével vizsgálhatjuk, a nyomásérzés vizsgálatára a
10 grammos Semmes–Weinstein-féle mikrofilamentum-
tesztet alkalmazzuk, így a vastag mielinizált idegrostok
állapota ítélhető meg. Lehetőségünk van Neurotips®-
vizsgálatra, melynek során steril műanyag tűvel enyhe
nyomást gyakorolunk a beteg talpára, s egészséges eset
ben fájdalomérzetet váltunk ki. A kóros sudomotoros
funkciót a Neuropad® segítségével tudjuk igazolni. Az
elektroneurográfiás vizsgálat a leginkább differenciáldi
agnosztikai szempontból jelentős, és a legtöbbször nem Betegek és módszer 0
1
Retinopathia jelenléte (1) / hiánya (0)
260
280
300
320
340
360
380
400
420
440
460
480
500
n = 367
n = 46
p<0,0001
A Neurometer®-rel mért áramérzet-küszöbérték átlaga ORVOSI HETILAP
46
0
1
Retinopathia jelenléte (1) / hiánya (0)
260
280
300
320
340
360
n = 367
n = 46
A Neurometer®-rel mért ár
0
1
Microalbuminuria jelenléte (1) / hiánya (0)
260
280
300
320
340
360
380
400
420
440
460
480
500
n = 349
n = 64
p<0,0001
A Neurometer®-rel mért áramérzet-küszöbérték átlaga
0
1
Szív- és érrendszeri betegség jelenléte (1) / hiánya (0)
270
280
290
300
310
320
330
340
350
n = 241
p = 0,43
n = 172
A Neurometer®-rel mért áramérzet-küszöbérték átlaga
1. ábra
A diabeteses neuropathia súlyossága (az áramérzet-küszöbérték
alapján) a retinopathiás szövődmény jelenléte esetén
2. ábra
A diabeteses neuropathia súlyossága (az áramérzet-küszöbérték
alapján) a microalbuminuria jelenléte esetén
3. ábra
A diabeteses neuropathia súlyossága (az áramérzet-küszöbérték
alapján) az összevont CVD jelenléte esetén
CVD = cardiovascularis betegség 0
1
Retinopathia jelenléte (1) / hiánya (0) 1. ábra
A diabeteses neuropathia súlyossága (az áramérzet-küszöbérték
alapján) a retinopathiás szövődmény jelenléte esetén 1. ábra
A diabeteses neuropathia súlyossága (az áramérzet-küszöbérték
alapján) a retinopathiás szövődmény jelenléte esetén 0
1
Microalbuminuria jelenléte (1) / hiánya (0)
260
280
300
320
340
360
380
400
420
440
460
480
500
n = 349
n = 64
p<0,0001
A Neurometer®-rel mért áramérzet-küszöbérték átlaga
2. ábra
A diabeteses neuropathia súlyossága (az áramérzet-küszöbérték Betegek és módszer Vizsgálatunkba olyan, korábban igazolt cukorbetegeket
választottunk be, akik 2011 és 2018 között a Debreceni
Egyetem Diabeteses Neuropathia Centrumában neuro
pathiás szűrővizsgálaton estek át, és akiknek a dokumen
tációjában (a MedSolution rendszer adatbázisa és a Neu
ropathia Centrum regisztere alapján) rendelkezésünkre
álltak információk a macro- és microvascularis szövőd
mények jelenlétéről vagy hiányáról, az egyéb vizsgált ri
zikófaktorokkal (dohányzás, alkoholfogyasztás, hyperto
nia) és laborparaméterekkel együtt. Kizártuk azon
betegeket, akiknek igazoltan más etiológiájú, nem diabe
teses neuropathiájuk volt, vagy az előbb említett adatok
nem álltak rendelkezésünkre. Kizáró tényezőink közé 1245 2020 ■ 161. évfolyam, 30. szám ORVOSI HETILAP Unauthenticated | Downloaded 10/24/24 04:06 AM UTC EREDETI KÖZLEMÉNY ÖZLEMÉNY
0
1
Retinopathia jelenléte (1) / hiánya (0)
260
280
300
320
340
360
380
400
420
440
460
480
500
n = 367
n = 46
p<0,0001
A Neurometer®-rel mért áramérzet-küszöbérték átlaga
0
1
Microalbuminuria jelenléte (1) / hiánya (0)
260
280
300
320
340
360
380
400
420
440
460
480
500
n = 349
n = 64
p<0,0001
A Neurometer®-rel mért áramérzet-küszöbérték átlaga
290
300
310
320
330
340
350
n = 241
p = 0,43
n = 172
ter®-rel mért áramérzet-küszöbérték átlaga
1. ábra
A diabeteses neuropathia súlyossága (az áramérzet-küszöbérték
alapján) a retinopathiás szövődmény jelenléte esetén
2. ábra
A diabeteses neuropathia súlyossága (az áramérzet-küszöbérték
alapján) a microalbuminuria jelenléte esetén tartozott a kóros alkoholfogyasztás, az alkohol indukálta
májkárosodás és az egyéb eredetű hepatopathia, melye
ket az anamnézis és a májfunkciós értékek alapján álla
pítottunk meg. A Neurometer® segítségével meghatá
rozott áramérzet-küszöbértékek mindkét lábon és
mindhárom neuronalis rosttípusra vonatkozó átlagát
használtuk fel a statisztikai számítások során. Vizsgála
tunk során SAS for Windows 6.12 (SAS Institute Inc.,
Cary, NC, USA) számítógépes programot használtunk
statisztikai analízis céljából. Az adatok normáleloszlását,
ezáltal az összehasonlíthatóságukat Kolmogorov–Szmir
nov-teszttel ellenőriztük. A normális eloszlást mutató
paramétereknél az adatokat átlagérték ± szórás (SD) for
mában, nem normális eloszlás esetén medián és alsó-fel
ső kvartilisek megadásával ábrázoltuk. A különböző cso
portok összehasonlítása során normális eloszlás esetén
kétmintás t-próbát (Student-féle t-teszt), a nem normális
eloszlást mutató paramétereknél pedig Mann–Whitney-
próbát alkalmaztunk; szignifikánsnak tekintettük a
p<0,05 értéket. A nem normális eloszlású változók 10-es
alapú logaritmusát véve végeztünk lineáris regressziós
analízist. Minőségi változók esetén khi-négyzet-szignifi
kanciatesztet alkalmaztunk. Eredmények Vizsgálatunkba 431 beteget vontunk be, akiknek antro
pometriai adatait és laboratóriumi eredményeit az 1. táb
lázatban foglaltuk össze. A betegek több mint 90%-a 2020 ■161 évfolyam 30 szám
12
1. táblázat
A diabeteses neuropathiás betegek antropometriai és laborpara
méterei
Paraméterek
Átlag ± SD/Medián (kvartilisek)
Betegszám (fő)
431
T1DM/T2DM (fő)
36/395
Férfi/nő (fő)
164/267
Életkor (év)
63,39 ± 10,99
Diabetes fennállása (év)
13,74 ± 9,81
Neurometer®-átlag (mA)
304,02 (213,83–337,17)
sTSH (mIU/l)
2,35 (1,07–2,80)
D-vitamin (nmol/l)
64,20 ± 28,66
Hemoglobin (g/l)
133,65 (125,00–144,00)
HbA1c (%)
7,44 (6,3–8,3)
eGFR (ml/perc/1,73 m2)
73,84 ± 19,41
Triglicerid (mmol/l)
2,06 (1,10–2,40)
Koleszterin (mmol/l)
4,97 (3,90–5,70)
HDL-koleszterin (mmol/l)
1,33 (1,00–1,60)
LDL-koleszterin (mmol/l)
2,85 (2,00–3,60)
eGFR = becsült glomerulusfiltrációs ráta; HbA1c = hemoglobin-A1c;
HDL = magas sűrűségű lipoprotein; LDL = alacsony sűrűségű lipopro
tein; SD = standard deviáció; sTSH = szenzitív thyreoideastimuláló
hormon; T1DM = 1-es típusú cukorbetegség; T2DM = 2-es típusú
cukorbetegség 1. táblázat
A diabeteses neuropathiás betegek antropometriai és laborpara
méterei 0
1
Microalbuminuria jelenléte (1) / hiánya (0) 2. ábra
A diabeteses neuropathia súlyossága (az áramérzet-küszöbérték
alapján) a microalbuminuria jelenléte esetén 0
1
Szív- és érrendszeri betegség jelenléte (1) / hiánya (0)
270
280
290
300
310
320
330
340
350
n = 241
p = 0,43
n = 172
A Neurometer®-rel mért áramérzet-küszöbérték átlaga
3. ábra
A diabeteses neuropathia súlyossága (az áramérzet-küszöbérték 0
Szív- és érrendszeri betegség jelenléte (1) / hiánya (0) eGFR = becsült glomerulusfiltrációs ráta; HbA1c = hemoglobin-A1c;
HDL = magas sűrűségű lipoprotein; LDL = alacsony sűrűségű lipopro
tein; SD = standard deviáció; sTSH = szenzitív thyreoideastimuláló
hormon; T1DM = 1-es típusú cukorbetegség; T2DM = 2-es típusú
cukorbetegség 1246 ORVOSI HETILAP 2020 ■ 161. évfolyam, 30. szám Unauthenticated | Downloaded 10/24/24 04:06 AM UTC EREDETI KÖZLEMÉNY 2. Eredmények táblázat
A CV-betegségben szenvedő és azoktól mentes alcsoportok összehasonlítása
Változók
Nem igazolt CVD jelenléte
Igazolt CVD jelenléte
p-érték
Életkor (év)
64,12 ± 7,35
65,26 ± 6,98
0,23
Neurometer®-átlag (mA)
266,17 (214,00–332,83)
263,00 (212,92–342,08)
0,60
Diabetes fennállása (év)
12,00 ± 4
12,00 ± 4,5
0,57
sTSH (mIU/l)
1,72 (1,13–2,96)
1,57 (0,97–2,60)
0,14
D-vitamin (nmol/l)
57,60 ± 13,20
58,20 ± 12,40
0,94
Hemoglobin (g/l)
136,00 (127,00–145,00)
132,50 (123,00–143,00)
0,13
HbA1c (%)
7,20 (6,30-8,20)
7,10 (6,35–8,35)
0,52
eGFR (ml/perc/1,73 m2)
83,50 ± 6,30
76,00 ± 7,20
0,03
Triglicerid (mmol/l)
1,40 (1,00–2,30)
1,80 (1,30–2,70)
0,001
Koleszterin (mmol/l)
4,65 (4,00–5,70)
4,60 (3,80–5,70)
0,85
HDL-koleszterin (mmol/l)
1,30 (1,10–1,60)
1,20 (0,90–1,50)
0,003
LDL-koleszterin (mmol/l)
2,70 (2,00–3,60)
2,74 (2,00–3,60)
0,65
CV = cardiovascularis; CVD = cardiovascularis betegség; eGFR = becsült glomerulusfiltrációs ráta; HbA1c = hemoglobin-A1c; HDL = magas sűrű
ségű lipoprotein; LDL = alacsony sűrűségű lipoprotein; sTSH = szenzitív thyreoideastimuláló hormon 2. táblázat
A CV-betegségben szenvedő és azoktól mentes alcsoportok összehasonlítása CV = cardiovascularis; CVD = cardiovascularis betegség; eGFR = becsült glomerulusfiltrációs ráta; HbA1c = hemoglobin-A1c; HDL = magas sűrű
ségű lipoprotein; LDL = alacsony sűrűségű lipoprotein; sTSH = szenzitív thyreoideastimuláló hormon CV = cardiovascularis; CVD = cardiovascularis betegség; eGFR = becsült glomerulusfiltrációs ráta; HbA1c = hemoglobin-A1c; HDL = magas sűrű
ségű lipoprotein; LDL = alacsony sűrűségű lipoprotein; sTSH = szenzitív thyreoideastimuláló hormon szignifikáns különbség a CVD-szövődménytől mentes
betegeinkkel összehasonlítva (3. ábra). (n = 395) T2DM-ben szenvedett. A vizsgált kohorsz
62%-át nők alkották. A betegek átlagéletkora 63,4 év, a
betegek átlagos HbA1c-értéke 7,4% volt. A rendelkezé
sünkre álló dokumentáció alapján igazolt macrovascula
ris szövődmény 183 betegnél, vagyis a kohorsz 42%-ánál
volt jelen. Microvascularis szövődményt (diabeteses reti
nopathia, microalbuminuria) a betegek 28%-ánál talál
tunk, ami a vizsgálatban 119 főt jelentett. A Neurometer®-
vizsgálattal
alátámasztott
diabeteses
neuropathiás
páciensek száma 350 volt, ami a kohorsz 81%-át tette ki. A betegek 19%-ánál (81 fő) a típusos neuropathiás tüne
tek ellenére nem tudtunk elváltozást kimutatni a
Neurometer®-vizsgálat alapján, ők feltehetően vékony
rost-neuropathiában szenvedtek. Összehasonlítottuk a CVD-szövődményekkel rendel
kező cukorbetegeket a szövődményektől mentes bete
gekkel, az eredményeket a 2. táblázatban foglaltuk ös�
sze. A CVD-szövődménnyel rendelkező alcsoportban a
szérumtriglicerid-szint szignifikánsan magasabbnak, a
HDL-koleszterin és az eGFR-érték szignifikánsan ala
csonyabbnak bizonyult. Lineáris regressziós analízist alkalmazva hasonlítottuk
össze a különböző változók és a Neurometer® segítségé
vel meghatározott áramérzet-küszöbérték átlagával jel
lemzett neuropathiás károsodás súlyosságát. A HbA1c
pozitív korrelációt mutatott a DSPN súlyosságával (r =
0,1981, p<0,001; 4. ábra). Az 1. Eredmények ábrán a Neurometer® segítségével meghatáro
zott áramérzet-küszöbértéket, azaz a fennálló neuropat
hia súlyosságát hasonlítottuk a diabeteses retinopathia
fennállásához. Ezen az ábrán látható, hogy a retinopathi
ás betegeknél szignifikánsan magasabb volt az áramér
zet-küszöbérték átlagértéke (p<0,0001), tehát súlyosabb
neuropathia véleményezhető. A különböző CV-rizikófaktorok és microvascularis
szövődmények összehasonlításához a betegek tünetei és
a Neurometer® segítségével meghatározott áramérzet-
küszöbérték szerinti DSPN súlyossága alapján a betege
ket négy különböző csoportba soroltuk. Az első cso
portban Neurometer®-rel nem volt kimutatható az
áramérzet-küszöbérték kóros változása (vékonyrost-ne
uropathia), a második csoportba az enyhe fokú, a harma
dikba a mérsékelten súlyos és a negyedikbe a súlyos fokú
DSPN-betegek kerültek. A kategorizálás után az adato
kat khi-négyzet-szignifikanciatesztekkel vizsgáltuk. Az
első diagramon a férfi-nő megoszlást ábrázoltuk; férfido
minancia figyelhető meg a neuropathia súlyosbodásával
(p<0,05; 5. ábra). Vizsgálatunk során a neuropathia súlyossága és a mic
roalbuminuria közötti összefüggést is elemeztük: a reti
nopathiás esetekhez hasonlóan perzisztáló microalbumi
nuria esetén szignifikánsan magasabb áramérzet-küszöb
értéket (p<0,0001), azaz előrehaladottabb neuropathiás
idegkárosodást találtunk (2. ábra). A cardiovascularis betegségeket mint összevont vég
pontot kezeltük vizsgálatunk során, idetartozik a kór
előzményben szereplő stabil angina pectoris, instabil an
gina pectoris, akut myocardialis infarctus, ischaemiás
szívbetegség, igazolt szisztolés vagy diasztolés szívelég
telenség, előrehaladott balkamra-hypertrophia, átmeneti
agyi ischaemia, stroke, perifériás alsó végtagi érszűkület
és hasiaorta-aneurysma. Az összevont CVD esetében
nem igazolódott az áramérzet-küszöbérték tekintetében Az inzulinnal kezelt cukorbetegek száma szignifikán
san emelkedett a neuropathia súlyosságának függvé
nyében (p<0,01; 6. ábra). A CV-rizikófaktorok közül a dohányzás, az alkoholfo
gyasztás nem mutatott szignifikáns eltérést a DSPN
súlyossága alapján történt összehasonlítások során. A microvascularis szövődmények szempontjából mind a 1247 2020 ■ 161. évfolyam, 30. szám ORVOSI HETILAP Unauthenticated | Downloaded 10/24/24 04:06 AM UTC EREDETI KÖZLEMÉNY 4. ábra
A Neurometer® segítségével meghatározott áramérzet-küszöbérték átlagával jellemzett neuropathiás károsodás súlyossága és a HbA1c összefüggése
HbA1c = hemoglobin-A1c
0,6
0,7
0,8
0,9
1,0
1,1
1,2
logHba1c
1,8
2,0
2,2
2,4
2,6
2,8
3,0
3,2
r
e
t
e
m
o
r
u
e
N
g
ol
logHba1c:logNeurometer: r = 0,1981; p = 0,0005; r2 = 0,0393 0,6
0,7
0,8
0,9
1,0
1,1
1,2
logHba1c
1,8
2,0
2,2
2,4
2,6
2,8
3,0
3,2
r
e
t
e
m
o
r
u
e
N
g
ol
logHba1c:logNeurometer: r = 0,1981; p = 0,0005; r2 = 0,0393 4. ábra
A Neurometer® segítségével meghatározott áramérzet-küszöbérték átlagával jellemzett neuropathiás károsodás súlyossága és a HbA1c összefüggése
HbA1c = hemoglobin-A1c 4. Eredmények ábra
A microvascularis szövődmények (microalbuminuria [a]; retinopathia [b]) kapcsolata a DSPN súlyosságával
d
l
í
ú
l
h
a)
b)
0%
50%
100%
78
187
62
36
3
24
19
22
A microalbuminuria aránya
A diabeteses neuropathia súlyossága
0%
50%
100%
75
194
69
42
6
17
12
16
A retinopathia aránya
A diabeteses neuropathia súlyossága
Nincs
Enyhe
Mérsékelt
Súlyos
Nincs
Enyhe
Mérsékelt
Súlyos
Nem
Igen
p<0,0001
Nem
Igen
p = 0,00029 a)
0%
50%
100%
78
187
62
36
3
24
19
22
A microalbuminuria aránya
A diabeteses neuropathia súlyossága
Nincs
Enyhe
Mérsékelt
Súlyos
Nem
Igen
p<0,0001 b)
0%
50%
100%
75
194
69
42
6
17
12
16
A retinopathia aránya
Nincs
Enyhe
Mérsékelt
Súlyos 8. ábra
A cardiovascularis szövődmények (a) és a hypertonia (b) jelenlétének összefüggései a DSPN súlyosságával
DSPN = distalis típusú szenzomotoros polyneuropathia
Nincs
Enyhe
Mérsékelt
Súlyos
Nincs
Enyhe
Mérsékelt
Súlyos
a)
b)
0%
20%
40%
60%
80%
100%
23
43
19
18
58
168
62
40
Hypertonia
A diabeteses neuropathia súlyossága
Nem
Igen
p = 0,26
0%
20%
40%
60%
80%
100%
53
118
49
28
28
93
32
30
Cardiovascularis betegség
A diabeteses neuropathia súlyossága
Nem
Igen
p = 0,20 Nincs
Enyhe
Mérsékelt
Súlyos
b)
0%
20%
40%
60%
80%
100%
23
43
19
18
58
168
62
40
Hypertonia
A diabeteses neuropathia súlyossága
Nem
Igen
p = 0,26 Nincs
Enyhe
Mérsékelt
Súlyos
a)
0%
20%
40%
60%
80%
100%
53
118
49
28
28
93
32
30
Cardiovascularis betegség
A diabeteses neuropathia súlyossága
Nem
Igen
p = 0,20 b) A cardiovascularis szövődmények (a) és a hypertonia (b) jelenlétének összefüggései a DSPN súlyosságával 8. ábra
A cardiovascularis szövődmények (a) és a hypertonia (b) jelenlétének összefüggései a DSPN súlyosságával
DSPN = distalis típusú szenzomotoros polyneuropathia korlátai állhatnak. A szív- és érrendszeri betegségeket
nem tudtuk külön elemezni keresztmetszeti és obszervá
ciós jellegű adatelemzésünk során, mivel a rendelkezésre
álló, sokszor hiányos kórelőzményi adatok és a változa
tos, BNO szerinti kódolás alapján megfelelő esetszámú,
egységes alcsoportokat nem tudtunk alkotni. A microvas
cularis szövődmények (diabeteses retinopathia és nephro
pathia) vizsgálata szintén a kórelőzményi adatok alapján
történt; az eltérő vizsgálati módszerek főleg a diabeteses
nephropathia esetén jelenthettek limitációt, mivel sok
szor nem volt elemezhető, hogy az albuminuria jelenléte
(kóros microalbuminuria-eredmény a laborokban vagy
kóros albumin/kreatinin hányados) egyszeri vagy kons
tans tényező-e. Eredmények Mind a microvascularis, mint a CVD-szö
vődmények és a diabeteses neuropathia kapcsolatának
elemzésére további prospektív vizsgálatok, akár több ma
gyarországi régiót magukban foglaló, multicentrikus ada
tok elemzése bővítheti ismereteinket. Munkánk során
nem vizsgáltuk a diabeteses autonóm neuropathia össze
függését az egyéb szövődményekkel; a Ewing-féle cardio
vascularis reflextesztek eredményével való összehasonlítás
további információkat nyújthat a macrovascularis szövőd
mények és a DSPN súlyosságának kapcsolatáról. Kereszt
metszeti jellegéből adódóan mortalitási adatok elemzésé
re vizsgálatunk nem terjedt ki. Eredmények ábra 0%
20%
40%
60%
80%
100%
Nincs
Enyhe
Mérsékelt
Súlyos
62
121
47
26
19
90
34
32
Az inzulinnal kezeltek aránya
A diabeteses neuropathia súlyossága
Nem
Igen
p = 0,0015
6. ábra
Az inzulinnal kezeltek aránya a DSPN súlyosságának függvé
nyében
DSPN = distalis típusú szenzomotoros polyneuropathia 0%
20%
40%
60%
80%
100%
Nincs
Enyhe
Mérsékelt
Súlyos
62
121
47
26
19
90
34
32
Az inzulinnal kezeltek aránya
A diabeteses neuropathia súlyossága
Nem
Igen
p = 0,0015
6. ábra
Az inzulinnal kezeltek aránya a DSPN súlyosságának függvé
nyében
DSPN = distalis típusú szenzomotoros polyneuropathia 0%
20%
40%
60%
80%
100%
Nincs
Enyhe
Mérsékelt
Súlyos
62
121
47
26
19
90
34
32
Az inzulinnal kezeltek aránya
A diabeteses neuropathia súlyossága 0%
10%
20%
30%
40%
50%
60%
70%
80%
90%
100%
Nincs
Enyhe
Mérsékelt
Súlyos
28
70
34
32
53
141
47
26
Férfi/nő arány
A diabeteses neuropathia súlyossága
Férfi
Nő p = 0,02
5. ábra
A férfi/nő arány a DSPN súlyosságával összehasonlítva
DSPN = distalis típusú szenzomotoros polyneuropathia ressziós analízist végezve azt találtuk, hogy mind férfiak
(r = 0,21, p<0,05; nincs ábrázolva), mind nők (r = 0,26,
p<0,001; nincs ábrázolva) esetében szignifikáns pozitív
összefüggést mutat a cukorbetegség tartama a neuropa
thia súlyosságával. Vizsgálatunkban alcsoportelemzés
során a HDL-szint szignifikánsan magasabbnak bizo
nyult a nőbetegek körében (HDLnő: 1,42 ± 0,44
mmol/l; HDLffi: 1,19 ± 0,35 mmol/l, p<0,0001; nincs
ábrázolva). microalbuminuria, mind a retinopathia előfordulási ará
nya nőtt a DSPN súlyossági fokával (mindkét összeha
sonlításra vonatkoztatva: p<0,0001; 7/a és 7/b ábra). p
,
;
)
Az összevont CVD-szövődmény, valamint külön érté
kelve a hypertoniával a diabeteses neuropathia súlyossága
nem mutatott szignifikáns összefüggést (8/a és 8/b
ábra). A diabeteses neuropathia súlyosságát a diabetes fenn
állásának időtartamával összehasonlítva, és lineáris reg 1248 2020 ■ 161. évfolyam, 30. szám ORVOSI HETILAP Unauthenticated | Downloaded 10/24/24 04:06 AM UTC EREDETI KÖZLEMÉNY 7. Irodalom [1] Zheng Y, Ley SH, Hu FB. Global aetiology and epidemiology of
type 2 diabetes mellitus and its complications. Nat Rev Endo
crinol. 2018; 14: 88–98. Eredményeink alapján a súlyosabb fokú neuropathiá
ban szenvedő betegek körében férfidominancia volt
megfigyelhető, ami már korábban is ismert volt a szak
irodalomban. A férfiakban a cukorbetegség korábbi stá
diumában és súlyosabb formában jelentkezik ez a micro
vascularis idegi szövődmény [22]. Egyrészt a férfiak
nagyobb átlagmagassága és a perifériás idegrostok hossza
összefüggésben állhat a súlyosabb fokú neuropathiás ká
rosodással. Másrészt a metabolikus faktorok közül a cu
korbetegségre jellemző dyslipidaemia is befolyásolhatja a
neuropathia mértékét. Experimentális egérkísérletek
alapján a magasabb HDL-koleszterin-szintet protektív
faktorként azonosították a nőstény egyedek esetén. A HDL-hez kötött enzimek (például paraoxonáz, mie
loperoxidáz) antioxidáns szerepet töltenek be az oxidatív
stressz károsító hatásával szemben, így késleltetve a
DSPN megjelenését [23]. Vizsgálatunkban alcsoport
elemzés során a HDL-szint szignifikánsan magasabbnak
bizonyult a női betegek körében, ami alátámaszthatja ezt
az experimentális megfigyelést. [2] International Diabetes Federation. IDF Diabetes Atlas, 9th edi
tion. IDF, Brussels, 2019. Available from: https://www.diabete
satlas.org. [3] Kempler P, Putz Zs, Kiss Z, et al. Prevalence and financial burden
of type 2 diabetes mellitus in Hungary between 2001–2014 –
results of the analysis of the National Health Insurance Fund
database. [A 2-es típusú diabetes előfordulása és költségterheinek
alakulása Magyarországon 2001–2014 között – az Országos
Egészségbiztosítási Pénztár adatbázis-elemzésének eredményei.]
Diabet Hung. 2016; 24: 177–188. [Hungarian] [4] Tamayo T, Rosenbauer J, Wild SH, et al. Diabetes in Europe: an
update. Diabetes Res Clin Pract. 2014; 103: 206–217. [5] Winkler G, Kempler P. Pathomechanism of diabetic neuropathy:
background of the pathogenesis-oriented therapy. [A neuro
pathia diabetica patomechanizmusa: az oki kezelés elméleti hát
tere.] Orv Hetil. 2010; 151: 971–981. [Hungarian] [6] Pop-Busui R, Boulton AJ, Feldman EL, et al. Diabetic neuropa
thy: a position statement by the American Diabetes Association. Diabetes Care 2017; 40: 136–154. [7] Brownrigg JR, Lusignan S, McGovern A, et al. Peripheral neu
ropathy and the risk of cardiovascular events in type 2 diabetes
mellitus. Heart 2014; 100: 1837–1843. Az inzulinnal kezelt betegek körében súlyosabb fokú
neuropathia volt megfigyelhető. Irodalmi adatok alapján
a hosszabb betegségtartam és az elégtelen szénhidrát-
anyagcsere együttesen állhat a súlyosabb neuropathiás
károsodás hátterében az inzulinkezelésben részesülő cu
korbetegek esetén. Az inzulinkezelés feltehetően legfel
jebb neutrális hatású a neuropathia progressziójára. To
vábbá az inzulin jól ismert gyulladáscsökkentő hatása
akár protektív tényező is lehetne a progresszió lassítására
[24]. Irodalom [8] Kärvestedt L, Mårtensson E, Grill V, et al. Peripheral sensory
neuropathy associates with micro- or macroangiopathy: results
from a population-based study of type 2 diabetic patients in Swe
den. Diabetes Care 2009; 32: 317–322. [9] Brownlee M. Biochemistry and molecular cell biology of dia
betic complications. Nature 2001; 414: 813–820. [10] Cameron NE, Eaton SE, Cotter MA, et al. Vascular factors and
metabolic interactions in the pathogenesis of diabetic neuropa
thy. Diabetologia 2001; 44: 1973–1988. [11] Callaghan BC, Cheng HT, Stables CL, et al. Diabetic neuropa
thy: clinical manifestations and current treatments. Lancet Neu
rol. 2012; 11: 521–534. [12] Hosseini A, Abdollahi M. Diabetic neuropathy and oxidative
stress therapeutic perspectives. Oxid Med Cell Longev. 2013;
2013: 168039. Érdekeltségek: A szerzőknek nincsenek érdekeltségeik. Érdekeltségek: A szerzőknek nincsenek érdekeltségeik. Megbeszélés Vizsgálatunk során a microvascularis és CVD-szövődmé
nyek, illetve egyéb rizikófaktorok előfordulását és az
ezekkel kapcsolatos összefüggéseket elemeztük a Debre
ceni Egyetem Neuropathia Centrumában gondozott be
tegek adatai alapján. A cukorbetegség legkorábban és
legjobban szűrhető szövődménye a DSPN, azonban en
nek ellenére jelentősen aluldiagnosztizált állapot. A mic
rovascularis szövődmények (retinopathia, microalbumin
uria) esetén súlyosabb neuropathiás károsodást találtunk,
valamint a microvascularis szövődmények gyakrabban
fordulnak elő a DSPN súlyosságának függvényében,
ahogy ezt a nemzetközi irodalomban korábban már leír
ták [18]. Az általunk kimutatott eltérések egyenes arányú
összefüggésben álltak az áramérzet-küszöbérték változá
sával, tehát a Neurometer®-rel történő neuropathiás ká
rosodás meghatározása és annak követése alkalmas lehet a
többi microvascularis szövődmény előrejelzésére is. Ko
rábbi irodalmi adatok is arra utalnak, hogy a nephropa
thia és a retinopathia kialakulása szorosan összefügg sú
lyosabb DSPN-tüneteket mutató egyének esetén [19,
20]. Adataink elemzése során az összevontan kezelt
CVD-szövődmények nem mutattak összefüggést a DSPN
súlyosságával. Ennek hátterében feltehetően vizsgálatunk 1249 020 ■ 161. évfolyam, 30. szám ORVOSI HETILAP Unauthenticated | Downloaded 10/24/24 04:06 AM UTC EREDETI KÖZLEMÉNY Számos tényezőből adódhat, hogy a dohányzással
kapcsolatban nem találtunk szignifikáns összefüggést a
diabeteses neuropathia súlyosságával. A dohányzás okoz
ta károsodás multifaktoriális: nemcsak idegkárosodást,
de angiopathiát is okoz, valamint a dohányosok hypoxia
tűrő képessége is fokozottabb, ami befolyásolhatja az
áramérzet-küszöbérték meghatározását [20]. Az alko
hollal kapcsolatosan a korreláció hiányát a gondos bevá
lasztási kritériumok befolyásolhatták. Az alkoholfogyasz
tásról a betegek anamnézise alapján tájékozódtunk, a
májenzimértékek alapján az egyértelmű alkoholos máj
károsodást és az esetleges alkoholos eredetű neuropathi
ás eseteket kizártuk. A magas vérnyomás nemzetközi
összehasonlításban sem mutatott összefüggést a DSPN-
nel 2-es típusú cukorbetegek esetén [21]. Anyagi támogatás: Munkánk a Magyar Diabetes Társa
ság 2019. évi klinikai kutatási pályázatának támogatásá
val készülhetett el. A publikáció elkészítését az EFOP-
3.6.2-16-2017-00009. számú projekt támogatta. Anyagi támogatás: Munkánk a Magyar Diabetes Társa
ság 2019. évi klinikai kutatási pályázatának támogatásá
val készülhetett el. A publikáció elkészítését az EFOP-
3.6.2-16-2017-00009. számú projekt támogatta. Szerzői munkamegosztás: B. B. és Sz. F. a szakirodalmi
adatok feldolgozásában, adatok gyűjtésében és értékelé
sében, T. N., Z. E. és J. A. Á. a kézirat szerkesztésében,
M. Á. és P. Gy. a végső változat ellenőrzésében műkö
dött közre. A cikk végleges változatát valamennyi szerző
elolvasta és jóváhagyta. Szerzői munkamegosztás: B. B. és Sz. F. a szakirodalmi
adatok feldolgozásában, adatok gyűjtésében és értékelé
sében, T. N., Z. E. és J. A. Á. a kézirat szerkesztésében,
M. Á. és P. Gy. Megbeszélés a végső változat ellenőrzésében műkö
dött közre. A cikk végleges változatát valamennyi szerző
elolvasta és jóváhagyta. Részvételi szándék 2020. augusztus 20-ig naponta 14–16 óra között Koltayné Bartha Magdánál jelezhető.
Telefon: 06-20/960 5854 – e-mail: baratikor.saar@gmail.com Az Orvostalálkozók eddig döntően a résztvevők áldozatos adományaiból valósultak meg. Kérjük, hogy lehetősége szerint ebben az évben is támogassa rendezvényünket a Szár Községért Baráti Kör
részére (UniCredit Bank 10918001-00000036-60180000) átutalható vagy a helyszínen kapható csekken
befizetett összeggel, Romhányi Orvostalálkozó megjegyzéssel. Következtetés 98., 4032
e-mail: sztanekf@yahoo.com) (Sztanek Ferenc dr.,
Debrecen, Nagyerdei krt. 98., 4032
e-mail: sztanekf@yahoo.com) [20] Tesfaye S, Chaturvedi N, Eaton SE, et al. Vascular risk factors
and diabetic neuropathy. N Engl J Med. 2005; 352: 341–350. A cikk a Creative Commons Attribution 4.0 International License (https://creativecommons.org/licenses/by/4.0/) feltételei szerint publikált Open Access közlemény,
melynek szellemében a cikk bármilyen médiumban szabadon felhasználható, megosztható és újraközölhető, feltéve, hogy az eredeti szerző és a közlés helye,
illetve a CC License linkje és az esetlegesen végrehajtott módosítások feltüntetésre kerülnek. (SID_1) Következtetés [13] Sztanek F, M Molnár Á, Balogh Z. The role of oxidative stress in
the development of diabetic neuropathy. [Az oxidatív stressz
szerepe a diabeteses neuropathia kialakulásában.] Orv Hetil. 2016; 157: 1939–1946. [Hungarian] Összefoglalásképpen azt mondhatjuk, hogy a diabeteses
neuropathia szűrő jellegű vizsgálata kiemelt fontosságú a
cukorbetegek körében. A diabeteses neuropathia centru
mokban Neurometer® segítségével a DSPN progresszió
ját követhetjük, és ezzel előre jelezhetjük egyéb micro
vascularis szövődmények megjelenését is. A DSPN
cardiovascularis betegségekkel való összefüggésének
elemzésére további vizsgálatok szükségesek. [14] Schemmel KE, Padiyara RS, D’Souza JJ. Aldose reductase in
hibitors in the treatment of diabetic peripheral neuropathy: a re
view. J Diabetes Compl. 2010; 24: 354–360. [15] Du XL, Edelstein D, Rossetti L, et al. Hyperglycemia-induced
mitochondrial superoxide overproduction activates the hexosa
mine pathway and induces plasminogen activator inhibitor-1 1250 2020 ■ 161. évfolyam, 30. szám ORVOSI HETILAP ORVOSI HETILAP Unauthenticated | Downloaded 10/24/24 04:06 AM UTC EREDETI KÖZLEMÉNY expression by increasing Sp1 glycosylation. Proc Natl Acad Sci
USA 2000; 97: 12222–12226. [21] Grisold A, Callaghan BC, Feldman EL. Mediators of diabetic
neuropathy: is hyperglycemia the only culprit? Curr Opin Endo
crinol Diabetes Obes. 2017; 24: 103–111. [16] Putz Zs, Hermányi Zs, Tóth N, et al. Testing distal sensory neu
ropathy in diabetes care. [A distalis típusú sensoros neuropathia
diagnosztikája a diabetológiai gyakorlatban.] Diabet Hung. 2008; 16: 157–164. [Hungarian] [22] Aaberg ML, Burch DM, Hud ZR, et al. Gender differences in
the onset of diabetic neuropathy. J Diab Compl. 2008; 22: 83–
87. [17] Kempler P, Tesfaye S, Chaturvedi N, et al. Autonomic neuropa
thy is associated with increased cardiovascular risk factors: the
EURODIAB IDDM complications study. Diabet Med. 2002;
19: 900–909. [23] O’Brien PD, Hur J, Robell NJ, et al. Gender-specific differences
in diabetic neuropathy in BTBR ob/ob mice. J Diab Compl. 2016; 30: 30–37. [24] Sun Q, Li J, Gao F. New insights into insulin: the anti-inflamma
tory effect and its clinical relevance. World J Diabetes 2014; 5:
89–96. [18] Papanas N, Ziegler D. Risk factors and comorbidities in diabetic
neuropathy: an update 2015. Rev Diabet Stud. 2015; 12: 48–62. [19] Dyck PJ, Kratz KM, Karnes JL, et al. The prevalence by staged
severity of various types of diabetic neuropathy, retinopathy, and
nephropathy in a population-based cohort: the Rochester Dia
betic Neuropathy Study. Neurology 1993; 43: 817–824. [Cor
rection: Neurology 1993; 43: 2345.] (Sztanek Ferenc dr.,
Debrecen, Nagyerdei krt. Fontos információk Részvételi szándék 2020. augusztus 20-ig naponta 14–16 óra között Koltayné Bartha Magdánál jelezhető. Telefon: 06-20/960 5854 – e-mail: baratikor.saar@gmail.com Program: A cikk a Creative Commons Attribution 4.0 International License (https://creativecommons.org/licenses/by/4.0/) feltételei szerint publikált Open Access közlemény,
melynek szellemében a cikk bármilyen médiumban szabadon felhasználható, megosztható és újraközölhető, feltéve, hogy az eredeti szerző és a közlés helye,
illetve a CC License linkje és az esetlegesen végrehajtott módosítások feltüntetésre kerülnek. (SID_1)
Program:
900 Szentmise
1000 Üdvözlések
Németh Norbert, polgármester
Prof. Dr. Kellermayer Miklós: „Húsz év”
1030 Márfi Gyula (nyugalmazott veszprémi érsek): „Gondolatok Európa jövőjéről”
1100
Avanesian Alex (dramaturg, szerkesztő, rendező): „Kőország”
1130
Lehoczky László (rendező, szerkesztő): „A szeretet a legnagyobb! – gondolatok a média hivatásáról"
1400 Prof. Dr. Kellermayer Miklós, Prof. Dr. Sándor Zoltán: „A molekuláktól a komplex rendszerekig”
1430 Prof. Dr. Cziráki Attila: „A kardiológia új dimenziói”
1500 Prof. Dr. Pár Alajos: „Haladás a vírushepatitiszek prevenciójában és gyógyításában”
1530 Prof. Dr. Than Péter: „Innovatív endoprotetika” A cikk a Creative Commons Attribution 4.0 International License (https://creativecommons.org/licenses/by/4.0/) feltételei szerint publikált Open Access közlemény
melynek szellemében a cikk bármilyen médiumban szabadon felhasználható, megosztható és újraközölhető, feltéve, hogy az eredeti szerző és a közlés helye,
illetve a CC License linkje és az esetlegesen végrehajtott módosítások feltüntetésre kerülnek. (SID_1)
g
900 Szentmise
1000 Üdvözlések
Németh Norbert, polgármester
Prof. Dr. Kellermayer Miklós: „Húsz év”
1030 Márfi Gyula (nyugalmazott veszprémi érsek): „Gondolatok Európa jövőjéről”
1100
Avanesian Alex (dramaturg, szerkesztő, rendező): „Kőország”
1130
Lehoczky László (rendező, szerkesztő): „A szeretet a legnagyobb! – gondolatok a média hivatásáról"
1400 Prof. Dr. Kellermayer Miklós, Prof. Dr. Sándor Zoltán: „A molekuláktól a komplex rendszerekig”
1430 Prof. Dr. Cziráki Attila: „A kardiológia új dimenziói”
1500 Prof. Dr. Pár Alajos: „Haladás a vírushepatitiszek prevenciójában és gyógyításában”
1530 Prof. Dr. Than Péter: „Innovatív endoprotetika” 900 Szentmise 1030 Márfi Gyula (nyugalmazott veszprémi érsek): „Gondolatok Európa jövőjéről” 1100
Avanesian Alex (dramaturg, szerkesztő, rendező): „Kőország” 1500 Prof. Dr. Pár Alajos: „Haladás a vírushepatitiszek prevenciójában és gyógyításában” 1530 Prof. Dr. Than Péter: „Innovatív endoprotetika” 1530 Prof. Dr. Than Péter: „Innovatív endoprotetika” A cikk a Creative Commons Attribution 4.0 International License (https://creativecommons.org/licenses/by/4.0/) feltételei szerint publikált Open Access közlemény,
melynek szellemében a cikk bármilyen médiumban szabadon felhasználható, megosztható és újraközölhető, feltéve, hogy az eredeti szerző és a közlés helye,
illetve a CC License linkje és az esetlegesen végrehajtott módosítások feltüntetésre kerülnek. (SID_1) 20 ■ 161. évfolyam, 30. szám 1251 ORVOSI HETILAP Unauthenticated | Downloaded 10/24/24 04:06 AM UTC
|
https://openalex.org/W4285009981
|
https://www.frontiersin.org/articles/10.3389/fmicb.2022.904815/pdf
|
English
| null |
Vibriosis Outbreaks in Aquaculture: Addressing Environmental and Public Health Concerns and Preventive Therapies Using Gilthead Seabream Farming as a Model System
|
Frontiers in microbiology
| 2,022
|
cc-by
| 22,830
|
REVIEW
published: 11 July 2022
doi: 10.3389/fmicb.2022.904815 published: 11 July 2022
doi: 10.3389/fmicb.2022.904815 Vibriosis Outbreaks in Aquaculture:
Addressing Environmental and Public
Health Concerns and Preventive
Therapies Using Gilthead Seabream
Farming as a Model System Gracinda M. M. Sanches-Fernandes 1,2,3, Isabel Sá-Correia 1,2,3 and Rodrigo Costa 1,2,3,4* 1 Institute for Bioengineering and Biosciences, Biological Sciences Research Group, Instituto Superior Técnico, Universidade
de Lisboa, Lisbon, Portugal, 2 Department of Bioengineering, Instituto Superior Técnico, Universidade de Lisboa, Lisbon,
Portugal, 3 Associate Laboratory i4HB—Institute for Health and Bioeconomy at Instituto Superior Técnico, Universidade de
Lisboa, Lisbon, Portugal, 4 Centre of Marine Sciences, University of Algarve, Faro, Portugal Edited by:
Malka Halpern,
University of Haifa, Israel Lemos,
University of Santiago de
Compostela, Spain
Dieter Steinhagen,
University of Veterinary Medicine
Hannover, Germany *Correspondence:
Rodrigo Costa
rodrigoscosta@tecnico.ulisboa.pt *Correspondence:
Rodrigo Costa
rodrigoscosta@tecnico.ulisboa.pt Specialty section:
This article was submitted to
Microbial Symbioses,
a section of the journal
Frontiers in Microbiology Specialty section:
This article was submitted to
Microbial Symbioses,
a section of the journal
Frontiers in Microbiology
Received: 25 March 2022
Accepted: 20 June 2022
Published: 11 July 2022 Received: 25 March 2022
Accepted: 20 June 2022
Published: 11 July 2022 Keywords: biological control, fish larviculture, fish microbiome, host-microbe interactions, probiotics, Vibrio Edited by:
Malka Halpern,
University of Haifa, Israel Edited by:
Malka Halpern,
University of Haifa, Israel Bacterial and viral diseases in aquaculture result in severe production and economic
losses. Among pathogenic bacteria, species belonging to the Vibrio genus are one of the
most common and widespread disease-causing agents. Vibrio infections play a leading
role in constraining the sustainable growth of the aquaculture sector worldwide and,
consequently, are the target of manifold disease prevention strategies. During the early,
larval stages of development, Vibrio species are a common cause of high mortality rates
in reared fish and shellfish, circumstances under which the host organisms might be
highly susceptible to disease preventive or treatment strategies such as vaccines and
antibiotics use, respectively. Regardless of host developmental stage, Vibrio infections
may occur suddenly and can lead to the loss of the entire population reared in a
given aquaculture system. Furthermore, the frequency of Vibrio–associated diseases in
humans is increasing globally and has been linked to anthropic activities, in particular
human-driven climate change and intensive livestock production. In this context, here
we cover the current knowledge of Vibrio infections in fish aquaculture, with a focus
on the model species gilthead seabream (Sparus aurata), a highly valuable reared
fish in the Mediterranean climatic zone. Molecular methods currently used for fast
detection and identification of Vibrio pathogens and their antibiotic resistance profiles
are addressed. Targeted therapeutic approaches are critically examined. They include
vaccination, phage therapy and probiotics supplementation, which bear promise in
supressing vibriosis in land-based fish rearing and in mitigating possible threats to human
health and the environment. This literature review suggests that antibiotic resistance is
increasing among Vibrio species, with the use of probiotics constituting a promising,
sustainable approach to prevent Vibrio infections in aquaculture. Reviewed by:
T. G. Sumithra,
Indian Council of Agricultural Research
(ICAR), India
Manuel L. Lemos,
University of Santiago de
Compostela, Spain
Dieter Steinhagen,
University of Veterinary Medicine
Hannover, Germany Reviewed by:
T. G. Sumithra,
ndian Council of Agricultural Research
(ICAR), India
Manuel L. Aquaculture Production of Gilthead Seabream
(Sparus aurata) Global seafood production including fish, crustaceans, molluscs,
and other aquatic animals but excluding aquatic mammals,
reptiles, seaweeds, and other aquatic plants, was estimated to
reach 179 million tonnes in 2018, with an approximate first sale
value of 401 billion US$, being the aquaculture sector responsible
for 250 billion US$. This corresponds to a worldwide production
of 82.1 million tonnes derived from aquaculture practices
compared with 96 million tonnes from wild captures (FAO, 2020)
(Figure 1A). Totals of 22.2 million tonnes were used, in that year,
for fish meal and fish oil production, while 156.4 million tonnes
were used for human consumption, matching the demand for
seafood production by the growing human population, which
reached a record high of 20,5 kg per capita (FAO, 2020). Global
fish production, including capture and aquaculture, both for
human consumption and ancillary purposes, is still growing
worldwide, mainly due to the contribution of the aquaculture
sector (Figure 1A) (FAO, 1996, 2002, 2004, 2010, 2012, 2016,
2018, 2020). In fact, 52% of the fish biomass produced for human
consumption currently derives from aquaculture activities (FAO,
2020). Global fish production is dominated by China (35%),
closely followed by the remainder of the Asian continent (34%),
Americas (14%), Europe (10%), Africa (7%) and Oceania (1%)
(FAO, 2020). The marine perch-like fish Sparus aurata (Linnaeus, 1758),
commonly known as gilthead seabream, is an economically
valuable cultured species in southern European countries
(Balebona et al., 1998b), ranking along with seabass as the
most important fish species farmed in the Mediterranean zone
(Firmino et al., 2019). World gilthead seabream aquaculture
production, with regard to both quantity (tonnes) and value
(thousand US$), has shown a consistent, continuous growth
during the past three decades (Figures 1B,C). Because of its plasticity and high amenability to rearing
conditions,
gilthead
seabream
can
be
cultured
following
extensive
and
semi-intensive
methods
in
coastal
ponds
and lagoons. The extensive method relies partially on the
species’ natural migration and subsequent caught into fishing
traps. Source juveniles obtained this way are, then, usually
supplemented with additional juveniles reared in hatcheries by
most of the modern stations employing the extensive method
(FAO, 2021). A starting juvenile pool is, this way, seeded into
a coastal lagoon, with juveniles (c. 45 DAH) weighting 2–3 g
on average. Aquaculture Production of Gilthead Seabream
(Sparus aurata) Under this system, a juvenile achieves the first
commercial size of 350 g in 20 months, with an average yield of
15–30 Kg/ha/yr and fish densities usually not exceeding 0.0025
kg/m3. Within semi-intensive rearing conditions, the increase
of inputs derived from human activities (e.g., artificial feed and
supplemental oxygen) results in a greater average production
yield of 500–2,400 kg/ha/yr and higher fish densities of c. 1
kg/m3 (FAO, 2021). Given the obvious growth of the aquaculture industry and
the emerging pressures it causes on human and environmental
health, including the spread of bacterial diseases, this review
covers alternative approaches to antibiotics and antimicrobials
usage to suppress bacterial diseases in fish larvi- and aquaculture. Where appropriate, we place focus on studies of the model,
cultured
teleost
fish
gilthead
seabream
(Sparus
aurata),
an economically valuable reared species of relevance in
Mediterranean
countries. Our
approach
to
pathogenicity
in aquaculture emphasizes the opportunistic Vibrio species,
highlighting environmental and public health concerns resulting
from seafood vibriosis as well as human vibriosis acquired
via seafood ingestion. In this context, the term vibriosis is
herein defined as any sort of disease with clearly observable
symptoms caused by Vibrio species on an animal host. PCR-
based detection of virulence factors and mass spectrometry
protocols used in the identification of Vibrio pathogens in fish
and shellfish are thoroughly examined. Further emphasis is
given to the existence of determinants of antibiotic resistance
in Vibrio species present in commercial seafood products,
given that they increase the risk of spread of antibiotic
resistance genes from aquaculture to the consumer. New
approaches for prophylaxis and treatment of vibriosis in fish
relying on the management of pathobiomes and microbial
communities in the aquaculture sector are then discussed,
including the application of vaccines, bacteriophages, and
probiotics to prevent bacterial disease proliferation. Particularly,
we provide an overview of probiotics-based studies designed
to supress Vibrio spp. across a broad range of host animals
and aquaculture settings, portraying a solid body of work g
Intensive rearing methods, in their turn, result in much higher
yields in comparison with extensive and semi-intensive rearing
methods. The densities of fish grown under this system, when
raised in tanks receiving massive oxygen supply under optimal
temperature conditions (18–26◦C), are typically very high (15–
45 kg/m3). In these circumstances, pre-fattened 5 g gilthead
seabream may achieve the first commercial weight of 350 g in
1 year (FAO, 2021). Citation: Sanches-Fernandes GMM,
Sá-Correia I and Costa R (2022)
Vibriosis Outbreaks in Aquaculture:
Addressing Environmental and Public
Health Concerns and Preventive
Therapies Using Gilthead Seabream
Farming as a Model System. Front. Microbiol. 13:904815. doi: 10.3389/fmicb.2022.904815 July 2022 | Volume 13 | Article 904815 Frontiers in Microbiology | www.frontiersin.org 1 Vibriosis in Aquaculture Sanches-Fernandes et al. INTRODUCTION accumulated during the last 30 years which evidences great
potential in the administration of probiotics for the control
of vibriosis. Frontiers in Microbiology | www.frontiersin.org Aquaculture Production of Gilthead Seabream
(Sparus aurata) Rearing of gilthead seabream in sea cages
is a widely adopted methodology in the Mediterranean Sea,
whereby reared fish densities may reach up to 10–15 kg/m3. Although intensive fish biomass production in sea cages is
somewhat lower than that of land-based installations, the profits
are much higher as there are no energy costs for pumping,
aeration, or post-rearing water treatment (FAO, 2021). The main
disadvantage is the absence of temperature control in sea cages
and, consequently, the longer rearing period needed to reach the
commercial size and to stock larger juveniles. Under this method,
the larger, pre-fattened gilthead seabream (10 g) may take 1 year
to reach the first commercial size of 350–400 g, while smaller
seeding juveniles (5 g) achieve the same size in 16 months (FAO,
2021). Figure 2 lists the top ten gilthead seabream producing
countries in the Mediterranean area. Interestingly, although not
ranking among the three most producing countries in terms
of quantity (tonnes/year), Italy (8,88 US$/kg), Portugal (7,59 July 2022 | Volume 13 | Article 904815 2 Sanches-Fernandes et al. Vibriosis in
FIGURE 1 | (A) Evolution of wild capture and aquaculture-based seafood production (million tonnes, live weight). The total seafood production is growing d
increase in fish / shellfish biomass derived from the aquaculture sector, contrasting with near constant capture values. The data include fish, crustaceans, m
and other cultured aquatic animals, and were retrieved from reports by the Food and Agriculture Organization of the United Nations (FAO) spanning the per
1996, 2002, 2004, 2010, 2012, 2016, 2018, 2020). (B,C) show the worldwide gilthead seabream aquaculture production (in tonnes) (B) and their commer
(thousand US$) (C). Data collected from FAO, query online, http://www.fao.org/fishery/statistics/global-aquaculture-production/query/en. Vibriosis in Aquaculture Sanches-Fernandes et al. FIGURE 1 | (A) Evolution of wild capture and aquaculture-based seafood production (million tonnes, live weight). The total seafood production is growing due to the
increase in fish / shellfish biomass derived from the aquaculture sector, contrasting with near constant capture values. The data include fish, crustaceans, molluscs,
and other cultured aquatic animals, and were retrieved from reports by the Food and Agriculture Organization of the United Nations (FAO) spanning the period (FAO,
1996, 2002, 2004, 2010, 2012, 2016, 2018, 2020). (B,C) show the worldwide gilthead seabream aquaculture production (in tonnes) (B) and their commercial value
(thousand US$) (C). Data collected from FAO, query online, http://www.fao.org/fishery/statistics/global-aquaculture-production/query/en. Aquaculture Production of Gilthead Seabream
(Sparus aurata) FIGURE 1 | (A) Evolution of wild capture and aquaculture-based seafood production (million tonnes, live weight). The total seafood production is growing due to the
increase in fish / shellfish biomass derived from the aquaculture sector, contrasting with near constant capture values. The data include fish, crustaceans, molluscs,
and other cultured aquatic animals, and were retrieved from reports by the Food and Agriculture Organization of the United Nations (FAO) spanning the period (FAO,
1996, 2002, 2004, 2010, 2012, 2016, 2018, 2020). (B,C) show the worldwide gilthead seabream aquaculture production (in tonnes) (B) and their commercial value
(thousand US$) (C). Data collected from FAO, query online, http://www.fao.org/fishery/statistics/global-aquaculture-production/query/en. July 2022 | Volume 13 | Article 904815 Frontiers in Microbiology | www.frontiersin.org 3 Sanches-Fernandes et al. Vibriosis in Aquaculture FIGURE 2 | The top ten gilthead seabream producing countries in the Mediterranean zone. Colored bars represent quantity (tonnes) and commercial value (thousand
US$/kg) of cultured gilthead seabream biomass produced for human consumption in 2019. The primary Y -axis represents quantity in tonnes, while the secondary
axis represents the commercial value per kg of cultured gilthead seabream sold. Data collected from FAO, query online, http://www.fao.org/fishery/statistics/global-
aquaculture-production/query/en. FIGURE 2 | The top ten gilthead seabream producing countries in the Mediterranean zone. Colored bars represent quantity (tonnes) and commercial value (thousand
US$/kg) of cultured gilthead seabream biomass produced for human consumption in 2019. The primary Y -axis represents quantity in tonnes, while the secondary
axis represents the commercial value per kg of cultured gilthead seabream sold. Data collected from FAO, query online, http://www.fao.org/fishery/statistics/global-
aquaculture-production/query/en. US$/kg), Croatia (6,59 US$/kg), and Spain (5,73 US$/kg), in
this order, were the countries presenting the highest commercial
value of cultured gilthead seabream sold in the market. move beyond traditional microbiological assessments of food
items using more efficient methodologies, in particular next
generation DNA sequencing, to ensure effective monitoring
of microorganisms in animal and plant-derived foods and
tissues (Lorenzo et al., 2018). It is also important to advance our
understanding of the roles played by beneficial microorganisms
in aquaculture facilities to effectively steer these built ecosystems
toward a more environmentally friendly state, whereby disease
proliferation and pollution can be mitigated using natural
resources (Vadstein et al., 2013; Borges et al., 2021). Borges
et al. Aquaculture Production of Gilthead Seabream
(Sparus aurata) (2021) have recently reviewed the diversity and properties
of potentially beneficial microbes that occur in aquaculture
facilities, including a vast diversity of Alphaproteobacteria species
belonging to the Roseobacter clade (e.g., Phaeobacter inhibens)
which rank as promising probiotic candidates to control bacterial
diseases in these settings (see more in section Microbial-Based
Strategies to Prevent Vibrio Diseases in Aquaculture). Frontiers in Microbiology | www.frontiersin.org July 2022 | Volume 13 | Article 904815 Aquaculture Microbiology Environmental factors, including warming, have also
been suggested to suppress fish immunity and increase their
susceptibility to vibriosis (Haenen et al., 2014; El-Bouhy et al.,
2016; El-Sayed et al., 2019). The pathogenic load in fish larviculture stations is believed to
be determined by the complexity and diversity of the microbial
communities occurring in the microhabitats that constitute
these multifaceted, man-made ecosystems, including the rearing
water itself, particulate organic materials deriving from animal
excretions and dietary foods, the fish host, and the live feed
(Califano et al., 2017). As such, host-microbe, microbe-microbe,
and microbe-environment interactive forces that prevail in
each rearing setting are thought to determine the final state
of aquaculture microbiomes across a theoretical symbiome–
pathobiome continuum. As our ability to catalog the diversity
and function of host-associated microbiomes in a cultivation-
independent manner increases, the molecular mechanisms
underpinning
host
colonization,
persistence
and
disease
development by opportunistic microorganisms are predicted
to be revealed at a fast pace. It is relevant that the functional
attributes of pathobiomes and symbiomes of fish larvae, juveniles
and live feed are uncovered, so that disease control in aquaculture
can be implemented in a consistent manner (Borges et al., 2021). Notably, there is currently a demand for the development
of faster, more precise, and accurate molecular methods (see
section Identification of Vibrio Pathogens in Aquaculture),
beyond common rRNA gene amplicon sequencing, to better
identify
the
microorganisms
present
in
the
pathobiome,
opening new avenues to understand pathogenic mechanisms in
aquaculture (Vayssier-Taussat et al., 2014). In aquaculture, several Vibrio spp. are currently considered
pathogens or opportunistic pathogens of reared finfish, shellfish,
and shrimp (Liu et al., 2016). The most common Vibrionaceae
spp. recorded in association with fish and shellfish diseases
are V. anguillarum, V. ordalii, V. vulnificus, V. alginolyticus
(Vera et al., 1991; Kahla-Nakbi et al., 2007; Korun and Timur,
2008), V. parahaemolyticus (Hamdan et al., 2016), Aliivibrio
(formerly Vibrio; Urbanczyk et al., 2007) salmonicida, V. harveyi
(Kahla-Nakbi et al., 2007; Korun and Timur, 2008), and V. tubiashii (Richards et al., 2014). Most of these species have
been isolated both from reared and wild marine fish (Abdelaziz
et al., 2017). Although V. cholerae is not referred to as a
primary fish pathogen following Koch’s postulates, it has been
isolated from several freshwater and marine fish, which are
considered a broad reservoir of V. cholerae strains that may
cause infections in humans (Halpern and Izhaki, 2017). Aquaculture Microbiology Therefore, in
larviculture facilities which need to use high densities of both
rotifers and Artemia as live feed to fish larvae, the high load of
organic matter present in water increases the risk of proliferation
of opportunistic pathogenic bacteria to the developing fish host
(Verdonck et al., 1997; Rombaut et al., 2001; Prol-García et al.,
2010; Haché and Plante, 2011; Asok et al., 2012; Vadstein et al.,
2013; Interaminense et al., 2014). Section Vibrio species and
Vibriosis in Aquaculture provides an overview of Vibrio spp. already reported in association with fish live feed. Vibrio spp. are mesophilic and chemoorganotrophic, possessing
facultative fermentative metabolism (Kahla-Nakbi et al., 2007). They are ubiquitous inhabitants of aquatic environments
including estuaries, marine coastal waters and sediments, and
aquaculture settings (Balebona et al., 1998a; Thompson et al.,
2004; Sarjito et al., 2009; Ringø, 2020). Except for V. cholerae
and V. mimicus (Wong and Griffin, 2018), they are considered
halophilic organisms (Wong and Griffin, 2018) commonly
occurring at 30–35 ppt salinity although their aptitude to thrive
in estuarine environments is also well-documented. The first
Vibrio species described was Vibrio cholerae, in 1854, in the
context of a study on cholera outbreaks in Florence (Thompson
et al., 2004), but there are records of cholera-like diseases
occurring in the times of Hippocrates (460–377 BC) (Blake,
1994). Currently, more than 130 species grouped in 14 clades
in the Vibrio genus are recognized (Romalde et al., 2014; Huang
et al., 2020), including commensal, mutualistic, and pathogenic
species (Thompson et al., 2004). p
p
The role of Vibrio spp. in marine organic carbon cycling
(Romalde et al., 2014), particularly in coastal environments and
marginal seas, has been underestimated (Zhang et al., 2018). Vibrio species are one of the best model marine heterotrophic
bacterial groups, consuming several carbon compounds and
growing with generation times as short as ∼10 min (Zhang
et al., 2018). They may represent about 60% of the total
heterotrophic bacteria associated with aquatic organisms (Sonia
and Lipton, 2012), being part of the normal microbiota of
aquatic animals. Vibrio hosts are typically zooplankton, shellfish,
crustaceans, benthic marine invertebrates such as sponges,
corals and bryozoans, and fishes (Liu et al., 2016). Host-Vibrio
relationships in nature may range from mutualistic through
commensalistic to pathogenic (Liu et al., 2016). In general,
Vibrio species proliferate well at warm temperatures, a condition
that may favor their transition from commensal to pathogenic
behavior. Aquaculture Microbiology More
recently, Devi et al. (2022) reported on a non-O1, non-O139 V. cholerae serotype (EMM1) capable of inducing high mortality
in the freshwater species Labeo rohita, suggesting that V. Aquaculture Microbiology Aquaculture
facilities
constitute
a
high-density
species
environment where the use of live feed, the stress and the
animals’ physical proximity increase the propagation of parasites
and diseases (Guidi et al., 2018; Sanches-Fernandes et al., 2021a). Therefore, monitoring quality, safety, and microbiological
indicators, across all production stages, will play a decisive role
in the development of future, sustainable and cost-effective
aquaculture practices (FAO, 2020). One main problem to be
overcome is the fact that most fish species display very low
survival rates during larval rearing, which can be partially
attributed to the spread of bacterial diseases (Snoussi et al., 2008;
Sanches-Fernandes et al., 2021a). In fact, bacterial diseases are
responsible for mass stock mortalities in fish farms throughout
Mediterranean waters, independently of the reared species
and host developmental stage (Bordas et al., 1996; Akayli and
Timur, 2002; Kahla-Nakbi et al., 2006), resulting in a significant
production bottleneck. In this context, it is not only essential to In intensive larval rearing of commercial fish species, live
feed provision is still mostly required, usually including rotifers
(Brachionus spp.) as the first feed item provided, followed
by brine shrimp Artemia sp. at nauplii and metanauplii
developmental stages, according to the mouth size of the growing July 2022 | Volume 13 | Article 904815 Frontiers in Microbiology | www.frontiersin.org 4 Vibriosis in Aquaculture Sanches-Fernandes et al. fish larvae (Pousão-Ferreira, 2009). Although strains of the
genera Pseudomonas (Skjermo and Vadstein, 1993; Rombaut
et al., 2001), Aeromonas (Dhert et al., 2001), Flavobacterium
(Skjermo and Vadstein, 1993; Dhert et al., 2001; Rombaut et al.,
2001), Marinomonas and Pseudoalteromonas (Rombaut et al.,
2001) have been quite commonly found in cultured rotifers,
Vibrio species were the dominant bacteria associated with
these animals according to early, cultivation-dependent studies
(Verdonck et al., 1997). Altogether, the ingestion of rotifers
and Artemia is a potential mechanism of transport of various
pathogens into fish larvae. In addition, intake of pathogens
from water by fish larvae is a concern, even within recirculation
aquaculture systems (RAS), which are regarded as the safest in
terms of disease control (Vadstein et al., 2013). VIBRIO SPECIES AND VIBRIOSIS IN
AQUACULTURE Antibiotic treatment and
oral rehydration are the most common procedures to cure
infections caused by V. parahaemolyticus. For individuals with
critical physical or immunodeficiency diseases, the best practice
to avoid severe illness is not to consume seafood at all (Wang
et al., 2015). In the 21st century, increasing human disease
outbreaks attributed to V. parahaemolyticus in Asia (Matsumoto
et al., 2000), North America and Chile (Martinez-Urtaza et al.,
2005), Europe namely France and Spain (Martinez-Urtaza et al.,
2005; Quilici et al., 2005), Africa and Russia (Nair et al., 2007)
have been described. Regarding the presence of Vibrio spp. in association with the
live feed used for fish larviculture, several studies reported the
isolation of the well-known causative agents of disease Vibrio
alginolyticus (Yu et al., 1990), V. anguillarum (Dhert et al.,
2001), V. parahaemolyticus (Balebona et al., 1998b) and V. rotiferianus (Gomez-Gil et al., 2003) from rotifers. The aquatic
crustacean genus Artemia may also host Vibrio (Igarashi et al.,
1989; Pousão-Ferreira, 2009), Pseudomonas (Igarashi et al., 1989)
and Aeromonas (Interaminense et al., 2014) species. For instance,
V. alginolyticus (Soto-Rodriguez et al., 2003; Interaminense et al.,
2014), V. parahaemolyticus (Interaminense et al., 2014; Kumar
et al., 2018), V. anguillarum (Campbell et al., 1993; Skjermo and
Bergh, 2004), V. harveyi (Asok et al., 2012) and V. hispanicus
(Gomez-Gil et al., 2004) have already been isolated from Artemia. Luminescent vibriosis (that is, vibriosis caused by luminescent
Vibrio species) was as well-reported in Artemia and found to be
caused mainly by V. harveyi and occasionally by V. splendidus
(Soto-Rodriguez et al., 2003). Moreover, V. campbellii, frequently
misidentified as V. harveyi in the past, was more recently found
to be the etiological agent of luminescent vibriosis in shrimp
hatcheries (Kumar et al., 2021). Vibrio vulnificus is highly pathogenic to humans (Snoussi
et al., 2008). This bacterium causes epizootic outbreaks in
seabream fish and can be transmitted to humans by ingestion,
being a well-known cause of cellulitis and septicaemia in
fishermen (Vinh et al., 2006). Besides, V. vulnificus is also able to
infect the human host through an open cut or wound, in extreme
cases resulting in necrotizing fasciitis, limb amputation and fatal
septicaemia in susceptible individuals (Williams et al., 2014). VIBRIO SPECIES AND VIBRIOSIS IN
AQUACULTURE Vibrio species are Gram-negative, asporogenous rods that are
straight or curved, motile in aqueous environments usually
by means of a single, polar flagellum (Kaysner et al., 2004). July 2022 | Volume 13 | Article 904815 Frontiers in Microbiology | www.frontiersin.org 5 Vibriosis in Aquaculture Sanches-Fernandes et al. cholerae strains other than the typical human pathogens shall
be considered relevant aquatic pathogens as well. Vibriosis
caused by the abovementioned species is the most common
and devastating bacterial disease in fish larviculture and
aquaculture, being a public health and economical concern
affecting marine fishes, crustaceans, and bivalves worldwide
(Balebona et al., 1998a; Sarjito et al., 2009; Ringø, 2020). The symptoms of vibriosis in fish are diverse, and include
haemorrhagic septicaemias with extensive external skin lesions
(haemorrhagic fins and ulcers), focal necrosis of some organs
(liver, spleen, kidney), other tissue necrosis (Kahla-Nakbi et al.,
2007), complete erosion of tail (Haldar et al., 2010), pale kidney,
dark pigmentation, exophthalmic eyes, splenomegaly (Zorrilla
et al., 2003), skeletal deformity (lordosis) (Abdel-Aziz et al.,
2013), loss of appetite and lethargy (Korun and Timur, 2008). Vibrio
alginolyticus
had
been
frequently
documented
in early studies of gilthead seabream disease outbreaks in
Mediterranean aquaculture (Balebona et al., 1998a). In humans,
this bacterium was found to be associated with gastroenteritis in
immunocompromised patients (Reina et al., 1995; Gomathi et al.,
2013), causing extra-intestinal diseases (Gomez-Gil et al., 2003;
Snoussi et al., 2008), wound infection, cellulitis, seawater-related
otitis media (Abdel-Aziz et al., 2013; Gomathi et al., 2013), soft
tissues and septicemia (Gomathi et al., 2013). p
Vibrio parahaemolyticus is a well-known fish pathogen
possessing a broad range of occurrence (Kumar et al., 2018). This
bacterium was first recognized as a seafood borne pathogen to
humans during an outbreak in 1950 in Osaka, Japan, involving
272 patients and causing the death of 20 people after the
ingestion of Shirasu, a semi dried juvenile sardine (Aly et al.,
2020). V. parahaemolyticus is the major food-borne pathogen
worldwide (Bresee et al., 2002; Kawatsu et al., 2006), causing, after
the ingestion of raw or undercooked seafood, acute dysentery
and abdominal pain leading to diarrhea, nausea, vomiting,
fever, chills, water-like stools, and an accentuated decrease of
blood pressure leading to shock (Broberg et al., 2011; Siddique
et al., 2021; Tan et al., 2021). In severe cases, patients become
unconscious, with recurrent convulsions, becoming pale or
cyanotic, eventually resulting in death. VIBRIO SPECIES AND VIBRIOSIS IN
AQUACULTURE The
wound infections could start after the handling of infected fish
and seafood, especially shellfish and after the practice of aquatic
activities such as swimming (Hamdan et al., 2016; Baker-Austin
and Oliver, 2018), being the consequences more severe when
associated illnesses such as liver diseases, diabetes, and immune
disorders are documented (Baker-Austin and Oliver, 2018). As
usual among Vibrio spp., V. vulnificus possesses remarkable iron
sequestration capabilities, meaning that the risk of infection is
higher in humans with elevated iron levels (Wong and Griffin,
2018). More than 50% of primary septicaemia result in death
within the first 72 h of hospitalization (Yun and Kim, 2018). Therefore, when there is a suspicion that the infection is caused
by V. vulnificus, immediate and adequate antibiotic treatment
and surgical interventions must be implemented. V. vulnificus
is responsible for over 95% of deaths associated with seafood VIBRIOSIS OUTBREAKS IN FARMED AND
WILD GILTHEAD SEABREAM In 1997, the World Bank estimated that disease losses in
aquaculture were worth US$3 billion per year, with Vibrio
spp. having an important role in those losses (Laczka et al.,
2014). Two decades later, estimates of disease losses duplicated
(Stentiford et al., 2017). It has been suggested that all cultured
marine fish around the world may, to varying degrees, host
opportunistic vibrio species (Akayli and Timur, 2002), what
does not necessarily imply that disease is always elicited nor
that all vibrio species are pathogenic or will present pathogenic
behavior. Yet multiple vibriosis outbreaks have been reported
in several countries, infecting many fish species (Colorni et al.,
1981; Akayli and Timur, 2002; Korun and Timur, 2008). In the
case of the Mediterranean Sea, which is the primary habitat
of gilthead seabream and a semi-closed water body, there is
a limited rate of water exchange with open oceans. Aquatic
pollution resulting from sewage, industrial effluents, crude oil
refineries, and oil exploration affects the response of cultured
fish to local environmental conditions (Guidetti et al., 2002). These factors also facilitate the invasion of bacterial pathogens
(Vibrio, Streptococcus, Aeromonas, Pseudomonas) and parasites
(nematodes, digeneans, acanthocephalans) into rearing systems. The ongoing chronic degradation of the Mediterranean Sea,
thus, is considered to negatively impact the aquaculture industry
in most of the North African coast (Eissa et al., 2017). For
example, it has been suggested that the deterioration of water
quality by sewage and agriculture discharges correlates with high
prevalence of vibriosis in wild fish in the Mediterranean coast y
y
p
Intriguingly, the etiological agents of human seafood-borne
infections V. alginolyticus, V. cholera, and V. fluvialis were
found in tissues of farmed gilthead seabream showing no disease
symptoms (Arab et al., 2020), supporting the notion of a growing
presence of the causing agent of cholera, V. cholerae, in farmed
fish for human consumption (Halpern and Izhaki, 2017; Arab
et al., 2020). Indeed, higher incidence of human pathogenic
Vibrio species in coastal marine waters has been considered to
result from climate change effects on the composition of marine
microbial communities (Vezzulli et al., 2016). In this context,
it is worth noting that vibriosis in cultured gilthead seabream
has already been found to be induced by several factors such as
transport stress, sudden temperature changes, low oxygen levels
in water and handling procedures (Akayli and Timur, 2002). VIBRIOSIS AS A WORLDWIDE THREAT TO
HUMANS In these studies, Vibrio
isolates were mainly recovered from seabream liver, spleen, and
kidney, followed by external lesions and gills, but also from
brain, eyes, gut, hepatopancreas, eroded tail and blood (Table 1). Interestingly, V. ichthyoenteri-like strains were isolated only from
asymptomatic gilthead seabream individuals (Pujalte et al., 2003). According to the Spanish outbreak (1990–1996) study
performed by Balebona et al. (1998b), the species V. anguillarum,
V. alginolyticus, V. harveyi, and V. splendidus were considered
highly
virulent
for
gilthead
seabream
by
intraperitoneal
inoculation, based on mean lethal dose (LD50) values between
104 and 106 CFU per g body weight. In a further disease outbreak
study, V. alginolyticus and V. harveyi were identified as virulent
to gilthead seabream with LD50 values between 105 and 106 CFU
per g body weight (Kahla-Nakbi et al., 2007). In that study, V. alginolyticus and V. harveyi were isolated from the skin mucus
of gilthead seabream, and no inhibitory effects of the skin mucus
collected from gilthead seabream against those isolates was
found. In fact, those Vibrio isolates showed remarkable serum
resistance and were also able to adhere to skin mucus and grow
using it as a nutrient source, suggesting high host colonization
ability to eventually become an important infection risk. The analysis of ten outbreaks involving Vibrio infections,
affecting both cultured and wild gilthead seabream in the
Mediterranean Sea (Table 1) revealed that V. alginolyticus
was the Vibrio species most frequently isolated from gilthead
seabream, followed by V. harveyi, V. splendidus, V. anguillarum,
V. parahaemolyticus, and V. tubiashii. In these studies, Vibrio
isolates were mainly recovered from seabream liver, spleen, and
kidney, followed by external lesions and gills, but also from
brain, eyes, gut, hepatopancreas, eroded tail and blood (Table 1). Interestingly, V. ichthyoenteri-like strains were isolated only from
asymptomatic gilthead seabream individuals (Pujalte et al., 2003). To avoid severe illness in humans caused by the ingestion of
seafood contaminated with Vibrio species, thermal-based food
processing such as low-temperature freezing (−18 or −24◦C) or
a 10 min high-temperature treatment (above 55◦C) is common
practice (Wang et al., 2015). Moreover, high-pressure processing
and irradiation (using safety radioactive materials limits) are used
to eliminate V. parahaemolyticus in oysters, keeping their original
flavor (Wang et al., 2015). VIBRIOSIS AS A WORLDWIDE THREAT TO
HUMANS Notwithstanding the efficacy of
hygiene measures employed in the preparation and processing of
seafood for human consumption, devising novel, sustainable and
green mechanisms of bacterial disease prevention in intensive
fish farming holds promise in mitigating the impacts of the
aquaculture industry on the environment and the risks posed to
human health. asymptomatic gilthead seabream individuals (Pujalte et al., 2003). According to the Spanish outbreak (1990–1996) study
performed by Balebona et al. (1998b), the species V. anguillarum,
V. alginolyticus, V. harveyi, and V. splendidus were considered
highly
virulent
for
gilthead
seabream
by
intraperitoneal
inoculation, based on mean lethal dose (LD50) values between
104 and 106 CFU per g body weight. In a further disease outbreak
study, V. alginolyticus and V. harveyi were identified as virulent
to gilthead seabream with LD50 values between 105 and 106 CFU
per g body weight (Kahla-Nakbi et al., 2007). In that study, V. alginolyticus and V. harveyi were isolated from the skin mucus
of gilthead seabream, and no inhibitory effects of the skin mucus
collected from gilthead seabream against those isolates was
found. In fact, those Vibrio isolates showed remarkable serum
resistance and were also able to adhere to skin mucus and grow
using it as a nutrient source, suggesting high host colonization
ability to eventually become an important infection risk. Frontiers in Microbiology | www.frontiersin.org VIBRIOSIS AS A WORLDWIDE THREAT TO
HUMANS Severe vibriosis in humans can be acquired by ingestion
of contaminated water and raw or undercooked seafood
(Wachsmuth et al., 1994; Finkelstein et al., 2002; Arab et al., 2020;
Håkonsholm et al., 2020). Clinically, a few Vibrio species, despite
their prevalently marine/estuarine origin, are able to elicit disease
in humans. These include V. cholerae, V. parahaemolyticus,
V. vulnificus (Wachsmuth et al., 1994; Finkelstein et al., 2002;
Arab et al., 2020), V. alginolyticus (Gomathi et al., 2013; Citil
et al., 2015), V. metschnikovii (Gomathi et al., 2013; Arab
et al., 2020; Konechnyi et al., 2021), V. mimicus (Hernández-
Robles et al., 2021), V. cincinnatiensis (Brayton et al., 1986),
V. fluvialis (Ramamurthy et al., 2014; Kitaura et al., 2020), V. furnissi (Dalsgaard et al., 1997) and V. harveyi (Arab et al., 2020;
Brehm et al., 2020). Well-documented symptoms of vibriosis in
humans caused by Vibrio species which act as fish pathogens in
aquaculture settings are highlighted below. July 2022 | Volume 13 | Article 904815 Frontiers in Microbiology | www.frontiersin.org Frontiers in Microbiology | www.frontiersin.org 6 Vibriosis in Aquaculture Sanches-Fernandes et al. (Abdelaziz
et
al.,
2017). Seawater
exposed
to
higher
anthropogenic
pollution
was
found
to
display
higher
frequencies of Vibrio species, highlighting the importance
of good manufacturing and hygiene practices to prevent
and overcome fish vibriosis, even if innovative and “green”
approaches were applied in industrial and domestic facilities
(Abdelaziz et al., 2017; Arab et al., 2020). occurrences in the United States of America (Baker-Austin and
Oliver, 2018). This is the highest fatality rate of any food-borne
pathogen, which is in the range of category Biosafety Level 3 and 4
pathogens, namely anthrax, bubonic plague, Ebola, and Marburg
fever (Baker-Austin and Oliver, 2018). More recently, a few human infections caused by V. harveyi
have as well been reported, underscoring the need of the public
health sector to be aware of the possibility that wound infections
caused by Vibrio species to humans may be becoming more likely
to occur. With global warming, Vibrio-associated diseases will
likely increase in the future (Brehm et al., 2020). (
,
;
,
)
The analysis of ten outbreaks involving Vibrio infections,
affecting both cultured and wild gilthead seabream in the
Mediterranean Sea (Table 1) revealed that V. alginolyticus
was the Vibrio species most frequently isolated from gilthead
seabream, followed by V. harveyi, V. splendidus, V. anguillarum,
V. parahaemolyticus, and V. tubiashii. VIBRIOSIS OUTBREAKS IN FARMED AND
WILD GILTHEAD SEABREAM We
posit that the trends observed in this review regarding gilthead
seabream-Vibrio interactions are most likely applicable to a range
of economically valuable fish species. The continuous study of marine and estuarine microbiomes
in coastal areas is of utmost relevance for a better understanding
of long-term microbial community changes in highly productive
ecosystems in the face of climate change. Such databases can
guide the identification of beneficial microbes that can be
used to mitigate the proliferation of opportunistic pathogens in July 2022 | Volume 13 | Article 904815 7 Sanches-Fernandes et al. Vibriosis in Aquaculture TABLE 1 | Outbreaks caused by Vibrio infections in farmed gilthead seabream. Outbreak
Vibrio species isolated
Isolated from
References
Spain (1990–1996)
Bacteriological survey
132 fish
V. fischeri (17.0%)
V. harveyi (15.6%)
V. alginolyticus (13.5%)
V. anguillarum (12.8%)
V. splendidus (10.6%)
V. nereis (8.5%)
V. tubiashii (5.0%)
V. campbellii (4.3%)
V. aestuarianus (1.4%)
Vibrio spp. (11.4%)
Liver, spleen, kidney, other affected organs or
tissues
Balebona et al., 1998b
Spain (1997–2000)
25 outbreaks
80 larvae
80 fingerlings (0.05–25 gr)
V. alginolyticus (21.4%)
V. harveyi (13.6%)
V. fischeri (6.8%)
V. splendidus (6.8%)
V. anguillarum (5.8%)
Vibrio spp., 15 strains (15.5%)
Liver, spleen, kidney, external lesions
Zorrilla et al., 2003
Turkey (1999–2000)
15 outbreaks
60 fishes
Juveniles (1–2 gr)
Older fish (150 gr)
Vibrio spp. Liver, spleen, kidney, blood, body surface lesions
Akayli and Timur, 2002
Spain (2002)
Bacteriological survey
40 larvae (30 DAH)a
40 larvae (60 DAH)a,b
547 fishes (average weight 21.6 gr)
V. harveyi
V. splendidus
V. ichthyoenteri-like
V. fischeri
V. alginolyticus
V. tubiashii
V. pelagius
V. mediterranei
V. diazotrophicus
Vibrio spp. Head kidney occasionally from the liver in small fish
Pujalte et al., 2003
Tunisia (2002–2004)
seven outbreaks
Larvae
juveniles
V. alginolyticus (71.4%)
V. harveyi (28.6%)
Liver, spleen, kidney, external lesions
Kahla-Nakbi et al., 2007
Tunisia (2006)
juveniles (7 gr, 8 cm length)
older fish (220 gr, 20 cm length)
V. alginolyticus
Juveniles: white nodular skin lesions
Older fish: liver, spleen, kidney, gills
Snoussi et al., 2008
Malta (2009)
one epizootic outbreak
Juveniles (130 gr, 17.7 cm length)
fingerlings
hatchery
V. harveyi
Infected eye, eroded tail, gut, gills, hepatopancreas
Haldar et al., 2010
Egypt (Feb 2013–Aug 2013)
100 larvae (0.035–0.04 gr)
25 fingerlings (10–29.16 gr)
25 juveniles (83.77–190 gr)
V. alginolyticus
V. parahaemolyticus
Liver, spleen, kidney, gills, brain, external lesions
Abdel-Aziz et al., 2013
Egypt (2017–2018)
200 farmed gilthead seabream
commercial size
V. VIBRIOSIS OUTBREAKS IN FARMED AND
WILD GILTHEAD SEABREAM parahaemolyticus
Liver, spleen, kidney, gills
Aly et al., 2020
Algeria (2017–2018)
No outbreak reported
280 farmed gilthead seabream
70 wild gilthead seabreamb
commercial size (weighing at least 300 g)
V. alginolyticus
V. cholerae
V. fluvialis
Skin, gills, intestinal content
Arab et al., 2020
aDAH, days after hatching. bWith no Vibrio species detected. Spain (1990–1996)
Bacteriological survey
132 fish Spain (1997–2000)
25 outbreaks
80 larvae
80 fingerlings (0.05–25 gr) Turkey (1999–2000)
15 outbreaks
60 fishes
Juveniles (1–2 gr)
Older fish (150 gr)
Spain (2002)
Bacteriological survey
40 larvae (30 DAH)a
40 larvae (60 DAH)a,b
547 fishes (average weight 21.6 gr) Head kidney occasionally from the liver in small fish
Pujalte et al., 2003 Tunisia (2002–2004)
seven outbreaks
Larvae
juveniles
Tunisia (2006)
juveniles (7 gr, 8 cm length)
older fish (220 gr, 20 cm length)
Malta (2009)
one epizootic outbreak
Juveniles (130 gr, 17.7 cm length)
fingerlings
hatchery
Egypt (Feb 2013–Aug 2013)
100 larvae (0.035–0.04 gr)
25 fingerlings (10–29.16 gr)
25 juveniles (83.77–190 gr)
Egypt (2017–2018)
200 farmed gilthead seabream
commercial size
Algeria (2017–2018)
No outbreak reported
280 farmed gilthead seabream
70 wild gilthead seabreamb
commercial size (weighing at least 30 Liver, spleen, kidney, gills, brain, external lesions
Abdel-Aziz et al., 2013
Liver, spleen, kidney, gills
Aly et al., 2020
Skin, gills, intestinal content
Arab et al., 2020 aDAH, days after hatching. bWith no Vibrio species detected. July 2022 | Volume 13 | Article 904815 Frontiers in Microbiology | www.frontiersin.org Vibriosis in Aquaculture Sanches-Fernandes et al. and/or haemagglutinins are produced by pathogenic species
(Zhang and Austin, 2005). These traits allow Vibrio strains to
adhere to the epithelial cells of fish juveniles, to break the first
barrier of natural defense and to colonize all internal organs
inducing vibriosis signs (Colorni et al., 1981; Paperna, 1984;
Snoussi et al., 2008). It is important to note, however, that
some of the abovementioned traits are common to several
bacterial species and may likewise constitute adaptive features
of mutualistic symbionts of fish (Borges et al., 2021). Overall,
the use of genes coding for virulence or host-colonization
factors as phylogenetic markers for the molecular detection
of Vibrio species has gained increasing attention lately as
nucleotide heterogeneities within such genes may reveal the
adaptive behavior of different Vibrio species. A few PCR-
based molecular identification systems of Vibrio species are
listed in Table 2. IDENTIFICATION OF VIBRIO PATHOGENS
IN AQUACULTURE Species-level identification of members of the Vibrio genus, in
an effective and standardized way, is necessary for a better
bacteriological monitoring of farmed fish and the rearing
environment within aquaculture facilities (Mustapha et al., 2013). As biochemical methods of identification often misidentify or
are unsuccessful at the species level, molecular approaches
must be implemented as common, accurate procedures for
Vibrio species identification in seafood (Mustapha et al., 2013). However, it is important to note that, owing to the large genetic
heterogeneity and fast diversification within Vibrio species, often
16S rRNA gene sequencing alone does not suffice for unequivocal
identification of environmental strains at the species level. Bacterial species belonging to the Vibrio genus can differ in 16S
rRNA gene nucleotide sequence from <1% up to 6% (Montieri
et al., 2010). Particularly in the case of closely related species,
the sequencing of a single marker gene may not be enough for
precise taxon differentiation. For instance, V. parahaemolyticus
and V. alginolyticus show quite similar biochemical properties
(Mustapha et al., 2013) and are nearly identical with regards
to 16S rRNA gene sequences (Montieri et al., 2010), prompting
researchers to develop early DNA-based fingerprinting methods
to discern between strains belonging to these species (Sadok
et al., 2013). Indeed, V. alginolyticus was early designated V. parahaemolyticus biotype 2 (Aly et al., 2020), bearing testimony
to the close phylogenetic relationship between these species. It has been reasoned that the use of gene-targeted molecular
tools may facilitate prevention of an outbreak as they allow
the identification of the potential pathogens present even in
asymptomatic fish (Altinok and Kurt, 2004). Yet it is presumably
challenging to implement multiple gene amplicon sequencing
methods in routine diagnostics for each different pathogen. In
this regard, matrix-assisted laser desorption/ionization time-of-
flight mass spectrometry (MALDI-TOF MS) is an alternative
technique often used in the identification of Vibrio species
that may show advantages over PCR-based detection of
phylogenetic marker genes. Indeed, MALDI-TOF MS is not
labor-intensive, does not require highly trained operators,
and is suitable for the processing of many samples in an
automated, rapid, and cost-effective way (Li et al., 2018;
Mougin et al., 2020). However, for accurate identification of
closely related Vibrio species using MALDI-TOF MS, database
choice is crucial (as in the case of species identification
using phylogenetic marker genes). For instance, Moussa et al. (2021) found that correct discrimination of isolates belonging
to the species V. tubiashii/V. VIBRIOSIS OUTBREAKS IN FARMED AND
WILD GILTHEAD SEABREAM These include protocols targeting genes
coding for virulence factors which have been proved useful in
discerning between closely related Vibrio species or in providing
solid diagnosis of renowned pathogens, as reviewed more
thoroughly in Supplementary File S1. For instance, several
V. alginolyticus identification methods have been established
based on the detection of hemolysin and collagenase encoding
genes (Abdallah et al., 2011; Mustapha et al., 2013), and specific
detection of V. parahaemolyticus and V. alginolyticus has been
achieved through the exploration of nucleotide differences in
genes encoding for the virulence regulatory proteins ToxR and
ToxS (Abdallah et al., 2011; Aly et al., 2020). Also, a conserved
virulence pathogenic island among Vibrio species has been
exploited in the development of specific detection systems for
the pathogen V. vulnificus (Table 2, see Supplementary File S1
for details). immunocompromised hosts in built and open environments at
large. Gilthead seabream and seabass are the main farmed species
in the Mediterranean basin, and vibriosis was recently reported
as the most common bacterial disease affecting these species
(Muniesa et al., 2020). Based on the current literature, we argue
that the occurrence of vibriosis in humans—and consequently
the threats to human health posed by Vibrio species thriving
in aquaculture settings—may be of a larger magnitude than
previously thought. The frequency of human infections caused
by estuarine and marine Vibrio spp. is likely to increase as
ever-expanding intensive farming and global climate change
synergistically interact to favor the proliferation of opportunistic
microorganisms in livestock production systems (Reverter et al.,
2020). Frontiers in Microbiology | www.frontiersin.org IDENTIFICATION OF VIBRIO PATHOGENS
IN AQUACULTURE europaeus and V. owensii/ V. jasicida/V. campbellii could not be achieved using some of
the commonly available databases for MALDI-TOF MS-based
classification. However, successful identification of diverse Vibrio
isolates was achieved by Mougin et al. (2020) through the
combined use of the Luvibase and Bruker v.9.0.0.0 databases. Thus, to fully exploit the potential of MALDI-TOF MS in y g
Owing to the low discriminating power of highly conserved
marker genes in distinguishing close Vibrio relatives, molecular
identification based on species-specific markers and virulence
genes have been considered adequate methods for species-
level identification of Vibrio isolates (Mustapha et al., 2013). Because Vibrio spp. are symbiotic bacteria usually living in
the intestine of aquatic species in a facultative way, genomic
factors involved in the establishment of symbiosis and in
the processes of host colonization and persistence may have
evolved to confer adaptive advantage to species thriving in
subtly
different
micro-niches. Several
so-called
“virulence
factors”,
such
as
enterotoxins,
haemolysins,
cytotoxins,
proteases, lipases, phospholipases, siderophores, adhesive factors July 2022 | Volume 13 | Article 904815 9 Vibriosis in Aquaculture Sanches-Fernandes et al. TABLE 2 | Target genes, gene functions, and oligonucleotide primer sequences used for specific detection and identification of Vibrio species. Target gene/
function
Target organism
Host samples
Primer
Oligonucleotide sequences (5′-3′)
Product size References
16SrRNA
rRNA
Vibrio species in
general
Fish, shellfish
63f
763r
F: CAGGCCTAACACATGCAAGTC
R: GCATCTGAGTGTCAGTATCTGTCC
700 bp
Montieri et al., 2010
Abdelaziz et al., 2017
cola
collagenase
V. alginolyticus
Fish, shellfish
Seabass
Gilthead seabream
VA-F
VA-R
F: CGAGTACAGTCACTTGAAAGCC
R: CACAACAGAACTCGCGTTACC
737 bp
Abdallah et al., 2011
Moustafa et al., 2015
Abdelaziz et al., 2017
Tdh
thermostable direct
hemolysin
V. alginolyticus
Fish and shellfish
tdh-F
tdh-R
F: CCATCTGTCCCTTTTCCTGC
R: CCAAATACATTTTACTTGG
373 bp
Mustapha et al., 2013
trh
tdh-related hemolysin
V. alginolyticus
Fish and shellfish
trh-R2
trh-R6
F: GGCTCAAAATGGTTAAGCG
R: CATTTCCGCTCTCATATGC
250 bp
Mustapha et al., 2013
toxR
Regulatory virulence
factor protein
V. alginolyticus
Seabass
Gilthead seabream
toxR-F
toxR-R
F: TTTGTTTGGCGTGAGCAAGGTTTT
R: GGTTATTTTGTCCGCCAGTGG
595 bp
Kahla-Nakbi et al.,
2009
toxS
Regulatory virulence
factor protein
V. alginolyticus
Seabass
Gilthead seabream
toxS-F
toxS-R
F: CCACTGGCGGACAAAATAACC
R: AACAGTACCGTAGAACCGTGA
640 bp
Kahla-Nakbi et al.,
2009
vpi
Virulence pathogenicity
island
V. alginolyticus
Shrimp
Fish, seawater
vpi1
vpi2
F: GCAATTTAGGGGCGCGACGT
R: CCGCTCTTTCTTGATCTGGTAG
680 bp
Kahla-Nakbi et al.,
2009
amiB
amidase
V. anguillarum
Marine flounder
van-ami8
van-ami417
F: ACAT CATCCATTTGTTAC
R: CCTTATCACTATCCAAATTG
409 bp
Hong et al., 2007
colA
collagenase
V. IDENTIFICATION OF VIBRIO PATHOGENS
IN AQUACULTURE parahaemolyticus
Seawater
Seabass
Gilthead seabream
VP-F
VP-R
F: GAAAGTTGAACATCATCAGCACGA
R: GGTCAGAATCAAACGCCG
271 bp
Abdallah et al., 2011
toxR
Regulatory virulence
factor protein
V. parahaemolyticus
Fish, shellfish
Gilthead seabream
ToxR-4
ToxR-7
F: GTCTTCTGACGCAATCGTTG
R: ATACGAGTGGTTGCTGTCATG
368 bp
Abdelaziz et al., 2017
Aly et al., 2020
VvhA
V. vulnificus hemolysin
V. vulnificus
Fish, shellfish
vvhA up
vvhA dn
F: CGCCGCTCACTGGGGCAGTGGCTG
R: CCAGCCGTTAACCGAACCACCCGC
387 bp
Abdelaziz et al., 2017 the identification of multiple pathogenic agents present in a
sample including understudied organisms, such as the likely
emerging pathogenic species V. chagasii (Sanches-Fernandes
et al., 2021b) and V. jasicida (Sanches-Fernandes et al.,
2021c); (ii) targeting the specific group of pathogenic agents
typical of each facility in a straightforward manner (Stentiford,
2017). Given that each aquaculture facility is unique, with
singular and distinct features (Stickney, 2016), these approaches
shall be used in a complementary way and considered in a
case-by-case manner. fast and accurate identification of Vibrio species in aquaculture
facilities, continuous development of comprehensive databases
that allow discrimination between closely related Vibrio species
is fundamental. In conclusion, the current tools for fast identification of
Vibrio pathogens in aquaculture facilities, or cultured fish,
usually rely on the use of toxin-encoding genes, or other
alternative functional marker genes, in targeted, PCR-based
approaches (Abdallah et al., 2009, 2011; Aly et al., 2020)
as well as on mass spectrometry protocols which have been
gaining momentum in recent years (Mougin et al., 2020;
Moussa et al., 2021). The combination of highly specific
molecular identification of Vibrio pathogens, either by means
of gene-targeted or mass spectrometry approaches, and broad
characterization of total microbial communities via high-
throughput 16S rRNA gene sequencing, for instance, is likely
to become an effective approach to accurately determine
the presence of opportunistic/pathogenic bacteria in complex
microbial communities inhabiting aquaculture facilities, which
may include beneficial bacteria with the ability to supress the
spread of pathogens present in the community. The steady
development of well-curated databases in support of molecular
diagnostic tools will play a decisive role in enabling (i) Frontiers in Microbiology | www.frontiersin.org ANTIBIOTIC RESISTANCE OF VIBRIO
SPECIES IN AQUACULTURE SETTINGS Infections caused by drug-resistant pathogens are responsible
for 700,000 annual deaths in aquaculture, estimated to reach
10 million deaths as of 2050 (O’Neill, 2015). Recent studies
suggest that antibiotic resistant bacteria may not only emerge
in the environment due to the use of antimicrobial agents but
also due to the increase of local temperature (MacFadden et al.,
2018; Reverter et al., 2020; Pepi and Focardi, 2021), since it
can affect bacterial cell physiology and promote mutagenesis, July 2022 | Volume 13 | Article 904815 10 Sanches-Fernandes et al. Vibriosis in Aquaculture allowing antibiotic resistance mutations to take place early
(Pepi and Focardi, 2021). Accordingly, the occurrence of Vibrio
outbreaks is commonly higher during spring and summer
seasons (Aly et al., 2020). Nevertheless, V. anguillarum was
referred to as the etiological agent of fish vibriosis in both
warm and cold waters in aquaculture facilities (Lages et al.,
2019). There is, however, evidence that Vibrio–associated diseases
are increasing in a global manner because of climate change
and human activities (Vezzulli et al., 2016). This highlights
the urgent need for more effective actions to combat not
only the indiscriminate use of antimicrobial agents but also
global climate change and warming (Reverter et al., 2020; Pepi
and Focardi, 2021). The development of multi-resistance traits
among pathogenic Vibrio spp. has been reported steadily across
several aquaculture stations worldwide (Scarano et al., 2014;
Aly et al., 2020; Deng et al., 2020; Dutta et al., 2021; see
Supplementary Table S1), and it may be reasonable to argue that
this trend results from the synergistic effects of past and currently
unsupervised antibiotics use and higher water temperatures. and 2008 were performed in the same region by the same research
group), A. fischeri (from 1998 to 2003), V. harveyi (from 1998 to
2020), V. parahaemolyticus (from 2013 to 2020) and V. splendidus
(from 1998 to 2003). A more responsible and prudent use of antibiotics in the
aquaculture sector is important as they are present in all
production stages. In 2011, oxytetracycline was the antibiotic
with the highest prescription for both prophylactic and
therapeutic ends in aquaculture facilities, and also the one that
is most of the times freely available (Bondad-Reantaso, 2018). There is currently no international uniformization regarding
antibiotics usage approval, which are licensed by each country
in accordance with their own legislation (Guidi et al., 2018). ANTIBIOTIC RESISTANCE OF VIBRIO
SPECIES IN AQUACULTURE SETTINGS The fact that antibiotics have been usually applied for
prophylactic, therapeutic, and metaphylactic purposes favors the
loss of susceptibility among the target organisms, and hence an
increasing trend of antibiotic resistance among Vibrio species is
likely as suggested by the data present in this review. Although
several antibiotics have been banned or subjected to strict
regulations, particularly in industrialized countries, the legacy
effects of their past and current indiscriminate use turn the
development of multidrug resistance among bacterial pathogens
an important and timely public health concern (Pepi and Focardi,
2021). Resistance profiles of Vibrio species isolated from diseased
gilthead
seabream
(including
the
most
important
Vibrio
pathogens of fish and humans, such as V. alginolyticus, V. harveyi, V. parahaemolyticus and V. vulnificus) toward antibiotics
frequently used in the aquaculture industry are summarized
in Supplementary Table S1. This meta-analysis reveals that
antibiotic resistance profiles may vary among strains of the
same Vibrio species or across studies of the same species, which
is the case of the data gathered for Vibrio alginolyticus and
V. harveyi. Furthermore, we observed that most Vibrio species
are sensitive to tetracycline, oxytetracycline, chloramphenicol,
and florfenicol. All studies listed in Supplementary Table S1
were performed in gilthead seabream rearing facilities in the
Mediterranean zone. Collectively, the data suggest a trend
for increased antibiotic resistance among diverse Vibrionaceae
species at the Mediterranean basin, possible to observe across
time for species such as V. aestuarius (from 1998 to 2014), V. alginolyticus (from 1998 to 2014, where studies published in 2007 ANTIBIOTIC RESISTANCE OF VIBRIO
SPECIES IN AQUACULTURE SETTINGS For
an overview of antibiotics currently in use in aquaculture and
existing policies among major producing countries, we refer the
reader to the recent review by Lulijwa et al. (2020). We list some
of the most frequently used antibiotics in the aquaculture sector
and in the Mediterranean area in Supplementary Table S2,
whereby those antibiotics approved for use in Norway, Italy,
Brazil, and the United States are disclosed. We observed that
Vibrio species are sensitive to several antibiotics licensed for
use (Supplementary Table S1), including oxytetracycline and
florfenicol. While this picture is congruent with the need
of applying effective measures to deter vibriosis outbreaks,
it simultaneously raises concerns regarding the development
of broader multidrug resistance traits among Vibrio species. Perhaps as important as delineating which antimicrobials are
permissible in what quantities and where, surveillance of the
fate of antibiotics in the environment and seafood biomass is
key to ensure adherence of farming stations to local/national
policies. In this regard, it is worth noting that the concentration of
permitted antibiotics in seafood biomass often exceeds maximum
residual limits in most of the major producing countries (Lulijwa
et al., 2020). This calls for an urgent up-scaling of surveillance
capabilities for better traceability and follow-up of antibiotic use
practices (Schar et al., 2020). p
g
p
The
common
practice
and
overuse
of
antibiotic
administration for prophylactic reasons in aquaculture is
an important factor to consider regarding the increase in
transfer of antibiotic resistance genes to land animals and human
pathogens (Costa et al., 2015). This is a global public health
concern exacerbated by the fact that the increment in multiple
antibiotic resistance is also observed in food-borne pathogens,
opportunistic
pathogens,
and
the
commensal
microbiota
of animals for human consumption, resulting in antibiotic
resistance in the human gastrointestinal tract (Nguyen et al.,
2014). With regards to the most crucial players involved in
horizontal gene transfer among Vibrio cells, along with plasmids,
phages, transposons and integrons are also genomic islands and
integrating conjugative elements (Rodríguez-Blanco et al., 2012;
Costa et al., 2015). The inheritance of resistance traits is often
acquired via conjugation of resistance plasmids (R-plasmids),
which commonly contain genes encoding resistance to multiple
antibiotics. R-plasmids have been reported for Vibrio capable
of transferring drug resistance traits such as V. alginolyticus
(Gomathi et al., 2013). Frontiers in Microbiology | www.frontiersin.org MICROBIAL-BASED STRATEGIES TO
PREVENT VIBRIO DISEASES IN
AQUACULTURE The negative impact of the over usage of antibiotics on
farmed fish species and coastal environments worldwide
urges the development of alternative methods to prevent
disease
proliferation
and
reduce
ecosystem
deterioration Frontiers in Microbiology | www.frontiersin.org July 2022 | Volume 13 | Article 904815 11 Vibriosis in Aquaculture Sanches-Fernandes et al. extent of specificity of the host-phage interaction may vary
in case-dependent manner (Richards, 2014). In this regard,
the use of phage mixtures has been considered a reasonable
strategy to avoid the development of phage resistance by specific
bacterial hosts while enabling the control of diverse pathogens
(Richards, 2014). As for the use of vaccines and probiotics,
phage dosage and delivery mode (immersion, oral via e.g., live
feed ingestion, or injection) are crucial aspects for successful
implementation of phage therapy (Richards, 2014; Soliman et al.,
2019). To be cost-effective, phase dosage must be the lowest
possible to induce bacterial infection with an associated, high
phage replication rate (Soliman et al., 2019). Therefore, the
use of lytic—instead of lysogenic—phages has been suggested
as an imperative for the development of successful phage
therapy methodologies (Richards, 2014). Since the ability to
isolate and manipulate bacteriophages is strictly limited to the
range of culturable bacterial hosts that can be captivated in
the laboratory, and because the aquaculture pathobiome may
include unculturable, or hard-to-culture, understudied bacteria,
an intrinsic hurdle of the phage therapy approach relates
with the development of novel methodologies leading to the
control of bacterial populations for which no corresponding
bacteriophages are known to date. Finally, large-scale application
of phage therapy approaches in aquaculture shall be taken
with caution, as concerns related with the environmental
release of phages and its associated risks have been raised
(Meaden and Koskella, 2013). The use of probiotics as a
third, microbiome-based therapy approach to disease prevention
in aquaculture is addressed below, as well as its likelihood
to modulate aquaculture microbiomes toward a sustainable
healthy state. caused by emerging, multi-resistant opportunistic bacteria. The development of strategies that target bacterial pathogens
based on the activation of the host’s immune system (i.e., using
vaccines), on biological interactions such as pathogen predation
(i.e., phage therapy) and on competition/niche displacement
among microbes or beneficial host-microbe interactions (e.g.,
using probiotics), are gaining increasing attention because they
may offer a less hazardous alternative regarding the suppression
of fish pathogens in aquaculture. MICROBIAL-BASED STRATEGIES TO
PREVENT VIBRIO DISEASES IN
AQUACULTURE For an overview on the use of vaccines to prevent fish diseases,
we refer the reader to the comprehensive reviews of Embregts
and Forlenza (2016) and Ma et al. (2019), the latter on the
promises and challenges of oral vaccine administration. In short,
vaccination programmes are considered an efficient, pathogen-
specific suppressive approach that is best employed for disease
prevention among adult fish, especially when injection methods
of antigen delivery are adopted (Embregts and Forlenza, 2016). Indeed, the implementation of efficient vaccination programmes
in Norway during the nineties is nowadays considered a
remarkable example of how alternative disease control methods
can sharply reduce the use of antibiotics in intensive fish
farming (Lulijwa et al., 2020). Presently, commercial Vibrio
vaccines such as AquaVacTMVibromaxTM (Wongtavatchai et al.,
2010) and ALPHA JECT 3000 (PHARMAQ AS, Norway; see
Torres-Corral et al., 2021 for an example of application) are
available, which offer efficacy in vibriosis control in shrimp
and finfish, respectively, under different administration methods,
namely incubation of Artemia nauplii prior to shrimp feeding
(AquaVacTMVibromaxTM; see Amatul-Samahah et al., 2020
for a review on vaccination of shrimp against vibriosis) and
intraperitoneal injection of adult fish (AlphaJect 3000). To improve fish wellbeing under vaccination programmes,
oral administration methods using several modes of antigen
encapsulation in delivery systems such as chitosan, alginates,
and fish live feed such as Artemia and rotifers (bioencapsulation
methods) have been attempted. However, improvements are still
needed to ensure efficacy in antigen delivery in comparison
with injection procedures. The main challenges of oral vaccine
administration using encapsulation methods are to assure that
vaccines reach the digestive tract of fish by ingestion, the
maximum dosage allowed, which is dependent on the daily
live feed intake, the time of exposure to be effective and the
farmed fish tolerance to the vaccine (Embregts and Forlenza,
2016). The use of vaccines has moreover been considered not
applicable to handle fish larvae and bivalves due to the lack of an
adaptive immune system (Bentzon-Tilia et al., 2016), prompting
researchers to consider alternative routes for disease prevention,
such as the use of probiotics (see sub-section The Promise of
Probiotics in Controlling Vibrio Diseases in Aquaculture). Frontiers in Microbiology | www.frontiersin.org The Promise of Probiotics in Controlling
Vibrio Diseases in Aquaculture However, the minimum inhibitory concentration
(MIC, expressed in µg/ml) of the purified anti-Vibrio compound
amicoumacin A, isolated from Bacillus pumilus H2, was found to
vary considerably depending on the Vibrio species/strain, from
0.5 µg/ml for V. vulnificus CZ-A2 and V. harveyi PH4 to 64 ug/ml
for V. alginolyticus CGMCC 1.1607 and V. parahaemolyticus
CGMCC 1.2164 (Gao et al., 2017). Probiotic species able to inhibit diverse Vibrio strains or
species in in situ experiments are scarcely documented. Future
research should shed light on the potential use of Bacillus pumilus
as a deterrent of multiple opportunistic species in aquaculture
facilities. Tropodithietic acid (TDA) produced by Phaeobacter
spp. can protect live feed, namely rotifers and Artemia, as well
as turbot larvae and cod larvae against pathogenic Vibrio species
(Rasmussen et al., 2018) such as V. anguillarum (D’Alvise et al.,
2012). It was also found that the probiotic bacterium Phaeobacter
inhibens strain S4Sm inhibited the growth of V. tubiashii and V. anguillarum in cultured oysters (Zhao et al., 2016). Furthermore,
Phaeobacter inhibens antagonized V. anguillarum in cultures
of copepod and in the copepod live feed Rhodomonas salina
(Rasmussen et al., 2018), emerging as another candidate probiotic
species with the ability to suppress multiple Vibrio species. The information regarding the use of probiotic approaches
in farmed gilthead seabream is still very scarce and even
absent concerning larviculture facilities. Promising clues to
follow to evaluate the potential of probiotics to prevent, or
even treat, vibriosis in gilthead seabream larvi- and aquaculture
facilities are suggested from the information gathered in Table 3,
which broadens our scope to list studies showing empirical
evidence of the efficacy of probiotics use to supress vibriosis
across a wide range of host organisms. Several benefits were
identified in shellfish aquaculture associated with the use of
diverse probiotics, namely Lactobacillus spp., Enterococcus spp.,
Bacillus spp., Aeromonas spp., Alteromonas spp., Arthrobacter
spp., Bifidobacterium spp., Clostridium spp., Paenibacillus spp.,
Phaeobacter spp., Pseudoalteromonas spp., Pseudomonas spp.,
Rhodosporidium spp., Roseobacter spp., Streptomyces spp. and
even Vibrio spp. (Ringø, 2020, Table 3). The main benefits
include fish growth promotion, improved digestive capacity,
inhibition of adherence and colonization of pathogenic bacteria
in the digestive tract, gut microbiota modulation, and the
improvement of hematological parameters and the immune
response (Ringø, 2020). Curiously, a previous study referred
to many avirulent V. alginolyticus strains that could be used
as probiotics (Akayli et al., 2008). The Promise of Probiotics in Controlling
Vibrio Diseases in Aquaculture To properly address the molecular mechanisms of action
elicited by probiotics on the immune system of the host, if any,
further research is needed (Hai, 2015). Probiotics-based therapies for disease control, when applied
to farmed fish, should ideally consider the use of strains native
to the host. This ensures higher probabilities of effective host
colonization and persistence by the probiotics in use, at the
operational rearing conditions, ultimately promoting nutrient
acquisition by the host and a safer environment to the reared
species, humans, and surrounding ecosystems (Wanka et al.,
2018; Borges et al., 2021). Several modes of action have been
reported for effective probiotics. These comprise the biosynthesis
of inhibitory compounds that avoid pathogen proliferation,
amelioration of the host immune system, competition with
pathogens for adhesion sites in the gut or for essential nutrients,
and even improvement of rearing water quality (Verschuere
et al., 2000; Pérez-Sánchez et al., 2014). Probiotics were also
reported as a source of nutrients, fatty acids, and vitamins to
the fish host, and as possessing the capacity to enhance the
digestibility of foods by the host organism through modulation of
the fish gut microbiome (Pérez-Sánchez et al., 2014; Borges et al.,
2021). Best practices to evaluate the potential of novel probiotic
organisms usually involve the performance of in vitro antagonism
tests, exposing pathogens to potential probiotic strains or to
extracellular products synthesized by them in liquid and/or solid
medium. To determine the ability of a probiotic strain to prevent
disease and epizootic outbreaks, it is necessary that in vivo tests
are performed (Verschuere et al., 2000; Pérez-Sánchez et al.,
2014). Antibiotic-producing
bacterial
probiotics
such
as
V. hepatarius P62, Pseudomonas sp., Lactobacillus sp., Bacillus
P64, along with yeast probiotics applied in shellfish and fish
aquaculture have been usually selected from their natural
environment (Cedeño and Rodríguez, 2006). The probiotic
activity of Saccharomyces cerevisiae P13 against V. alginolyticus
was demonstrated through the significant enhancement of
survival rates of Pacific white shrimp Litopenaeus vannamei
(Wang et al., 2019). Bacillus pumilus H2 could be very useful as
an anti-Vibrio probiotic as it was shown to inhibit 29 different
Vibrio strains (Gao et al., 2017). The anti-Vibrio compound
was found to be amicoumacin, whose activity against Vibrio
pathogens is based on the disruption of cell membranes, resulting
in cell lysis. The Promise of Probiotics in Controlling
Vibrio Diseases in Aquaculture q
Probiotics can be defined as live bacterial species able to survive
and thrive in the acidic gastric environment whose activity leads
to a beneficial effect on the health of the host by re-establishing
or improving the gut microbiota, when administered in adequate
amounts (Zhou et al., 2020; Moroni et al., 2021), although
less stringent definitions have been proposed (see Borges
et al., 2021). Probiotics are ideally inoffensive and promote
host fitness. A mandatory feature of commercially successful
probiotics is their viability during storage and on/in the animal
host. Their application may follow reasonably standardized
and easy-to-implement methodology if commercial formulations
are deployed (Abareethan and Amsath, 2015). Probiotics may
be administered to the fish host through several mechanisms,
including inoculation of the rearing water, of formulated foods
or of the live feed (Verschuere et al., 2000). The use of
non-pathogenic biological agents as probiotics can be highly
advantageous as they may act successfully as anti-bacterial, anti-
viral and anti-fungal agents (Chauhan and Singh, 2019), thus
presenting the potential to increase reared fish health and rearing
water quality globally (Abareethan and Amsath, 2015). This
attractive way to face, prevent and combat disease among reared
fishes requires (host) species-specific studies to be made on the Concerning phage therapy methods to prevent bacterial
proliferation in aquaculture, the review by Richards (2014)
covers pioneering studies on diverse bacteriophage-bacterial host
systems and the efficacy of phage-based treatments to deter
pathogens such as Aeromonas samonicida, Edwardsiella tarda,
and V. harveyi, among others (Richards, 2014 and references
therein). Like the vaccination approach, a key feature of phage
therapy is its usual pathogen-specific nature, although the July 2022 | Volume 13 | Article 904815 12 Vibriosis in Aquaculture Sanches-Fernandes et al. vannamei is an example of successful re-colonization of the host
intestine at the post-larval stage, probably due to competitive
exclusion via the secretion of antimicrobial substances, especially
resulting in effective suppression of V. parahaemolyticus and V. harveyi, justifying Bacillus cereus use as probiotic bacterium in
shrimp larviculture (Vidal et al., 2018). This is an example of
probiotic screening from natural host microbiomes that can be
successfully applied across several aquaculture systems. Several
other Gram-positive and Gram-negative probiotic bacteria
showing suppressive features against Vibrio spp. have already
been identified (Table 3). advantages of probiotics application, as symbiotic bacteria may
act as pathogenic or probiotic depending on the aquatic host
species. Frontiers in Microbiology | www.frontiersin.org The Promise of Probiotics in Controlling
Vibrio Diseases in Aquaculture Vibrio alginolyticus was
also reported to possess probiotic effects against Aeromonas
salmonicida (Hoseinifar et al., 2018). The use of Bacillus
cereus isolated from the intestine of shrimps Litopenaeus A multitude of readily culturable bacteria possessing potential
probiotic features are currently available and well-described. These can be explored for the implementation of novel and
effective methodologies of pathogen suppression, for example
involving the development of multi-species probiotic inoculants
or of smart delivery systems (e.g., using alginates) that may
enhance the host colonization ability of probiotics. However,
despite all the promising advances mentioned above, only three
probiotic strains - the gut microbiota stabilizers Pediococcus
acidilactici CNCM MA 18/5M and Pediococcus acidilactici
CNCM I-4622 (bacteria), and the digestibility enhancer yeast Frontiers in Microbiology | www.frontiersin.org July 2022 | Volume 13 | Article 904815 13 Vibriosis in Aquaculture Sanches-Fernandes et al. TABLE 3 | Overview of the effects of probiotics against pathogenic Vibrio species in farmed fish and shrimp. Probiotic strain
Pathogen
Fish species
Beneficial effects
Reference
Gram-positive bacteria
Bacillus cereus
V. alginolyticus
IAL 1957
Litopenaeus vannamei
Significant decrease of pathogens by secretion
of antimicrobial substances; competitive
exclusion. Vidal et al., 2018
Bacillus licheniformis
V. alginolyticus
Macrobrachium
rosenbergii
Significant decrease in cumulative mortality;
increased growth and immune response. Kumar et al., 2013
Bacillus subtilis E20
V. alginolyticus
Litopenaeus vannamei
Immune modifications, such as increases in
phenoloxidase activity, phagocytic activity, and
clearance efficiency against vibriosis; increased
survival. Tseng et al., 2009;
Wang et al., 2019
Lactobacillus acidophilus 04
V. alginolyticus SAC 15
Penaeus monodon
Effective pathogen inhibition; increased
resistance and survival. Natesan et al., 2012;
Sivakumar et al., 2012
Lactobacillus acidophilus
NCIM 2285
V. alginolyticus
Penaeus indicus
Effective pathogen inhibition; increased
immune response and survival. Ajitha et al., 2004
Lactobacillus bulgaricus
NCIM 2285 (2056)
Lactobacillus bulgaricus
NCIM 2285 (2057)
V. alginolyticus
Penaeus indicus
Effective pathogen inhibition; increased
immune response and survival. Ajitha et al., 2004
Lactobacillus fermentum
LW2
V. alginolyticus
Litopenaeus vannamei
Increased survival. Wang et al., 2019
Lactobacillus pentosus BD6
V. alginolyticus
Litopenaeus vannamei
Increased survival. Wang et al., 2019
Lactobacillus plantarum
V. alginolyticus
Litopenaeus vannamei
Immune modulation; increased resistance and
survival. Chiu et al., 2007;
Ramírez et al., 2017
Streptococcus cremoris
NCIM 2285
V. alginolyticus
Penaeus indicus
Effective pathogen inhibition; increased
immune response and survival. Ajitha et al., 2004
Bacillus thuringiensis
strain EA26.1
V. anguillarum
Litopenaeus vannamei
Increased resistance to vibriosis. Dou et al., 2016
Carnobacterium divergens
V. anguillarum
Atlantic cod
Decreased vibriosis. The Promise of Probiotics in Controlling
Vibrio Diseases in Aquaculture Gildberg et al., 1997
Clostridium butyricum CB2
V. anguillarum
Miichthys miiuy
Increased phagocytic activity of leucocytes and
therefore disease resistance to vibriosis. Pan et al., 2008
Clostridium butyricum
MIYAIRI
V. anguillarum
Rainbow trout
Increased disease resistance. Sakai et al., 1995
Enterococcus gallinarum L1
V. anguillarum
975-1
Seabass
Decrease in mortality rates. Moderate
protective effect; Extracellular substance
production with antagonistic effect; Biding
sites’ competition on the intestinal mucus with
a rate of exclusion of 66.2%. Sorroza et al., 2013
Kocuria SM1
V. anguillarum
Rainbow trout
Decrease in mortality rates; stimulation of
innate immune parameters. Sharifuzzaman and
Austin, 2010;
Sharifuzzaman et al.,
2011
Lactococcus lactis subsp. lactis
V. anguillarum
ATCC 12486
Litopenaeus vannamei
Increased growth performance, digestive
enzyme activity, disease resistance and
survival. Adel et al., 2017
Pediococcus pentosaceus
4012
V. anguillarum
Grouper
Significant decrease in cumulative mortality. Huang et al., 2014
Rhodococcus SM2
V. anguillarum
Rainbow trout
Decrease in mortality rates. Sharifuzzaman et al.,
2011
Vagococcus fluvialis
V. anguillarum
975-1
Seabass
Increased survival rate. Sorroza et al., 2012
Bacillus sp. JL1
V. campbellii
LMG 21363
Penaeus monodon
Increased the survival, growth and robustness. Potential immunostimulatory strategy. Laranja et al., 2014,
2017
Bacillus sp. NFMI-C
V. campbellii BB120
(ATCC BAA-1116)
Macrobrachium
rosenbergii
Decreased quorum sensing-regulated
luminescence of V. campbellii;
Significantly higher survival. Pande et al., 2015
Lactobacillus pentosus
V. campbellii
Litopenaeus vannamei
Higher growth performance and digestive
Zheng and Wang, 2017 Lactococcus lactis subsp. lactis
V. anguillarum
ATCC 12486
Pediococcus pentosaceus
4012
V. anguillarum
Rhodococcus SM2
V. anguillarum
Vagococcus fluvialis
V. anguillarum
975-1
Bacillus sp. JL1
V. campbellii
LMG 21363
Bacillus sp. NFMI-C
V. campbellii BB120
(ATCC BAA-1116)
Lactobacillus pentosus
AS13
V. campbellii Frontiers in Microbiology | www.frontiersin.org July 2022 | Volume 13 | Article 904815 14 Vibriosis in Aquaculture Sanches-Fernandes et al. TABLE 3 | Continued
Probiotic strain
Pathogen
Fish species
Beneficial effects
Reference
Bacillus aryabhattai
TBRC8450
V. harveyi 1562
Litopenaeus vannamei
Better shrimp innate immunity and antioxidant
capacity; increased survival. Tepaamorndech et al.,
2019
Bacillus cereus
V. harveyi
Penaeus monodon
Potent growth promoter and immune enhancer. NavinChandran et al.,
2014
Bacillus cereus
V. harveyi
Litopenaeus vannamei
Increased survival. Masitoh et al., 2016
Bacillus cereus (DQ915582)
V. harveyi MTCC 3438
Penaeus monodon
Increased resistance to vibriosis; Enhance
survival. Ravi et al., 2007
Bacillus flexus LD-1
V. harveyi
Litopenaeus vannamei
Increased growth, innate immune and digestive
enzyme activities, stress tolerance, disease
resistance. Cai et al., 2019
Bacillus licheniformis LS-1
V. The Promise of Probiotics in Controlling
Vibrio Diseases in Aquaculture harveyi
Litopenaeus vannamei
Increased growth, innate immune and digestive
enzyme activities, stress tolerance, disease
resistance. Cai et al., 2019
Bacillus sp. Mk22
V. harveyi
Penaeus monodon
Effective pathogen control. Ashokkumar and
Mayavu, 2014
Bacillus P64
V. harveyi (S2)
Litopenaeus vannamei
Significantly higher global immunity index. Gullian et al., 2004
Bacillus S11
V. harveyi D311
Penaeus monodon
Shrimp appeared healthy and normal;
competitive exclusion of pathogenic bacteria;
100% survival. Rengpipat et al., 1998
Bacillus S11
V. harveyi D311
V. harveyi 1526
Penaeus monodon
Significantly higher survival; immune response
stimulation, activation of cellular and humoral
immune defenses. Rengpipat et al., 2000
Bacillus subtilis L10
Bacillus subtilis G1
V. harveyi ATCC 14126
Litopenaeus vannamei
Higher immune response; improved growth
performance and disease resistance. Zokaeifar et al., 2012
Bacillus subtilis S12
V. harveyi
Litopenaeus vannamei
Significantly lower mortality; higher phagocytic
rate and antibacterial activity. Effective immunopotentiator. Liu et al., 2014
Bacillus subtilis P11
V. harveyi 639
Penaeus monodon
Increased immunity and survival. Utiswannakul et al.,
2011
Bacillus subtilis P11
V. harveyi 639
Litopenaeus vannamei
Increased disease resistance and survival. Sapcharoen and
Rengpipat, 2013
Bacillus subtilis BT23
V. harveyi
Penaeus monodon
Decrease in cumulative mortality. Vaseeharan and
Ramasamy, 2003
Bacillus subtilis S11
V. harveyi 639
Litopenaeus vannamei
Increased disease resistance and survival;
Larger probiotic effect compared with Bacillus
subtilis P11
Sapcharoen and
Rengpipat, 2013
Bacillus thuringiensis
V. harveyi
Litopenaeus vannamei
Increased survival. Masitoh et al., 2016
Clostridium butyricum
V. harveyi
Macrobrachium
rosenbergii
Significantly higher digestive protease and
amylase activities in the gastrointestinal tract;
increased immune response. Sumon et al., 2018
Lactobacillus sp
AMET1506
V. harveyi
Penaeus monodon
Litopenaeus vannamei
Increased resistance and survival. Karthik et al., 2014,
2016
Lactobacillus plantarum
MRO3.12
V. harveyi
Litopenaeus vannamei
Increased resistance and survival. Vieira et al., 2010
Kongnum and
Hongpattarakere, 2012
Shefat, 2018
Enterococcus faecalis
V. harveyi
Macrobrachium
rosenbergii
Higher weight gain and digestive enzymes
activities. Khushi et al., 2022
Enterococcus faecium
MC13
V. harveyi
Penaeus monodon
Effective pathogen inhibition; increased survival. Swain et al., 2009
Paenibacillus polymyxa
(DQ915580)
V. harveyi MTCC 3438
Penaeus monodon
Increased resistance to vibriosis and survival. Ravi et al., 2007
Paenibacillus spp. (EF012164)
V. harveyi MTCC 3438
Penaeus monodon
Increased resistance to vibriosis and survival. Ravi et al., 2007 (Continued) Frontiers in Microbiology | www.frontiersin.org July 2022 | Volume 13 | Article 904815 15 Vibriosis in Aquaculture Sanches-Fernandes et al. The Promise of Probiotics in Controlling
Vibrio Diseases in Aquaculture TABLE 3 | Continued
Probiotic strain
Pathogen
Fish species
Beneficial effects
Reference
Streptococcus phocae PI80
V. harveyi MTCC 3435
Penaeus monodon
Reduced shrimp mortality; shrimp survival rate
of 100%. Kanmani et al., 2010
Streptomyces strains
CLS-39
V. harveyi
Penaeus monodon
Higher total length and wet weight. Das et al., 2010
Bacillus thuringiensis
G5-8-3T02
V. mimicus
Penaeus monodon
Higher disease resistance, weight and length
gain. Anyanwu and Ariole,
2019
Carnobacteria inhibens
V. ordalii
Rainbow trout
Reduced mortality
Robertson et al., 2000
Arthrobacter XE-7
V. parahaemolyticus
Litopenaeus vannamei
Higher immune response (total hemocyte
counts, percentage phagocytosis, respiratory
burst activity, and serum phenoloxidase
activity); higher resistance to vibriosis. Li et al., 2008
Bacillus cereus
V. parahaemolyticus
ATCC 17802
Litopenaeus vannamei
Significant pathogen suppression through the
secretion of antimicrobial substances;
competitive exclusion. Vidal et al., 2018
Bacillus coagulans
V. parahaemolyticus
Penaeus monodon
Immunomodulatory effect; Higher levels of
superoxide dismutase (SOD) and catalase
activity. Raghu et al., 2016
Bacillus coagulans ATCC
7050
V. parahaemolyticus
Litopenaeus vannamei
Improved growth and intestinal morphology;
diverse intestinal microbiota; higher immune
response and resistance to vibriosis. Amoah et al., 2019
Bacillus firmus
V. parahaemolyticus
Penaeus monodon
Immunomodulatory effect; higher levels of
superoxide dismutase (SOD) and catalase
activity. Raghu et al., 2016
Bacillus sp. Mk22
V. parahaemolyticus
Penaeus monodon
Effective pathogen control; higher antioxidant
enzyme activities. Ashokkumar and
Mayavu, 2014
Ashokkumar et al.,
2016
Bacillus subtilis UTM 126
V. parahaemolyticus
PS-017
Litopenaeus vannamei
Effectiveness at decreasing vibriosis. Balcázar et al., 2007
Bacillus subtilis WB60
V. parahaemolyticus
KCCM 11965
Litopenaeus vannamei
Improved growth, immunity, histology, gene
expression, digestive enzyme activity;
Increased disease resistance, while
replacing antibiotics. Won et al., 2020
Clostridium butyricum
CBG01
V. parahaemolyticus
Litopenaeus vannamei
Improved growth performance, immunity
capacity and resistance against vibriosis;
Positive effect on the intestinal
morphological structure. Li et al., 2019
Enterococcus faecium
MC13
V. parahaemolyticus
Penaeus monodon
Effective pathogen inhibition; increased survival. Swain et al., 2009
Lactococcus lactis
SGLAB02
V. parahaemolyticus
(VPAHPND)
Litopenaeus vannamei
Immune system modulation; improved
pathogen resistance. Chomwong et al., 2018
Lactobacillus bulgaricus
E20
V. parahaemolyticus
PS-017
Litopenaeus vannamei
Better immune response in shrimp; higher
survival rate and disease resistance. Roomiani et al., 2018
Lactobacillus pentosus
HC-2
V. parahaemolyticus E1
Litopenaeus vannamei
Improved immune responses, growth
performance and disease resistance. Competitive exclusion of V. parahaemolyticus
E1 in the intestine of shrimp. Sha et al., 2016a,b
Lactobacillus plantarum
SGLAB01
V. parahaemolyticus
(VPAHPND)
Litopenaeus vannamei
Immune system modulations; improved
pathogen resistance. The Promise of Probiotics in Controlling
Vibrio Diseases in Aquaculture Chomwong et al., 2018
Lactobacillus plantarum T8
V. parahaemolyticus
XN9 (AHPND)
Litopenaeus vannamei
Higher shrimp body length and weight; higher
survival. Nguyen et al., 2018
Lactobacillus plantarum T13
V. parahaemolyticus
XN9 (AHPND)
Litopenaeus vannamei
Higher survival. Nguyen et al., 2018
Lactococcus lactis
V. parahaemolyticus
KCCM 11965
Litopenaeus vannamei
Improved growth, immunity, histology, gene
expression, digestive enzyme activity;
Improved disease resistance, while
l
i
tibi ti
Won et al., 2020 (Continued) July 2022 | Volume 13 | Article 904815 Frontiers in Microbiology | www.frontiersin.org 16 Vibriosis in Aquaculture Sanches-Fernandes et al. TABLE 3 | Continued
Probiotic strain
Pathogen
Fish species
Beneficial effects
Reference
Paenibacillus polymyxa
ATCC 842
V. parahaemolyticus
Litopenaeus vannamei
Higher shrimp growth, serum and
hepatopancreas immune and antioxidant
activities;
Improved digestive enzyme activities and
intestinal morphology; gut microbiota
modulation; higher survival. Amoah et al., 2020
Pediococcus pentosaceus
V. parahaemolyticus
KCCM 11965
Litopenaeus vannamei
Improved growth, immunity, histology, gene
expression, digestive enzyme activity;
Higher disease resistance, while
replacing antibiotics. Won et al., 2020
Streptococcus phocae PI80
V. parahaemolyticus
Penaeus monodon
Shrimp pathogen suppression. Kanmani et al., 2010
Streptococcus phocae PI80
V. parahaemolyticus
Cyprinus carpio
Shrimp pathogen suppression. Kanmani et al., 2010
Streptomyces strains N7
V. parahaemolyticus
Litopenaeus vannamei
Significantly higher survival rate. García-Bernal et al.,
2017
Streptomyces strains RL8
V. parahaemolyticus
Litopenaeus vannamei
Higher weight gain and survival rates. García-Bernal et al.,
2017
Lactococcus lactis D1813
V. penaeicida
Marsupenaeus
japonicus
Improved pathogen resistance and survival;
immunomodulatory activity. Maeda et al., 2014
Streptomyces strains
CLS-28
V. proteolyticus
Penaeus monodon
Higher total length and wet weight; higher
survival. Das et al., 2010
Lactobacillus pentosus
AS13
V. rotiferianus
Litopenaeus vannamei
Improved growth performance and digestive
enzyme activities in the gut;
Significantly lower mortality rate. Zheng and Wang, 2017
Lactobacillus pentosus
AS13
V. vulnificus
Litopenaeus vannamei
Improved growth performance and digestive
enzyme activities in the gut;
Significantly lower mortality rate. Zheng and Wang, 2017
Gram-negative bacteria
Pseudomonas fluorescens
AH2
V. anguillarum
Rainbow trout
Improved survival through 46% reduction in
accumulated mortality. Gram et al., 1999
Phaeobacter gallaeciensis
BS107 (DSM 17395)
V. anguillarum NB10
(serotype O1)
Cod larvae
Mortality decreased by approximately 10%. D’Alvise et al., 2012
Roseobacter sp. 27-4
V. anguillarum
90-11-287
(serotype O1)
Turbot
Controlled V. anguillarum infection. Planas et al., 2006
Roseobacter sp. 27-4
V. anguillarum
90-11-287
(serotype O1)
Scophthalmus
maximus
Significant reduction in cumulative mortality. Hjelm et al., 2004
Shewanella putrefaciens
Pdp11
V. anguillarum
Sparus aurata
Lower mortalities. The Promise of Probiotics in Controlling
Vibrio Diseases in Aquaculture Chabrillón et al., 2006
Pseudomonas sp. W3
V. harveyi PSU 2015
Litopenaeus vannamei
Improved survival, growth, and weigh gain likely
through immunomodulatory effects. Rattanachuay et al.,
2007, 2011
Vibrio hepatarius P62
V. harveyi (S2)
Litopenaeus vannamei
Significantly higher global immunity index. Gullian et al., 2004
Pseudoalteromonas NC201
V. nigripulchritudo
Litopenaeus stylirostris
Improved shrimp immune response expression;
higher transcriptional activity of the gene
coding for the antimicrobial peptide Litsty PEN3
in larvae; 2-fold lower cumulative mortality. Pham et al., 2014 ;
Sorieul et al., 2018
Pseudoalteromonas CDA22
V. parahaemolyticus
Litopenaeus vannamei
Higher resistance to vibriosis. Wang et al., 2018
Pseudoalteromonas CDM8
V. parahaemolyticus
Litopenaeus vannamei
Higher resistance to vibriosis. Wang et al., 2018
Roseobacter gallaeciensis
SLV03
V. parahaemolyticus
PS-017
Litopenaeus vannamei
Higher survival; effectiveness at decreasing
vibriosis. Balcázar et al., 2007
Vibrio alginolyticus UTM 102
V. parahaemolyticus
PS-017
Litopenaeus vannamei
Higher final weight and survival; Effectiveness
at decreasing vibriosis. Balcázar et al., 2007
Pseudomonas aeruginosa
V. parahaemolyticus
Zebrafish
Fish through biofilm formation inhibition and
Vinoj et al., 2015 CONCLUDING REMARKS Microorganisms are major contributors to nutrient cycling
and functioning within aquaculture facilities yet a fraction
of the total microbiome thriving in these man-made is also
responsible for disease and mortality affecting live feed, fish
larvae, fish, and shellfish. The extent to which solutions to the
pathogenicity problem within aquaculture facilities may be found
in the naturally occurring aquaculture microbiome is a matter
of current scientific debate. The effective implementation of
protocols relying on the use of vaccines, phage therapy and
probiotics holds promise in deterring pathogen proliferation in
intensive fish farming. For instance, a wealth of Gram-positive
and Gram-negative bacteria showing remarkable capacities to
supress Vibrio pathogens or mitigate vibriosis symptoms in
farmed fish and shellfish have been identified in the past 30
years. Nevertheless, to move beyond the proof-of-concept stage,
such protocols still face technical and legal challenges that
prevent their wide-range applicability at the production scale. Better understanding of microbiomes thriving in “healthy” and
“diseased” hosts and aquaculture systems is key to instruct
researchers in the pursuit of techniques leading to efficient
microbiome manipulation and engineering toward safer rearing
systems, eventually decreasing the need of using antibiotics and
hazardous chemicals to control bacterial diseases in aquaculture. The major goal of aquaculture production is supplying food
for human consumption. Following several decades of heavy
use of antimicrobial drugs and antibiotics to boost intensive
fish rearing, current prophylaxis approaches that contribute to
a more health-oriented management of aquaculture systems
are being increasingly recommended to prevent or suppress
epizootic disease outbreaks. They involve the use of less
dangerous methods such as vaccines, immunostimulants and
probiotics/microbiome therapy. This way, it is believed that
healthier food for human consumption may be produced and
bacterial resistance to antibiotics may be prevented or alleviated,
thus reducing the transfer of acquired antibiotic resistance traits
to human pathogens via mobile genetic elements. The increasing pollution of coastal ecosystems caused by
sewage and industrial effluent inputs, including oils, fertilizers,
and heavy metals, may also result in a negative physiological
response of reared fish, favoring the invasion of bacterial
pathogens and parasites in rearing systems exposed to such
pollutants. Therefore, proper environmental monitoring and
ecosystem conservation are fundamental to prevent bacterial
disease incidence in aquaculture. Significant reduction in cumulative mortality. Significant reduction in cumulative mortality. July 2022 | Volume 13 | Article 904815 Frontiers in Microbiology | www.frontiersin.org 17 Vibriosis in Aquaculture Sanches-Fernandes et al. Komagataella pastoris DSM 23036 - are authorized by the
European Union to be used as live organisms in aquaculture
facilities [European Commission 2021, Reg (EC) No 1831/2003]. In face of the acute challenges posed by increasing disease
incidence in the aquaculture sector, and of the manifold
possibilities of microbiome-based disease control revealed in the
last three decades, it is reasonable to argue that time is ripe for
advancing new legislation that is on par with current scientific
knowledge regarding the use of environmentally safer, bio-based
methodologies to deter bacterial diseases in this sector. pathogenicity of Vibrio crassostreae toward the cultured oyster
species Crassostrea gigas is mediated by the acquisition of a large
mobilizable plasmid. It is reasonable to argue that such processes
mediate virulence of Vibrio pathogens of fish and may be
promoted by high host densities in intensive rearing conditions. Vibriosis is one of the most important diseases causing
high mortality rates in the aquaculture industry. According to
the meta-analysis discussed in this review, species such as V. alginolyticus and V. harveyi are among the main responsible
for epizootic disease outbreaks causing economic losses in this
sector, affecting several fish species, including the production
of reared gilthead seabream in the Mediterranean zone. As
the frequency of antibiotic- and multidrug-resistance Vibrio
spp. is growing, constant surveillance and monitoring of
antibiotic resistance and pollution must be assured to avoid the
development of multi-resistant strains which may pose threats
to both ecosystem and human health. Although certain Vibrio
species from diseased farmed gilthead seabream were found
to be sensitive to tetracycline, oxytetracycline, chloramphenicol
and florfenicol, the development of alternative, cost-effective
and sustainable pathogen suppression methods in aquaculture
is encouraged from an environmental and a human health
standpoint. Particularly worrisome is the current rise of human
infections caused by environmental and seafood-associated
Vibrio species, apparently influenced by climate-change drivers of
microbial community assembly in coastal ecosystems, including
intensive seafood farming systems. CONCLUDING REMARKS Aquaculture facilities may
be in fact “hotspots” for gene transfer, as they contain dense
and highly diverse bacterial communities whose structure and
taxonomic composition result from the combination of current
and past use of antibiotics, probiotics, prebiotics as well as
other kinds of treatments or methods. In this context, it is
important to discern the coding potential present in the mobile
gene pool of Vibrio species and assess the intra- and interspecific
transferability of these genes, as this bears implications to our
understanding to the roles of Vibrio species as disease-causing
agents and of the potential switch from commensal to pathogenic
behavior based on processes of gene gain and loss in the Vibrio-
associated plasmidome. Indeed, Bruto et al. (2017) revealed that AUTHOR CONTRIBUTIONS GMMS-F, IS-C, and RC conceived and designed the study. GMMS-F performed the literature research, prepared figures,
and tables. GMMS-F and RC interpreted the data and wrote
the first manuscript draft. All authors read and revised the first
manuscript draft and approved the final manuscript. Frontiers in Microbiology | www.frontiersin.org REFERENCES Effect
of
the
addition
of
four
potential
probiotic
strains
on
the
survival
of pacific white shrimp (Litopenaeus vannamei) following immersion
challenge with Vibrio parahaemolyticus. J. Invertebr. Pathol. 96, 147–150. doi: 10.1016/j.jip.2007.04.008 j j
Adel, M., El-Sayed, A. F. M., Yeganeh, S., Dadar, M., and Giri, S. S. (2017). Effect of potential probiotic Lactococcus lactis subsp. lactis on growth
performance, intestinal microbiota, digestive enzyme activities, and disease
resistance of Litopenaeus vannamei. Probiot. Antimicrob. Prot. 9, 150–156. doi: 10.1007/s12602-016-9235-9 Balebona, M. C., Andreu, M. J., Bordas, M. A., Zorilla, I., Moriñgo, M. A., and
Borrego, J. J. (1998a). Pathogenicity of Vibrio alginolyticus for cultured gilt-
head sea bream (Sparus aurata L.). Appl. Environ. Microbiol. 64, 4269–4275. doi: 10.1128/AEM.64.11.4269-4275.1998 Ajitha, S., Sridhar, M., Sridhar, N., and Varghese, V. (2004). Probiotic
effects of lactic acid bacteria against Vibrio Alginolyticus in Penaeus
(Fenneropenaeus) indicus (H. Milne Edwards). Asian Fish. Sci. 17, 71–80. doi: 10.33997/j.afs.2004.17.1.008 Balebona, M. C., Zorrilla, I., Moriñigo, M. A., and Borrego, J. J. (1998b). Survey of bacterial pathologies affecting farmed gilt-head sea bream (Sparus
aurata L.) in southwestern Spain from 1990 to 1996. Aquaculture 166, 19–35. doi: 10.1016/S0044-8486(98)00282-8 j
Akayli, T., and Timur, G. (2002). Vibriosis in gilthead sea bream (Sparus aurata L.)
in farms in the Aegean sea coast of Turkey. Turkish J. Fish. Aquat. Sci. 2, 89–91. Akayli, T., Timur, G., Aydemir, B., Kiziler, A. R., Coskun, O., Albayrak, G., et al. (2008). Characterization of Vibrio alginolyticus isolates from diseased cultured
gilthead sea bream, Sparus aurata. Israel. J. Aquac. Bamidgeh. 60, 89–94. doi: 10.46989/001c.20487 Bentzon-Tilia, M., Sonnenschein, E. C., and Gram, L. (2016). Monitoring and
managing microbes in aquaculture – Towards a sustainable industry. Microb. Biotechnol. 9, 576–584. doi: 10.1111/1751-7915.12392 Blake, P. A. (1994). “Historical perspectives on pandemic cholera,” in Vibrio
Cholerae and Cholera: Molecular to Global Perspectives, eds I. Kaye Wachsmuth,
P. A. Blake, and Ø. Olsvik (Washington, DC: American Society for
Microbiology), 291–295. doi: 10.1128/9781555818364.ch18 Altinok, I., and Kurt, I. (2004). Molecular diagnosis of fish diseases: a review. Turk. J. Fish. Aquat. Sci. 3, 131–138. Aly, S. M., Eisa, A. A., and Elbanna, N. I. (2020). Characterization of vibrio
parahaemolyticus infection in gilthead seabream (Sparus aurata) cultured in
Egypt. Egypt. J. Aquat. Biol. Fish. 24, 553–571. doi: 10.21608/ejabf.2020.76562 Bondad-Reantaso, M. G. (2018). REFERENCES Anyanwu, N. G., and Ariole, C. N. (2019). Probiotic potential of an indigenous
marine Bacillus thuringiensis on shrimp (Penaeus monodon) culture infected
with Vibrio mimicus. J. Appl. Sci. 19, 173–179. doi: 10.3923/jas.2019.173.179 Abareethan, M., and Amsath, A. (2015). Characterization and evaluation of
probiotic fish feed. Int. J. Pure Appl. Zool. 3, 148–153. Arab, S., Nalbone, L., Giarratana, F., and Berbar, A. (2020). Occurrence
of Vibrio spp. along the algerian mediterranean coast in wild and
farmed sparus aurata and dicentrarchus labrax. Vet. World 13, 1199–1208. doi: 10.14202/vetworld.2020.1199-1208 Abdallah, F. B., Bakhrouf, A., Ayed, A., and Kallel, H. (2009). Alterations
of
outer
membrane
proteins
and
virulence
genes
expression
in
gamma-irradiated
Vibrio
parahaemolyticus
and
Vibrio
alginolyticus. Foodborne
Pathog. Dis. 6,
1171–1176. doi:
10.1089/fpd.2009. 0331 Ashokkumar, S., and Mayavu, P. (2014). Screening, identification and antagonistic
activity of halo stable Bacillus sp. Mk22 used as probiotic in Penaeus monodon
Fabricius, 1798. Afr. J. Food Sci. 8, 48–53. doi: 10.5897/AJFS2013.1048 Abdallah, F. B., Ellafi, A., Lagha, R., Kallel, H., and Bakhrouf, A. (2011). Virulence
gene expression, proteins secreted and morphological alterations of Vibrio
parahaemolyticus and Vibrio alginolyticus in response to long-term starvation
in seawater. Afr. J. Microbiol. Res. 5, 792–801. doi: 10.5897/AJMR10.653 Ashokkumar, S., Mayavu, P., and Kim, K. (2016). Growth enhancement of shrimp
and reduction of shrimp infection by vibrio parahaemolyticus and white spot
syndrome virus with dietary administration of bacillus sp. Mk22. Microbiol. Biotechnol. Lett. 44, 261–267. doi: 10.4014/mbl.1605.05001 Abdel-Aziz, M., Eissa, A. E., Hanna, M., and Okada, M. A. (2013). Identifying some
pathogenic Vibrio/Photobacterium species during mass mortalities of cultured
gilthead seabream (Sparus aurata) and European seabass (Dicentrarchus
labrax) from some Egyptian coastal provinces. Int. J. Vet. Sci. Med. 1, 87–95. doi: 10.1016/j.ijvsm.2013.10.004 Asok, A., Arshad, E., Jasmin, C., Somnath Pai, S., Bright Singh, I. S.,
Mohandas, A., et al. (2012). Reducing Vibrio load in Artemia nauplii
using antimicrobial photodynamic therapy: a promising strategy to reduce
antibiotic application in shrimp larviculture. Microb. Biotechnol. 5, 59–68. doi: 10.1111/j.1751-7915.2011.00297.x Abdelaziz, M., Ibrahem, M. D., Ibrahim, M. A., Abu-Elala, N. M., and
Abdel-moneam, D. A. (2017). Monitoring of different vibrio species
affecting marine fishes in Lake Qarun and Gulf of Suez: phenotypic
and
molecular
characterization. Egypt. J. Aquat. Res. 43,
141–146. doi: 10.1016/j.ejar.2017.06.002 Baker-Austin, C., and Oliver, J. D. (2018). Vibrio vulnificus: new insights
into a deadly opportunistic pathogen. Environ. Microbiol. 20, 423–430. doi: 10.1111/1462-2920.13955 Balcázar, J. L., Rojas-Luna, T., and Cunningham, D. P. (2007). FUNDING This
study
was
supported
by
FCT—Fundação
para
a
Ciência e a Tecnologia, I.P., through the research grants
PTDC/MAR/112792/2009
and
PTDC/BIA-MIC/31996/2017
and by the European Regional Development Fund (ERDF,
Project # 031996, operational code ALG-01-0145-FEDER-
031966) through the regional operational programs of Lisbon July 2022 | Volume 13 | Article 904815 Frontiers in Microbiology | www.frontiersin.org 18 Sanches-Fernandes et al. Vibriosis in Aquaculture SUPPLEMENTARY MATERIAL and Algarve, Portugal. This study was also financed by FCT in the
scope of the projects UIDB/04565/2020 and UIDP/04565/2020 of
the Research Unit Institute for Bioengineering and Biosciences—
iBB, and the project LA/P/0140/2020 of the Associate Laboratory
i4HB - Institute for Health and Bioeconomy. The Supplementary Material for this article can be found
online
at:
https://www.frontiersin.org/articles/10.3389/fmicb. 2022.904815/full#supplementary-material REFERENCES “Country level implementation: FAO experience
in Aquaculture, FAO Session 4: responsible and prudent use of veterinary
antimicrobials: practical tools and experiences,” in 2nd OIE Global Conference
on Antimicrobial Resistance and Prudent Use of Antimicrobial Agents in
Animals, Putting Standards into Practice (Marrakesh). Amatul-Samahah, M. A., Wan Omar, W. H. H., Mohd Ikhsan, N. F., Amal
Azmai, M. N., Zamri-Saad, M., and Ina-Salwany, M. Y. (2020). Vaccination
trials against vibriosis in shrimp: a review. Aquac. Rep. 18, 100471. doi: 10.1016/j.aqrep.2020.100471 Amoah, K., Huang, Q.-C., Tan, B.-P., Zhang, S., Chi, S.-Y., Yang, Q.-H., et al. (2019). Dietary supplementation of probiotic Bacillus coagulans ATCC 7050,
improves the growth performance, intestinal morphology, microflora, immune
response, and disease confrontation of Pacific white shrimp, Litopenaeus
vannamei. Fish Shellfish Immunol. 87, 796–808. doi: 10.1016/j.fsi.2019. 02.029 Bordas, M. A., Balebona, M. C., Zorrilla, I., Borrego, J. J., and Moriñigo, M. A. (1996). Kinetics of adhesion of selected fish-pathogenic Vibrio strains to skin
mucus of gilt-head sea bream (Sparus aurata L.). Appl. Environ. Microbiol. 62,
3650–3654. doi: 10.1128/aem.62.10.3650-3654.1996 Borges, N., Keller-Costa, T., Sanches-Fernandes, G. M. M., Louvado, A., Gomes,
N. C. M., and Costa, R. (2021). Bacteriome structure, function, and probiotics
in fish larviculture: the good, the bad, and the gaps. Annu. Rev. Anim. Biosci. 9,
1–30. doi: 10.1146/annurev-animal-062920-113114 Amoah, K., Huang, Q.-C., Dong, X.-H., Tan, B.-P., Zhang, S., and Chi, S.-
Y., et al. (2020). Paenibacillus polymyxa improves the growth, immune and
antioxidant activity, intestinal health, and disease resistance in Litopenaeus
vannamei challenged with Vibrio parahaemolyticus. Aquaculture 518, 734563. doi: 10.1016/j.aquaculture.2019.734563 Brayton, P. R., Bode, R. B., Colwell, R. R., MacDonell, M. T., Hall, H. L., Grimes, D. J., et al. (1986). Vibrio cincinnatiensis sp. nov., a new human pathogen. J. Clin. Microbiol. 23, 104–108. doi: 10.1128/jcm.23.1.104-108.1986 Frontiers in Microbiology | www.frontiersin.org July 2022 | Volume 13 | Article 904815 19 Sanches-Fernandes et al. Vibriosis in Aquaculture isolated from diseased marine fish in South China. Sci. Rep. 10, 1–8. doi: 10.1038/s41598-020-71288-0 isolated from diseased marine fish in South China. Sci. Rep. 10, 1–8. doi: 10.1038/s41598-020-71288-0 Brehm, T. T., Berneking, L., Rohde, H., Chistner, M., Schlickewei, C., Sena
Martins, M., et al. (2020). Wound infection with Vibrio harveyi following
a traumatic leg amputation after a motorboat propeller injury in Mallorca,
Spain: a case report and review of literature. BMC Infect. Dis. 20, 1–7. doi: 10.1186/s12879-020-4789-2 Devi, M. S., Paria, P., Kumar, V., Parida, P. K., Maurye, P., Behera, B. REFERENCES Pathogenicity, genetic typing, and antibiotic sensitivity of Vibrio
alginolyticus isolated from Oreochromis niloticus and Tilapia zillii. Rev. Med. Vet. 170, 80–86. Cedeño, R., and Rodríguez, J. (2006). Uso de los probióticos vibrío hepatarius
(p62) y bacillus sp. (p64) en el cultivo del camarón litopenaeus vannamei. Cenaim Informa, 134. Available online at: https://core.ac.uk/display/12398899
(accessed June 6, 2022). Embregts, C. W. E., and Forlenza, M. (2016). Oral vaccination of fish: lessons
from humans and veterinary species. Dev. Comp. Immunol. 64, 118–137. doi: 10.1016/j.dci.2016.03.024 FAO (1996). World Review of Fisheries and Aquaculture. Food and Agriculture
Organization of the United Nations, Fisheries Department. Available online
at: http://www.fao.org/3/w3265e/w3265e02.htm#b2-Trends (accessed June 6,
2022). Chabrillón, M., Arijo, S., Díaz-Rosales, P., Balebona, M. C., and Moriñigo, M. A. (2006). Interference of Listonella anguillarum with potential probiotic
microorganisms isolated from farmed gilthead seabream (Sparus aurata L.). Aquac. Res. 37, 78–86. doi: 10.1111/j.1365-2109.2005.01400.x FAO (2002). The State of World Fisheries and Aquaculture 2002. Rome: Food
and Agriculture Organization of the United Nations, Fisheries Department. Available online at: http://www.fao.org/3/y7300e/y7300e00.pdf (accessed June
6, 2022). Chauhan,
A.,
and
Singh,
R. (2019). Probiotics
in
aquaculture:
a
promising
emerging
alternative
approach. Symbiosis
77,
99–113. doi: 10.1007/s13199-018-0580-1 Chiu, C. H., Guu, Y. K., Liu, C. H., Pan, T. M., and Cheng, W. (2007). Immune
responses and gene expression in white shrimp, Litopenaeus vannamei,
induced by Lactobacillus plantarum. Fish Shellfish Immunol. 23, 364–377. doi: 10.1016/j.fsi.2006.11.010 FAO (2004). The State of World Fisheries and Aquaculture 2004. Rome: Food
and Agriculture Organization of the United Nations, Fisheries Department. Available online at: http://www.fao.org/3/y5600e/y5600e00.pdf (accessed June
6, 2022). Chomwong, S., Charoensapsri, W., Amparyup, P., and Tassanakajon, A. (2018). Two host gut-derived lactic acid bacteria activate the proPO system and
increase resistance to an AHPND-causing strain of Vibrio parahaemolyticus
in the shrimp Litopenaeus vannamei. Dev. Comp. Immunol. 89, 54–65. doi: 10.1016/j.dci.2018.08.002 FAO (2010). The State of World Fisheries and Aquaculture 2010. Rome:
Food and Agriculture Organization of the United Nations, Fisheries and
Aquaculture Department. Available online at: http://www.fao.org/3/i1820e/
i1820e.pdf (accessed June 6, 2022). FAO (2012). The State of World Fisheries and Aquaculture 2012. Contributing to
Food Security and Nutrition for All. Rome: Food and Agriculture Organization
of the United Nations, Fisheries and Aquaculture Department. Available online
at: http://www.fao.org/3/i2727e/i2727e.pdf (accessed June 6, 2022). Citil, B. E., Derin, S., Sankur, F., Sahan, M., and Citil, M. U. (2015). Vibrio
alginolyticus associated chronic myringitis acquired in Mediterranean waters
of Turkey. Case Rep. Infect. Dis. REFERENCES K., et al. (2022). Molecular identification and pathogenicity study of
virulent Vibrio cholerae non O1/O139 serotype associated with mortality of
farmed Labeo rohita (Hamilton, 1822), in India. Aquaculture 547, 737529. doi: 10.1016/j.aquaculture.2021.737529 Bresee, J. S., Widdowson, M. A., Monroe, S. S., and Glass, R. I. (2002). Foodborne
viral gastroenteritis: challenges and opportunities. Clin. Infect. Dis. 35, 748–753. doi: 10.1086/342386 Dhert, P., Rombaut, G., Suantika, G., and Sorgeloos, P. (2001). Advancement
of rotifer culture and manipulation techniques in Europe. Aquaculture 200,
129–146. doi: 10.1016/S0044-8486(01)00697-4 Broberg, C. A., Calder, T. J., and Orth, K. (2011). Vibrio parahaemolyticus
cell biology and pathogenicity determinants. Microbes Infect. 13, 992–1001. doi: 10.1016/j.micinf.2011.06.013 Dou, C., Zuo, Z., Liu, Y., Zhang, Y., Geng, X., and Sun, J. (2016). Isolation
and screening of digestive enzyme producing probiotics from intestine of
Litopenaeus vannamei. J. Fish. China 40, 537–546. Bruto, M., James, A., Petton, B., Labreuche, Y., Chenivesse, S., Alunno-
Bruscia, M., et al. (2017). Vibrio crassostreae, a benign oyster colonizer
turned into a pathogen after plasmid acquisition. ISME J. 11, 1043–1052. doi: 10.1038/ismej.2016.162 Dutta,
D.,
Kaushik,
A.,
Kumar,
D.,
and
Bag,
S. (2021). Foodborne
pathogenic vibrios: antimicrobial resistance. Front. Microbiol. 12, 1–10. doi: 10.3389/fmicb.2021.638331 Cai, Y., Yuan, W., Wang, S., Guo, W., Li, A., Wu, Y., et al. (2019). In vitro screening
of putative probiotics and their dual beneficial effects: To white shrimp
(Litopenaeus vannamei) postlarvae and to the rearing water. Aquaculture 498,
61–71. doi: 10.1016/j.aquaculture.2018.08.024 Eissa, A. E., Altakaly, M. B., Abolghait, S. K.;, Ismail, M. M., and Abumhara, A. (2017). Detection of the most common Vibrios affecting common pandora
(Pagellus erythinus) from the coasts of Tripoli, Libya. J. Fish. Aquat. Sci. 12,
253–263. doi: 10.3923/jfas.2017.253.263 Califano, G., Castanho, S., Soares, F., Ribeiro, L., Cox, C. J., Mata, L.,
et al. (2017). Molecular taxonomic profiling of bacterial communities in
a gilthead seabream (Sparus aurata) hatchery. Front. Microbiol. 8, 1–16. doi: 10.3389/fmicb.2017.00204 El-Bouhy, Z., El-Nobi, G., El-Murr, A. E., and El-Hakim, S. A. (2016). Study on
vibriosis in Mugil Capito In El-Dakahlia And Damitta Governorates, Egypt. Abbassa Int. J. Aquat. 9, 19–35. Campbell, R., Adams, A., Tatner, M. F., Chair, M., and Sorgeloos, P. (1993). Uptake of Vibrio anguillarum vaccine by Artemia salina as a potential
oral delivery system to fish fry. Fish Shellfish Immunol. 3, 451–459. doi: 10.1006/fsim.1993.1044 El-Sayed, M. E., Algammal, A. M., Abouel-Atta, M. E., Mabrok, M., and Emam,
A. M. (2019). REFERENCES 2015, 1–3. doi: 10.1155/2015/187212 Colorni, A., Paperna, I., and Gordin, H. (1981). Bacterial infections in gilthead
sea bream Sparus aurata cultured at Eilat. Aquaculture 23, 257–267. doi: 10.1016/0044-8486(81)90019-3 FAO (2016). The State of World Fisheries and Aquaculture 2016. Contributing to
Food Security and Nutrition for All. Rome: Food and Agriculture Organization
of the United Nations, Fisheries and Aquaculture Department. Available online
at: http://www.fao.org/3/a-i5555e.pdf (accessed June 6, 2022). Costa, R. A., Araújo, R. L., Souza, O. V., and Vieira, R. H. S. D. F. (2015). Antibiotic-resistant vibrios in farmed shrimp. Biomed Res. Int. 2015, 1–5. doi: 10.1155/2015/505914 FAO (2018). The State of World Fisheries and Aquaculture 2018. Meeting the
Sustainable Development Goals. Rome: Food and Agriculture Organization of
the United Nations, Fisheries and Aquaculture Department. Available online
at: http://www.fao.org/3/i9540en/i9540en.pdf (accessed June 6, 2022). Dalsgaard, A., Glerup, P., Høybye, L. L., Paarup, A. M., Meza, R., Bernal, M.,
et al. (1997). Vibrio furnissii isolated from humans in Peru: a possible human
pathogen? Epidemiol. Infect. 119, 143–149. doi: 10.1017/S095026889700798X FAO (2020). The State of World Fisheries and Aquaculture 2020. Sustainability
in Action. Rome: Food and Agriculture Organization of the United Nations,
Fisheries and Aquaculture Department. Available online at: http://www.fao. org/3/ca9229en/ca9229en.pdf (accessed June 6, 2022). D’Alvise, P. W., Lillebø, S., Prol-Garcia, M. J., Wergeland, H. I., Nielsen, K. F.,
Bergh, Ø., et al. (2012). Phaeobacter gallaeciensis reduces vibrio anguillarum in
cultures of microalgae and rotifers, and prevents vibriosis in cod larvae. PLoS
ONE 7, 43996. doi: 10.1371/journal.pone.0043996 FAO (2021). “Sparus aurata. Cultured Aquatic Species Information Programme,”
in Fisheries and Aquaculture Division, eds F. Colloca, and S. Cerasi (Rome). Available online at: https://www.fao.org/fishery/en/culturedspecies/sparus_
aurata/en (accessed December 6, 2021). Das, S., Ward, L. R., and Chris Burke, C. (2010). Screening of marine Streptomyces
spp. for potential use as probiotics in aquaculture. Aquaculture 305, 32–41. doi: 10.1016/j.aquaculture.2010.04.001 Deng, Y., Xu, L., Chen, H., Liu, S., Guo, Z., Cheng, C., et al. (2020). Prevalence, virulence genes, and antimicrobial resistance of Vibrio species Finkelstein, R., Edelstein, S., and Mahamid, G. (2002). Fulminant wound infections
due to Vibrio vulnificus. Isr. Med. Assoc. J. 4, 654–655. July 2022 | Volume 13 | Article 904815 Frontiers in Microbiology | www.frontiersin.org 20 Sanches-Fernandes et al. Vibriosis in Aquaculture Firmino, J., Furones, M. D., Andree, K. B., Sarasquete, C., Ortiz-Delgado,
J. B.,
Asencio-Alcudia,
G.,
et
al. (2019). Contrasting
outcomes
of
Vibrio
harveyi
pathogenicity
in
gilthead
seabream,
Sparus
aurata
and European seabass, Dicentrachus labrax. REFERENCES Aquaculture 511, 734210. doi: 10.1016/j.aquaculture.2019.734210 Seminar on Livestock Production and Veterinary Technology 2016, 554–560. doi: 10.14334/proc.intsem.lpvt-2016-p.554-560 p
p
p
Hernández-Robles, M. F., Natividad-Bonifacio, I., Álvarez-Contreras, A. K., ,
,
,
,
,
,
Tercero-Alburo, J. J., Quiñones-Ramírez, E. I., and Vázquez-Salinas, C. (2021). Characterization of potential virulence factors of Vibrio mimicus
isolated from fishery products and water. Int. J. Microbiol. 2021, 8397930. doi: 10.1155/2021/8397930 Gao, X. Y., Liu, Y., Miao, L. L., Li, E. W., Hou, T. T., and Liu, Z. P. (2017). Mechanism of anti-Vibrio activity of marine probiotic strain Bacillus
pumilus H2, and characterization of the active substance. AMB Exp. 7, 23–32. doi: 10.1186/s13568-017-0323-3 Hjelm, M., Bergh, Ø., Riaza, A., Nielsen, J., Melchiorsen, J., Jensen, S., et al. (2004). Selection and identification of autochthonous potential probiotic bacteria from
turbot larvae (Scophthalmus maximus) rearing units. Syst. Appl. Microbiol. 27,
360–371. doi: 10.1078/0723-2020-00256 García-Bernal, M., Medina-Marrero, R., Rodríguez-Jaramillo, C., Marrero-Chang,
O., Campa-Córdova, Á. I., Medina-García, R., et al. (2017). Probiotic effect
of Streptomyces spp. on shrimp (Litopenaeus vannamei) postlarvae challenged
with Vibrio parahaemolyticus. Aquac. Int. 25, 927–939. doi: 10.1111/anu. 12622 Hong, G. E., Kim, D. G., Bae, J. Y., Ahn, S. H., Bai, S. C., and Kong, I. S. (2007). Species-specific PCR detection of the fish pathogen, Vibrio anguillarum, using
the amiB gene, which encodes N-acetylmuramoyl-L-alanine amidase. FEMS
Microbiol. Lett. 269, 201–206. doi: 10.1111/j.1574-6968.2006.00618.x Gibson,
L. F.,
Woodworth,
J.,
and
George,
A. M. (1998). Probiotic
activity of Aeromonas media on the Pacific oyster, Crassostrea gigas,
when
challenged
with
Vibrio
tubiashii. Aquaculture
169,
111–120. doi: 10.1016/S0044-8486(98)00369-X Hoseinifar, S. H., Sun, Y. Z., Wang, A., and Zhou, Z. (2018). Probiotics as means
of diseases control in aquaculture, a review of current knowledge and future
perspectives. Front. Microbiol. 9, 1–18. doi: 10.3389/fmicb.2018.02429 Gildberg, A., Mikkelsen, H., Sandaker, E., and Ring,ø, E. (1997). Probiotic effect
of lactic acid bacteria in the feed on growth and survival of fry of Atlantic cod
(Gadus morhua). Hydrobiologia 352, 279–285. doi: 10.1023/A:1003052111938 Huang, J., Wu, Y. C., and Chi, S. C. (2014). Dietary supplementation of Pediococcus
pentosaceus enhances innate immunity, physiological health and resistance
to Vibrio anguillarum in orange-spotted grouper (Epinephelus coioides). Fish
Shellfish Immunol. 39, 196–205. doi: 10.1016/j.fsi.2014.05.003 Gomathi, R. S., Vinothkumar, R., and Arunagiri, K. (2013). Isolation and
Identification Vibrios from marine seafood samples. Int. J. Curr. Microbiol. Appl. Sci. 2, 36–43. Huang, Z., Yu, K., Fang, Y., Dai, H., Cai, H., Li, Z., et al. REFERENCES A., Pattukumar, V., and
Arul, V. (2010). First identification of a novel probiotic bacterium Streptococcus
phocae and its beneficial role in diseases control. J. Int. Dent. Med. Res. 3, 45–51. Håkonsholm, F., Lunestad, B. T., Aguirre Sánchez, J. R., Martinez-Urtaza, J.,
Marathe, N. P., and Svanevik, C. S. (2020). Vibrios from the Norwegian marine
environment: characterization of associated antibiotic resistance and virulence
genes. Microbiologyopen 9, 1–19. doi: 10.1002/mbo3.1093 Karthik, R., Jaffar Hussain, A., and Muthezhilan, R. (2014). Effectiveness of
Lactobacillus sp (AMET1506) as probiotic against vibriosis in penaeus monodon
and litopenaeus vannamei shrimp aquaculture. Biosci. Biotechnol. Res. Asia 11,
297–305. doi: 10.13005/bbra/1423 Haché, R., and Plante, S. (2011). The relationship between enrichment, fatty acid
profiles and bacterial load in cultured rotifers (Brachionus plicatilis L-strain)
and Artemia (Artemia salina strain Franciscana). Aquaculture 311, 201–208. doi: 10.1016/j.aquaculture.2010.11.034 Karthik, R., Pushpam, A., Chelvan, Y., and Vanitha, M. (2016). Efficacy
of probiotic and nitrifier bacterial consortium for the enhancement of
Litopenaeus Vannamei aquaculture. Int. J. Vet. Sci. Res. 2, 001–006. doi: 10.17352/ijvsr.000006 Haenen, O. L. M., Van Zanten, E., Jansen, R., Roozenburg, I., Engelsma, M. Y., Dijkstra, A., et al. (2014). Vibrio vulnificus outbreaks in Dutch eel farms
since 1996: Strain diversity and impact. Dis. Aquat. Organ. 108, 201–209. doi: 10.3354/dao02703 Kawatsu, K., Ishibashi, M., and Tsukamoto, T. (2006). Development and
evaluation of a rapid, simple, and sensitive immunochromatographic assay
to detect thermostable direct hemolysin produced by Vibrio parahaemolyticus
in enrichment cultures of stool specimens. J. Clin. Microbiol. 44, 1821–1827. doi: 10.1128/JCM.44.5.1821-1827.2006 Hai, N. V. (2015). The use of probiotics in aquaculture. J. Appl. Microbiol. 119,
917–935. doi: 10.1111/jam.12886 Haldar, S., Maharajan, A., Chatterjee, S., Hunter, S. A., Chowdhury, N., Hinenoya,
A., et al. (2010). Identification of Vibrio harveyi as a causative bacterium for
a tail rot disease of sea bream Sparus aurata from research hatchery in Malta. Microbiol. Res. 165, 639–648. doi: 10.1016/j.micres.2009.12.001 Kaysner, C. A., DePaola A. Jr., and Jones, J. (2004). Food and Drugs Administration:
Bacteriological Analytical Manual, Methods for Specific Pathogens. Vibrio spp. U.S. Department of Health and Human Services. Available online at: https://
www.fda.gov/food/laboratory-methods-food/bam-chapter-9-vibrio (accessed
June 6, 2022). icrobiol. Res. 165, 639–648. doi: 10.1016/j.micres.2009.12.001 Halpern, M., and Izhaki, I. (2017). Fish as hosts of Vibrio cholerae. Front. Microbiol. 8, 282. doi: 10.3389/fmicb.2017.00282 Khushi, S. S., Sumon, M. S., Ahmmed, M. K., Hasan Zilani, M. N., Ahmmed, F.,
Giteru, S. G., et al. (2022). REFERENCES (2020). Comparative
genomics
and
transcriptomics
analyses
reveal
a
unique
environmental adaptability of Vibrio fujianensis. Microorganisms 8, 555–570. doi: 10.3390/microorganisms8040555 Gomez-Gil, B., Thompson, F. L., Thompson, C. C., Garcia-Gasca, A., Roque,
A., and Swings, J. (2004). Vibrio hipanicus sp. nov., isolated from Artemia
sp. and sea water in Spain. Int. J. Syst. Evol. Microbiol. 54, 261–265. doi: 10.1099/ijs.0.02775-0 Igarashi, M. A., Sugita, H., and Deguchi, Y. (1989). Microflora associated with
eggs and nauplii of Artemia salina. Nippon Suisan Gakkaishi 55, 2045–2045. doi: 10.2331/suisan.55.2045 Gomez-Gil, B., Thompson, F. L., Thompson, C. C., and Swings, J. (2003). Vibrio
rotiferianus sp. nov., isolated from cultures of the rotifer Brachionus plicatilis. Int. J. Syst. Evol. Microbiol. 53, 239–243. doi: 10.1099/ijs.0.02430-0 Interaminense, J. A., Ferreira Calazans, N., do Valle, B. C., Lyra Vogeley, J., Peixoto,
S., Soares, R., et al. (2014). Vibrio spp. control at brine shrimp, artemia, hatching
and enrichment. J. World Aquac. Soc. 45, 65–74. doi: 10.1111/jwas.12096 Gram, L., Melchiorsen, J., Spanggaard, B., Huber, I., and Nielsen, T. F. (1999). Inhibition of Vibrio anguillarum by Pseudomonas fluorescens AH2,
a possible probiotic treatment of fish. Appl. Environ. Microb. 65, 969–973. doi: 10.1128/AEM.65.3.969-973.1999 Kahla-Nakbi, A., Ben Besbes, A., Bakhrouf, A., and Alcaide, E. (2007). Characterisation and virulence properties of Vibrio isolates from diseased
gilthead sea bream (Sparus aurata) cultured in Tunisia. Bull. Eur. Assoc. Fish
Pathol. 27, 90–99. Guidetti, P., Fanelli, G., Fraschetti, S., Terlizzi, A., and Boero, F. (2002). Coastal fish
indicate human-induced changes in the Mediterranean littoral. Mar. Environ. Res. 53, 77–94. doi: 10.1016/S0141-1136(01)00111-8 Kahla-Nakbi, A., Ben Chaieb, K., and Bakhrouf, A. (2009). Investigation of several
virulence properties among Vibrio alginolyticus strains isolated from diseased
cultured fish in Tunisia. Dis. Aquat. Organ. 86, 21–28. doi: 10.3354/dao02091 Guidi, L. R., Santos, F. A., Ribeiro, A. C. S. R., Fernandes, C., Silva, L. H. M.,
and Gloria, M. B. A. (2018). Quinolones and tetracyclines in aquaculture
fish by a simple and rapid LC-MS/MS method. Food Chem. 245, 1232–1238. doi: 10.1016/j.foodchem.2017.11.094 Kahla-Nakbi, A. B., Chaieb, K., Besbes, A., Zmantar, T., and Bakhrouf, A. (2006). Virulence and enterobacterial repetitive intergenic consensus PCR of Vibrio
alginolyticus strains isolated from Tunisian cultured gilthead sea bream and sea
bass outbreaks. Vet. Microbiol. 117, 321–327. doi: 10.1016/j.vetmic.2006.06.012 Gullian, M., Thompson, F., and Rodriguez, J. (2004). Selection of probiotic bacteria
and study of their immunostimulatory effect in Penaeus vannamei. Aquaculture
233, 1–14. doi: 10.1016/j.aquaculture.2003.09.013 Kanmani, P., Satish Kumar, R., Yuvaraj, N., Paari, K. REFERENCES Potential probiotic and health fostering effect of
host gut-derived Enterococcus faecalis on freshwater prawn, Macrobrachium
rosenbergii. Aquac. Fish. 7, 59–66. doi: 10.1016/j.aaf.2020.10.004 Hamdan, R. H., Peng, T. L., Ong, B. L., Suhana, M. Y. S., Hamid, N. H., Afifah,
M. N. F., et al. (2016). “Antibiotics resistance of Vibrio spp. isolated from
diseased seabass and tilapia in cage culture,” in Proceedings of International July 2022 | Volume 13 | Article 904815 Frontiers in Microbiology | www.frontiersin.org 21 Sanches-Fernandes et al. Vibriosis in Aquaculture for food safety and stability: general aspects and overall description,”
in
Innovative
Technologies
for
Food
Preservation,
eds
F. J. Barba,
A. S. Sant’Ana, V. Orlien, and M. Koubaa (London: Academic Press),
53–107. doi: 10.1016/B978-0-12-811031-7.00003-0 Kitaura, S., Okamoto, K., Wakabayashi, Y., Okada, Y., Okazaki, A., Ikeda, M.,
et al. (2020). Vibrio fluvialis liver abscess and bacteremia in a sashimi lover:
a case report and review of the literature. Open Forum Infect. Dis. 7, 3–5. doi: 10.1093/ofid/ofaa212 Lulijwa, R., Rupia, E. J., and Alfaro, A. C. (2020). Antibiotic use in aquaculture,
policies and regulation, health and environmental risks: a review of the top 15
major producers. Rev. Aquacult. 12, 640–663. doi: 10.1111/raq.12344 Konechnyi, Y., Khorkavyi, Y., Ivanchuk, K., Kobza, I., Sekowska, A., and
Korniychuk, O. (2021). Vibrio metschnikovii: current state of knowledge and
discussion of recently identified clinical case. Clin. Case Rep. 9, 2236–2244. doi: 10.1002/ccr3.3999 Ma, J., Bruce, T. J., Jones, E. M., and Cain, K. D. (2019). A review of fish vaccine
development strategies: conventional methods and modern biotechnological
approaches. Microorganisms 7, 569. doi: 10.3390/microorganisms7110569 Kongnum, K., and Hongpattarakere,T. (2012). Effect of Lactobacillus plantarum
isolated from digestive tract of wild shrimp on growth and survival of white
shrimp (Litopenaeus vannamei) challenged with Vibrio harveyi. Fish Shellfish
Immunol. 32, 170–177. doi: 10.1016/j.fsi.2011.11.008 MacFadden, D. R., McGough, S. F., Fisman, D., Santillana, M., and Brownstein,
J. S. (2018). Antibiotic resistance increases with local temperature. Nat. Clim. Chang. 8, 510–514. doi: 10.1038/s41558-018-0161-6 Korun, J., and Timur, G. (2008). Marine vibrios associated with diseased
sea
bass
(Dicentrarchus
labrax)
in
Turkey. J. Fish. Sci. 2,
66–76. doi: 10.3153/jfscom.2008007 Maeda, M., Shibata, A., Biswas, G., Korenaga, H., Kono, T., Itami, T., et al. (2014). Isolation of lactic acid bacteria from kuruma shrimp (Marsupenaeus japonicus)
intestine and assessment of immunomodulatory role of a selected strain as
probiotic. Mar. Biotechnol 16, 181–192. doi: 10.1007/s10126-013-9532-1 Kumar, N. R., Raman, R. P., Jadhao, S. B., Brahmchari, R. REFERENCES P.,
et
al. (2017). A
probiotic
Bacillus
strain
containing
amorphous
poly-beta-hydroxybutyrate (PHB) stimulates the innate immune response
of Penaeus Monodon post-larvae. Fish Shellfish Immunol. 68, 202–210. doi: 10.1016/j.fsi.2017.07.023 Mougin, J., Flahaut, C., Roquigny, R., Bonnin-Jusserand, M., Grard, T., and
Le Bris, C. (2020). Rapid identification of Vibrio species of the harveyi
clade using MALDI-TOF MS profiling with main spectral profile database
implemented with an in-house database: Luvibase. Front. Microbiol. 11, 586536. doi: 10.3389/fmicb.2020.586536 Laranja, J. L. Q., Ludevese-Pascual, G. L., Amar, E. C., Sorgeloos, P.,
Bossier, P., and Schryver, P. D. (2014). Poly-β-hydroxybutyrate (PHB)
accumulating Bacillus spp. improve the survival, growth and robustness of
Penaeus monodon (Fabricius, 1798) post-larvae. Vet. Microbiol. 173, 310–317. doi: 10.1016/j.vetmic.2014.08.011 Moussa, M., Cauvin, E., Le Piouffle, A., Lucas, O., Bidault, A., Paillard, C., et al. (2021). A MALDI-TOF MS database for fast identification of Vibrio spp. potentially pathogenic to marine molluscs. Appl. Microbiol. Biotechnol. 105,
2527–2539. doi: 10.1007/s00253-021-11141-0 Li, H. D., Tian, X. L., and Dong, S. L. (2019). Growth performance, non-
specific immunity, intestinal histology and disease resistance of Litopenaeus
vannamei fed on a diet supplemented with live cells of Clostridium butyricum. Aquaculture 498, 470–481. doi: 10.1016/j.aquaculture.2018.09.003 Moustafa, M., Eissa, A. E., Laila, A. M., Gaafar, A. Y., Abumourad, I. M. K., and
Elgendy, M. Y. (2015). Investigations into the potential causes of mass kills
in mari-cultured gilthead sea bream (Sparus aurata) at Northern Egypt. Res. J. Pharm. Biol. Chem. Sci. 6, 466–477. quaculture 498, 470–481. doi: 10.1016/j.aquaculture.2018.09.003 Li, J., Tan, B., Mai, K., Ai, Q., Zhang, W., Liufu, Z., et al. (2008). Immune responses
and resistance against Vibrio parahaemolyticus induced by probiotic bacterium
Arthrobacter XE-7 in Pacific white shrimp, Litopenaeus vannamei. J. World
Aquac. Soc. 39, 477–489. doi: 10.1111/j.1749-7345.2008.00188.x Muniesa, A., Basurco, B., Aguilera, C., Furones, D., Reverté, C., Sanjuan-Vilaplana,
A., et al. (2020). Mapping the knowledge of the main diseases affecting sea
bass and sea bream in Mediterranean. Transbound. Emerg. Dis. 67, 1089–1100. doi: 10.1111/tbed.13482 Li, P., Xin, W., Xia, S., Luo, Y., Chen, Z., Jin, D., et al. (2018). MALDI-
TOF
mass
spectrometry-based
serotyping
of
V. parahaemolyticus
isolated from the Zhejiang province of China. BMC Microbiol. 18, 1–10. doi: 10.1186/s12866-018-1328-z Mustapha, S., Mustapha, E., and Nozha, C. (2013). Vibrio alginolyticus: an
emerging pathogen of foodborne diseases. Int. J. Sci. Technol 2, 302–309. Liu, H., Li, Z., Tan, B., Lao, Y., Duan, Z., Sun, W., et al. (2014). REFERENCES K., Kumar, K., and
Dash, G. (2013). Effect of dietary supplementation of Bacillus licheniformis
on gut microbiota, growth and immune response in giant freshwater
prawn, Macrobrachium rosenbergii (de Man, 1879). Aquac. Int. 21, 387–403. doi: 10.1007/s10499-012-9567-8 Martinez-Urtaza, J., Simental, L., Velasco, D., DePaola, A., Ishibashi, M.,
Nakaguchi, Y., et al. (2005). Pandemic Vibrio parahaemolyticus O3:K6, Europe. Emerg Infect Dis. 11, 1319–1320. doi: 10.3201/eid1108.050322 Masitoh, M. M., Hariati, A. M., and Fadjar, M. (2016). Antimicrobial activity
of Bacillus cereus and Bacillus thuringiensis on pathogenic Vibrio harveyi in
Litopenaeus vannamei. J. Life Sci. Biomed. 6, 10–14. Kumar, S., Kumar, C. B., Rajendran, V., Abishaw, N., Anand, P. S. S., Kannapan,
S., et al. (2021). Delineating virulence of Vibrio campbellii: a predominant
luminescent bacterial pathogen in Indian shrimp hatcheries. Sci. Rep. 11, 1–16. doi: 10.1038/s41598-021-94961-4 Matsumoto, C., Okuda, J., Ishibashi, M., Iwanaga, M., Garg, P., Rammamurthy,
T., et al. (2000). Pandemic spread of an O3:K6 clone of Vibrio parahaemolyticus
and
emergence
of
related
strains
evidenced
by
arbitrarily
primed
PCR
and
toxRS
sequence
analyses. J. Clin. Microbiol. 38,
578–585. doi: 10.1128/JCM.38.2.578-585.2000 Kumar, V., Baruah, K., Nguyen, D. V., Smagghe, G., Vossen, E., and Bossier, P. (2018). Phloroglucinol-mediated Hsp70 production in crustaceans: protection
against Vibrio parahaemolyticus in Artemia franciscana and Macrobrachium
rosenbergii. Front. Immunol. 9, 1091. doi: 10.3389/fimmu.2018.01091 Meaden, S., and Koskella, B. (2013). Exploring the risks of phage application in the
environment. Front. Microbiol. 4, 1–8. doi: 10.3389/fmicb.2013.00358 Laczka, O. F., Labbate, M., Seymour, J. R., Bourne, D. G., Fielder, S. S., and Doblin,
M. A. (2014). Surface immuno-functionalisation for the capture and detection
of Vibrio species in the marine environment: a new management tool for
industrial facilities. PLoS ONE 9, 1–9. doi: 10.1371/journal.pone.0108387 Montieri, S., Suffredini, E., Ciccozzi, M., and Croci, L. (2010). Phylogenetic
and evolutionary analysis of Vibrio parahaemolyticus and Vibrio alginolyticus
isolates based on toxR gene sequence. New Microbiol. 33, 359–372. Lages, M. A., Balado, M., and Lemos, M. L. (2019). The expression of virulence
factors in Vibrio anguillarum is dually regulated by iron levels and temperature. Front. Microbiol. 10, 1–11. doi: 10.3389/fmicb.2019.02335 Moroni, F., Naya-Català, F., Piazzon, M. C., Rimoldi, S., Calduch-Giner, J.,
Giardini, A., et al. (2021). The effects of nisin-producing Lactococcus lactis
strain used as probiotic on gilthead sea bream (Sparus aurata) growth,
gut microbiota, and transcriptional response. Front. Mar. Sci. 8, 659519. doi: 10.3389/fmars.2021.659519 Laranja, J., Amar, E., Ludevese, G., Niu, Y., Geaga, M. J., Schryver, D. REFERENCES 27, 869–880. doi: 10.1007/s11274-010-0529-x O’Neill, J. (2015). Antimicrobials in Agriculture and the Environment: Reducing
Unnecessary Use and Waste. The Review on Antimicrobial Resistance. London:
HM Government and the Wellcome Trust. Available online at: https://
wellcomecollection.org/works/x88ast2u Ravi, A. V., Musthafa, K. S., Jegathammbal, G., Kathiresan, K., and Pandian, S. K. (2007). Screening and evaluation of probiotics as a biocontrol agent against
pathogenic Vibrios in marine aquaculture. Lett. Appl. Microbiol. 45, 219–223. doi: 10.1111/j.1472-765X.2007.02180.x Pan, X., Wu, T., Song, Z., Tang, H., and Zhao, Z. (2008). Immune responses and
enhanced disease resistance in Chinese drum, Miichthys miiuy (Basilewsky),
after oral administration of live or dead cells of Clostridium butyricum CB2. J. Fish. Dis. 31, 679–686. doi: 10.1111/j.1365-2761.2008.00955.x Reina, J., Fernandez-Baca, V., and Lopez, A. (1995). Acute gastroenteritis caused
by Vibrio alginolyticus in an immunocompetent patient. Clin Infect Dis. 21,
1044–1045. doi: 10.1093/clinids/21.4.1044 Pande, G. S. J., Natrah, F. M. I., Flandez, A. V. B., Kumar, U., Niu, Y.,
Bossier, P., et al. (2015). Isolation of AHL-degrading bacteria from micro-
algal cultures and their impact on algal growth and on virulence of Vibrio
campbellii to prawn larvae. Appl. Microbiol. Biotechnol 99, 10805–10813. doi: 10.1007/s00253-015-6918-1 Rengpipat,
S.,
Phianphak,
W.,
Piyatiratitivorakul,
S.,
and
Menasveta,
P. (1998). Effects
of
a
probiotic
bacterium
on
black
tiger
shrimp
Penaeus
monodon
survival
and
growth. Aquaculture
167,
301–313. doi: 10.1016/S0044-8486(98)00305-6 Rengpipat, S., Rukpratanporn, S., Piyatiratitivorakul, S., and Menasaveta, P. (2000). Immunity enhancement in black tiger shrimp (Penaeus monodon)
by
a
probiont
bacterium
(Bacillus
S11). Aquaculture
191,
271–288. doi: 10.1016/S0044-8486(00)00440-3 Paperna, I. (1984). “Review of diseases affecting cultured Sparus aurata and
Dicentrarchus labrax,: in L’Aquaculture du Bar et des Sparidés, eds B. Barnabé,
and R. Billard (Paris: INRA Publisher), 465–482. Pepi, M., and Focardi, S. (2021). Antibiotic-resistant bacteria in aquaculture and
climate change: A challenge for health in the Mediterranean area. Int. J. Environ. Res. Public Health 18. doi: 10.3390/ijerph18115723 Reverter, M., Sarter, S., Caruso, D., Avarre, J. C., Combe, M., Pepey, E., et al. (2020). Aquaculture at the crossroads of global warming and antimicrobial resistance. Nat. Commun. 11, 1–8. doi: 10.1038/s41467-020-15735-6 Pérez-Sánchez, T., Ruiz-Zarzuela, I., de Blas, I., and Balcázar, J. L. (2014). Probiotics in aquaculture: a current assessment. Rev. Aquac. 6, 133–146. doi: 10.1111/raq.12033 Richards, G. P. (2014). Bacteriophage remediation of bacterial pathogens
in aquaculture: a review of the technology. Bacteriophage 4, e975540. doi: 10.4161/21597081.2014.975540 Pham, D., Ansquer, D., Chevalier, A., Dauga, C., Peyramale, A., Wabete, N.,
et al. REFERENCES (2014). Selection and characterization of potential probiotic bacteria for
Litopenaeus stylirostris shrimp hatcheries in New Caledonia. Aquaculture 432,
475–482. doi: 10.1016/j.aquaculture.2014.04.031 Richards, G. P., Needleman, D. S., Watson, M. A., and Bono, J. L. (2014). Complete
genome sequence of the larval shellfish pathogen Vibrio tubiashii type strain
ATCC 19109. Genome Announc. 2, 7–8. doi: 10.1128/genomeA.01252-14 Ringø, E. (2020). Probiotics in shellfish aquaculture. Aquac. Fish. 5, 1–27. doi: 10.1016/j.aaf.2019.12.001 Planas, M., Pérez-Lorenzo, M., Hjelm, M., Gram, L., Uglenes Fiksdal, I., Bergh, Ø.,
et al. (2006). Probiotic effect in vivo of Roseobacter strain 27-4 against Vibrio
(Listonella) anguillarum infections in turbot (Scophthalmus maximus L.) larvae. Aquaculture 255, 323–333. doi: 10.1016/j.aquaculture.2005.11.039 Robertson, P. A. W., O’Dowd, C., Burrells, C., Williams, P., and Austin, B. (2000). Use of Carnobacterium sp. as a probiotic for Atlantic salmon (Salmo salar
L.) and rainbow trout (Oncorhynchus mykiss, Walbaum). Aquaculture 185,
235–243. doi: 10.1016/S0044-8486(99)00349-X quaculture 255, 323–333. doi: 10.1016/j.aquaculture.2005.11.039 Pousão-Ferreira, P. M. (2009). Manual de cultivo e bioencapsulação da cadeia
alimentar para a larvicultura de peixes marinhos. Ed. IPIMAR, 1–235. Available
online at: https://www.ipma.pt/export/sites/ipma/bin/docs/publicacoes/pescas. mar/Manual_Cadeia__Alimentar_final.pdf (accessed June 6, 2022). Rodríguez-Blanco, A., Lemos, M. L., and Osorio, C. R. (2012). Integrating
conjugative elements as vectors of antibiotic, mercury, and quaternary
ammonium compound resistance in marine aquaculture environments. Antimicrob. Agents Chemother. 56, 2619–2626. doi: 10.1128/AAC.05997-11 Prol-García, M. J., Planas, M., and Pintado, J. (2010). Different colonization and
residence time of Listonella anguillarum and Vibrio splendidus in the rotifer
Brachionus plicatilis determined by real-time PCR and DGGE. Aquaculture 302,
26–35. doi: 10.1016/j.aquaculture.2010.02.004 g
Romalde, J. L., Diéguez, A. L., Lasa, A., and Balboa, S. (2014). New Vibrio
species associated to molluscan microbiota: a review. Front. Microbiol. 4, 1–11. doi: 10.3389/fmicb.2013.00413 Rombaut, G., Suantika, G., Boon, N., Maertens, S., Dhert, P., Top, E.,
et al. (2001). Monitoring of the evolving diversity of the microbial
community
present
in
rotifer
cultures. Aquaculture
198,
237–252. doi: 10.1016/S0044-8486(01)00594-4 Pujalte,
M. J.,
Sitjà-Bobadilla,
A.,
Álvarez-Pellitero,
P.,
and
Garay,
E. (2003). Carriage of potentially fish-pathogenic bacteria in Sparus aurata
cultured in Mediterranean fish farms. Dis. Aquat. Organ. 54, 119–126. doi: 10.3354/dao054119 Quilici, M. L., Robert-Pillot, A., Picart, J., and Fournier, J. M. (2005). Pandemic
vibrio parahaemolyticus o3:K6 spread, France [3]. Emerg. Infect. Dis. 11,
1148–1149. doi: 10.3201/eid1107.041008 Roomiani, L., Ahmadi, S., and Ghaeni, M. (2018). Immune response and disease
resistance in the white shrimp, Litopenaeus vannamei induced by potential
probiotic Lactobacillus bulgaricus. Ankara Univ. Vet. Fak. Derg. REFERENCES Isolation of a
putative probiotic strain S12 and its effect on growth performance, non-specific
immunity and disease-resistance of white shrimp, Litopenaeus vannamei. Fish
Shellfish Immunol. 41, 300–307. doi: 10.1016/j.fsi.2014.08.028 Nair, G. B., Ramamurthy, T., Bhattacharya, S. K., Dutta, B., Takeda, Y., and Sack, D. A. (2007). Global dissemination of Vibrio parahaemolyticus serotype O3:K6 and
its serovariants. Clin. Microbiol. Rev. 20, 39–48. doi: 10.1128/CMR.00025-06 Natesan, S., Muthuraman, S., and Gopal, S. (2012). Probiotic effect of Lactobacillus
acidophilus against vibriosis in juvenile shrimp (Penaeus monodon). African J. Biotechnol. 11, 15811–15818. doi: 10.5897/AJB12.1328 Liu, L., Ge, M., Zheng, X., Tao, Z., Zhou, S., and Wang, G. (2016). Investigation of Vibrio alginolyticus, V. harveyi, and V. parahaemolyticus
in large yellow croaker, Pseudosciaena crocea (Richardson) reared in
Xiangshan Bay, China. Aquac. Rep. 3, 220–224. doi: 10.1016/j.aqrep.2016.0
4.004 NavinChandran, M., Iyapparaj, P., Moovendhan, S., Ramasubburayan, R., Prakash,
S., Immanuel, G., et al. (2014). Influence of probiotic bacterium Bacillus cereus
isolated from the gut of wild shrimp Penaeus monodon in turn as a potent
growth promoter and immune enhancer in P. monodon. Fish Shellfish Immunol. 36, 38–45. doi: 10.1016/j.fsi.2013.10.004 Lorenzo, J. M., Munekata, P. E., Dominguez, R., Pateiro, M., Saraiva, J. A.,
and Franco, D. (2018). “Main groups of microorganisms of relevance July 2022 | Volume 13 | Article 904815 Frontiers in Microbiology | www.frontiersin.org 22 Sanches-Fernandes et al. Vibriosis in Aquaculture Nguyen, H. N. K., Van, T. T. H., Nguyen, H. T., Smooker, P. M., Shimeta, J.,
and Coloe, P. J. (2014). Molecular characterization of antibiotic resistance
in Pseudomonas and Aeromonas isolates from catfish of the Mekong Delta,
Vietnam. Vet. Microbiol. 171, 397–405. doi: 10.1016/j.vetmic.2014.01.028 in non-axenic algae and copepod systems. Microb. Biotechnol. 11, 1070–1079. doi: 10.1111/1751-7915.13275 in non-axenic algae and copepod systems. Microb. Biotechnol. 11, 1070–1079. doi: 10.1111/1751-7915.13275 Rattanachuay, P., Kantachote, D., and Suntinanalert, P. (2007). Selection of
proteolytic bacteria with ability to inhibit Vibrio harveyi during white
shrimp (Litopenaeus vannamei) cultivation. Songklanakarin J. Sci. Technol. 29, 235–243. Nguyen, T. T. G., Nguyen, T. C., Leelakriangsak, M., Pham, T. T., Pham, Q. H.,
Lueangthuwapranit, C., et al. (2018). Promotion of Lactobacillus plantarum
on growth and resistance against acute hepatopancreatic necrosis disease
pathogens in white-leg shrimp (Litopenaeus vannamei). Thai J. Vet. Med. 48, 19–28. Rattanachuay, P., Kantachote, D., Tantirungkij, M., Nitoda, T., and Kanzaki,
H. (2011). Antivibrio compounds produced by Pseudomonas sp. W3:
characterisation and assessment of their safety to shrimps. World J. Microbiol. Biotechnol. REFERENCES King Saud Univ. Sci. 30, 21–28. doi: 10.1016/j.jksus.2016.11.003 Sharifuzzaman, S. M., Abbass, A., Tinsley, J. W., and Austin, B. (2011). Subcellular
components
of
probiotics
Kocuria
SM1
and
Rhodococcus
SM2 induce protective immunity in rainbow trout (Oncorhynchus mykiss,
Walbaum) against Vibrio anguillarum. Fish Shellfish Immunol. 30, 347–353. doi: 10.1016/j.fsi.2010.11.005 Swain, S. M., Singh, C., and Arul, V. (2009). Inhibitory activity of probiotics
Streptococcus phocae PI80 and Enterococcus faecium MC13 against vibriosis
in shrimp Penaeus monodon. World J. Microbiol. Biotechnol. 25, 697–703. doi: 10.1007/s11274-008-9939-4 Sharifuzzaman, S. M., and Austin, B. (2010). Development of protection
in rainbow trout (Oncorhynchus mykiss, Walbaum) to Vibrio anguillarum
following use of the probiotic Kocuria SM1. Fish Shellfish Immunol. 29, 212–216. doi: 10.1016/j.fsi.2010.03.008 Tan, C. W., Rukayadi, Y., Hasan, H., Abdul-Mutalib, N. A., Jambari, N. N., Hara,
H., et al. (2021). Isolation and characterization of six Vibrio parahaemolyticus
lytic bacteriophages from seafood samples. Front. Microbiol. 12, 616548. doi: 10.3389/fmicb.2021.616548 Shefat, S. H. T. (2018). Use of probiotics in shrimp aquaculture in bangladesh. Acta
Sci. Microbiol. 1, 20–27. Tepaamorndech,
S.,
Chantarasakha,
K.,
Kingcha,
Y.,
Chaiyapechara,
S.,
Phromson, M., Sriariyanun, M., et al. (2019). Effects of Bacillus aryabhattai
TBRC8450 on vibriosis resistance and immune enhancement in Pacific
white shrimp, Litopenaeus vannamei. Fish Shellfish Immunol. 86, 4–13. doi: 10.1016/j.fsi.2018.11.010 Siddique, A. B., Moniruzzaman, M., Ali, S., Dewan, M. N., Islam, M. R., Islam,
M. S., et al. (2021). Characterization of pathogenic Vibrio parahaemolyticus
isolated from fish aquaculture of the southwest coastal area of Bangladesh. Front. Microbiol. 12, 635539. doi: 10.3389/fmicb.2021.635539 Thompson, F. L., Iida, T., and Swings, J. (2004). Biodiversity of Vibrios. Microbiol. Mol. Biol. Rev. 68, 403–431. doi: 10.1128/MMBR.68.3.403-431.2004 Sivakumar, N., Sundararaman, N., and Selvakumar, G. (2012). Probiotic effect
of Lactobacillus acidophilus against vibriosis in juvenile shrimp (Penaeus
monodon). African J. Biotechnol. 11, 15811–15818. doi: 10.5897/ajb12.1328 Torres-Corral, Y., Girons, A., González-Barreiro, O., Seoane, R., Riaza, A., and
Santos, Y. (2021). Effect of bivalent vaccines against Vibrio anguillarum and
Aeromonas salmonicida subspecies achromogenes on health and survival of
turbot. Vaccines 9, 1–13. doi: 10.3390/vaccines9080906 Skjermo, J., and Bergh, Ø. (2004). High-M alginate immunostimulation of
Atlantic halibut (Hippoglossus hippoglossus L.) larvae using Artemia for
delivery, increases resistance against vibriosis. Aquaculture 238, 107–113. doi: 10.1016/j.aquaculture.2004.05.038 Tseng, D. Y., Ho, P. L., Huang, S. Y., Cheng, S. C., Shiu, Y. L., et al. (2009). Enhancement of immunity and disease resistance in the white shrimp,
Litopenaeus vannamei, by the probiotic, Bacillus subtilis E20. REFERENCES Characterization of the probiotic strain Vagococcus fluvialis in the protection
of European sea bass (Dicentrarchus labrax) against vibriosis by Vibrio
anguillarum. Vet. Microbiol. 155, 369–373. doi: 10.1016/j.vetmic.2011.09.013 Sapcharoen, P., and Rengpipat, S. (2013). Effects of the probiotic Bacillus subtilis
(BP11 and BS11) on the growth and survival of Pacific white shrimp,
Litopenaeus vannamei. Aquacult. Nutr. 19, 946–954. doi: 10.1111/anu.12040 Sorroza, L., Real, F., Acosta, F., Acosta, B., Deniz, S., Roman, L., et al. (2013). A probiotic potential of Enterococcus gallinarum against Vibrio anguillarum
infection, Fish Pathol. 48, 9–12. doi: 10.3147/jsfp.48.9 Sarjito, R., Radjasa, O. K., Sabdono, A., Prayitno, S. B., and Hutabarat, S. (2009). Phylogenetic diversity of the causative agents of vibriosis associated
with groupers fish from Karimunjawa Islands. Indonesia. Curr. Res. Bacteriol. 2, 14–21. doi: 10.3923/crb.2009.14.21 Soto-Rodriguez, S. A., Roque, A., Lizarraga-Partida, M. L., Guerra-Flores, A. L., and Gomez-Gil, B. (2003). Virulence of luminous vibrios to Artemia
franciscana nauplii. Dis. Aquat. Organ. 53, 231–240. doi: 10.3354/dao053231 Stentiford, G. (2017). Solving the $6 Billion Per Year Global Aquaculture Disease
Problem. Marine Science Blog Gov. Available online at: https://marinescience. blog.gov.uk/2017/02/02/solving-the-6-billion-per-year-global-aquaculture-
disease-problem/ (accessed June 6, 2022). Scarano, C., Spanu, C., Ziino, G., Pedonese, F., Dalmasso, A., Spanu, V., et al. (2014). Antibiotic resistance of Vibrio species isolated from Sparus aurata
reared in Italian mariculture. New Microbiol. 37, 329–337. Schar, D., Klein, E. Y., Laxminarayan, R., Gilbert, M., and Van Boeckel, T. P. (2020). Global trends in antimicrobial use in aquaculture. Sci. Rep. 10, 1–9. doi: 10.1038/s41598-020-78849-3 Stentiford, G. D., Sritunyalucksana, K., Flegel, T. W., Williams, B. A. P.,
Withyachumnarnkul, B., Itsathitphaisarn, O., et al. (2017). New paradigms
to help solve the global aquaculture disease crisis. PLoS Pathog. 13, 1–6. doi: 10.1371/journal.ppat.1006160 Sha, Y., Liu, M., Wang, B., Jiang, K., Qi, C., and Wang, L. (2016a). Bacterial population in intestines of litopenaeus vannamei fed different
probiotics or probiotic supernatant. J. Microbiol. Biotechnol. 26, 1736–1745. doi: 10.4014/jmb.1603.03078 Stickney, R. (2016). Aquaculture: An Introductory Text, 3rd Edn. Oxfordshire:
CABI Publishing. Sha, Y., Wang, B., Liu, M., Jiang, K., and Wang, L. (2016b). Interaction
between Lactobacillus pentosus HC-2 and Vibrio parahaemolyticus E1 in
Litopenaeus vannamei in vivo and in vitro. Aquaculture 465, 117–123. doi: 10.1016/j.aquaculture.2016.09.007 Sumon, M. S., Ahmmed, F., Khushi, S. S., Ahmmed, M. K., Rouf, M. A.,
Chisty, M. A. H., et al. (2018). Growth performance, digestive enzyme
activity and immune response of Macrobrachium rosenbergii fed with probiotic
Clostridium butyricum incorporated diets. J. REFERENCES 65, 323–329. doi: 10.1501/Vetfak_0000002863 Raghu, P., Rajikkannu, M., Baburajan, R., Deva, A., and Nandakumar, R. (2016). Effect of Bacillus coagulans and B. firmus incorporated probiotic diet on
Superoxide dismutase activity and catalase activity in Penaeus monodon. World
Sci. News 44, 224–235. Sadok, K., Mejdi, S., Nourhen, S., et al. (2013). Phenotypic characterization
and RAPD fingerprinting of Vibrio parahaemolyticus and Vibrio alginolyticus
isolated during Tunisian fish farm outbreaks. Folia Microbiol. 58, 17–26. doi: 10.1007/s12223-012-0174-x Ramamurthy, T., Chowdhury, G., Pazhani, G. P., and Shinoda, S. (2014). Vibrio fluvialis: an emerging human pathogen. Front. Microbiol. 5, 1–8. doi: 10.3389/fmicb.2014.00091 Sakai, M., Toshida, S., Atsuta, M., and Kobayashi, M. (1995). Enhancement of
resistance to vibriosis in rainbow trout, Oncorhynchus mykiss (Walbaum), by
oral administration of Clostridium butyricum bacterin. J. Fish Dis. 18, 187–190. doi: 10.1111/j.1365-2761.1995.tb00276.x Ramírez, N. C. B., Rodrigues, M. S., Guimarães, A. M., Guertler, C., Rosa,
J. R., Seiffert, W. Q., et al. (2017). Effect of dietary supplementation
with butyrate and probiotic on the survival of Pacific white shrimp
after challenge with Vibrio alginolyticus. Rev. Bras. Zootec. 46, 471–477. doi: 10.1590/s1806-92902017000600001 Sanches-Fernandes, G. M. M., Califano, G., Castanho, S., Soares, F., Ribeiro,
L., Pousão-Ferreira, P., et al. (2021a). Effects of live feed manipulation with
algal-derived antimicrobial metabolites on fish larvae microbiome assembly:
a molecular-based assessment. Aquac. Res. 53, 1062–1083. doi: 10.1111/are. 15648 Rasmussen, B. B., Erner, K. E., Bentzon-Tilia, M., and Gram, L. (2018). Effect of
TDA-producing Phaeobacter inhibens on the fish pathogen Vibrio anguillarum July 2022 | Volume 13 | Article 904815 Frontiers in Microbiology | www.frontiersin.org 23 Vibriosis in Aquaculture Sanches-Fernandes et al. Sanches-Fernandes, G. M. M., Califano, G., Keller-Costa, T., Castanho, S., Soares,
F., Ribeiro, L., et al. (2021b). Draft genome sequence of Vibrio chagasii 18LP,
isolated from gilthead seabream (Sparus aurata) larvae reared in aquaculture. Microbiol. Resour. Announc. 10, e0065821. doi: 10.1128/MRA.00658-21 Sorieul, L., Wabete, N., Ansquer, D., Mailliez, J. R., Pallud, M., Zhang, C.,
et al. (2018). Survival improvement conferred by the Pseudoalteromonas
sp. NC201
probiotic
in
Litopenaeus
stylirostris
exposed
to
Vibrio
nigripulchritudo infection and salinity stress. Aquaculture 495, 888–898. doi: 10.1016/j.aquaculture.2018.06.058 Sanches-Fernandes, G. M. M., Califano, G., Keller-Costa, T., Castanho, S., Soares,
F., Ribeiro, L., et al. (2021c). Draft genome sequence of Vibrio jasicida
20LP, an opportunistic bacterium isolated from fish larvae. Microbiol. Resour. Announc. 10, e0081321. doi: 10.1128/MRA.00813-21 Sorroza, L., Padilla, D., Acosta, F., Román, L., Grasso, V., Vega, J., et al. (2012). REFERENCES Shifting the paradigm from pathogens to pathobiome
new concepts in the light of meta-omics. Front. Cell. Infect. Microbiol. 5, 1–7. doi: 10.3389/fcimb.2014.00029 Wong,
K. K.,
and
Griffin,
P. M. (2018). “Other
Vibrio
species,”
in
Principles and Practices of Pediatric, Infectious Diseases, ed S. Long
(Philadelphia, PA: Elsevier), 879–881. doi: 10.1016/B978-0-323-40181-4. 00159-6 Vera, P., Navas, J. I., and Fouz, B. (1991). First isolation of Vibrio damselae from
sea bream (Sparus aurata). Bull. Eur. Assoc. Fish Pathol. 11, 112–113. Wongtavatchai, J., López-Dóriga, M. V., and Francis, M. J. (2010). Effect
of AquaVacTM VibromaxTM on size and health of post larva stage
of pacific White shrimp Litopenaeus vannamei and black tiger shrimp
Penaeus monodon. Aquaculture 308, 75–81. doi: 10.1016/j.aquaculture.2010. 08.017 Verdonck, L., Grisez, L., Sweetman, E., Minkoff, G., Sorgeloos, P., Ollevier, F., et al. (1997). Vibrios associated with routine productions of Brachionus plicatilis. Aquaculture 149, 203–214. doi: 10.1016/S0044-8486(96)01451-2 Verschuere, L., Rombaut, G., Sorgeloos, P., and Verstraete, W. (2000). Probiotic
bacteria as biological control agents in aquaculture. Microbiol. Mol. Biol. Rev. 64, 655–671. doi: 10.1128/MMBR.64.4.655-671.2000 Yu, J. P., Hino, A., Noguchi, T., and Wakabayashi, H. (1990). Toxicity of Vibrio
alginolyticus on the survival of the rotifer Brachionus plicatilis. Nippon Suisan
Gakkaishi 56, 1455–1460. doi: 10.2331/suisan.56.1455 Vezzulli, L., Grande, C., Reid, P. C., Hélaouët, P., Edwards, M., Höfle, M. G., et al. (2016). Climate influence on Vibrio and associated human diseases during the
past half-century in the coastal North Atlantic. Proc. Natl. Acad. Sci. U. S. A. 113, E5062–E5071. doi: 10.1073/pnas.1609157113 Yun, N. R., and Kim, D. M. (2018). Vibrio vulnificus infection: a persistent threat to
public health. Korean J. Intern. Med. 33, 1070–1078. doi: 10.3904/kjim.2018.159 Zhang, X., Lin, H., Wang, X., and Austin, B. (2018). Significance of Vibrio species in
the marine organic carbon cycle—A review. Sci. China Earth Sci. 61, 1357–1368. doi: 10.1007/s11430-017-9229-x Vidal, J., Aderaldo, M., Pessôa, M. N. D. C., Santos, F. L. D., Mendes, P. D. P., and Mendes, M. S. (2018). Probiotic potential of Bacillus cereus
against Vibrio spp. in post-larvae shrimps. Rev. Caatinga 31, 495–503. doi: 10.1590/1983-21252018v31n226rc Zhang, X. H., and Austin, B. (2005). Haemolysins in Vibrio species. J. Appl. Microbiol. 98, 1011–1019. doi: 10.1111/j.1365-2672.2005.02583.x Vieira, F. N., Buglione, C. C., Mouriño, J. P. L., Jatobá, A., Martins, M. L., Schleder,
D. D., et al. (2010). Effect of probiotic supplemented diet on marine shrimp
survival after challenge with Vibrio harveyi. Arq. Bras. Med. Vet. Zoot. 62,
631–638. REFERENCES Fish Shellfish
Immunol. 26, 339–344. doi: 10.1016/j.fsi.2008.12.003 Skjermo, J., and Vadstein, O. (1993). “Characterization of the bacterial flora of
mass cultivated Brachionus plicatilis,” in Rotifer Symposium VI. Developments
in Hydrobiology, eds J. J. Gilbert, E. Lubzens, and M. R. Miracle (Dordrecht:
Springer), 83. Urbanczyk, H., Ast, J. C., Higgins, M. J., Carson, J., and Dunlap, P. V. (2007). Reclassification of Vibrio fischeri, Vibrio logei, Vibrio salmonicida and Vibrio
wodanis as Aliivibrio fischeri gen. nov., comb. nov., Aliivibrio logei comb. nov.,
Aliivibrio salmonicida comb. nov. and Aliivibrio wodanis comb. nov. Int. J. Syst. Evol. Microbiol. 57, 2823–2829. doi: 10.1099/ijs.0.65081-0 Snoussi, M., Hajlaoui, H., Noumi, E., Zanetti, S., and Bakhrouf, A. (2008). Phenotypic and genetic diversity of Vibrio alginolyticus strains recovered from
juveniles and older Sparus aurata reared in a Tunisian marine farm. Ann. Microbiol. 58, 141–146. doi: 10.1007/BF03179458 Utiswannakul, P., Sangchai, S., and Rengpipat, S. (2011). Enhanced growth
of black tiger shrimp penaeus monodon by dietary supplementation
with
Bacillus
(BP11)
as
a
probiotic. J. Aquac. Res. Dev. S1,
1–9. doi: 10.4172/2155-9546.S1-006 Soliman, W. S., Shaapan, R. M., Mohamed, L. A., and Gayed, S. S. R. (2019). Recent
biocontrol measures for fish bacterial diseases, in particular to probiotics,
bio-encapsulated vaccines, and phage therapy. Open Vet. J. 9, 190–195. doi: 10.4314/ovj.v9i3.2 Vadstein, O., Bergh, Ø., Gatesoupe, F. J., Galindo-Villegas, J., Mulero, V., Picchietti,
S., et al. (2013). Microbiology and immunology of fish larvae. Rev. Aquac. 5,
S1–S25. doi: 10.1111/j.1753-5131.2012.01082.x Sonia, G. A. S., and Lipton, A. P. (2012). Pathogenicity and antibiotic susceptibility
of Vibrio species isolated from the captive-reared tropical marine ornamental
blue damsel fish, Pomacentrus caeruleus (Quoy and Gaimard, 1825). Indian J. Mar. Sci. 41, 348–354. Vaseeharan, B., and Ramasamy, P. (2003). Control of pathogenic Vibrio
spp. by
Bacillus
subtilis
BT23,
a
possible
probiotic
treatment
for July 2022 | Volume 13 | Article 904815 Frontiers in Microbiology | www.frontiersin.org 24 Sanches-Fernandes et al. Vibriosis in Aquaculture pentosaceus, and Lactococcus lactis on growth performance, immune response,
gut histology and immune-related genes in whiteleg shrimp, Litopenaeus
vannamei. Microorganisms 8, 1–15. doi: 10.3390/microorganisms8020281 pentosaceus, and Lactococcus lactis on growth performance, immune response,
gut histology and immune-related genes in whiteleg shrimp, Litopenaeus
vannamei. Microorganisms 8, 1–15. doi: 10.3390/microorganisms8020281 black tiger shrimp Penaeus monodon. Lett. Appl. Microbiol. 36, 83–87. doi: 10.1046/j.1472-765X.2003.01255.x Vayssier-Taussat, M., Albina, E., Citti, C., Cosson, J. F., Jacques, M. A., Lebrun,
M. H., et al. (2014). REFERENCES doi: 10.1590/S0102-09352010000300019 Zhao, W., Dao, C., Karim, M., Gomez-Chiarri, M., Rowley, D., and Nelson,
D. R. (2016). Contributions of tropodithietic acid and biofilm formation
to the probiotic activity of Phaeobacter inhibens. BMC Microbiol. 16, 1–17. doi: 10.1186/s12866-015-0617-z Vinh, D. C., Mubareka, S., Fatoye, B., Plourde, P., and Orr, P. (2006). Vibrio vulnificus septicemia after handling Tilapia species fish: a Canadian
case report and review. Can. J. Infect. Dis. Med. Microbiol. 17, 129–132. doi: 10.1155/2006/164681 Zheng, C. N., and Wang, W. (2017). Effects of Lactobacillus pentosus on
the growth performance, digestive enzyme and disease resistance of white
shrimp, Litopenaeus vannamei (Boone, 1931). Aquac. Res. 48, 2767–2777. doi: 10.1111/are.13110 Vinoj, G., Jayakumar, R., Chen, J. C., Withyachumnarnkul, B., Shanthi,
S.,
and
Vaseeharan,
B. (2015). N-hexanoyl-L-homoserine
lactone-
degrading Pseudomonas aeruginosa PsDAHP1 protects zebrafish against
Vibrio parahaemolyticus infection. Fish Shellfish Immunol. 42, 204–212. doi: 10.1016/j.fsi.2014.10.033 Zhou, Z., Chen, X., Sheng, H., Shen, X., Sun, X., Yan, Y., et al. (2020). Engineering
probiotics as living diagnostics and therapeutics for improving human health. Microb. Cell Fact. 19, 1–12. doi: 10.1186/s12934-020-01318-z Zokaeifar, H., Balcázar, J. L., Saad, C. R., Kamarudin, M. S., Sijam, K., Arshad,
A., et al. (2012). Effects of Bacillus subtilis on the growth performance,
digestive enzymes, immune gene expression and disease resistance of
white shrimp, Litopenaeus vannamei. Fish Shellfish Immunol. 33, 683–689. doi: 10.1016/j.fsi.2012.05.027 Wachsmuth, K., Olsvik, Ø., Evins, G. M., and Popovic, T. (1994). “Molecular
epidemiology of cholera,” in Vibrio Cholerae and Cholera: Molecular to
Global Perspectives, eds I. Kaye Wachsmuth, P. A. Blake, and Ø. Olsvik
(Washington,
DC:
American
Society
for
Microbiology),
357–370. doi: 10.1128/9781555818364.ch23 Zorrilla, I., Chabrillón, M., Arijo, S., Díaz-Rosales, P., Martínez-Manzanares, E.,
Balebona, M. C., et al. (2003). Bacteria recovered from diseased cultured
gilthead sea bream (Sparus aurata L.) in southwestern Spain. Aquaculture 218,
11–20. doi: 10.1016/S0044-8486(02)00309-5 Wang, H., Wang, C., Tang, Y., Sun, B., Huang, J., and Song, X. (2018). Pseudoalteromonas probiotics as potential biocontrol agents improve the
survival of Penaeus vannamei challenged with acute hepatopancreatic necrosis
disease (AHPND)-causing Vibrio parahaemolyticus. Aquaculture 494, 30–36. doi: 10.1016/j.aquaculture.2018.05.020 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. Wang, R., Zhong, Y., Gu, X., Yuan, J., Saeed, A. F., and Wang, S. (2015). The
pathogenesis, detection, and prevention of Vibrio parahaemolyticus. Front. Microbiol. 6, 1–13. Frontiers in Microbiology | www.frontiersin.org REFERENCES doi: 10.3389/fmicb.2015.00144 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. Wang, Y.-C., Hu, S.-Y., Chiu, C.-S., and Liu, C.-H. (2019). Multiple-strain
probiotics appear to be more effective in improving the growth performance
and health status of white shrimp, Litopenaeus vannamei, than single probiotic
strains. Fish Shellfish Immuno. 84, 1050–1058. doi: 10.1016/j.fsi.2018.11.017 Wanka, K. M., Damerau, T., Costas, B., Krueger, A., Schulz, C., and Wuertz, S. (2018). Isolation and characterization of native probiotics for fish farming. BMC Microbiol. 18, 1–13. doi: 10.1186/s12866-018-1260-2 Copyright © 2022 Sanches-Fernandes, Sá-Correia and Costa. 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. Williams, T. C., Blackman, E. R., Morrison, S. S., Gibas, C. J., and Oliver, J. D. (2014). Transcriptome sequencing reveals the virulence and environmental
genetic programs of vibrio vulnificus exposed to host and estuarine conditions. PLoS ONE 9, 1–27. doi: 10.1371/journal.pone.0114376 Won, S., Hamidoghli, A., Choi, W., Bae, J., Jang, W. J., Lee, S., et al. (2020). Evaluation of potential probiotics bacillus subtilis WB60, Pediococcus Frontiers in Microbiology | www.frontiersin.org July 2022 | Volume 13 | Article 904815 25
|
https://openalex.org/W2111533010
|
https://europepmc.org/articles/pmc3695841?pdf=render
|
English
| null |
Development of a screening tool to identify female survivors of gender-based violence in a humanitarian setting: qualitative evidence from research among refugees in Ethiopia
|
Conflict and health
| 2,013
|
cc-by
| 12,093
|
Development of a screening tool to identify
female survivors of gender-based violence in
a humanitarian setting: qualitative evidence
from research among refugees in Ethiopia Development of a screening tool to identify
female survivors of gender-based violence in
a humanitarian setting: qualitative evidence
from research among refugees in Ethiopia Andrea L Wirtz1,2, Nancy Glass3,4, Kiemanh Pham2, Amsale Aberra5, Leonard S Rubenstein1, Sonal Singh1,6
and Alexander Vu2,4* RESEARCH Open Access © 2013 Wirtz 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. Wirtz et al. Conflict and Health 2013, 7:13
http://www.conflictandhealth.com/content/7/1/13 Wirtz et al. Conflict and Health 2013, 7:13
http://www.conflictandhealth.com/content/7/1/13 * Correspondence: avu@jhsph.edu
2Department of Emergency Medicine, Johns Hopkins Medical Institutes,
Baltimore, USA
4Department of International Health, Johns Hopkins School of Public Health,
Baltimore, USA
Full list of author information is available at the end of the article Abstract Background: High levels of gender-based violence (GBV) persist among conflict-affected populations and within
humanitarian settings and are paralleled by under-reporting and low service utilization. Novel and evidence-based
approaches are necessary to change the current state of GBV amongst these populations. We present the findings
of qualitative research, which were used to inform the development of a screening tool as one potential strategy to
identify and respond to GBV for females in humanitarian settings. Methods: Qualitative research methods were conducted from January-February 2011 to explore the range of
experiences of GBV and barriers to reporting GBV among female refugees. Individual interview participants (n=37)
included female refugees (≥15 years), who were survivors of GBV, living in urban or one of three camps settings in
Ethiopia, and originating from six conflict countries. Focus group discussion participants (11 groups; 77 participants)
included health, protection and community service staff working in the urban or camp settings. Interviews and
discussions were conducted in the language of preference, with assistance by interpreters when needed, and
transcribed for analysis by grounded-theory technique. Results: Single and multiple counts of GBV were reported and ranged from psychological and social violence; rape,
gang rape, sexual coercion, and other sexual violence; abduction; and physical violence. Domestic violence was
predominantly reported to occur when participants were living in the host country. Opportunistic violence, often
manifested by rape, occurred during transit when women depended on others to reach their destination. Abduction within the host country, and often across borders, highlighted the constant state of vulnerability of
refugees. Barriers to reporting included perceived and experienced stigma in health settings and in the wider
community, lack of awareness of services, and inability to protect children while mothers sought services. Conclusions: Findings demonstrate that GBV persists across the span of the refugee experience, though there is a
transition in the range of perpetrators and types of GBV that are experienced. Further, survivors experience
significant individual and system barriers to disclosure and service utilization. The findings suggest that routine GBV
screening by skilled service providers offers a strategy to confidentially identify and refer survivors to needed
services within refugee settings, potentially enabling survivors to overcome existing barriers. Background In
response, UN agencies have formed an Inter-Agency
Standing Committee to provide enhanced and coordinated
efforts to end GBV among refugees and displaced popula-
tions and mitigate the potential long-term physical, mental
and reproductive health and social issues that result [5]. Despite the enormity of the problem and the recognized
need for services for survivors of GBV, understanding the
burden of GBV among women in refugee and displaced
populations remains elusive, particularly due to challenges
in data collection methods [23]. Most estimates of GBV in
complex humanitarian settings are based on self-reported
experiences, which underscore the issue of underestima-
tion of the true scope of the problem. Fear, stigma and dis-
crimination further compound any reliable estimate of
GBV [24]. The United Nations High Commissioner for
Refugees (UNHCR) and implementing partner agencies
have taken steps to enhance their capacity to respond to
GBV, including providing comprehensive services for GBV
that include health, protection and psychosocial services
[5,9] as well as developing more sophisticated tools to col-
lect information about reported cases of GBV through the
Gender Based Violence Information Management System
[25]. Given that the majority of GBV services and reporting
mechanisms are passive systems that rely on survivor-
initiated reporting and service-seeking, developing a pro-
active approach to identifying survivors for early interven-
tion and care has the potential to improve health and
social outcomes for survivors and their families as well as
strengthen GBV monitoring systems through identification
of cases in humanitarian settings. Evidence of immediate and long-term physical, psy-
chological, reproductive and social harms of GBV is ex-
tensive. Physical sequelae may include bodily and genital
injury [3,6,7], pelvic pain, traumatic fistulas [8,9], un-
wanted pregnancy, increased risk of HIV [9,10] and
sexually transmitted infections [11,12], and even death
[13]. Adolescents and young women and those without
prior sexual intercourse experiences are particularly vul-
nerable to physical trauma and genital-anal injury asso-
ciated with sexual violence [6,9,14-16]. Physical injury
may be worsened in cases in which there is a greater
length of time to physical examination [16]. Likewise,
post-exposure prophylaxis for HIV prevention may not
be possible if examination and care is provided greater
than 72 hours after sexual violence [17]. Background sexual violence may increase transmission through unpro-
tected oral, anal, and vaginal trauma by perpetrators as
additional factors in STI/HIV transmission [10,18]. A re-
cent global review of behavioral research demonstrated an
increased association of HIV and HIV-related risk behav-
iors with coerced or forced sex in low- and middle-income
countries [19]. Furthermore, mathematical modeling has
demonstrated the reduction in incident infections in Kenya
with reduced prevalence of sexual violence against high
risk women [20]. Adverse mental health outcomes associ-
ated with GBV may include post-traumatic stress disorder,
depression and suicidal thoughts, or substance abuse
[13,21,22]. Social and familial stigma and rejection second-
ary to GBV may exacerbate mental health outcomes expe-
rienced by survivors [9]. Refugee agencies, as well as global health and human
rights experts, have begun to direct considerable atten-
tion to the prevention and response to gender based
violence (GBV). GBV is defined in the United Nations
Declaration on the Elimination of Violence Against
Women, as any act “that results in, or is likely to result in,
physical, sexual or psychological harm or suffering to
women, including threats of such acts, coercion or arbi-
trary deprivations of liberty, whether occurring in public or
in private life…and should encompass, but not be limited
to, acts of physical, sexual, and psychological violence in
the family, community, or perpetrated or condoned by the
State, wherever it occurs.” These acts include: spousal bat-
tery; sexual abuse, including of female children; dowry-
related violence; rape, including marital rape; female genital
mutilation/cutting and other traditional practices harmful
to women; non-spousal violence; sexual violence related to
exploitation; sexual harassment and intimidation at work,
in school and elsewhere; trafficking in women; and forced
prostitution” [1]. Among refugees and internally displaced
populations (IDPs), women and girls are particularly vul-
nerable to GBV such as forced sex/rape, early or forced
marriage, abuse by an intimate partner, child sexual abuse,
forced or coerced prostitution and sex trafficking [2,3]. A
myriad of risk factors and situational contexts, ranging
from the individual to structural level, increase the vulner-
ability of displaced persons. These include, but are not lim-
ited to: breakdown of social, family, and government
protective structures; loss of or poor police protection,
legal recourse, or justice; gender or ethnic discrimination;
social acceptance of GBV; lack/loss of basic resources and
economic disparity/loss; and low awareness of rights [4]. Abstract Keywords: Refugee, Displacement, Conflict, Gender-based violence, Sexual violence, Reproductive health, Ethiopia gee, Displacement, Conflict, Gender-based violence, Sexual violence, Reproductive health, Ethiopia Keywords: Refugee, Displacement, Conflict, Gender-based violence, Sexual violence, Reproductive h * Correspondence: avu@jhsph.edu
2Department of Emergency Medicine, Johns Hopkins Medical Institutes,
Baltimore, USA
4Department of International Health, Johns Hopkins School of Public Health,
Baltimore, USA
Full list of author information is available at the end of the article © 2013 Wirtz 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. Wirtz et al. Conflict and Health 2013, 7:13
http://www.conflictandhealth.com/content/7/1/13 Wirtz et al. Conflict and Health 2013, 7:13
http://www.conflictandhealth.com/content/7/1/13 Wirtz et al. Conflict and Health 2013, 7:13
http://www.conflictandhealth.com/content/7/1/13 Page 2 of 14 Study populations In January – February 2011, qualitative research techniques
were conducted to: 1) describe the multiple types, locations
and perpetrators of GBV as experienced by female refugees
(15 years and older) living in urban and camp settings in
Ethiopia, and 2) explore current barriers to survivors’
reporting and service seeking behaviors in urban commu-
nities and camp settings where health, protection and so-
cial services are provided to refugee populations. Table 1 displays participant characteristics per site and
qualitative method. Table 1 displays participant characteristics per site and
qualitative method. Survivors: Trained GBV service providers working in
partner agencies invited female survivors to participate
in the study. Eligibility criteria required that participants
be female, aged 15 years or older, have refugee status
(documentation not required), reside in the selected
urban (Addis Ababa) or camp-based setting (Jijiga area),
and currently receive or have received GBV services from
UNHCR’s implementing partner agencies. Prior or current
use of GBV services was an important eligibility criteria for
inclusion of the survivors, as this ensured the survivors
were willing to discuss GBV and also that they had an
ongoing relationship with services if they needed post-
interview support. To respect the sensitivity of the topic,
individuals were not required to disclose any history of
GBV at eligibility screening. Background In contexts
where STIs/HIV are prevalent among the population, While screening methods to identify intimate partner
violence have been used among some refugee populations
[19,26], to our knowledge a brief, validated screening tool
for GBV does not exist for use in refugee settings. In an ef-
fort to fill this gap, this study aimed to bring the broad def-
inition of GBV into a functional GBV screening tool to be
adapted for use in camp and urban refugee settings. Such a
tool, when implemented by a skilled service provider, could
confidentially identify an individual who has experienced
one or more types of GBV and link the individual to com-
prehensive services that are available in these settings. Building on the findings of our systematic review of GBV
among conflict-affected populations, [27] qualitative re-
search was conducted with female refugees from diverse Page 3 of 14 Wirtz et al. Conflict and Health 2013, 7:13
http://www.conflictandhealth.com/content/7/1/13 camp, severe medical complications that cannot be
addressed in the camp, or in preparation to relocate to
another country. Jijiga district is located in northeast
Ethiopia, along the border of Somalia and Somaliland
and three refugee camps have been established in this
district: Kebribeyah (est. 1991), Aw Barre (est. 2007),
and Sheder (est. 2008). The three camps accommodate
approximately 11,600 to 16,300 refugees per camp, col-
lectively accommodating over a total of 41,500 refu-
gees, as of June 2012 [28]. The majority of the residents
in the camps are refugees from Somalia. countries who were survivors of GBV as well as with
health, protection, and psychosocial providers. We aimed
to identify the range of GBV experienced by female refu-
gees, perpetrators of GBV, and locations where GBV oc-
curs among conflict affected populations. The results of
this qualitative research will inform the development of a
brief GBV screening tool to confidentially and effectively
identify female survivors for appropriate and timely inter-
vention including referrals for health, psychosocial support,
protection and other services. Measures and analysis Semi-structured interview and discussion guides were
developed in collaboration with partners and used when
conducting the in-depth interviews and focus group dis-
cussions. The focus group discussions and interviews
concentrated on several key areas for development and
implementation of a GBV screening tool: 1) types and
frequency of GBV experienced by refugees; 2) perpetrators
of GBV; 3) location and context of GBV; and 4) barriers to
reporting GBV and accessing services. Survivors and ser-
vices providers were not asked to describe their personal
experiences but to describe GBV among the refugee popu-
lations, in general; however, almost all survivors elected to
share their personal experiences as examples to explain
their responses. Service providers and community organizations p
y
g
Eligibility criteria for focus group discussions with ser-
vice providers and staff from community organizations
required that participants be 18 years of age or older
and worked at least one year for an agency/organization
that provides services to refugee populations. Partici-
pants were purposively selected from the range of agen-
cies and organizations in both the urban and camps
settings and collectively included health providers, social
workers, and protection officers. Participants were repre-
sentatives of ARRA, the governmental body that pro-
vides assistance to refugees, several UN agencies, and
international non-governmental organizations (INGO),
national non-governmental organizations, and refugee
organizations. Local women’s and youth groups were
also included. A total of 11 focus groups (77 partici-
pants), ranging in size from 6–10 participants per group,
were conducted with eligible service providers and com-
munity organization leaders. All participants provided
verbal informed consent prior to participation in the
focus groups. The consent process and group discus-
sions were conducted by trained facilitators with support
of translators, as needed. Data analysis followed a grounded theory approach,
allowing for in-depth exploration of emerging themes in
the participants’ narrative responses [30]. All English
transcripts were entered into Atlas.ti software (Cincom
Systems, Berlin) for coding. Each transcript was coded
in duplicate by two research team members who met
frequently to discuss themes and resolve any discrepan-
cies in coding and themes. Topical codes were applied
to allow quotations to be sorted according to interview
guide domains and open interpretive coding was utilized
to identify and analyze any emerging themes observed
within and between topical areas. Findings are presented by GBV type, locations and
contexts, perpetrators, and barriers to reporting GBV. There was general agreement by service providers and
survivors across themes, though some themes were
discussed in more detail by providers as compared to
survivors and vice versa; thus, findings from both
groups are presented for each theme. Quotations were
selected to highlight the themes developed from the
analysis. A code that indicates participant type (‘GBV
Survivor’ or ‘Service Provider FGD Participant’) and
setting (‘Addis Ababa’ or ‘Camp’) follows each quota-
tion so readers may identify the origin of the quota-
tion. Some quotations are included to provide context
to a particular theme and some may be relevant across
multiple themes. Camp names and any other potential
identifiers have been removed to protect the anonymity of
study participants. Wirtz et al. Conflict and Health 2013, 7:13
http://www.conflictandhealth.com/content/7/1/13 Wirtz et al. Conflict and Health 2013, 7:13
http://www.conflictandhealth.com/content/7/1/13 Wirtz et al. Conflict and Health 2013, 7:13
http://www.conflictandhealth.com/content/7/1/13 Page 4 of 14 Interviewers and focus group facilitators were trained
to provide details on the study purpose, obtain verbal in-
formed consent prior to data collection, and provide sur-
vivor participants with information about additional
local GBV resources at the close of the interview. Focus
groups and interviews ranged from 90 to 120 minutes
in duration. Local, trained interpreters were hired for
assistance to communicate with native Somali, French,
Kiswahili, Tigrinya, and Amharic speakers. To further
ensure confidentiality, camp-based interviews were
interpreted by Somali-speaking staff hired from out-
side of the camps. No names or personal information
was collected from any participant. Interviews and focus-
group discussions were digitally recorded with permission
and professionally transcribed. To check the quality of
translation, several interviews were randomly selected for a
second translation and transcription for comparison. early upon reaching saturation, when no new information
was obtained from interviews [29]. Thus, a total of 37 in-
depth interviews were conducted among eligible female
refugees. To ensure privacy for the participants, only pri-
vate individual interviews (no focus group discussions)
were conducted with survivors. Participants in the urban
refugee program were selected to represent a range of
countries of origin, including the DRC, Burundi, Sudan,
Eritrea, and Somalia, while those from the Jijiga camps
originated from Somalia. Verbal consent was used in lieu
of signed consent to further ensure participant privacy and
security. All participants provided informed consent prior
to participation in interviews, which were conducted by
trained researchers with support from skilled interpreters. Study site Focus groups and individual interviews were conducted
in Addis Ababa and three refugee camps in the Jijiga dis-
trict of Ethiopia. Addis Ababa is the urban setting that
houses the country offices for UNHCR, the Ethiopian
government’s Administration for Refugee and Returnee
Affairs (ARRA), and several partner organizations. Over
1,000 refugees from diverse countries including Demo-
cratic Republic of Congo (DRC), Burundi, Rwanda,
Sudan, Somalia and Eritrea live in Addis Ababa. Most
urban refugees resided in a camp prior to arrival in
Addis Ababa, and were moved as a result of protection
challenges (experience/risk of violence or stigma) in the The target sample size for survivor interviews was a
maximum of 20 participants in the urban setting and 10
per camp (total 50), estimated with an aim to obtain
variation in the sample. Enrollment for interviews ended Table 1 Qualitative participants characteristics
In-depth interviews with survivors
Locations and context
No. of participants
Represented country/ies of origin
Age range
Urban setting: Addis Ababa
17
Burundi, DRC, Eritrea, Somalia, Sudan
15 - 48 yrs. Camp 1
7
Somalia
23 - 43 yrs. Camp 2
7
Somalia
17 - 39 yrs. Camp 3
6
Somalia
20 - 38 yrs. Total interview participants
37
Focus Group Discussions
Locations and context
No. of groups (participants)
Represented service type or organization
Urban setting: Addis Ababa
2 (10)
Health services; Protection
Camp 1
2 (22)
Women and youth organizations; GBV services and social work
Camp 2
2 (14)
Women and youth organizations; GBV services and social work
Camp 3
2 (16)
Women and youth organizations; GBV services and social work
Combined participants across camps
3 (15)
Health services; Protection; GBV services
Total
11 (77) Table 1 Qualitative participants characteristics Types of violence Survivors reported multiple forms of GBV including
physical violence, abductions, forced imprisonment, sex-
ual violence, early or forced marriage, and social violence
such as community-level stigmatization, threats, or isola-
tion of a woman. Service providers also reported similar types of GBV oc-
curring in the camps or urban setting. Cases that were
most often reported to health and protection officers did
not necessarily reflect more prevalent forms of violence,
but simply those that were most often reported by survi-
vors or bystanders. Based in the urban area or the refugee
camps, service providers’ experiences were often related to
serving acute and recent cases that included: domestic vio-
lence; spousal control of finances, resources, or assistance;
rape or abuse when leaving the camps to find firewood or
other resources (see next section); and early or forced mar-
riage. Domestic violence was often reported when neigh-
bors overheard or witnessed the event. There are also many other different types of violence that
women experience, like rape and sometimes forced sex
from your husband. Sometimes also, early marriage,
because we don’t have any choice. Our parents have to
make the decision of our marriage. - Somali GBV
survivor, Addis Ababa Sexual violence was a common theme and included rape,
multiple and gang rape, coerced sex, and other forms of
sexual violence. … when girls just go out of the camps, to fetch water,
they threaten them to rape them right there, but we
just tell them, okay, we just give you our ration. Please
leave us, and then they just leave us alone, but unless
we give them the ration, they will just run and then
find us and then rape us. So threat is just used as one
means. –Sudanese GBV survivor, Addis Ababa [When asked what kinds of violence the service
providers see in the camps:] Domestic violence. Like
hit them with a really big stick. And they beat them,
or kick them… And the husband knows if she goes out
and tries to find work, he's going to say to her, “Where
were you? Were you being a slut? Like staying over
there in the streets? What are you doing?” … There is
also denial of resources. – Service Provider FGD
Participant, Camp Survivors also reported abduction, often combined with
sexual and physical violence. Human subjects protection The study was conducted in partnership with the
UNHCR and ethical review and approval was provided
by both ARRA, the governmental agency responsible
for all refugee related concerns in Ethiopia, and the Johns
Hopkins Medical Institutes Institutional Review Board
(IRB No.: NA_00042672). Wirtz et al. Conflict and Health 2013, 7:13
http://www.conflictandhealth.com/content/7/1/13 Wirtz et al. Conflict and Health 2013, 7:13
http://www.conflictandhealth.com/content/7/1/13 Wirtz et al. Conflict and Health 2013, 7:13
http://www.conflictandhealth.com/content/7/1/13 Page 5 of 14 me; they said that me and my people, we are against
them. I said, "Who are those people?" They are
accusing me for being from Rwanda. I told them I'm
not from Rwanda… They were beating me and I told
them, "What you are doing? I'm pregnant." They are
going to kill me and kill my child. And their [response]
was like ‘that child is not __, he can die any time, we
don't care about him. So they put me in that place,
one of my neighbors called to my husband and told
him that they raped me… At the place they put me, I
don't know if it was prison or what, every night anyone
can come and sleep with me. If I tell them that, "I'm
pregnant, why are you doing this to me?" they will be
beat me and do it by force. –Congolese GBV survivor,
Addis Ababa Results A range of violence types, perpetrators and contexts were
described by participants and presented in further detail
below. Table 2 displays the types of GBV and perpetrators
identified in the locations where the experience of GBV oc-
curred. The table does not represent prevalence of GBV
but provides information on the GBV experiences of fe-
male refugees, contexts, and the groups who they identify
as perpetrators. In many cases, survivors reported several
types of GBV (e.g. physical, sexual, psychological) occur-
ring in one incident with multiple perpetrators. Types of violence One participant reported be-
ing abducted while pregnant and imprisoned by armed
combatants for almost two years. She was abused and re-
peatedly raped while imprisoned in her home country of
DRC. Following her escape, she and her infant son (who
was born in captivity and also raped by combatants) even-
tually reached Ethiopia, where they were both diagnosed
with HIV. Her second son, conceived in prison, was born
in Ethiopia after her escape and was tested negative for
HIV. Her experience in the ‘prison’ in DRC is recounted: Unwanted sexual touching - Intimate partner, family or partner's family
member, stranger, religious leader or affiliate,
other neighbor or community member. Other violence
types
FGM or pressure to complete FGM on
child
- Home community, family, religious
affiliates Other violence
types
FGM or pressure to complete FGM on
child
- Home community, family, religious
affiliates - Refugee community, family, partner's family,
religious affiliates
Early or forced marriage - Home community, family, religious
affiliates - Pressure by family, extended family,
refugee community (camp) - Pressure by family, extended family,
refugee community (camp) a new thing for me and it's not like I heard from the
people. I actually faced it, I actually experienced it,
and I saw other women who were raped in front of me
and they get pregnant because of these things. I was
raped in Somalia and then I run away from Somalia
and I was raped while I was on my journey from
Somalia to Ethiopia, and I entered the border and I
was just newly [gave birth to] my child. – Somali GBV
survivor, Addis Ababa from conflict, and 2) NGO and camp staff were identi-
fied to be among the perpetrators of GBV in the refugee
camp settings. GBV that occurred during transit from
country of origin to camps had less variation in types of
violence and perpetrators than in the other contexts. The violations during transit were predominantly oppor-
tunistic, taking the forms of rape, coerced sex, and/or
physical violence by strangers or by an acquaintance
who took advantage of the displaced person’s increased
vulnerability related to lack of shelter, transportation, or
other basic needs. from conflict, and 2) NGO and camp staff were identi-
fied to be among the perpetrators of GBV in the refugee
camp settings. GBV that occurred during transit from
country of origin to camps had less variation in types of
violence and perpetrators than in the other contexts. The violations during transit were predominantly oppor-
tunistic, taking the forms of rape, coerced sex, and/or
physical violence by strangers or by an acquaintance
who took advantage of the displaced person’s increased
vulnerability related to lack of shelter, transportation, or
other basic needs. GBV occurred with slight variations across locations and
settings, with respect to the types of perpetrators and level
of accountability for committed acts of GBV. Locations and contexts GBV was reported to have occurred across multiple set-
tings, including in the country of origin, during conflict
or times of peace; the host country, within the urban or
camp setting or within the host community; and during
transit to or within the host country. Survivors reported
experiences of GBV that occurred directly within the
context of conflict while others reported that it was re-
lated to situations of increased vulnerability, secondary
to conflict and displacement. Physical, sexual, and psy-
chological violence types and perpetrators were similar
across settings, except in two specific (though, not unex-
pected) situations: 1) armed actors were reported to be
perpetrators in country of origin or during transit away So one day I was at home, I was two months pregnant. Some people came in the house, my husband was at
work. They came and they arrested me, they took me
to the place, which I don't know. They started beating Page 6 of 14 Wirtz et al. Conflict and Health 2013, 7:13
http://www.conflictandhealth.com/content/7/1/13 - Armed actors, religious leaders or affiliates,
- Strangers, - Strangers (including those providing
assistance with transit), acquaintances - Other refugee community member,
employer, NGO staff member (camp) Page 7 of 14 Wirtz et al. Conflict and Health 2013, 7:13
http://www.conflictandhealth.com/content/7/1/13 Wirtz et al. Conflict and Health 2013, 7:13
http://www.conflictandhealth.com/content/7/1/13 Gang rape -Host community member, religious leader
or affiliate, employer, NGO staff leader (camp) - Armed actors Rape - Intimate partner, family or partner's family
member, stranger, religious leader or affiliate,
other neighbor or community member. - Armed actors, strangers (including
those providing assistance with transit) -Armed actors, family or partner's family,
stranger, religious leader or affiliate, other
community member -Armed actors, family or partner's family,
stranger, religious leader or affiliate, other
community member Gang rape
- Armed actors
Rape during pregnancy
- Armed actors
Widow inheritance
- Husband’s family, home community
Unwanted sexual touching-
Armed actors, family or partner's family,
stranger, religious leader or affiliate,
other community member Gang rape Gang rape
- Strangers
Unwanted sexual touching
- Intimate partner, family or partner's family
member, stranger, religious leader or affiliate,
other neighbor or community member. Financial control
- Husband, boyfriend
FGM or pressure to complete FGM on
child
- Refugee community, family, partner's family,
religious affiliates
Early or forced marriage
- Pressure by family, extended family,
refugee community (camp) Unwanted sexual touching The following quotation details
the experience of one survivor who reported being kid-
napped and raped at the age of 14. She recounts the
physical and psychological abuse she experienced after
her release, when she moved to another town for safety,
to avoid the stigma of rape, and to find employment. My daughter is sick, because when she was 16, some
man saw her and he took her and she stayed a year with
him. [Interviewer: How did he take her?] He said to her,
“I love you and I want to marry you,” and he took her. But when he had sex, he just made her wash after…
When she gave birth to one child, he kept the child and
he kicked her out. [Interviewer: Was he from the camp?]
Yes, at the time. He took her [the baby] to Somalia to
give to his mother. – Somali GBV survivor, Camp While I was living here [in Addis Ababa] with my father
and with my sister and then I was just having my life,
just going to school and taking care of my sister, I was
raped. I was kidnapped and then they raped me and
then, later on, when my father and my brother, they
came and it was like a fighting … and then my father
tried to [tell] the boys that ‘she's under 18 and she is very
young, she's 14 years old. She cannot be married to
anyone and she has to live here with us’. So it was a
fight… Then those men took them within that taxi. I was
raped from all six men. I was living with them around
about two months and my mother tried to follow me …
later on, she found me. And my mother took me to her
[town] because I can stay there and I can work as a
housemaid from family to family so that I can get
support myself. At the same time, I will not be hurt from
the other family members because I was raped. And
when my mom left me, I spent three years working from
family to family but the problem is, the majority clan
was living in there… they do have kind of like a revenge
and they hate any person from my clan. So they were,
hurting me, sometimes they would beat me. Sometimes
they would cut my hair. Unwanted sexual touching One partici-
pant highlighted the differences in violence between her
home country and the host country: …inside Congo now, before I decided to come. There
were different people, sometimes you can meet
soldiers and they took you in the camp, soldier
camp, military camp and they can rape you there. I
was raped by seven, seven people at the border. And
once I was just -- I was unconscious, when I woke
up I found myself full of blood. And from that day I
have this bleeding problem. That way I had also
this sexual transmitted disease. –Congolese GBV
survivor, Addis Ababa [Here], if the woman or the girl has a boyfriend and has
a relation, and she get pregnant without marriage, she
will be excommunicated from her community, no one
can talk to her, no one can shake her hands, no one can
provide any help for her, like she is very dead to them. Here, it’s not like Somalia. In Somalia they might beat
you and hurt you physically. But here, they can just
want to stare you, and point to you, and assault you and
talking behind you, but they cannot hurt you so much,
because there is a government.– Somali GBV survivor,
Addis Ababa I remember a lot of women who were raped when I
was in Somalia. Even when I was raped, I was not the
only person who was raped on that truck. There were
two other women who were raped with me. So it's not Page 8 of 14 Wirtz et al. Conflict and Health 2013, 7:13
http://www.conflictandhealth.com/content/7/1/13 Wirtz et al. Conflict and Health 2013, 7:13
http://www.conflictandhealth.com/content/7/1/13 woke up and when the sun light like beaming sun rise
I opened my eyes and see my daughter been also raped
and also being tied up in the same way I was tied up
that was like the biggest shock for me. – Somali GBV
Survivor, Camp 2 Close proximity and maintained familial and social
networks in the country of origin also facilitated cross-
border perpetrations of violence. This included, in par-
ticular, abductions and psychological forms of violence,
including threats of abduction of the individual or the
individual’s child(ren). Several participants in the camp
and urban settings reported such experiences. For some participants, moving to a new location did
not mean safety from violence; rather they were exposed
to new risks for GBV. Unwanted sexual touching I faced a lot of problems. My life
is a mess. -Somali GBV survivor, Addis Ababa While individual characteristics, such as young age or
being a single head of household, were significant vulner-
abilities to GBV, physical surroundings played an import-
ant role in the ability of perpetrators to take advantage of
a woman’s vulnerability. Many reports demonstrated the
increased vulnerability of young girls when they were
alone or, conversely, in densely populated areas such as
weddings, where others may not immediately note their
disappearance. There is a lot of youth in the wedding. The perpetrator
can just come in and nobody would notice. One of
them is going to come up to the girl and say, "Can I
talk to you?" and when he takes her into a place alone,
they just kidnap her. Yeah, most of the cases are like
this. – Somali GBV survivor, Camp 1 Likewise, vulnerabilities existed for single women who
lived alone or with small children and/or where houses
provided little structural protection, particularly in camp
settings. We previously highlighted that women were co-
erced to have sex or become involved in prostitution; in
some cases, sex was exploited in return for basic assist-
ance for repairs to their houses. Other women acknowl-
edged acquiescing to marriage simply for increased
protection. The lack of other adult protection in the
house or lack of physical protection offered by one’s
housing structure may be observed by perpetrators, mak-
ing these women a target for GBV, particularly in the
camp setting. As demonstrated in previous quotations, domestic vio-
lence was often linked to tension around financial assist-
ance and rations provided to refugee families. The role of
the men is often reversed when entering the refugee camp
setting; they are no longer the breadwinners, rations are
not given to men, and they cannot find employment due
to governmental restrictions. This increases tensions in the
home, may increase drug/alcohol use, and perpetuate do-
mestic violence. Among some participants, this was often
believed to be further complicated by the use of khat, a
local plant that is chewed for its stimulant effects, for
which family’s rations or financial assistance were some-
times used by the husbands, resulting in financial dispar-
ities and family dispute. On that evening when the wedding was done. Perpetrators Perpetrators of physical, sexual, and psychological forms
of violence included both unknown and known individ-
uals. Individuals unknown to the survivor typically in-
cluded armed actors and strangers in the host country
or country of origin, or encountered in transit (described
by prior quotations). In some cases, violence perpetrated
by strangers was enabled by acquaintances. GBV is a particularly sensitive issue and highly stigma-
tized among many cultures and hidden due to individual
shame. I was raped. I was raped in Addis by this man, and
they did send me for HIV and I returned positive and I
have a child. I was raped because I was with my
friends and then they just asked me to go with them to
this man’s house. And then I thought that we were just
going together, and then after I went and they all left,
and then he forced me to have sex with him. He raped
me…[I] was 15 years old. –GBV survivor, Addis Ababa They would make excuse and say, “I was hit with a
stone.” Or, “I fell.” Making excuses. Even if their
neighbors know that she was beaten and she would
deny it. Just one or two, or it's a like a lot of variety of
things. [Facilitator: ‘Why do they deny it?’] She was
ashamed to say, “My husband beat me.”–Service
Provider FGD, Camp Perpetrators who were known to or trusted by the sur-
vivor included husbands, family members and relatives,
neighbors and other camp residents, religious and au-
thority figures, and NGO or humanitarian staff. Both survivors and service providers concurred that
there was a concern among survivors that reporting
could lead to others’ learning of their experience. I went to the hospital in [camp] and I could not
tell them what happened to me because there were
some-- few families from Burundi were there, they
know that my husband is in Addis. When I told
this family or in the health center maybe they will
tell my husband who is living in Addis that I was
raped and I couldn't tell them, I kept secret. Perpetrators –
Burundi GBV survivor, Addis Ababa Sometimes women, when they are very sick and they
don’t want to have sex, and they are very exhausted
because of the children and taking care of the children,
the husband will force them to have sex with them,
and if she refuse, he will beat her and hurt her. He
will beat her so much until she gets so weak, and then
he will have sex with her forcefully. – Somali GBV
survivor, Addis Ababa Many participants, survivors and providers alike, de-
scribed the concern for physical violence and retribution
by the perpetrator or others. Participants were concerned
about lack of confidentiality and subsequent perceived
or experienced negative reactions from family members
and others in the community, whose reaction may be
to (individually or collectively) shame, blame, or isolate
the survivor. Survivors and providers agreed that social
stigma prevented reports, particularly in case of sexual
violence. With respect to perpetration by NGO or humanitarian
staff, one participant detailed her experiences. This par-
ticipant had survived significant, ongoing domestic vio-
lence and abuse by two previous husbands. She also
reported coerced sex by an employer in an office affili-
ated with the camp. After reporting the incident the em-
ployee was transferred to another office. The man I work for, with him, in the office, I’m
cleaning the office [near the camp], and he forced me
to have sex. “If you don’t allow me, you will not work.”
So I said to him, I can’t leave this job…He said also to
people who came to him [after it was reported], “She
wants to start something in the office. That’s why. I
didn’t ask her anything.”… But the head of this office,
he said, “We’ll let him to go another office, so you can
stay in the office to clean.” - Somali GBV survivor, For example, she might not get the kind of trust from
the person that she's come to tell. Maybe that person
might tell to other people in order to insult. That's
going to be one challenge. Another thing, you know,
everybody will hurt her again saying that, “Oh, you've
been raped. So you are kind of useless.”–Service
Provider FGD, Camp Some women feared repercussion in the host country
if they reported the violence and named the perpetrators
in their country of origin. Unwanted sexual touching There
was someone who attacked [me in] my home [in the
camp]… beating me up and like mercilessly and he is
kicking me all over the place. I felt deeply unconscious
this time it is like in coma and then in the morning I Page 9 of 14 Page 9 of 14 Wirtz et al. Conflict and Health 2013, 7:13
http://www.conflictandhealth.com/content/7/1/13 Wirtz et al. Conflict and Health 2013, 7:13
http://www.conflictandhealth.com/content/7/1/13 Believe me, the [rape] numbers that [are known by]
UNHCR, other organizations, and other refugee
committees are small. It [the rape numbers] will be
triple or even sometimes maybe double. There are
people who are hiding it and not telling anybody. –
Somali GBV survivor, Addis Ababa Wirtz et al. Conflict and Health 2013, 7:13
http://www.conflictandhealth.com/content/7/1/13 Wirtz et al. Conflict and Health 2013, 7:13
http://www.conflictandhealth.com/content/7/1/13 Wirtz et al. Conflict and Health 2013, 7:13
http://www.conflictandhealth.com/content/7/1/13 Most of the men who are raping the girls they are
from Al-Shabaab group, and you cannot tell
anybody that the one who did this to you is from
Al-Shabaab, because they are religious people. You
cannot say that Al-Shabaab raped me, because I
remember one young Somali girl she was raped by
two men from Al-Shabaab and when she came to
the City and she told the people that she was raped
by Al-Shabaab, immediately Al-Shabaab group in
that City called her and they asked her family to dig
a hole, and they put her there in that hole, and they
asked everyone to throw a very heavy stone at her
until she died. So even they will not kill you in a
very good way, they do it so that you will feel not
feel a lot of pain, like shooting you. They will kill
you so will suffer and have a bleeding and then you
will die.–Somali GBV survivor, Addis Ababa that and then she went home after she became
pregnant and after that she told the mother there is
rule that if you rape the girl you are going to marry
her. They married the rapist to the girl…this happened
in [camp]. – Somali GBV survivor, Camp 2 Women’s beliefs that husbands have the right to abuse
their wives and their lack of awareness of their rights
appeared to prevent women from reporting marital rape
and intimate partner violence. Some survivors believed
that GBV is a normal aspect of life for most women and
thus does not warrant further attention; for others, shame
and isolation led to the belief that the survivor was the only
person who had experienced GBV, both acting as barriers
to disclosing GBV and service seeking behaviors. …[I think] am I the only woman, only girl who was
raped and was pregnant and underage? And for me it
was a shame. I couldn’t tell anybody this. That’s why I
keep it as a secret myself.–Congolese GBV survivor,
Addis Ababa Some women had concerns about dual stigma that in-
cluded stigma against people living with (or presumed to
be living with) HIV or AIDS as well as for having experi-
enced GBV. Wirtz et al. Conflict and Health 2013, 7:13
http://www.conflictandhealth.com/content/7/1/13 Lack of awareness of health risks related to untreated
GBV, of rights to services, and of available services for
GBV also created barriers to reporting. Some survivors
believed that protection and justice against perpetrators
were the only purposes of reporting an experience of
GBV. Past experiences of substandard treatment by the
justice system or lack of confidence in the system have
prompted many women not to report their GBV experi-
ence. Many women feel reporting to be unwise given the
potential stigma and the negative impact on themselves
and their families from reporting such events. …they [the community] said to me like ‘you have
AIDS, you were raped’ and then I told them ‘there is
test let us go there to see. I was raped, that is true, but
you are a woman like me. It is unluckily and it is an
accident. I don’t have AIDS and you should not insult
me like this.’ –Somali GBV survivor, Camp 2 Single women were particularly concerned with being
blamed for sexual violence and labeled as promiscuous or
being the ‘cause’ of a perpetrator’s infidelity. Unmarried
and married women were also concerned with their future
value as a wife and for the social well-being of their chil-
dren, should others learn of their GBV experience. Yeah and because I live in this camp, because of that,
I had second thoughts. I wouldn’t have regretted it if
the NGO had helped me to have my daughter’s card. If they did anything like that, I wouldn’t have
regretted. But, since I am now being threatened to be
out of the camp, it’s my problem. It’s going to be my
problem. I’m going to have to face and deal with this
problem. –Somali GBV survivor, Camp 2 I don't tell them even if they ask me. I get scared and I
don't tell them that my daughter doesn't have a father. Because I am sure that they cannot provide any help
to me regarding this issue so I prefer to keep quiet
than tell them without doing anything. If I even get a
trustful person, I feel, if I told them my story, that they
will just be surprised or shocked and they cannot keep
this secret from others, they will try to share it with
other people. So I prefer to keep it to myself and don't
tell anybody. Barriers to reporting For many reasons, GBV survivors decided not to report
the violence to authorities. Page 10 of 14 Page 10 of 14 Wirtz et al. Conflict and Health 2013, 7:13
http://www.conflictandhealth.com/content/7/1/13 Wirtz et al. Conflict and Health 2013, 7:13
http://www.conflictandhealth.com/content/7/1/13 Here, we investigate GBV that occurs across the con-
tinuum of the refugee experience and whether GBV was
reported to obtain justice and/or to access GBV services. Evidence is suggestive that even after escaping rape and
physical violence perpetrated in conflict settings, women
may continue to be subjected to GBV, such as domestic
violence and sexual violence perpetrated by intimate part-
ners, neighbors or other trusted individuals in the camp or
urban host setting. Similar observations have quantified
temporal transitions among East Timor refugees; for ex-
ample in the post-conflict period, there was a 75% reduc-
tion in violence perpetrated by individuals outside of the
family while some levels of IPV remained consistent or in-
creased [39]. Our qualitative research suggests that the
change in gender and family roles that occur with displace-
ment, such as the husband’s loss of productivity and finan-
cial and community status, may escalate violence in an
abusive relationship or contribute to the acceptance of do-
mestic violence observed in refugee camp settings. Experi-
ences of violence may vary according to the length of time
a participant has resided in the camp or undergone dis-
placement, and response efforts should be able to identify
and adapt to these variations. As a result, services need to
be comprehensive, for example able to respond to the mul-
tiple reproductive and mental health needs of women who
experience gang rape as well as capable of providing pro-
tection and timely health services to women who disclose
violence by their husbands in the camp setting. Finally, basic issues of lack of transportation, money
and language barriers were further barriers to reporting
and seeking services. The vulnerability of children and
risk that children could be kidnapped while women were
away from the home also prevented women from seek-
ing care as they were apprehensive to leave children
alone or in the care of others. Some women they can go to meet with [name of
organization], but it’s not easy to talk with a
protection officer; you will need to have an interpreter
and sometimes we cannot have enough assistance with
enough money to give that translator money so that he
can interpret for the officers. Wirtz et al. Conflict and Health 2013, 7:13
http://www.conflictandhealth.com/content/7/1/13 – GBV Survivor, Addis Ababa Other women reported being treated only for the phys-
ical outcome of the violence, but receiving no further
care or follow up. In medical settings, survivors were
symptomatically treated and were not questioned about
any experience of GBV or the reason for trauma. Clinic
staff concurred but attributed the lack of GBV screening
to time constraints, limited training and resources. Traditional practices that require unmarried rape survi-
vors to marry the perpetrator persist in some camps and
were a barrier to reporting for some female survivors. ..when I went in hospital, they only closed my head
[wound]. Then after that, they give me some
painkillers and they said to me, “You have to leave, There is this incident two months ago a girl who was
raped and after that she never reported anything like Page 11 of 14 Wirtz et al. Conflict and Health 2013, 7:13
http://www.conflictandhealth.com/content/7/1/13 Wirtz et al. Conflict and Health 2013, 7:13
http://www.conflictandhealth.com/content/7/1/13 Wirtz et al. Conflict and Health 2013, 7:13
http://www.conflictandhealth.com/content/7/1/13 have to go home.”…The people in the hospital, they
only gave me medication, or some painkiller. They
didn’t even check me if I have other problem- only my
head.-Somali GBV survivor, Camp 3 While other studies have provided evidence of abduction
during conflict by armed combatants [33], also reported
here, these findings are among the few to document the
experience of abduction and threats of abduction within
the host country or across borders from the host country
humanitarian setting into the country of origin. These find-
ings highlight the need for ongoing protection and atten-
tion to risks, even when refugees are considered to be
settled in a secure setting. Yes, I know for me personally, the number of patients I
see in a day is great, so I just treat the emergency and
give the medicine. You know, the clinician to patient
ratio is just too low- that is one of the problems. And
the other may be lack of awareness. Even with
providers there is just lack of awareness. There is no
kind of training [about] GBV. –Service Provider FGD,
Camp Research efforts specific to GBV among refugees have
commonly focused on either the experience of GBV in
conflict [21,23,32-35] or mental health outcomes [35-38]. Wirtz et al. Conflict and Health 2013, 7:13
http://www.conflictandhealth.com/content/7/1/13 At the same time, while
we are going to complain or to tell about our problems
to the officers or to health cares, we have another
problem inside our homes, like my daughter or my son
is six, so if I left him, who will take care of him? Someone can come after me and take my child from
me, I might lose many things while I’m going there to
complain. And when I would complain, I never ever be
seen any reaction or any action was taken; helpful
action which might help you to stop this violence,
except separating the assistance between the wife and
the husband, which is itself a problem. – GBV
survivor, Addis Ababa Within humanitarian settings, GBV response is predom-
inantly governed by several sets of guidelines, including
but not limited to the Inter Agency Standing Committee’s
Guidelines on Guidelines for Gender-based Violence Inter-
ventions [40]. For GBV, key steps include coordination and
mapping of services and making reproductive health sup-
plies available, [40] providing post-exposure prophylaxis
(PEP) in areas with HIV prevalence greater than 1%, [41]
and ensuring availability of counseling services. Training
on GBV and human rights are included in guidelines for
response. Further, humanitarian workers are trained and
required to adhere to policies to prevent gender-based vio-
lence, including sexual exploitation and abuse. Monitoring
and evaluation provides the feedback loop to assess trends Limitations The findings should be viewed in light of several
limitations. We found that significant barriers exist to GBV
reporting and service utilization in the study population. Under-reporting of GBV experiences and low uptake of
available services by survivors challenge GBV prevention
and response programs implemented in humanitarian set-
tings. To actively and confidentially overcome the barriers
to disclosing GBV and referral, we used these findings to
develop a screening tool that is multi-dimensional and cap-
tures broad domains and constructs of GBV, which we are
now testing for validity and feasibility of use. Six questions
covering psychological violence and threats of violence,
physical violence, sexual violence, forced pregnancy, and
forced marriage were included in the screening tool. Add-
itional questions to identify locations and perpetrators are
included and can be used to inform referrals for health,
protection, and psychosocial services. For example, under-
standing the location or perpetrator of a sexual violence
event can quickly inform service providers as to whether
the survivor is still at risk and in need of additional protec-
tion. Such a screening tool may be integrated into existing
GBV referral and surveillance mechanisms. Given the
broad definition of GBV, [1] this proposed screening tool
would not identify all forms of GBV but is designed to cap-
ture those widely reported and likely needing response
from the health, psychosocial service providers, and/or Men and children are known to experience substantial
forms of violence [35,52-54]. These populations may
have different vulnerabilities, experiences, and interpre-
tations of violence; thus, separate research studies for
these groups are warranted. The research presented here
focuses on female populations; however; the authors are
currently collaborating to develop a screening tool for
refugee and displaced men and boys. Research was conducted among female refugees resid-
ing in urban and camp-based settings in Ethiopia. Refu-
gees are often referred from camps to the urban setting
to address serious health or protection needs. To over-
come this potential bias, we used purposive sampling
methods to recruit and interview participants with a
range of GBV experiences. Because we used qualitative
methods, selected GBV survivors for interviews, and did
not include the general refugee population for inter-
views, we did not establish estimates of the prevalence
of GBV among the refugee population studied. Discussion The purpose of this research was to understand the types,
perpetrators, and contexts of GBV experienced by female
refugees in multiple settings that should be included in a
screening tool to confidentially identify survivors and bar-
riers to effectively respond to GBV in humanitarian set-
tings. Among urban and camp-based refugee populations,
findings reveal multiple types of violence, settings and con-
texts in which violence occurs, and a range of perpetrators. Reports, provided by survivors and service providers alike,
included a range of physical, sexual, and psychological vio-
lence and concur with other findings of GBV reported by
female refugee and IDPs in other studies [2-4,8,31,32]. Wirtz et al. Conflict and Health 2013, 7:13
http://www.conflictandhealth.com/content/7/1/13 Page 12 of 14 Page 12 of 14 protection officers. Other screening tools may be better
positioned to identify other forms of GBV, for example,
screening of female children may include questions to
identify and respond to risk or recent experience of early
marriage and female genital mutilation/cutting. and gaps in prevention and response [40]. During these
times of increased attention on GBV due to consistently
high levels of GBV in humanitarian settings, low access to
services by those who experience GBV, [42] and faced by
funding restrictions and fiscal challenges, implementers
may find greater success in the use of evidenced-based
interventions. Like existing screening tools for intimate partner vio-
lence (IPV) or domestic violence, the proposed GBV
screening tool for refugees may be implemented within
the health settings [50], or may be implemented where
confidential interviews may be conducted by trained
service providers with refugees and where appropri-
ate referrals are accessible to survivors. As with other
screening tools, careful consideration should be given
the setting where it will be implemented; for example, the
proposed screening tool should only be used where skilled
providers and GBV services are available, and where confi-
dentiality and protection can be assured. This could in-
clude, for example, camp registration, during child–parent
tracing interviews, and nutritional programs. Additional
benefits to GBV screening include linkages to other data
collection and documentation that is needed for program
planning [51]. Finally, routine screening of women can
serve a secondary purpose of changing the social norms
that currently sustain GBV and increasing awareness of
rights and services for those who have experienced GBV. Discussion A review of studies on refugee camp density and size
shows that camp design may help to mitigate structural
vulnerability to GBV [43], such as reported here. Other
proven GBV prevention strategies have been implemented
in non-humanitarian settings. These include income en-
hancement and gender training, [44,45] male-targeted,
community-based training sessions to address GBV and
HIV risk behaviors, [46] training sessions with participa-
tory learning and communications skills, [44,45] and com-
munity mobilization (trial underway) [47]. Though still few
in number, research to inform evidence-based response ef-
forts has been implemented in humanitarian settings, in-
cluding studies of psychological support interventions for
rape survivors, [48] community-led mobile clinic and psy-
chological support services for male and female survivors
of GBV, [37] and support of women and families through
economic empowerment by village-led microfinance (trial
underway) [49]. The dearth of data on evidence-based pre-
vention and response for GBV in humanitarian settings
sets a research agenda to develop a base with which to in-
form programming to provide the most effective and effi-
cient responses in times of limited resources. Author details
1
f 1Department of Epidemiology, Center for Public Health and Human Rights,
Johns Hopkins Bloomberg School of Public Health, Baltimore, USA. 2Department of Emergency Medicine, Johns Hopkins Medical Institutes,
Baltimore, USA. 3Johns Hopkins School of Nursing, Baltimore, USA. 4Department of International Health, Johns Hopkins School of Public Health,
Baltimore, USA. 5University of Washington School of Law, Seattle, USA. Limitations Refugee
camps on the Somali border were selected for research
activities and the findings derived from those settings
may be limited to the Somali refugee experience. Sites
were selected on the basis of several logistical, security,
and ethical considerations (e.g. ensuring that established
and quality referral services are available when survivors Wirtz et al. Conflict and Health 2013, 7:13
http://www.conflictandhealth.com/content/7/1/13 Wirtz et al. Conflict and Health 2013, 7:13
http://www.conflictandhealth.com/content/7/1/13 Page 13 of 14 Page 13 of 14 are identified). To ensure a range of experiences were cap-
tured, attention was given to include refugees from other
countries (Sudan, Eritrea, Burundi, and DRC) in the inter-
views conducted in Addis Ababa. Received: 4 February 2013 Accepted: 3 June 2013
Published: 12 June 2013 Received: 4 February 2013 Accepted: 3 June 2013
Published: 12 June 2013 Received: 4 February 2013 Accepted: 3 June 2013
Published: 12 June 2013 Competing interests
The authors declare that they have no competing interests. 9. Medicines Sans Frontières MS: Shattered Lives: Immediate medical care vital
for sexual violence victims. New York: MSF; 2009. Authors’ information Qualitative research presented here is part of a multi-phase study conducted
by the research team (NG, KP, LR, AW, AV) to develop and validate an
evidence-based screening tool to identify and refer female and male survivors of
sexual and gender-based violence in humanitarian settings. The tool is being
developed among refugees and displaced populations in Ethiopia, Colombia,
and Uganda with the ultimate aim for international use by UNHCR and other
providers to confidentially identify and meet clinical, reproductive health, and
mental health care needs and provide protection for survivors. An additional limitation is associated with the recruit-
ment and eligibility of survivor participants. Survivors
were recruited from the population of female refugees
(15 years and older) who had reported their case of GBV
and were receiving/had received GBV services from our
implementing partners. Thus, these individuals had suc-
cessfully overcome many of the barriers described above. Experiences and barriers reported in this manuscript
may, therefore, be different among those who were not
receiving services or had not disclosed GBV to service
providers. This recruitment method and eligibility cri-
teria, however, was identified in collaboration with the
implementing partners working in the camps as ethically
appropriate as talking about the GBV can be distressing,
therefore, the survivors invited and consented to partici-
pate were prepared to discuss GBV and had ongoing ac-
cess to services. Abbreviations
RR
d 6. Adams JA, Girardin B, Faugno D: Adolescent sexual assault:
documentation of acute injuries using photo-colposcopy. J Pediatr
Adolesc Gynecol 2001, 14:175–180. 6. Adams JA, Girardin B, Faugno D: Adolescent sexual assault:
documentation of acute injuries using photo-colposcopy. J Pediatr
Adolesc Gynecol 2001, 14:175–180. ARRA: Administration for Refugee and Returnee Affairs; DRC: Democratic
Republic of Congo; GBV: Gender-based violence; IPV: Intimate Partner
Violence; INGO: International Non-governmental Organization; NGO: Non-
governmental Organization; UNHCR: United Nations High Commissioner for
Refugees. y
7. McLean I, Roberts SA, White C, Paul S: Female genital injuries resulting
from consensual and non-consensual vaginal intercourse. Forensic Sci Int
2011, 204:27–33. 7. McLean I, Roberts SA, White C, Paul S: Female genital injuries resulting
from consensual and non-consensual vaginal intercourse. Forensic Sci Int
2011, 204:27–33. 8. Onsrud M, Sjoveian S, Luhiriri R, Mukwege D: Sexual violence-related
fistulas in the Democratic Republic of Congo. Int J Gynaecol Obstet 2008,
103:265–269. 8. Onsrud M, Sjoveian S, Luhiriri R, Mukwege D: Sexual violence-related
fistulas in the Democratic Republic of Congo. Int J Gynaecol Obstet 2008,
103:265–269. References 1. United Nations General Assembly: Declaration on the Elimination of Violence
Against Women. vol. 48/104. Geneva: United Nations; 1993. 1. United Nations General Assembly: Declaration on the Elimination of Violence
Against Women. vol. 48/104. Geneva: United Nations; 1993. 2. Ward J, Vann B: Gender-based violence in refugee settings. Lancet 2002,
360(Suppl):s13–14. 2. Ward J, Vann B: Gender-based violence in refugee settings. Lancet 2002,
360(Suppl):s13–14. 3. Amowitz LL, Reis C, Lyons KH, Vann B, Mansaray B, Akinsulure-Smith AM,
Taylor L, Iacopino V: Prevalence of war-related sexual violence and other
human rights abuses among internally displaced persons in Sierra
Leone. JAMA 2002, 287:513–521. 4. United nations High Commissioner for Refugees: Sexual and gender-based
violence against refugees, returnees, and internally displaced persons. Geneva:
UNHCR; 2003. 4. United nations High Commissioner for Refugees: Sexual and gender-based
violence against refugees, returnees, and internally displaced persons. Geneva:
UNHCR; 2003. 5. Inter-agency Standing Committee: Guidelines for Gender-based Violence
Interventions in Humanitarian Settings Focusing on Prevention of and
Response to Sexual Violence in Emergencies. Geneva: IASC; 2005. Acknowledgements Our thanks are due to the refugee women in Ethiopia who provided their
experiences and input to contribute to the development of the GBV screening
tool. Additional gratitude is due to Rehana Gubin and Lopa Basu who supported
the qualitative coding. The authors appreciate the support provided by the
Center for Public Health and Human Rights for the development of the GBV
screening tool. Thanks are due Menbere Dawit, Matilda Svensonn, Margriet
Veenma, Catherine Evans, Dr. Dejene, and others in UNHCR as well as Dr. Tesafaye and colleagues in ARRA who supported this project from
conceptualization through implementation. This project was funded as a
gift of the U.S. Government (U.S. Department of State, Bureau of
Population, Refugees, and Migration). Publication of this article was funded
in part by the Open Access Promotion Fund of the Johns Hopkins
University Libraries. Conclusions The study demonstrates the existence, similarities, and var-
iations of multiple types of GBV and perpetrators across
the span of the female refugee experience in Ethiopia. These experiences range from, but are not limited to, phys-
ical violence and rape during conflict, opportunistic vio-
lence during transit, and sexual and domestic violence
within urban and camp-based settings. Findings sug-
gest a need for flexibility of programs to identify, address,
respond, and prevent the range of GBV, which female refu-
gees may experience. Additional findings highlight under-
reporting and low service utilization by survivors. Informed
by qualitative descriptions, we have developed a screening
tool to confidentially identify and refer GBV survivors to
appropriate and timely services within the humanitarian
setting. Validation and implementation studies will provide
an evidence-base for the use of the screening tool in hu-
manitarian settings. 6Department of General Internal Medicine, Johns Hopkins Medical Institutes,
Baltimore, USA. 6Department of General Internal Medicine, Johns Hopkins Medical Institutes,
Baltimore, USA. Wirtz et al. Conflict and Health 2013, 7:13
http://www.conflictandhealth.com/content/7/1/13 Geneva: UNHCR; 2011. 48. Hustache S, Moro MR, Roptin J, Souza R, Gansou GM, Mbemba A, Roederer
T, Grais RF, Gaboulaud V, Baubet T: Evaluation of psychological support for
victims of sexual violence in a conflict setting: results from Brazzaville
Congo. Int J Ment Health Syst 2009, 3:7. 26. Khawaja M, Hammoury N: Coerced Sexual Intercourse Within Marriage: A
Clinic-Based Study of Pregnant Palestinian Refugees in Lebanon. Journal
of Midwifery & Women's Health 2008, 53:150–154. 27. Vu A, Adam A, Wirtz A, Pham K, Rubenstein L, Glass N, Singh S: The prevalence
of sexual violence among female refugees in complex humanitarian
emergencies: a systematic review and meta-analysis. JAMA Psychiatry 2013. under review. 49. Glass N, Ramazani P, Tosha M, Mpanano M, Cinyabuguma M: A Congolese-
US participatory action research partnership to rebuild the lives of rape
survivors and their families in eastern Democratic Republic of Congo. Glob Public Health 2012, 7:184–195. 28. UNHCR: Refugees in the Horn of Africa: Somali Displacement Crisis: Registered
Somali Refugee Population, Jijiga. [http://data.unhcr.org/horn-of-africa/region. php?id=11&country =65]. 50. Rabin RF, Jennings JM, Campbell JC, Bair-Merritt MH: Intimate partner
violence screening tools: a systematic review. Am J Prev Med 2009,
36(e434):439–445. p p
y
29. Lincoln L, Guba E: Naturalistic Inquiry. Newbury Park, CA: Sage; 1985. 51. Gender-based Violence Information Management System Steering
Committee: GBVIMS Overview. 14th edition. New York: GBVIMS; 2010. Available at: http://www.gbvims.org/. 30. Strauss A, Corbin J: Grounded theory methodology: an overview. In
Strategies of qualitative inquiry. Edited by Denzin N, Lincoln Y. Thousand
Oaks, CA: Sage; 1998:158–183. 52. Christian M, Safari O, Ramazani P, Burnham G, Glass N: Sexual and gender
based violence against men in the Democratic Republic of Congo:
effects on survivors, their families and the community. Med Confl Surviv
2011, 27:227–246. 31. Hammoury MKN, Mahfoud Z, Afifi RA, Madi H: Domestic Violence against
Women during Pregnancy: The Case of Palestinian Refugees Attending an
Antenatal Clinic in Lebanon. Journal of Women's Health 2009, 18:337–345. 32. Bartels SA, Scott JA, Mukwege D, Lipton RI, Vanrooyen MJ, Leaning J:
Patterns of sexual violence in Eastern Democratic Republic of Congo:
reports from survivors presenting to Panzi Hospital in 2006. Confl Health
2010, 4:9. 53. Save the Children: Unspeakable Crimes Against Children: Sexual Violence in
Conflict. London: Save the Children; 2013. 54. UN OCHA: Discussion Paper 2: The nature, scope, and motivation for sexual
violence against men and boys in armed conflict. Wirtz et al. Conflict and Health 2013, 7:13
http://www.conflictandhealth.com/content/7/1/13 Page 14 of 14 Wirtz et al. Conflict and Health 2013, 7:13
http://www.conflictandhealth.com/content/7/1/13 12. Allsworth JE, Anand M, Redding CA, Peipert JF: Physical and sexual violence
and incident sexually transmitted infections. J Womens Health (Larchmt) 2009,
18:529–534. 35. Johnson K, Asher J, Rosborough S, Raja A, Panjabi R, Beadling C, Lawry L:
Association of combatant status and sexual violence with health and
mental health outcomes in postconflict Liberia. JAMA 2008, 300:676–690. 13. Ellsberg M, Jansen HA, Heise L, Watts CH, Garcia-Moreno C: Intimate
partner violence and women's physical and mental health in the WHO
multi-country study on women's health and domestic violence: an
observational study. Lancet 2008, 371:1165–1172. 36. Wenzel T, Rushiti F, Aghani F, Diaconu G, Maxhuni B, Zitterl W: Suicidal
ideation, post-traumatic stress and suicide statistics in Kosovo. An
analysis five years after the war. Suicidal ideation in Kosovo. Torture 2009,
19:238–247. 37. Kohli A, Makambo MT, Ramazani P, Zahiga I, Mbika B, Safari O, Bachunguye R,
Mirindi J, Glass N: A Congolese community-based health program for
survivors of sexual violence. Confl Health 2012, 6:6. 14. Biggs M, Stermac LE, Divinsky M: Genital injuries following sexual assault
of women with and without prior sexual intercourse experience. CMAJ
1998, 159:33–37. 38. Fazel M, Wheeler J, Danesh J: Prevalence of serious mental disorder in
7000 refugees resettled in western countries: a systematic review. Lancet
2005, 365:1309–1314. 15. Hilden M, Schei B, Sidenius K: Genitoanal injury in adult female victims of
sexual assault. Forensic Sci Int 2005, 154:200–205. 16. Sugar NF, Fine DN, Eckert LO: Physical injury after sexual assault: findings
of a large case series. Am J Obstet Gynecol 2004, 190:71–76. 39. Hynes M, Robertson K, Ward J, Crouse C: A determination of the prevalence of
gender-based violence among conflict-affected populations in East Timor. Disasters 2004, 28:294–321. 17. World Health Organization: Post-exposure prophylaxis to prevent HIV infection. Geneva: WHO, ILO; 2007. 40. Interagency Standing Committee: Guidelines for Gender-based Violence
Interventions in Humanitarian Settings. Geneva: The IASC Taskforce on
Gender in Humanitarian Assistance; 2005. Available at: http://www. humanitarianinfo.org/iasc/pageloader.aspx?page=content-subsidi-tf_gender-gbv 18. Andersson N, Cockcroft A, Shea B: Gender-based violence and HIV:
relevance for HIV prevention in hyperendemic countries of southern
Africa. AIDS 2008, 22(Suppl 4):S73–86. 19. Stockman JK, Lucea MB, Campbell JC: Forced Sexual Initiation, Sexual
Intimate Partner Violence and HIV Risk in Women: A Global Review of
the Literature. AIDS Behav 2012, 17(3):832–47. 41. Wirtz et al. Conflict and Health 2013, 7:13
http://www.conflictandhealth.com/content/7/1/13 Interagency Standing Committee: Guidelines for HIV/AIDS interventions in
emergency settings. Geneva: IASC; 2010. http://www.humanitarianinfo.org/
iasc/pageloader.aspx?page=content-subsidi-tf_gender-gbv. 20. Decker MR, Wirtz AL, Pretorius C, Sherman S, Sweat M, Baral S, Beyrer C,
Kerrigan D: Estimating the impact of reducing violence against female
sex workers on HIV epidemics in Kenya and Ukraine: a policy modeling
exercise. Am J Reprod Immunol 2012, 69(Suppl 1):122–32. p g
p p g
g
g
42. Human Rights Watch: World Report 2012. Haiti. New York: HRW; 2012. 42. Human Rights Watch: World Report 2012. Haiti. New York: H 43. Cosgrave J: Refugee density and dependence: practical implications of
camp size. Disasters 1996, 20:261–270. 44. US Department of State. Sexual and Gender-Based Violence Programs. Washington DC: GWI Policy & Programs; 2013. Available at: http://www. state.gov/s/gwi/programs/policy/gbv/programs/index.htm. 21. Stark L, Roberts L, Wheaton W, Acham A, Boothby N, Ager A: Measuring
violence against women amidst war and displacement in northern
Uganda using the "neighbourhood method". J Epidemiol Community
Health 2010, 64:1056–1061. 45. Pronyk PM, Hargreaves JR, Kim JC, Morison LA, Phetla G, Watts C, Busza J,
Porter JDH: Effect of a structural intervention for the prevention of
intimate-partner violence and HIV in rural South Africa: a cluster
randomised trial. The Lancet 2008, 368:1973–1983. 22. Muhwezi W, Kinyanda E, Mungherera M, Onyango P, Ngabirano E, Muron J,
Kagugube J, Kajungu R: Vulnerability to high risk sexual behaviour (HRSB)
following exposure to war trauma as seen in post-conflict communities
in eastern uganda: a qualitative study. Confl Health 2011, 5:22. 46. Kalichman SC, Simbayi LC, Cloete A, Clayford M, Arnolds W, Mxoli M, Smith G,
Cherry C, Shefer T, Crawford M, Kalichman MO: Integrated gender-based
violence and HIV Risk reduction intervention for South African men: results
of a quasi-experimental field trial. Prev Sci 2009, 10:260–269. 23. Palermo T, Peterman A: Undercounting, overcounting and the longevity
of flawed estimates: statistics on sexual violence in conflict. Bull World
Health Organ 2011, 89:924–925. 47. Abramsky T, Devries K, Kiss L, Francisco L, Nakuti J, Musuya T, Kyegombe N,
Starmann E, Kaye D, Michau L, Watts C: A community mobilisation
intervention to prevent violence against women and reduce HIV/AIDS
risk in Kampala, Uganda (the SASA! Study): study protocol for a cluster
randomised controlled trial. Trials 2012, 13:96–117. 24. Stark: Measuring violence against women amidst war and displacement
in Northern Uganda using the ‘Neighborhood Method. JHEC 2009,
64(12):1056–61. 25. UNHCR: Action against Sexual and Gender-Based Violence: An Updated
Strategy. Authors’ contributions AV, LR, NG, AW, KP conceived of the study and designed the protocol. NG,
AW and AA led in-depth interviews; AV, KP, LR, led focus group discussions;
AW and two Masters-level student coders conducted qualitative coding
(RG, LB); AW provided analysis, interpretation of the results, and drafting of the
paper. AA participated in the management of field level data collection. All
authors have read, provided input, and approved the final manuscript. 10. Draughton: Sexual assault injuries and increased risk of HIV transmis
Advanced emergency nursing journal 2012, 34:82–87. 11. Garcia-Linares MI, Sanchez-Lorente S, Coe CL, Martinez M: Intimate male
partner violence impairs immune control over herpes simplex virus type
1 in physically and psychologically abused women. Psychosom Med 2004,
66:965–972. Wirtz et al. Conflict and Health 2013, 7:13
http://www.conflictandhealth.com/content/7/1/13 Geneva: UN OCHA Research
Meeting; 2008. 33. Kinyanda E, Musisi S, Biryabarema C, Ezati I, Oboke H, Ojiambo-Ochieng R,
Were-Oguttu J, Levin J, Grosskurth H, Walugembe J: War related sexual
violence and it's medical and psychological consequences as seen in
Kitgum Northern Uganda: A cross-sectional study. BMC Int Health Hum
Rights 2010, 10:28. doi:10.1186/1752-1505-7-13
Cite this article as: Wirtz et al.: Development of a screening tool to
identify female survivors of gender-based violence in a humanitarian
setting: qualitative evidence from research among refugees in Ethiopia. Conflict and Health 2013 7:13. doi:10.1186/1752-1505-7-13
Cite this article as: Wirtz et al.: Development of a screening tool to
identify female survivors of gender-based violence in a humanitarian
setting: qualitative evidence from research among refugees in Ethiopia. Conflict and Health 2013 7:13. doi:10.1186/1752-1505-7-13
Cite this article as: Wirtz et al.: Development of a screening tool to
identify female survivors of gender-based violence in a humanitarian
setting: qualitative evidence from research among refugees in Ethiopia. Conflict and Health 2013 7:13. 34. Peterman A, Palermo T, Bredenkamp C: Estimates and determinants of
sexual violence against women in the Democratic Republic of Congo. Am J Public Health 2011, 101:1060–1067.
|
https://openalex.org/W4391812872
|
https://bmcophthalmol.biomedcentral.com/counter/pdf/10.1186/s12886-024-03332-w
|
English
| null |
Tuberculum meningioma with recovery of glaucoma-like visual field defects after chiasmal decompression: a case report
|
BMC ophthalmology
| 2,024
|
cc-by
| 3,180
|
© The Author(s) 2024. Open Access This article is licensed under a Creative Commons Attribution 4.0 International License, which permits use,
sharing, adaptation, distribution and reproduction in any medium or format, as long as you give appropriate credit to the original author(s) and
the source, provide a link to the Creative Commons licence, and indicate if changes were made. The images or other third party material in this
article are included in the article’s Creative Commons licence, unless indicated otherwise in a credit line to the material. If material is not included
in the article’s Creative Commons licence and your intended use is not permitted by statutory regulation or exceeds the permitted use, you will
need to obtain permission directly from the copyright holder. To view a copy of this licence, visit http://creativecommons.org/licenses/by/4.0/. The
Creative Commons Public Domain Dedication waiver (http://creativecommons.org/publicdomain/zero/1.0/) applies to the data made available
in this article, unless otherwise stated in a credit line to the data. Abstract Background To report a case of tuberculum meningioma with recovery of glaucoma-like visual field defects after
chiasmal decompression. Case presentation A 39-year-old woman presenting with headache was found to have bilateral arcuate retinal
nerve fiber layer (RNFL) thinning on optical coherence tomography (OCT) with a corresponding arcuate scotomas
consistent with glaucomatous change. However a suprasellar tumor compressing the anterior chiasm from below
was found on magnetic resonance imaging of the brain. After resection of the mass, which was diagnosed as
meningothelial meningioma by the pathological examination, the glaucoma-like visual field defects resolved despite
the RNFL thinning on the OCT showing no improvement. Conclusions Chiasmal compression may mimic glaucoma and produce arcuate scotoma rather than temporal visual
field loss. There is a possibility that the development of chiasmal compression somehow converted preperimetric
glaucoma into a more advanced form accompanied by visual field defects and that the glaucoma reverted to the
preperimetric state after chiasmal decompression. Keywords Suprasellar tumor, Chiasmal compression, Preperimetric glaucoma, Optical coherence tomography (OCT) uprasellar tumor, Chiasmal compression, Preperimetric glaucoma, Optical coherence tomography (OC Kaori Hanai1*, Masato Hashimoto1 and Hirohiko Nakamura2 Kaori Hanai1*, Masato Hashimoto1 and Hirohiko Nakamura2 BMC Ophthalmology BMC Ophthalmology Hanai et al. BMC Ophthalmology (2024) 24:68
https://doi.org/10.1186/s12886-024-03332-w Open Access Background nerve head including neuroretinal rim thinning and arcu
ate retinal nerve fiber layer (RNFL) defects or thinning
followed by arcuate scotoma. There have been several
previous reports of glaucomatous appearance of the optic
nerve head in patients with intracranial lesions [1–6]. However, it has remained inconclusive so far, whether the
coincidence of tumor and glaucomatous optic neuropa
thy was incidental or whether it was causally related. Most sellar mass lesions such as tuberculum meningioma
or pituitary adenoma produce bitemporal visual field
defects and its funduscopic examination typically dem
onstrates band atrophy of the optic disc, resulting from
axonal damage of crossing retinal nerve fibers by direct
compression of the chiasm. In contrast, glaucoma is clas
sically characterized by a typical appearance of the optic We report a case of tuberculum meningioma with
recovery of glaucoma-like visual field changes after chias
mal decompression. *Correspondence:
Kaori Hanai
khanai@nmh.or.jp
1Department of Ophthalmology, Nakamura Memorial Hospital, S-1, W-14,
Chuo-ku, 060-8570 Sapporo, Japan
2Department of Neurosurgery, Nakamura Memorial Hospital, S-1, W-14,
Chuo-ku, Sapporo, Japan © The Author(s) 2024. Open Access This article is licensed under a Creative Commons Attribution 4.0 International License, which permits use,
sharing, adaptation, distribution and reproduction in any medium or format, as long as you give appropriate credit to the original author(s) and
the source, provide a link to the Creative Commons licence, and indicate if changes were made. The images or other third party material in this
article are included in the article’s Creative Commons licence, unless indicated otherwise in a credit line to the material. If material is not included
in the article’s Creative Commons licence and your intended use is not permitted by statutory regulation or exceeds the permitted use, you will
need to obtain permission directly from the copyright holder. To view a copy of this licence, visit http://creativecommons.org/licenses/by/4.0/. The
Creative Commons Public Domain Dedication waiver (http://creativecommons.org/publicdomain/zero/1.0/) applies to the data made available
in this article, unless otherwise stated in a credit line to the data. Hanai et al. BMC Ophthalmology (2024) 24:68 Page 2 of 5 Hanai et al. BMC Ophthalmology Fig. 1 MRI of the brain. A: Coronal T2-weighted image demonstrated the suprasellar mass compressing the optic chiasm upwards, especially on the right
side. B: Post-contrast sagittal image on CISS demonstrated the enhanced mass compressing the anterior chiasm (arrow) Fig. 1 MRI of the brain. A: Coronal T2-weighted image demonstrated the suprasellar mass compressing the optic chiasm upwards, especially on the right
side. B: Post-contrast sagittal image on CISS demonstrated the enhanced mass compressing the anterior chiasm (arrow) Fig. 2 Pre-operative SS-OCT images showed mildly large cups in both optic discs (C/D:0.8 in the right, 0.7 in the left) and inferior arcuate RNFL thinning
on the right and mild thinning on the left. Peripapillary RNFL thicknesses demonstrated reduction of inferior segment in the both eyes Fig. 2 Pre-operative SS-OCT images showed mildly large cups in both optic discs (C/D:0.8 in the right, 0.7 in the left) and inferior arcuate RNFL thinning
on the right and mild thinning on the left. Peripapillary RNFL thicknesses demonstrated reduction of inferior segment in the both eyes Case presentation cups. Using spectral-source optical coherence tomogra
phy (SS-OCT), RNFL analysis showed inferior arcuate
RNFL thinning on the right and mild thinning on the left
(Fig. 2). Automated perimetry revealed upper arcuate
scotoma in the right eye larger than the left eye (Fig. 3). The scotomas were compatible with arcuate RNFL thin
ning and appeared to be consistent with normal tension
glaucoma. The patient had never noticed her visual field
defects. The suprasellar tumor was wholly resected and
the pathological examination resulted in the diagnossis
of a meningothelial meningioma. One week after surgery,
her visual field defects resolved (Fig. 4). However, the
RNFL thinning on OCT was still present regardless the
resolution of visual field defects maintained at six months
follow up (Fig. 5). cups. Using spectral-source optical coherence tomogra
phy (SS-OCT), RNFL analysis showed inferior arcuate
RNFL thinning on the right and mild thinning on the left
(Fig. 2). Automated perimetry revealed upper arcuate
scotoma in the right eye larger than the left eye (Fig. 3). The scotomas were compatible with arcuate RNFL thin
ning and appeared to be consistent with normal tension
glaucoma. The patient had never noticed her visual field
defects. The suprasellar tumor was wholly resected and
the pathological examination resulted in the diagnossis
of a meningothelial meningioma. One week after surgery,
her visual field defects resolved (Fig. 4). However, the
RNFL thinning on OCT was still present regardless the
resolution of visual field defects maintained at six months
follow up (Fig. 5). A 39-year-old woman was referred to the neurosurgery
section of our hospital with a chief complaint of head
ache. Magnetic resonance imaging (MRI) of the brain
showed a suprasellar tumor with low signal intensity on
T1-weighted image, iso signal intensity on T2-weighted
image and post-contrast enhancement on Gadolinium-
DTPA. The mass compressed the anterior optic chiasm
upwards, especially on the right side (Fig. 1). She had
no history of systemic or ophthalmologic disease. She
was admitted to the Neurosurgery department and was
referred to our Department of Ophthalmology in order
to examine her visual function. On examination, visual
acuity was 20/20 in each eye (OU) and there was no rela
tive afferent pupillary defect. Intraocular pressure was
14 mmHg OU. Slit-lamp examination showed no abnor
malities. Fundus examination showed mildly large optic (2024) 24:68 Page 3 of 5 Hanai et al. BMC Ophthalmology (2024) 24:68 Hanai et al. BMC Ophthalmology Fig. Case presentation 3 Pre-operative 30 − 2 Humphrey automated visual field examination demonstrating a paracentral upper arcuate scotoma in the both eyes Fig. 5 6 months post-operative SS-OCT images showing the same arcuate RNFL thinning as pre-operative images
Fig. 4 1week post-operative 30 − 2 Humphrey automated visual field examination showing the recovery of the visual field defects
Fig. 3 Pre-operative 30 − 2 Humphrey automated visual field examination demonstrating a paracentral upper arcuate scotoma in the both eyes Fig. 3 Pre-operative 30 − 2 Humphrey automated visual field examination demonstrating a paracentral upper arcuate scotoma in the both eyes Fig. 4 1week post-operative 30 − 2 Humphrey automated visual field examination showing the recovery of the visual field defects Fig. 4 1week post-operative 30 − 2 Humphrey automated visual field examination showing the recovery of the visual field defects Fig. 5 6 months post-operative SS-OCT images showing the same arcuate RNFL thinning as pre-operative images Fig. 5 6 months post-operative SS-OCT images showing the same arcuate RNFL thinning as pre-operative images Page 4 of 5 Page 4 of 5 Hanai et al. BMC Ophthalmology (2024) 24:68 Hanai et al. BMC Ophthalmology Declarations Preperimetric glaucoma (PPG) is defined as the pres
ence of characteristic glaucomatous changes in the optic
disc and increased vulnerability to damage in the RNFL,
without the presence of visual field defects detectable
with standard automated perimetry test [13, 14]. Shiga
et al. described that the inferior region of the retina cor
responding to the superior visual field is the most sus
ceptible to progression in PPG as in our patient [15]. As
a hypothesis, we speculate that the patient had prob
ably PPG with mild large optic cups and RNFL thinning
but no frank scotoma and that physiological conduc
tion block from chiasmal compression due to the tumor Data availability y
All data generated or analyzed during this study are included in this published
article. Ethics approval and consent to participate This study adhered to the Declaration of Helsinki. The patients provided
written informed consent for the publication of this case report and any
accompanying pictures. This study protocol was reviewed, and the need for
approval was waived by Nakamura Memorial Hospital. Consent for publication Written informed consent was obtained from the patient for publication of
the case report and accompanying images. Author contributions
d
b
d K.H. and M.H.contributed to the design of the work. K.H., M.H. and H.N. have
drafted the work. All authors read and approved the final manuscript. Discussion and conclusionshi might exacerbate the vulnerable arcuate RNFL caused by
PPG, resulting in manifestation of arcuate scotomas. The arcuate visual field defects in our patient resolved
after the tuberculum meningioma was resected. We
have no convincing explanation for this clinical finding. Anatomically, the optic nerves tether the anterior chi
asm, thereby preventing it from escaping a growing sel
lar tumor. On the other hand, the posterior chiasm starts
from a higher position whose border is located 4 mm
above its anterior border and possibly moves further
upwards [7]. Therefore, the anterior chiasm is more vul
nerable to the force from below than the posterior chi
asm or optic tract. Horton et al. investigated the course
of fibers through the primate optic chiasm using differ
ent fluorescein tracers in each eye of a monkey [8]. They
found that crossing fibers segregate within the ante
rior core of the chiasm and gradually intermingle with
uncrossing fibers posteriorly. Kosmorsky et al. described
that higher pressures were recorded in the central por
tion than in the lateral edge of the chiasm by making
measurements in cadavers with simulated pituitary
tumors [9]. Consequently, crossing fibers in the core of
the anterior chiasm are most vulnerable to suprasellar
tumors such as that in our patient, resulting in bitem
poral visual field defects, and arcuate scotoma from
uncrossing fibers is highly unlikely. We have not discussed all possibilities about two fur
ther causes in this case. On the one hand, it cannot be
ruled out completely that compression to the chiasm led
to atypical defects. On the other hand, it is cause of the
fluctuation of visual fields. The patient might be over-
motivated during the second visual field test although
rates of false positives (0% OU), false negatives (1%
OU) and fixation loss (0/19 OD, 2/22 OS) were low. In
any case, we continuously need to follow the visual field
changes in this patient in the future. In conclusion, chiasmal compression causing arcu
ate glaucoma-like scotoma rather than temporal visual
field loss is rare. Possibly, the development of chiasmal
compression from the tumor somehow converted pre
perimetric glaucoma into a more advanced form accom
panied by visual field defects and that the glaucoma
reverted to the preperimetric state when the tumor com
pression was relieved. Ophthalmologists should be aware
that chiasmal compression may not produce classical
bitemporal visual field defect and may mimic normal ten
sion glaucoma. Discussion and conclusionshi Abbreviations
CISS
Constructive interference in the steady state
MRI
Magnetic resonance imaging
PPG
Preperimetric glaucoma
RNFL
Retinal nerve fiber layer
SS-OCT
Spectral-source optical coherence tomography Abbreviations
CISS
Constructive interference in the steady state
MRI
Magnetic resonance imaging
PPG
Preperimetric glaucoma
RNFL
Retinal nerve fiber layer
SS-OCT
Spectral-source optical coherence tomography i
y
y
Qu et al. described that large perisellar tumors were
associated with a glaucomatous appearance of the optic
nerve head [10]. Additionally, they hypothesized that
the perisellar tumors located relatively close to the optic
nerve may have blocked the free passage of cerebrospinal
fluid (CSF) into the optic canal. And then, if the retro
bulbar space is collapsed, the trans-lamina cribrosa pres
sure gradient will be increased, resulting in the similar
situation of a normal retrobulbar CSF pressure and an
increased intraocular pressure. Some previous clinical
studies suggested that a low retrobulbar CSF pressure
may play a role in the pathogenesis of normal tension
glaucoma [11, 12]. The tuberculum meningioma in our
patient was not so large and located only under the ante
rior chiasm, not blocking the free passage of CSF into the
optic canal and orbit.i References Risk assessment in the management of patients with ocular hypertension. Am J Ophthalmol. 2004;138(3):458–67. 4. Golnik KC, Hund PW III, Stroman GA, Stewart WC. Magnetic resonance
imaging in patients with unexplained optic neuropathy. Ophthalmology. 1996;103(3):515–20. p
14. Weinreb RN, Aung T, Medeiros FA. The pathophysiology and treatment of
glaucoma: a review. JAMA. 2014;311(18):1901–11. 14. Weinreb RN, Aung T, Medeiros FA. The pathophysi
glaucoma: a review. JAMA. 2014;311(18):1901–11. 14. Weinreb RN, Aung T, Medeiros FA. The pathophysiolog
glaucoma: a review. JAMA. 2014;311(18):1901–11. 15. Shiga Y, Aizawa N, Tsuda S, Yokoyama Y, Omodaka K, Kunikata H, et al. Preperi
metric glaucoma prospective study (PPGPS): predicting visual field progres
sion with basal optic nerve head blood flow in normotensive PPG eyes. Trans
Vis Sci Technol. 2018;7(1):11. 7. Miller NR, Newman NJ. Walsh and Hoyt’s clinical neuro-ophthalmology. 5 ed. Baltimore: Williams &Wilkins; 1998. 8. Horton JC, Dilbeck MD, Economides JR. Decussating axons segregate within
the anterior core of the primate optic chiasm. Br J Ophthalmol. 2022;0:1. https://doi.org/10.1136/bjo-2022-322235 References 10. Qu Y, Wang YX, Xu L, Zhang L, Zhang J, Zhang J, et al. Glaucoma-like
optic neuropathy in patients with intracranial tumours. Acta Ophthalmol. 2011;89(5):428–33. References
1. Trobe JD, Glaser JS, Cassady J, Herschler J, Anderson DR. Non glaucomatous
excavation of the optic disc. Arch Ophthalmol. 1980;98(6):1040–50. 2. Kupersmith MJ, Krohn D. Cupping of the optic disc with compressive lesions
of the anterior visual pathway. Ann Ophthalmol. 1984;16(10):948–53. 3. Bianchi-Marzoli S, Rizzo JF III, Brancato R, Lessell S. Quantitative analysis
of optic disc cupping in compressive optic neuropathy. Ophthalmology. 1995;102(3):436–40. 4. Golnik KC, Hund PW III, Stroman GA, Stewart WC. Magnetic resonance
imaging in patients with unexplained optic neuropathy. Ophthalmology. 1996;103(3):515–20. 5. Greenfield DS, Siatkowski RM, Glaser JS, Schatz NJ, Parrish RK II. The cupped
disc. Who needs neuroimaging? Ophthalmology. 1998;105(10):1866–74. 6. Kashiwagi K, Ohkubo T, Tsukahara S. Association of magnetic resonance
imaging of anterior optic pathway with glaucomatous visual field damage
and optic disc cupping. J Glaucoma. 2004;13(3):189–95. 7. Miller NR, Newman NJ. Walsh and Hoyt’s clinical neuro-ophthalmology. 5 ed. Baltimore: Williams &Wilkins; 1998. 8. Horton JC, Dilbeck MD, Economides JR. Decussating axons segregate within
the anterior core of the primate optic chiasm. Br J Ophthalmol. 2022;0:1. https://doi.org/10.1136/bjo-2022-322235
9. Kosmorsky GS, Dupps WJ, Drake RL. Nonuniform pressure generation in
the optic chiasm may explain bitemporal hemianopsia. Ophthalmology. 2008;115(3):560–5. 1. Trobe JD, Glaser JS, Cassady J, Herschler J, Anderson DR. Non glaucomatous
excavation of the optic disc. Arch Ophthalmol. 1980;98(6):1040–50. 1. Trobe JD, Glaser JS, Cassady J, Herschler J, Anderson DR. Non glaucomatous
excavation of the optic disc. Arch Ophthalmol. 1980;98(6):1040–50. p
p
2. Kupersmith MJ, Krohn D. Cupping of the optic disc with compressive lesions
of the anterior visual pathway. Ann Ophthalmol. 1984;16(10):948–53. 11. Berdahl JP, Allingham RR, Johnson DH. Cerebrospinal fluid pres
sure is decreased in primary open-angle glaucoma. Ophthalmology. 2008;115(5):763–8. 11. Berdahl JP, Allingham RR, Johnson DH. Cerebrospinal fluid pres
sure is decreased in primary open-angle glaucoma. Ophthalmology. 2008;115(5):763–8. 2. Kupersmith MJ, Krohn D. Cupping of the optic disc with compressive lesions
of the anterior visual pathway. Ann Ophthalmol. 1984;16(10):948–53. 3. Bianchi-Marzoli S, Rizzo JF III, Brancato R, Lessell S. Quantitative analysis
of optic disc cupping in compressive optic neuropathy. Ophthalmology. 1995;102(3):436–40. 12. Jonas JB. Role of cerebrospinal fluid pressure in the pathogenesis of glau
coma. Acta Ophthalmol. 2011;89(6):505–14. 13. Weinreb RN, Friedman DS, Fechtner RD, Cioffi GA, Coleman AL, Girkin CA, et
al. Competing interests
The authors declare no competing interests. The authors declare no competing interests. Received: 16 August 2023 / Accepted: 29 January 2024 Received: 16 August 2023 / Accepted: 29 January 2024 Page 5 of 5 Page 5 of 5 Hanai et al. BMC Ophthalmology (2024) 24:68 Hanai et al. BMC Ophthalmology (2024) 24:68 Hanai et al. BMC Ophthalmology References
1.
Trobe JD, Glaser JS, Cassady J, Herschler J, Anderson DR. Non glaucomatous
excavation of the optic disc. Arch Ophthalmol. 1980;98(6):1040–50.
2.
Kupersmith MJ, Krohn D. Cupping of the optic disc with compressive lesions
of the anterior visual pathway. Ann Ophthalmol. 1984;16(10):948–53.
3.
Bianchi-Marzoli S, Rizzo JF III, Brancato R, Lessell S. Quantitative analysis
of optic disc cupping in compressive optic neuropathy. Ophthalmology.
1995;102(3):436–40.
4.
Golnik KC, Hund PW III, Stroman GA, Stewart WC. Magnetic resonance
imaging in patients with unexplained optic neuropathy. Ophthalmology.
1996;103(3):515–20.
5.
Greenfield DS, Siatkowski RM, Glaser JS, Schatz NJ, Parrish RK II. The cupped
disc. Who needs neuroimaging? Ophthalmology. 1998;105(10):1866–74.
6.
Kashiwagi K, Ohkubo T, Tsukahara S. Association of magnetic resonance
imaging of anterior optic pathway with glaucomatous visual field damage
and optic disc cupping. J Glaucoma. 2004;13(3):189–95.
7.
Miller NR, Newman NJ. Walsh and Hoyt’s clinical neuro-ophthalmology. 5 ed.
Baltimore: Williams &Wilkins; 1998.
8.
Horton JC, Dilbeck MD, Economides JR. Decussating axons segregate within
the anterior core of the primate optic chiasm. Br J Ophthalmol. 2022;0:1.
https://doi.org/10.1136/bjo-2022-322235
9.
Kosmorsky GS, Dupps WJ, Drake RL. Nonuniform pressure generation in
the optic chiasm may explain bitemporal hemianopsia. Ophthalmology.
2008;115(3):560–5. Publisher’s Note Springer Nature remains neutral with regard to jurisdictional claims in
published maps and institutional affiliations. Springer Nature remains neutral with regard to jurisdictional claims in
published maps and institutional affiliations. 9. Kosmorsky GS, Dupps WJ, Drake RL. Nonuniform pressure generation in
the optic chiasm may explain bitemporal hemianopsia. Ophthalmology. 2008;115(3):560–5. 9. Kosmorsky GS, Dupps WJ, Drake RL. Nonuniform pressure generation in
the optic chiasm may explain bitemporal hemianopsia. Ophthalmology. 2008;115(3):560–5.
|
https://openalex.org/W2069992502
|
https://zenodo.org/records/1972785/files/article.pdf
|
German
| null |
Oxydation von Meta‐ und Paranitrophenol mit Sulfomonopersäure
|
Journal für praktische Chemie
| 1,903
|
public-domain
| 1,940
|
480 480 480 Bttmberger u. Czerki s: Oxydat,. von Nitrophenolen. 480 Bttmberger u. Czerki s: Oxydat,. von Nitrophenolen. Behandelt man wallrige p- Aminophenollosungen mit Sulfo-
monoperslure, so entstcht Chinon und Eydrochinon. p
,
y
Bei der Oxydation der drei Aminophenole mit Caro-
schein Reagens entstehen auller den von uns aufgefundenen
Substanzen miiglicherweise noch andere, von uns iibersehene
Stoffe; wir hoffen spater auf diese Frage zuriickkommen zu
konnen. Ziir ic h , AnalyLchem. Laboratorium des eidgenossischen
Polytechnikums. I) Vergl. dia vorangehende Mitt6ilung. Oxydation von Meta- und Paranitrophenol
mit Sulfomonoperslure; von
Eug. Bamberger und M. Czerkis. Die Auffindung nitrierter Brenzkatechine unter den Pro-
dukten der Oxydation des m- Aminophelrols I) veranlallte uns,
die Einwirkung des C a r oschen Reagens auf Nitrophenole zu
studieren. Unsere Vermutung, daB der Ubergang des m-
Aminophenols in die zwei isomeren Nitrobrenzkatechine:l) OH
()H
OH
/\OH
+HO"
O N . ,
* I \/NO, I
()NOI OH
()H
OH
/\OH
+HO"
O N . ,
* I \/NO, I
()NOI unter Vermittelung intermediar erzeugten m-Nitrophenols statt-
findet, ist durch die nachfolgend mitgeteilten Versuche be-
otittigt worden. 2, Mon. Chem. 3, 386.
Journal f. prakt Chemie [a] Bd. 1i5, l) Darunter ist (wie auch im Absehnitt 11) die Losung verstandrn,
welche direkt nach dem Absangen des Kaliumsulfats erhalten wird. I) Rer. 11, 3G2 (1878). I. Oxydation des Xetanitrophenols. Die Liisung von 10 g Nitrophenol in 350 ccm warmem
Wasser wurde nach Zusatz von 900 ccm schwefelslurehaltiger Bwmberger u. Ceerkis: Oxydwt. von Nitrophenolen. 481 Sulfomonopersaurelosung I) (= 8,6 g aktivem Sauerstoff) eiiie
Btunde lang auf X0°-850
erwarmt. Sobald die angegebene
Temperatur erreicht ist, entweicht ein ziemlich lebhafter Stroni
von Kohlendioxyd und die anfangs zitronengelbe Farbe der
Flussigkeit vertieft sich zu sattem Orange. Nach einstiindigem
Erhitzen wurde die Losung rasch abgekiihlt, erst 5 ma1 mit
der Hand (Extrakt I) und. nachdem sie inzwischen 18 Stunden
lang aufbewahrt war, noch 9 Stunden lang im Hagemann-
schen Apparat (Extrakt 11) mit Ather ausgeschiittelt; letzterer
war zuvor uber Natrium und dann nochmals uber Paranitro-
phenylhydrazin destilliert worden. Der Riickstand von I - 9 g einer orange gefiirbten, ein
wenig oligen Kristallmasse - wurde so lange der Dampf-
destillation unterworfen, als das Kondensat sich mit Eisen-
chlorid grun farbte. Nachdem das Destillat von winzigen
Mengen farbloser E’lockchen abfiltriert war, wurde es er-
schopfend ausgeiithert und der hellorangegelbe, kristallinische
Atherruckstand in konzentriert wlBriger Losung mit Baryt,
wasser versetzt. Nach kurzem Stehen hatte sich ein Baryum-
salz in Form violettroter , metallisch gllinzender Blattchen
ausgeschieden; es wurde abgesaugt, nachgewaschen (Filtrat F)
in Salzsiiure gelost und die in Freiheit gesetzte Saure in
Ather aufgenommen. Das Rohprodukt im Gewicht von 2 g
lieferte beim Umkristallisieren aus ganz wenig warmem Wasser
1,5 g analysenreine Saure. Letztere bildet zitronengelbe , haarfeine , seideglanzende
Nadeln vom Schmelzp. 85,5O und erweist sich dadurch, sowie
durch das charakteristische Verhalten gegen Eisenchlorid,
Natronlauge und Barytwasser als Benedikt - Weselskys
3-Nitro - 1,2 - Brenzkatechin %I, das zum Zweck unmittelbaren
Vergleichs dargestellt und mit unserem Priiparat identisch
befunden wurde. 0,1918 g gaben 3238 g CO, und 0,0522 g H,O. 0,1918 g gaben 3238 g CO, und 0,0522 g H,O. 0,1918 g gaben 3238 g CO, und 0,0522 g H,O. Berechnet fur C,H,NO,:
Gefunden :
C = 46,44
46,04 Olio
H = 3,23
3703 ?7 - Berechnet fur C,H,NO,:
Gefunden :
C = 46,44
46,04 Olio
H = 3,23
3703 ?7 - 46,04 Olio 3703 ?7 - l) Darunter ist (wie auch im Absehnitt 11) die Losung verstandrn,
welche direkt nach dem Absangen des Kaliumsulfats erhalten wird. 31 482 Bamberger u. Czerkis: Oxyclait. von Nitrophenolen. 482 482 Bamberger u. Czerkis: Oxyclait. von Nitrophenolen. 82 Bamberger u. Czerkis: Oxyclait. von Nitrophenolen. 482 Bamberger u. Czerkis: Oxyclait. von Nitrophenolen Die bei der Dampfdestillation zuruckgebliebene Lbsung
gab bei erschijpfendem Ausathern 9 g eines durch Baryum-
hydroxyd in 4-Nitro-l,2-Brenzkatechin und m-Nitrophenol zer-
legbaren Kristallgemisches ab. Ersteres schied sich nuf Zusatz
von Barytwasser zur waRrigen Liisung sehr bald als Baryum-
salz in Form bordeauxroter, griin schimmernder Nadelchen
aus, welche - in vorher angegebener Weise auf die Saure
verarbeitet - 1,5 g derselben in olfreien Kristallen lieferten. Sie wurde erst aus Toluol, dann aus ganz wenig warmem
Wasser umgelost und so in Gestalt schwefelgelber , wolliger,
dunner Nadeln vom konstanten Schmelzp. 175,5 O - 176,5"
(1 g) erhalten. Das intensive Grun, welches Eisenchlorid, das
Purpurrot, welches Natronlauge in der waRrigen Losung der
Saure erzeugte, ferner die charakteristischen Eigenschaften des
Baryumsalzes wiesen unzweifelhaft auf das von Benedict l)
beschriebene 4-Nitro- 1,2-Brenzkatechin hin, obwohl der Schmelz-
punkt des letzteren zu 168 O angegeben ist; wir uberzeugten
uns an einem nach Vorschrift des Entdeckers dargestellten
Praparat, daR auch dieses - wie das unsrige und wie eine
Mischprobe - bei 175,5O-l76,5O
schmilzt. 0,1440 g gaben 0,2429 g CO, und 0,0415 g H,O. Berechnet fur C,B,NO, :
Gefunden :
C = 46,44
46,Ol */"
H = 3,23
3,22 ,, . Aus dem Piltrat des Nitrobrenzkatechinbaryums wurden
durch Ansauern und Ausathern 5 g m-Nitrophenol zuriick-
gewonnen. Extrakt I1 hinterlieB, durch vorsichtige Destillation
mit Bredtscher Kolonne vom grogten Teil des Athers befreit
und dann freiwilliger Verdunstung uberlassen, ein schwach
gelbea, sehr stechend riechendes und die Nasenschleimhaute
angreifendes 61 (fast 5 g) von bemerkenswerten Eigenschaften. Auf die Haut gebracht , korrodiert es dieselbe und hinterlaAt
einen Fleck, welcher aussieht, als ob er durch Verbrennung
erzeugt ware; im Verlauf von 20- 30 Minuten verschwindet
derselbe. Eisenchlorid ruft - namentlich beim Erwarmen -
eine ziemlich heftige , unter Urnsfanden in explosionsartigcs 483 erger u. Czerkis: Oxydnt. von Eitrophenolen. llamberger u. Czerkis: Oxydnt. von Eitrophenolen. Aufschaumen ausartende Gasentwicklung hervor. Fur sich er-
llitzt, zersetzt sich das ijl unter Entbindung von Sauerstoff,
bisweilen unter so starker Detonation, daW das Glaschen zer-
schmettei t wird. Mit konzentrierter Schwefelsaure ubergossen,
blaut es ein daruber gehaltenes , feuchtes Jodkaliumstiarke-
papier. Schuttelt man es mit Bichromat , Schwefelsaure und
ither, so farbt sich letzterer blau. Versuche zur Reinigung dieses interessanten Oxydations-
produktes, in welchem ohne Zweifel ein Peroxyd (Derivat des
Wasserstoffsuperoxyds) enthalten ist, waren erfolglos. I) Die Gase enthalten, wie an der Parbe ersichtlich, Stickstoft-
dioxyd.
31* l) Dieser Korper entsteht in wesentlich besserer Ausbeute, wem
man zur Oxydation von (10 g) Paranitrophenol das Carosche Reagens
in Pastenform (bereitet aus 80 g Kaliumpersulfat und 90 g Schwefc~lsaurc~
verwendet. Man verreibt die Ingredientien in einer in einer Kaltemiscliinig
befindlichen Hchale; nach wenigeri Minuten fiirbt sich der Brei golb uncl 482 Bamberger u. Czerkis: Oxyclait. von Nitrophenolen. Ohne
Zweifel handelt es sich um einen Abkommling der Bernstein-
saure (Bernsteinsauresuperoxyd ?), denn als das 61 im Vakuum
destilliert wurde, zersetzte es sich (teilweis) unter fortwahrender
Gasentwicklung und Bbscheidung weiBer Kristalle, die sich
durch Umlosen aus Wasser unschwer reinigen lieBen und als
Uemsteinsaure erknnnt wurden. Schmelzp. 184O- 185O, uber-
einstimmend mit dem eines Sammlungspraparates und einer
Mischprobe ; zum Husten reizende Dampfe und charakteristi-
sches Eisensalz. Gibt die N e u b e r g sche Pyrrolreaktion. 0,0972 g gaben 0,1453 g CO, und 0,0428 g H,O. Berechnet fur C,H,O,:
Gefunden:
C = 40,67
40,78 o/o
H = 5,Ol
5701 9 7 . Auch die waSrige Losung des Oles -. Wasser nimnit es
leicht auf - zersetzt sich, uber eine gewisse Konzentration
auf dem Wasserbad eingedampft , unter lebhafter Gasentwick-
lung l) und Abscheidung von Bernsteinsaure. Das korrodie-
rende 61 ist jedenfalls ein Gemisch verschiedener Stoffe, unter
tlenen sich auch die Oxydationsprodukte des zum Ausschutteln
benutzten Athers befinden ; das bei der Vakuumdestillation
erhaltene Destillat - eine farblose Pliissigkeit - wirkte auf
die Haut vie1 starker ein wie das Rohprodukt und zersetzte
sich schon bei gewohnlicher Temperatur unter Entwicklung
von Sauerstoff. Bus dem Vorhergehenden ergibt sich, dab Sulfomonoper- 31* 4 Baniberger u. Czerkis: Oxydat. von Nitrophenolen. 484 84 Baniberger u. Czerkis: Oxydat. von Nitrophenolen. saure teilweis direkt hydroxylierend auf m-Nitrophenol ein-
wirkt, und zwar im Sinne der Zeichen: O E
OH
OH
€lo/\
cx2
\
v
2
1
!No
teilweis aber den Benzolkern zcrstort unter Bildung von
Kohlendioxyd und eines Bernsteinsaure liefernden, superoxyd-
artigen files. O E
OH
OH
€lo/\
cx2
\
v
2
1
!No O E teilweis aber den Benzolkern zcrstort unter Bildung von
Kohlendioxyd und eines Bernsteinsaure liefernden, superoxyd-
artigen files. teilweis aber den Benzolkern zcrstort unter Bildung von
Kohlendioxyd und eines Bernsteinsaure liefernden, superoxyd-
artigen files. teilweis aber den Benzolkern zcrstort unter Bildung von
Kohlendioxyd und eines Bernsteinsaure liefernden, superoxyd-
artigen files. 11. Oxydation des Paranitrophenols. 50 g fein pulverisiertes Nitrophenol wurden in zwei Por-
tionen von je 25 g mit je 1640 ccm saurer Sulfomonopersaure-
losung (= 21 g aktivem Sauerstoff) unter zeitweiligem Um-
schiitteln auf 50 O erwarmt, bis vollstandige Losung erfolgt ist,
und dann noch Ill2 Stunden lang auf 80°-850 erhitzt. Die Er-
scheinungen sind die gleichen wie beim vorigen Verswh ; aucli
in diesem Fall Kohlendio~!i~ee,ztu)icklutiy. Die beiden Ather-
extrakte (I und 11) wurden durch drei- bezw. zehnnialige Aus-
schiittelung erhalten; der Ather war wiederum aufs sorgfal-
tigste (mit Natrium und Nitroplienylhydrazin) gereinigt worden. Der Ruckstand von I betrug, nactidem er auf Ton von
geringen Mengen des peroxydartigen <)les (6. unten) befreit
war, 38 g; dieselben wurden genau so verarbeitet, wie die in1
ersten Abschnitt behandelten 9 g dampfunfluchtiger Stoffe aus
dem Auszug I und lieferten auf diese Weise 6,5 g nahezu
reines und 5 g ganz reines 4-nitro-I, 2-Brenzkatechin l) vom 50 g fein pulverisiertes Nitrophenol wurden in zwei Por-
tionen von je 25 g mit je 1640 ccm saurer Sulfomonopersaure-
losung (= 21 g aktivem Sauerstoff) unter zeitweiligem Um-
schiitteln auf 50 O erwarmt, bis vollstandige Losung erfolgt ist,
und dann noch Ill2 Stunden lang auf 80°-850 erhitzt. Die Er-
scheinungen sind die gleichen wie beim vorigen Verswh ; aucli
in diesem Fall Kohlendio~!i~ee,ztu)icklutiy. Die beiden Ather-
extrakte (I und 11) wurden durch drei- bezw. zehnnialige Aus-
schiittelung erhalten; der Ather war wiederum aufs sorgfal-
tigste (mit Natrium und Nitroplienylhydrazin) gereinigt worden. Der Ruckstand von I betrug, nactidem er auf Ton von
geringen Mengen des peroxydartigen <)les (6. unten) befreit
war, 38 g; dieselben wurden genau so verarbeitet, wie die in1
ersten Abschnitt behandelten 9 g dampfunfluchtiger Stoffe aus
dem Auszug I und lieferten auf diese Weise 6,5 g nahezu
reines und 5 g ganz reines 4-nitro-I, 2-Brenzkatechin l) vom Bwinberger u. Czerkis: OxxdaA,. von Nitrophenolon. Bwinberger u. Czerkis: OxxdaA,. von Nitrophenolon. Bwinberger u. Czerkis: OxxdaA,. von Nitrophenolon. 485 Schmelzp. 175,5O- 176,5O; 29,5 g p-Nitrophenol hatten sich
der Oxydation entzogen. Schmelzp. 175,5O- 176,5O; 29,5 g p-Nitrophenol hatten sich
der Oxydation entzogen. y
g
I1 ergab 10 g des zuvor beschriebenen, nach volliger
Eiitfernung des Athers sich allmahlich freiwillig unter Ab-
scheidung von Bernsteinsaure zersetzenden , die Haut korro-
dierenden Oles. bald darauf verflussigt er sich unter stiirmiachen Reakt~ionserscheinungen
denen man durch rechtzeitigen Zusatz von zersto Wenem Eis begegnet.
Nach einstundigem Stehen wurde abgeeaugt, mit Wasser nachgewaschen
und erschopfend ausgeatbert. Das unfluchtige Nitrobrenzkatechin wurde
wiederum zunachst in Form des Baryumsalzes isoliert und aus diesern in
bekannter Weise regeneriert. 11. Oxydation des Paranitrophenols. Setzt man die Oxydation langere Zeit bei der angegebenen
Temperatur fort, so wird das Nitrobrenzkatechin unter Bildung
von Kohlendioxyd und anderer Stoffe zerstort; aus 10 g p-
Nitrophenol entstand beispielsweise bei 6 stundiger Oxydations-
dauer so wenig Nitrobrerzkatechin, dal3 es nicht in Substanz
abgeschieden werden konnte ; neben 5 g unangegriffenem Aus-
gangsmaterial lieBen sich 5 g des mehrfach erwahnten ,,Super-
oxydoles" isolieren. Abgesehen von der teils vollstandigen, teila partiellen
Zerstijrung des Benzolkerns besteht also die Wirkung der
Sulfomonopersaure auf p-Nitrophenol in einer direkten Hydr-
oxylierung : OH
OH Orthonitrophenol wird auffallend vie1 schwerer vom Car o -
schen Reagens angegriffen wie seine Tsomeren; die Oxydations-
produkte, unter welchen sich das dampffluchtige 3-Nitro-1,2-
Brenzkatechin zu befinden scheint, bedurfen noch naherer
Untersuchung. g
Die SchluBbemerkung der vorangehenden Mitteilung be-
zieht sich auch auf die vorliegende. Ziiric h, Ana1yt.-chem. Laboratorium des eidgeniissischen
Polytechnikums.
|
https://openalex.org/W2061572551
|
https://link.springer.com/content/pdf/10.1007/s00415-012-6549-8.pdf
|
English
| null |
Read-Right: a “web app” that improves reading speeds in patients with hemianopia
|
Journal of neurology
| 2,012
|
cc-by
| 3,863
|
J Neurol (2012) 259:2611–2615
DOI 10.1007/s00415-012-6549-8 J Neurol (2012) 259:2611–2615
DOI 10.1007/s00415-012-6549-8 ORIGINAL COMMUNICATION Read-Right: a ‘‘web app’’ that improves reading speeds in patients
with hemianopia Yean-Hoon Ong • Maurice M. Brown •
Patrick Robinson • Gordon T. Plant •
Masud Husain • Alexander P. Leff Received: 23 March 2012 / Revised: 2 May 2012 / Accepted: 4 May 2012 / Published online: 12 June 2012
The Author(s) 2012. This article is published with open access at Springerlink.com Abstract
Effective behavioral therapies exist for patients
with brain injury. The main issue is one of access. Can the
internet be used as a resource so that suitable patients can
build up enough practice to improve? We tested this
hypothesis using a web-based application for patients with a
right-sided hemianopia causing slow text reading. We
studied 33 patients aged 26–81 years who fitted the entry
criteria and accessed the therapy website between May
2010 and December 2011, in a longitudinal cohort study. The therapy consisted of reading animated, laterally
scrolling text whose content and form was selected by the
patients. Reading speeds on static text (main outcome) were
assessed after every 5-h period of practice had been
accrued. Statistical analysis was carried out using a repeated
measures ANOVA. Read-Right therapy produced signifi-
cant improvements in text reading speeds at all time points
with a clear dose effect: 10 % at 5 h, 20 % at 10 h, 39 % at
15 h and 46 % at 20 h. Sub-analyses demonstrated that this
was unlikely to be due to either multiple exposure to the
testing materials (familiarity) or to the simple passage of time. This is the first example of a clinically proven therapy
being delivered effectively to stroke patients over the
internet. As therapists’ time is more limited than patients’
capacity
to
improve,
carefully
designed,
web-based
resources like Read-Right represent a realistic way of
delivering a sufficient therapy dose to patients so they can
obtain clinically meaningful improvements. Keywords
Hemianopia Alexia Stroke Internet
Rehabilitation Y.-H. Ong M. M. Brown P. Robinson
UCL Multimedia, Information Services Division,
University College, London, UK Introduction Persistent hemianopia occurs in approximately 20 % of
people with stroke, the other major causes being head injury
and tumors [3]. Hemianopia rarely improves beyond
6 months from the onset, so many patients are left with a
fixed deficit [11]. Hemianopia has an adverse effect on
activities of daily living, with reading affected in 80 % [10]. Despite this seemingly gloomy situation, hemianopic
patients can continue to make functional improvements
over time because other brain functions, such as those
involved in controlling eye movements, can be engaged by
strategy-based therapies, such as those that retrain eye
movements, to partially compensate for their visual loss [7]. Y.-H. Ong M. M. Brown P. Robinson
UCL Multimedia, Information Services Division,
University College, London, UK G. T. Plant M. Husain A. P. Leff
The National Hospital for Neurology and Neurosurgery,
Queen Square, London, UK There are several different eye movement based thera-
pies that have been shown to improve reading speeds [13];
one of the most popular methods uses animated, laterally
scrolling text [8]. When this type of text is viewed, it
induces an involuntary eye movement called small-field
optokinetic nystagmus (see: http://www.readright.ucl.ac. uk/help/h_vid_eye.php). Crucially, this therapy induces an
involuntary saccade into the patient’s blind field. Sufficient
practice with this improves patients’ rightward reading eye G. T. Plant M. Husain A. P. Leff (&)
Institute of Cognitive Neuroscience, 17 Queen Square,
London WC1N 3AR, UK
e-mail: a.leff@ucl.ac.uk M. Husain A. P. Leff
The Department of Brain Repair and Rehabilitation,
Institute of Neurology, University College London, London, UK 12 3 J Neurol (2012) 259:2611–2615 2612 Text reading test movements and text reading speed when they return to
reading normal, static text [9]. In order to evaluate the effect of the Read-Right therapy we
developed a novel, online, timed reading test. Test mate-
rials consist of six standardized paragraphs of edited
newspaper text 49 words in length, spread over seven lines. Patients initiated a countdown timer and then read the
whole of the text, signaling when they had finished with a
button press, at which point the timer recorded their
reading speed. Each text was followed immediately by a
short yes/no question, which varied and was related to the
passage just read, to encourage patients to read the whole
of the text. Subjects Subjects This study was approved by the UCL Research Ethics
Committee. The patients in this study were self-selected. They registered with a valid email address then logged into
the therapy website to download the Read-Right applica-
tion, signing an online consent form in the process. Before
having access to the therapy (laterally scrolling text, see
below) they had to carry out baseline assessments of their
visual fields and text reading speed. Inclusion criteria for
the analysis were the following: (1) to have completed
more than 5 h of therapy, and (2) to have a fixed right
visual field homonymous deficit as defined by one or more
missed stimuli on the automated visual field test, and (3) to
have a baseline text reading speed greater than 40 words
per minute (no upper limit was used as all patients were at
least one standard deviation below the mean normal read-
ing speed). The lower limit was used to try and exclude
subjects with ‘pure’ alexia. A total of 43 patients met the
first 2 criteria but 10 failed the third (text reading too slow),
resulting in 33 patients. Two-thirds were male with an
average age of 62 years. Median time since stroke, in those
for whom we could ascertain this, was 15.7 months
(interquartile range 2.6–59.6 months) (see Table 1). The 6 texts were garnered from 13 examples read by 114
volunteers using the website. We chose the six with the least
within- and between-subject variance. A total of 38 age-
matched controls from the pool of 114 (mean = 59.7 years)
read the six texts at an average speed of 302 wpm (words per
minute; SD = 80). The texts were split into two halves
(median split: easier three and harder three) and each triplet
consisted of a mix of texts from each side of the median split. The order of presentation of the triplets was pseudo-ran-
domized both within and across subjects according to the
following rules: foreach consecutive pair ofpointsintime, all
six texts were used; two easy or two hard texts were included
in each triplet; no two adjacent tests had more than one text in
common. This lead to 38 triplet types which were combined
in a Latin square design across subjects. Therapy The therapy consisted of reading laterally scrolling text
(from right-to-left). Patients could control the speed, color
(background and foreground), and content of what they
read, choosing from a library of books and ever-changing
really simple syndication (RSS) text feeds from the BBC
website; (see, http://www.readright.ucl.ac.uk/help/h_vid_
therapy.php). The text size was fixed (Ariel font, 60 point)
and did not scale with screen size. Patients could pause or
stop the therapy at any time. As long as the text was
moving, a timer measured how much therapy was being
delivered, feeding this information to the secure server. We
suggested 20 min of therapy a day but patients could chose
to do as much or as little as they wished. Patients were
prompted to test their reading speeds after every 5 h of
therapy had been accrued. Thus, the patients determined
the time period between testing points. Introduction At each point in time subjects read three texts (a
triplet); times were averaged to produce their reading
speed. We averaged two measurements at baseline (two
triplets containing all six texts between them) to improve
precision. The patients correctly answered the compre-
hension
question with an
average
91.5 % accuracy. Incorrect trials were not excluded from the analysis. We wished to make this therapy freely available for
patients to access and also to establish whether the therapy
is effective outside the confines of a clinical trial. To do this
we developed Read-Right (http://www.readright.ucl.ac.uk). This site provides diagnostic and therapeutic tools that
patients, carers and medical staff can access from anywhere
in the world. Automated visual field test We developed a novel, adaptive, automated visual field test
for assessing hemianopia in patients with text reading
difficulties. We tested six points at 1, 2.5, 5 and 10
eccentricity from the fixation cross in both visual fields;
four in each along the horizontal meridian, as this is key for
text reading (Fig. 1; see: http://www.readright.ucl.ac.uk/
help/h_vft.php). This test has been validated by comparing
it with a clinical ‘gold standard’, the Humphrey automated
perimeter (both 10–2 and 24–2 protocols), and has sensi-
tivities in the range of 0.8–1 and specificities of 0.75–1 for
the affected hemifield along the horizontal meridian [5]. In
most subjects (26/33) we were able to obtain pre- and post-
therapy fields to see if these changed over time. 123 J Neurol (2012) 259:2611–2615 2613 Table 1
Demographic details for the 33 patients
Patient
Sex
Age
Cause
(I,H,
AVM)
Time since
stroke
(months)
Reading
speed
(wpm)
Change (%)
in reading
speed: 5 h
Change (%)
in reading
speed: 10 h
Extent
of field
defect
Post
therapy
rating
Reading
more? Automated visual field test 1
M
80
45
44
1
2
M
48
I
58.6
106
1
36
1
7
3
3
F
26
129
-3
1
4
M
48
I
34.2
64
27
75
2.5
10
3
5
M
78
I
3.5
145
4
-2
2.5
8
2
6
M
59
I
2.9
174
22
68
1
8
3
7
M
64
57
27
40
1
8
M
73
100
10
47
1
9
M
65
65
37
40
2.5
10
F
81
60
50
57
10
11
M
70
I
2.2
208
-10
-29
5
7
0
12
M
80
I
4.2
170
32
36
5
5
3
13
F
49
44
47
84
1
14
F
60
H
217.5
128
23
13
2.5
9
0
15
F
57
44
22
17
2.5
16
M
62
I
30.4
54
-18
1
3
1
17
M
52
109
23
1
18
M
55
44
38
1
19
F
43
78
-48
-46
1
20
M
50
I
15.7
101
-9
1
4
3
21
M
65
152
-1
12
10
22
M
74
I
0.4
66
56
56
2.5
8
3
23
F
56
H
100.9
61
-27
82
2.5
10
3
24
M
75
I
60.6
63
-25
2
1
8
3
25
F
77
I
0.3
78
4
3
1
7
3
26
F
57
I
18.7
102
4
-17
1
8
0
27
M
81
54
25
23
1
28
F
75
75
43
-29
5
29
M
45
H
842.2
61
23
7
1
10
3
30
M
66
I
1
189
3
16
2.5
7
1
31
F
37
AVM
7.5
70
19
11
2.5
10
2
32
M
67
I
1.4
125
7
10
1
10
3
33
M
78
109
-7
-12
2.5
M2:F1
62.2
77.9
94.6
10
20
7.7
2.2
I infarct, H hemorrhage, AVM arterio-venous malformation, WPM words/min, Reading more: 0 not reading more, 1 15 min a day more, 2 30 min
a day more, 3 1 h or more a day Table 1
Demographic details for the 33 patients I infarct, H hemorrhage, AVM arterio-venous malformation, WPM words/min, Reading more: 0 not reading more, 1 15 min a day more, 2 30 min
a day more, 3 1 h or more a day Subjective reports on reading behavior Read-Right, every day I am reading for ‘‘X’’ amount of
time more or less (rated from 7 options: the same amount;
±15; ±30; ±60 min) (see Table 1). Read-Right, every day I am reading for ‘‘X’’ amount of
time more or less (rated from 7 options: the same amount;
±15; ±30; ±60 min) (see Table 1). At the end of the study all 33 patients were invited to
provide more details, via a retrospective questionnaire. We
asked the following: on which date did your visual field
problem start? What caused your visual field problem? Has
Read-Right helped your reading (rated from 1 [no benefit]
to 10 [huge benefit])? And, compared to before starting Reading speed analysis Reading speed analysis Reading speed analysis Reading speeds for each patient, at each 5-h time point,
were entered into a repeated measures ANOVA to 3 J Neurol (2012) 259:2611–2615 2614 Fig. 1
Screenshot of the visual field test (top a). Note the increasing
contrast between dots (0.5 diameter) and background with increasing
eccentricity. Below (b), results from a participant with a right-side,
homonymous hemianopia Results
There was a significant e
four points in time. Th
tonically, appearing to pl
were as follows: 5 h 10. 10 h, 19.6 %, F(2, 25)
F(3, 17) = 7.21, p = 0
8.91, p = 0.003. Two alternative expla
due to either practice
reading test stimuli) or t
as time passes). Fortuna
th
t
ibiliti
b
Fig. 2
Cumulative effects o
the within-subject standard er
at 5 h; 3.1 at 10 h; 6.9 at 15
reading speed have an avera
Fig. 1
Screenshot of the visual field test (top a). Note the increasing
contrast between dots (0.5 diameter) and background with increasing
eccentricity. Below (b), results from a participant with a right-side,
homonymous hemianopia Fig. 2
Cumulative effects of therapy in 5-h blocks. Error bars show
the within-subject standard error of the means (6.6 at baseline (B); 5.7
at 5 h; 3.1 at 10 h; 6.9 at 15 h; 4.6 at 20 h). Age-matched controls’
reading speed have an average of 302 words/min with a SD of 80 Fig. 2
Cumulative effects of therapy in 5-h blocks. Error bars show
the within-subject standard error of the means (6.6 at baseline (B); 5.7
at 5 h; 3.1 at 10 h; 6.9 at 15 h; 4.6 at 20 h). Results There was a significant effect of Read-Right therapy at all
four points in time. The size of effect increased mono-
tonically, appearing to plateau at 20 h (Fig. 2). Effect sizes
were as follows: 5 h 10.4 %, F(1, 32) = 8.68, p = 0.006;
10 h, 19.6 %, F(2, 25) = 6.34, p = 0.008; 15 h, 39.3 %,
F(3, 17) = 7.21, p = 0.007; 20 h, 45.9 %, F(4, 14) =
8.91, p = 0.003. Two alternative explanations are that this effect may be
due to either practice effects (familiarity with the text
reading test stimuli) or time effects (patients getting better
as time passes). Fortunately, we were able to investigate
these two possibilities because patients varied in how long it
took them to reach each five hourly dose mark. We carried
out two sub-analyses for the first two points in time (5 and
10 h therapy). Firstly, we calculated the correlation coeffi-
cient between percentage improvement and time to amass
the therapy dose, and found no significant relationship: 5 h
Pearson’s
r(33) = -0.31
p = 0.08;
10 h
Pearson’s
r(26) = 0.06 p = 0.78. Secondly we added in the time to
amass the therapy dose as a covariate into the ANOVAs as
described above. Both remained significant: 5 h F(1,
31) = 12.44, p = 0.001; 10 h F(2, 24) = 3.25, p = 0.05. Fig. 1
Screenshot of the visual field test (top a). Note the increasing
contrast between dots (0.5 diameter) and background with increasing
eccentricity. Below (b), results from a participant with a right-side,
homonymous hemianopia investigate the effects of therapy. In two sub-analyses we
also added in the time taken to amass 5 and 10 h of therapy
as a covariate; that is, we repeated the main analysis but
with any explanatory effects due to this parameter
removed. We assessed therapy effects after 5, 10, 15 and
20 h of therapy. The number of patients with data at each
of the four points in time were: 33, 27, 20 and 18,
respectively. Where the data violated sphericity assump-
tions, we report Greenhouse-Geisser corrected p and
F values. A more prosaic explanation would be that the patients’
visual fields improved over time. However, we found no
significant change in right hemifield vision: Wicoxon
signed ranks test Z = -1.71, p = 0.09. Subjective reports on reading behavior Age-matched controls’
reading speed have an average of 302 words/min with a SD of 80 Fig. 1
Screenshot of the visual field test (top a). Note the increasing
contrast between dots (0.5 diameter) and background with increasing
eccentricity. Below (b), results from a participant with a right-side,
homonymous hemianopia Visual field analysis For 7 subjects we did not obtain comparable visual field
tests pre- and post-therapy. In four this was because they
did not complete the second visual field test; for the other
three we did not obtain tests of comparable sensitivity, as
we improved the visual field test (made it more sensitive to
visual loss) soon after launching the website. Points on the
horizontal meridian in the right visual field were counted as
missed or seen (4 = all four missed, 0 = all four seen) on
both the pre- and post-therapy visual field tests and entered
into a related-samples Wicoxon signed ranks test to assess
significance. In response to reviewers’ comments, we carried out two
post hoc analyses to investigate whether there was a cor-
relation between the following: (a) the extent of the visual
field defect and percentage improvement at 5 and 10 h;
(b) patients’ ages and percentage improvement at 5 and
10 h. We used Pearson r correlation coefficient to test this. None of the analyses were significant: (a) visual field
defect and % improvement at 5 h r(31) = 0.18, p = 0.31;
and, at 10 h r(25) = -0.05, p = 0.79; (b) age and %
improvement at 5 h r(31) = 0.23, p = 0.20; and at 10 h
r(25) = -0.04, p = 0.84. 123 J Neurol (2012) 259:2611–2615 2615 Given this, and the fact that therapists’ time is more limited
than patients’ capacity to improve [6], carefully designed,
web-based resources like Read-Right represent a realistic
way of delivering a large enough dose of therapy to
patients
for
them
to
obtain
clinically
meaningful
improvements. The subjective reports of improved reading behavior
must be treated with caution as only 54 % of patients
responded to the post hoc questionnaire and the chance of
selection bias is high. Those who responded rated the
Read-Right therapy as personally beneficial (mean 7.7/10),
and 15/18 said they were reading more (median and mode
‘‘one hour or more a day’’). Acknowledgments
This work was funded by The Stroke Associa-
tion (TSA 2007/11). MH was funded by a Wellcome Trust Senior
Clinical Fellowship award. It was supported by the NIHR CBRC at
University College Hospitals. Conflicts of interest
None. The principal finding of this study is that a clinically pro-
ven behavioral therapy can be delivered effectively to
suitable patients using the internet. The effect sizes are in
keeping with previous trials using this technique (range
23–113 %) [4, 9, 12]. In common with other behavioral
therapies for language disorders, a dose effect was dem-
onstrated [1], with post hoc analyses suggesting that this
was not due to either practice effects on the testing mate-
rials or to the simple passage of time. There was a fair
amount of individual variability with 27 % of patients
showing no improvement after 5 h of therapy and 18 % not
responding after 10 h (Table 1). There was no significant
change in the patients’ visual fields. Open Access
This article is distributed under the terms of the
Creative Commons Attribution License which permits any use, dis-
tribution, and reproduction in any medium, provided the original
author(s) and the source are credited. References 1. Bhogal SK, Teasell R, Speechley M (2003) Intensity of aphasia
therapy, impact on recovery. Stroke 34:987–993 2. Ericsson KA, Nandagopal K, Roring RW (2009) Toward a sci-
ence of exceptional achievement: attaining superior performance
through deliberate practice. Ann N Y Acad Sci 1172:199–217 While the patients’ subjective reports of improvement
are encouraging, they need to be treated with caution
because only 54 % responded to the post hoc question-
naire. This data was collected by asking the patients at the
end of the study to respond. We did not collect the data
prospectively because we did not want to over-burden
patients with questions before they started treatment. In
hindsight, this was a mistake as it introduces bias; we now
ask all new patients to complete the questionnaire prior to
starting the therapy. 3. Isaeff WB, Wallar PH, Duncan G (1974) Ophthalmic findings in
322 patients with a cerebral vascular accident. Ann Ophthalmol
6:1059–1069 4. Kerkhoff G, Munssinger U, Haaf E, Eberlestrauss G, Stogerer E
(1992) Rehabilitation of homonymous scotomas in patients with
postgeniculate damage of the visual-system: saccadic compen-
sation training. Restor Neurol Neurosci 4:245–254 5. Koiava N, Ong Y-H, Brown MM, Acheson JF, Plant GT, Leff AP
(2012) A ‘‘web app’’ for diagnosing hemianopia. J Neurol Neu-
rosurg Psychiatry. doi:10.1136/jnnp-2012-302270 6. Quality Standards for Stroke (2010) In: National Institute for
Health and Clinical Excellence. URL: http://www.nice.org.uk/
aboutnice/qualitystandards/stroke/ 6. Quality Standards for Stroke (2010) In: National Institute for
Health and Clinical Excellence. URL: http://www.nice.org.uk/
aboutnice/qualitystandards/stroke/ Regarding patients with left-sided hemianopic alexia,
there are some using the Read-Right web app, but less than
with right hemianopias as patients with left-sided defects
are less disabled [12]. We are planning a sub-analysis when
we have enough subjects. One might expect such patients
to improve with text scrolling in the other direction (to
reverse the direction of the OKN induced saccade), but
there is evidence that left-sided patients also benefit from
leftward scrolling text [12]. 7. Schofield TM, Leff AP (2009) Rehabilitation of hemianopia. Curr
Opin Neurol 22:36–40 8. Schuett S (2009) The rehabilitation of hemianopic dyslexia. Nat
Rev Neurol 5:427–437 9. Spitzyna GA, Wise RJ, McDonald SA, Plant GT, Kidd D, Crewes
H, Leff AP (2007) Optokinetic therapy improves text reading in
patients with hemianopic alexia: a controlled trial. Neurology
68:1922–1930 10. Warren M (2009) Pilot study on activities of daily living limi-
tations in adults with hemianopsia. 123 123 J Neurol (2012) 259:2611–2615 References Am J Occup Ther 63:626–633 11. Zhang X, Kedar S, Lynn MJ, Newman NJ, Biousse V (2006)
Natural
history
of
homonymous
hemianopia. Neurology
66:901–905 11. Zhang X, Kedar S, Lynn MJ, Newman NJ, Biousse V (2006)
Natural
history
of
homonymous
hemianopia. Neurology
66:901–905 If behavioral rehabilitation after acquired brain injury is
viewed as a form of learning or re-learning, then the main
lesson from the literature is that mass practice of a specific
task is key in order to improve performance [2]; however,
access to trained therapists is frustratingly limited for the
majority of patients in the chronic phase post brain injury. 12. Zihl J (1995) Eye movement patterns in hemianopic dyslexia. Brain 118:891–912 12. Zihl J (1995) Eye movement patterns in hemianopic dyslexia. Brain 118:891–912 13. Zihl J (2011) Rehabilitation of cerebral visual disorders. Psy-
chology Press, Hove 13. Zihl J (2011) Rehabilitation of cerebral visual disorders. Psy-
chology Press, Hove 12 123
|
https://openalex.org/W3210185276
|
https://www.scielo.br/j/reben/a/F3cpMf9CfBdXjNs6sgxzPBv/?lang=en&format=pdf
|
English
| null |
Effect of music combined with swaddling on pain in full-term newborns: randomized clinical trial
|
Revista Brasileira de Enfermagem
| 2,022
|
cc-by
| 7,014
|
ORIGINAL ARTICLE ORIGINAL ARTICLE RESUMO
Obj ti IUniversidade Federal do Ceará. Fortaleza, Ceará, Brazil. IIUniversidade Estadual do Ceará. Fortaleza, Ceará, Brazil. IIIUniversidade Federal do Rio de Janeiro. Rio de Janeiro,
Rio de Janeiro, Brazil. Objetivos: avaliar o efeito da música aplicada em 10 e 15 minutos, combinada ao swaddling,
na resposta comportamental à dor (ação facial) e fisiológica (frequência cardíaca) dos
recémnascidos a termo, antes e durante a punção venosa para coleta de sangue. Métodos:
ensaio clínico randomizado, triplo cego, conduzido em alojamento conjunto com 52 recém-
nascidos, divididos aleatoriamente em quatro grupos de 13: Experimental 1 (música [10
minutos], swaddling), Experimental 2 (música [15 minutos], swaddling), Controle 1 (sem
música [10 minutos], swaddling) e Controle 2 (sem música [15 minutos], swaddling). A dor
foi medida utilizando o Neonatal Facial Coding System nos momentos Basal e Procedimento. Resultados: o grupo Experimental 2 mostrou maior ausência de dor (p<0,05); média de
frequência cardíaca baixa (p<0,0001) nos momentos Basal e Procedimento (antissepsia,
punção, ordenha/aspiração de sangue, compressão). Conclusões: neonatos que ouviram 15
minutos de música mais swaddling mostraram uma maior ausência de ações faciais de dor. Descritores: Música; Dor; Recém-Nascido; Alojamento Conjunto; Ensaio Clínico Controlado
Randomizado. How to cite this article: Melo GM, Cardoso MVLML, Almeida PC,
Rodrigues EC. Effect of music combined with swaddling on
pain in full-term newborns: randomized clinical trial. Rev Bras Enferm. 2022;75(3):e20210017. https://doi.org/10.1590/0034-7167-2021-0017 Corresponding author:
Gleicia Martins de Melo
E-mail: gleiciamm@hotmail.com ABSTRACT Objectives: to evaluate the effect of music applied within ten and 15 minutes, combined with
swaddling, on behavioral (facial action) and physiological (heart rate) responses to pain in full-
term newborns, before and during venipuncture for blood sampling. Methods: a randomized,
triple-blind, clinical trial with 52 rooming in infants randomly assigned to four groups of 13:
Experimental 1 (music [ten minutes] plus swaddling), Experimental 2 (music [15 minutes] plus
swaddling), Control 1 (no music [ten minutes] plus swaddling), and Control 2 (no music [15
minutes] plus swaddling). Pain was measured using the Neonatal Facial Coding System in the
basal and procedural moments. Results: experimental 2 group showed high pain absence (p
< 0.05); low heart rate mean (p < 0.0001) in the basal and procedural (antisepsis, puncture,
blood squeezing/aspiration, compression) moments. Conclusions: neonates who listened to
15 minutes of music plus swaddling showed a greater absence of facial pain actions. Descriptors: Music; Pain; Infant, Newborn; Intensive Care; Randomized Controlled ClinicalTrial. Gleicia Martins de MeloI
ORCID: 0000-0001-5904-1796
Maria Vera Lúcia Moreira Leitão CardosoI
ORCID: 0000-0002-0481-6440
Paulo César de AlmeidaII
ORCID: 0000-0002-2867-802X
Elisa Conceição RodriguesIII
ORCID: 0000-0001-6131-8272 p
g
g
p
Descriptors: Music; Pain; Infant, Newborn; Intensive Care; Randomized Controlled Clinical Trial. Efeito da música combinada com o swaddling na dor em recémnascidos a termo: ensaio clínico randomizado
Efecto de la música combinada com swaddling en el dolor en recién nacidos a término: ensayo clínico aleatorizado Efeito da música combinada com o swaddling na dor em recémnascidos a termo: ensaio clínico randomizado
Efecto de la música combinada com swaddling en el dolor en recién nacidos a término: ensayo clínico aleatorizado 1
Rev Bras Enferm. 2022;75(3): e20210017
8
of Study design, place and period This is a randomized, triple blind, factorial clinical trial. Random-
ization was performed using four sealed and numbered opaque
envelopes. One of the authors asked the nursing technician, who
was on duty and taking care of the newborn, to open one of the
envelopes and randomly select intervention to be administered. The draw was held on each of the days in which the collection
took place, in the morning and after the nocturnal period. After
envelopes were drawn from, a new group was selected with the
four interventions (Experimental Group 1, Experimental Group
2, Control Group 1, Control Group 2). A pilot study involving the use of music for 20 minutes combined
to swaddling in health babies showed that full term newborns
presented lower pain actions and lower variation in heart rate
during venous puncture (p<0.05)(7). It has been stated that researchers have developed studies
on the use of music as a way to relieve neonatal pain. However,
according to readings performed by the authors, there is no
consensus about the recommended time period for music to be
used with a therapeutic purpose for pain relief. Some Brazilian studies recommend ten minutes of lullaby
music, played before arterial puncture(8-9), 15 uninterrupted
minutes of classical musical therapy (Mozart), played twice a
day, for three consecutive days, one hour after breastfeeding, to
evaluate the physiological responses of hospitalized, premature
infants(10). Other studies, coming from other countries, highlight
20 minutes of instrumental lullabies, played before the puncture
of the calcaneus, continuing for another seven minutes after the
procedure(11), continuous, 5 minutes reproductions of recorded
lullaby and nursery rhyme music before and up to 30 minutes
after painful procedures, at the beginning of hospitalization and
two weeks after(12) and one minute of Brahms lullaby before heel
lance continuing for up five minutes after the procedure(13). For blinding, the laboratory technicians who collected venous
blood, the nurse who analyzed the footage referring to the physi-
ological heart rate responses and the person responsible for the
data analysis did not know about the groups and the interven-
tions, thus study was protected from detection bias. The research was carried out in the rooming-in accommoda-
tion of a philanthropic hospital, located in northeast Brazil. INTRODUCTION ten and 15 minutes combined to swaddling, before and during,
when compared to those full-term newborns in use of swaddling
but without music. Pain assessment is subjective, and the newborn is frequently evalu-
ated in both behavioral and physiological responses, such as crying,
facial expressions, body expressions, heart rate and respiratory rate,
using pain scales(1). The evaluation of behavioral and physiological
aspects has the consequence of the best pain measurement tool for
newborns being one that has a multi-dimensional model(2). Ethical aspects There are studies in Brazil(3) and in other countries(4) that inves-
tigate further and further measures for the relief of neonatal pain,
such as identification, evaluation and treatment that contribute
more quickly to better recovery and to care quality(1). The Research Ethics Committee Involving Human Beings of
the Federal University of Ceará approved the study according
to NHC (Brazilian National Health Council) Resolution 466/12. Brazilian Clinical Trial Registry: RBR-8x8v2r. Based on these strategies, non-pharmacological measures are
forms of care that should be performed in neonatal units(5), such
as comfort, touch, kangaroo care, tucking, nurturance, holding
the baby(6), swaddling(6-7), and music(7). Study design, place and period The
population was composed of newborns, with gestational ages
of equal to 37 and less than 42 complete weeks, with indications
of needing blood collection for examination (venous puncture),
as part of a clinical treatment, from February to December 2017. RESUMEN
Obj
i Objetivos: evaluar el efecto de la música aplicada en 10 y 15 minutos, combinada con swaddling,
en la respuesta comportamental al dolor (mímica facial) y fisiológica (frecuencia cardíaca) de
los recién nacidos a término, antes y durante la punción venosa para la extracción de sangre. Métodos: ensayo clínico aleatorizado, triple ciego, realizado en alojamiento conjunto con 52
recién nacidos, dividido aleatoriamente en cuatro grupos de 13: Experimental 1 (música [10
minutos], swaddling), Experimental 2 (música [15 minutos], swaddling), Control 1 (sin música
[10 minutos, swaddling) y Control 2 (sin música [15 minutos], swaddling,). El dolor se midió
utilizando el Neonatal Facial Coding System en los momentos Basal y Procedimiento. Resultados:
el grupo experimental 2 mostró alta ausencia de dolor (p <0.05); media de frecuencia cardíaca
baja (p<0,0001) en los momentos Basal y Procedimiento (antisepsia, punción, ordeño/aspiración
de sangre, compresión). Conclusiones: recién nacidos que escucharon 15 minutos de música
más swaddling mostraron una mayor ausencia de reacciones faciales de dolor. Descriptores: Música; Dolor; Recién Nacido; Alojamiento Conjunto; Ensayo Clínico Controlado
Aleatorizado. EDITOR IN CHIEF: Dulce Barbosa
ASSOCIATE EDITOR: Mitzy Danski Submission: 01-12-2021 Approval: 06-08-2021 Submission: 01-12-2021 Approval: 06-08-2021 Submission: 01-12-2021 Approval: 06-08-2021 Descriptores: Música; Dolor; Recién Nacido; Alojamiento Conjunto; Ensayo Clínico Controlado
Aleatorizado. https://doi.org/10.1590/0034-7167-2021-0017 1
Rev Bras Enferm. 2022;75(3): e20210017
8
of Effect of music combined with swaddling on pain in full-term newborns: randomized clinical trial
Melo GM, Cardoso MVLML, Almeida PC, Rodrigues EC. OBJECTIVES To evaluate the effect of music applied in ten and 15 minutes
combined to swaddling on the behavioral (facial action) and
physiological (heart rate) response of pain full-term newborns,
before and during venous puncture for blood collection. For this study, the evaluation of facial actions was prioritized
using the Neonatal Facial Coding System (NFCS) scale, as well
as the basal heart rate, in which full-term neonates were kept
on a bench top before venous puncture; and at the time of the
procedure, were submitted to antisepsis, puncture, squeezing/
aspirating blood and compression, achieved by way of filming. Sample, inclusion and exclusion criteria The relevance of investigating the effect of ten and 15 minutes
of music combined with swaddling in pain relief of full-term
newborns, in painful procedures, demonstrates implications
that may have repercussions on the clinical practice of nursing
care, especially in neonatal units and rooming-in facilities. It is
believed that with music time periods that are specifically recom-
mended for neonatal pain relief, both nurses and children will
benefit: nurses, by seeking increasingly human, holistic care, and
newborns, undertaking non-pharmacological measures, with
adequate time and proof of pain relief. Sequence sampling was carried out, consisting of 58 full-term
newborns, according to these inclusion criteria: gestational age
≥37 and <42 weeks, Apgar scores of ≥7 at 5’ and normal hearing
at neonatal screening, performed by the institution’s speech
therapist. Exclusion criteria were: newborns using medications
and children of whom their nursing mothers were using drugs
that influenced in the response pain nociception. The final sample was composed of 52 newborns distributed in
the following groups: Experimental 1(music, ten minutes + swad-
dling, n = 13), Experimental 2 (music 15 minutes +swaddling, n = 13),
Control 1(without music, for ten minutes + swaddling, n = 13) and
Control 2 (without music, for 15 minutes + swaddling, n = 13) (Fig. 1). The hypothesis of the study is that there is a difference in the
behavioral and physiological response to pain in full-term new-
borns submitted to music interventions, in two time periods of 2
Rev Bras Enferm. 2022;75(3): e20210017
8
of Effect of music combined with swaddling on pain in full-term newborns: randomized clinical trial
Melo GM, Cardoso MVLML, Almeida PC, Rodrigues EC. Effect of music combined with swaddling on pain in full-term newborns: randomized clinical trial
Melo GM, Cardoso MVLML, Almeida PC, Rodrigues EC. Study protocol Data was collected using three instruments: 1. Identification and Characterization of the Full-Term Newborns,
extracted from medical records: gender, type of delivery, pre-
vious place of hospitalization, medical diagnosis, gestational
age at birth, gestational age in days, hours of life, birth weight
(g), head circumference at birth, 5th minute Apgar Score. From the beginning of filming, parallel conversations as well
as verbalizations directed to the newborn were avoided. 2. NFCS(14), includes the presence or absence of five facial
manifestations, as follows: brow bulge, eye squeeze, naso-
labial furrow, horizontal mouth, taut tongue, with each
manifestation of facial action being present, in the observed
time segment (second), assigned a point such as: in the
interval of the first 20 seconds of the Basal moment; At the
time of the procedure, the coding was performed noted for
each second for which the procedures lasted: antisepsis,
puncture, squeezing/blood aspiration and compression. The full-term newborns of Experimental group 1 and 2 used
a headset to listen to two instrumental lullabies from the Music
Baby collection: Bonne Nuit (Sais-Tu Combien D’étoiles Brillent? and Le Marchand de Sable), were reproduced by means of an
MP3 device – digital life player FM. The chosen songs lasted for
2:42 and 3:15 each, played successively. The songs were played during the time of ten and 15 minutes,
after the Basal moment and before the antisepsis procedure for
venous puncture, continuing for as long as the Procedure lasted. To avoid contamination between neonates, for each procedure,
the headset was previously sanitized with 70% alcohol and
wrapped with polyvinyl chloride film. A volume of 40 decibels
was used for music playback, using an MP3 device, evaluated by
the Sesmet sector, by sound pressure level meter (decibel meter),
being from the INSTRUTEMP brand, with reading in THDL-400. 3. Physiological Measurements: to evaluate the physiological
heart rate responses were used values from 110 to 160 beats/
minute as the normal heart-rate range for the full-term new-
born. This variable was recorded continuously, and noted for
each second, by means of a cardiac monitor (Polar Model RS
200), adapted and connected by wire cables to two electrodes,
both placed in the thorax of the neonate(8). Sample, inclusion and exclusion criteria These were made in the left arm as
the puncture site (back of the hand or
anterior face of the arm). The materi-
als needed for venous puncture were
provided by the hospital (procedure
gloves, butterfly needle, syringe,
tourniquet, swab alcohol, dressing). The venous puncture was per-
formed on a restraining table by
four laboratory technicians that took
turns during data collect, each with
more than two years of experience. Analysis These were made in the left arm as
the puncture site (back of the hand or
anterior face of the arm). The materi-
als needed for venous puncture were
provided by the hospital (procedure
gloves, butterfly needle, syringe,
tourniquet, swab alcohol, dressing). Figure 1 – CONSORT flowchart of the research according to the allocation in the intervention conditions,
Fortaleza, Ceará, Brazil, 2018 Two digital camcorders, sup-
ported by tripods, were positioned in the following ways: the first
was to face the newborn’s face. The other recorded the physiological
variables of the cardiac monitor (Polar). An approximate distance
of 60 cm, a closet format plan, with zoom feature, without light
focus for recording the footage was used. To mark each moment
of the filming, we used a manual stopwatch and verbal commands
from the researcher to the technician to start the blood collection. Sample, inclusion and exclusion criteria Experimental group 1
(music, 10 minutes +
swaddling) (n=15)
Received allocated
intervention (n=13)
Did not receive allocated
intervention (n=2)
(clinically unstable)
Analised
(n=13)
Excluded from analysis
(n=0)
Experimental group 2
(music, 15 minutes +
swaddling) (n=14)
Received allocated
intervention (n=13)
Did not receive allocated
intervention (give
reasons) (n=1)
(clinically unstable)
Analised
(n=13)
Excluded from analysis
(n=0)
Control group 1
(no music, for 10 minutes
+ swaddling) (n=14)
Received allocated
intervention (n=13)
Did not receive allocated
intervention (n=1)
(clinically unstable)
Analised
(n=13)
Excluded from analysis
(n=0)
Control group 2
(no music, for 15 minutes
+ swaddling) (n=15)
Received allocated
intervention (n=13)
Did not receive allocated
intervention (n=2)
(clinically unstable)
Analised
(n=13)
Excluded from analysis
(n=0)
Excluded (n=12)
Not meeting inclusion criteria (n=11)
Declined to participate (n=1)
Other reasons (n=0)
Allocation
Analysis
Randomized (n=58)
Assessed for eligibility (N=70)
Figure 1 – CONSORT flowchart of the research according to the allocation in the intervention conditions,
Fortaleza, Ceará, Brazil, 2018 squeezing/aspirate blood, compres-
sion), coding was performed at each
second, according to the duration of
venous puncture. Assessed for eligibility (N=70) Excluded (n=12)
Not meeting inclusion criteria (n=11)
Declined to participate (n=1)
Other reasons (n=0) Excluded (n=12)
Not meeting inclusion criteria (n=11)
Declined to participate (n=1)
Other reasons (n=0) As for the sound stimulus, was
confirmed by a speech therapist
from the rooming-in locale. If posi-
tive, the newborns were referred to
the room reserved for the proce-
dures and monitored by the cardiac
monitor (Polar RS 200). Due to the
institutions routine, before the
management of acute neonatal
pain, the newborns were contained
with the non-pharmacological in-
tervention (swaddling). Allocation Experimental group 1
(music, 10 minutes +
swaddling) (n=15)
Received allocated
intervention (n=13)
Did not receive allocated
intervention (n=2)
(clinically unstable) Control group 2
(no music, for 15 minutes
+ swaddling) (n=15)
Received allocated
intervention (n=13)
Did not receive allocated
intervention (n=2)
(clinically unstable) Experimental group 2
(music, 15 minutes +
swaddling) (n=14)
Received allocated
intervention (n=13)
Did not receive allocated
intervention (give
reasons) (n=1)
(clinically unstable) Control group 1
(no music, for 10 minutes
+ swaddling) (n=14)
Received allocated
intervention (n=13)
Did not receive allocated
intervention (n=1)
(clinically unstable) The venous puncture was per-
formed on a restraining table by
four laboratory technicians that took
turns during data collect, each with
more than two years of experience. Results analysis and statistics One of the researches of the study separated and viewed the
videos of the behavioral and physiological parameters, to record
the beginning and end of each studied moment. This person and
a nurse (not involved in the research) analyzed the footage of the
behavioral parameter (facial action), after training the NFCS scale,
until kappa reliability reached a minimum of 80.0%. The images
of the physiological parameter were analyzed by the nurse only. The data was processed on SPSS 20.0, license number
10101131007. The information from the neonatal, therapeutic,
NFCS and heart rate variables were organized by means of tables,
with absolute frequencies and percentages, and the means and
standard deviations of the quantitative variables were also presented. In order to compare the proportions of facial actions (NFCS scale),
according to the groups, the Chi-Square test was used. For the analysis
of the means of heart rates between the four groups and according to
the basal and procedure moments, the normality was verified by the
Shapiro and Kolmogorov-Smirnov test and the equality of variances by
the Levene test, then after by ANOVA. The significance level established
was 5% (p< 0.05). The effect size (ES) was analyzed by Cramer´s V Test
for cross table and Cohen’s d for ANOVA test. One of the researches of the study separated and viewed the
videos of the behavioral and physiological parameters, to record
the beginning and end of each studied moment. This person and
a nurse (not involved in the research) analyzed the footage of the
behavioral parameter (facial action), after training the NFCS scale,
until kappa reliability reached a minimum of 80.0%. The images
of the physiological parameter were analyzed by the nurse only. Regarding the diagnoses, the following were found: adequate
for gestational age (90.4%), risk of neonatal infection (30.8%), neo-
natal jaundice (11.5%), risk of fetal maternal incompatibility ABO
(5.8%), hypoglycemia (5.8%), large for gestational age (5.8%), small
for gestational age (3.8%), risk of fetal distress (3.8%) and auricular
appendage (1.9%). Table 1 describes the distribution of the number
of pain absence assessments of facial actions at the basal moment. The data was processed on SPSS 20.0, license number
10101131007. The information from the neonatal, therapeutic,
NFCS and heart rate variables were organized by means of tables,
with absolute frequencies and percentages, and the means and
standard deviations of the quantitative variables were also presented. Study protocol At Basal, the
evaluation occurred in blocks of 20 seconds, for a total time
of two minutes; at the Procedure time (antisepsis, puncture, Swaddling was used in all newborns before the neonatal
acute pain management that was begun two minutes before
basal moment. 3
Rev Bras Enferm. 2022;75(3): e20210017
8
of Effect of music combined with swaddling on pain in full-term newborns: randomized clinical trial
Melo GM, Cardoso MVLML, Almeida PC, Rodrigues EC. Effect of music combined with swaddling on pain in full-term newborns: randomized clinical trial
Melo GM, Cardoso MVLML, Almeida PC, Rodrigues EC. The average birth weight was 3279.1±330.3g for Experimental
group 1, 3336.4±384.6 for Experimental group 2, 3143.3±492.3 for
Control group 1 and 3256.3±464.9 for Experimental group 2. Re-
garding Apgar scores in 5’, the value nine stood out for both groups. The Control Group 1 and 2 received swaddling and did not
receive musical intervention during the time of ten and 15
minutes, after the basal and procedure moments (antisepsis,
puncture, squeezing/aspirate blood, compression). These groups
of neonates also used a headset (without music). Regarding gestational age at birth, the mean was 38.7 to 39.7
weeks. Regarding the newborn’s hours of life at the time of venous
puncture, the lowest mean and the lowest standard deviation
were for Experimental group 2 (13.6 hours and standard deviation
1.9). The mean head circumference at birth ranged from 34.3 to
34.8 cm, considering all investigated neonates. Results analysis and statistics The absence of facial pain actions was greater than 79% in the
four groups, with a higher percentage in Experimental Group 2 for
all actions ranging from 99.6% to 100% (p<0.0001). It was identified
that the newborns of Control Group 1 were more active, with a higher
percentage in the presence of facial actions. Table 2 identifies the
moment of the Antisepsis procedure, puncture, squeezing/blood
aspiration and compression in full-term newborns, regarding the
absence of facial pain actions in the fourth groups. In order to compare the proportions of facial actions (NFCS scale),
according to the groups, the Chi-Square test was used. For the analysis
of the means of heart rates between the four groups and according to
the basal and procedure moments, the normality was verified by the
Shapiro and Kolmogorov-Smirnov test and the equality of variances by
the Levene test, then after by ANOVA. The significance level established
was 5% (p< 0.05). The effect size (ES) was analyzed by Cramer´s V Test
for cross table and Cohen’s d for ANOVA test. For this moment (antisepsis, puncture), the absence of facial
pain actions in the four groups, ranges from 23.1% to 91.3%. In the Experimental Group 2, these values ranged from 80.7 to
91.3, in both the antisepsis and puncture procedures (p<0.0001). In the squeezing/blood aspiration and compression moments,
the number of observations prevailed in Experimental Group 2
in the five manifestations of facial actions in the absence of facial
actions, ranging from 64.3 to 82%; while in the other three groups,
the percentages ranged from 25.5% to 70.1%. The data from Table
3 show the means and standard deviations of the physiological
heart rate indicator in terms of mean and standard deviation,
during the moments of data collection in the four groups. For this moment (antisepsis, puncture), the absence of facial
pain actions in the four groups, ranges from 23.1% to 91.3%. In the Experimental Group 2, these values ranged from 80.7 to
91.3, in both the antisepsis and puncture procedures (p<0.0001). 4
Rev Bras Enferm. 2022;75(3): e20210017
8
of RESULTS In the squeezing/blood aspiration and compression moments,
the number of observations prevailed in Experimental Group 2
in the five manifestations of facial actions in the absence of facial
actions, ranging from 64.3 to 82%; while in the other three groups,
the percentages ranged from 25.5% to 70.1%. The data from Table
3 show the means and standard deviations of the physiological
heart rate indicator in terms of mean and standard deviation,
during the moments of data collection in the four groups. Of the 52 newborns who comprised the sample, males were
predominant in Experimental group 1 (53.8%), Experimental group
2 (53.8%), and females in Control group 1 (61.5%), Control group
2 (69.2%); being born by natural delivery, 61.5% of Experimental
group 1, 61.5% Control group 1, 69.2% of Control group 2; and
caesarean delivery, making up 61.5% of Experimental group 2. Table 1 - Distribution of number of evaluations, in basal moment, regarding the presence and absence of facial pain actions of full-term newborn by
Neonatal Facial Coding System, Fortaleza, Ceará, Brazil, 2018
Facial actions
Group
Experimental 1
Experimental 2
Control 1
Control 2
p-value*
nº(%)
nº(%)
nº(%)
nº(%)
(SE)**
Brow bulge
Presence
Absence
21 (8.1)
239 (91.9)
1 (0.4)
259 (99.6)
54 (20.8)
206 (79.2)
9 (3.5)
251 (96.5)
<0.0001
(0.2836)
Narrow eyes
Presence
Absence
20 (7.7)
240 (92.3)
1 (0.4)
259 (99.6)
54 (20.8)
206 (79.2)
6 (2.3)
254 (97.7)
<0.0001
(0.297)
Deepened nasolabial furrow
Presence
Absence
20 (7.7)
240 (92.3)
0
260 (100)
54 (20.8)
206 (79.2)
5 (1.9)
255 (98.1)
<0.0001
(0.3063)
Horizontal Opened mouth
Presence
Absence
20 (7.7)
240 (92.3)
0
260 (100)
52 (20)
208 (80)
7 (2.8)
247 (97.2)
<0.0001
(0.289)
Taut tongue
Presence
Absence
20 (7.7)
240 (92.3)
0
260 (100)
47 (18.1)
213 (81.9)
0
254 (100)
<0.0001
(0.3014)
*Chi-square test; **SE – Cramer´s V Test. of evaluations, in basal moment, regarding the presence and absence of facial pain actions of full-term newborn by
ortaleza, Ceará, Brazil, 2018 4
Rev Bras Enferm. 2022;75(3): e20210017
8
of Effect of music combined with swaddling on pain in full-term newborns: randomized clinical trial
Melo GM, Cardoso MVLML, Almeida PC, Rodrigues EC. 5
Rev Bras Enferm. 2022;75(3): e20210017
8
of RESULTS Table 2 - Distribution of the number of evaluations, in the procedure moment (antisepsis, puncture, squeezing/blood aspiration and compression),
regarding the presence and absence of facial pain actions and groups, Fortaleza, Ceará, Brazil, 2018 regarding the presence and absence of facial pain actions and groups, Fortaleza, Ceará, Brazil, 2018
Facial actions
Experimental Group 1
nº(%)
Experimental Group 2
nº(%)
Control Group 1
nº(%)
Control Group 2
nº(%)
p value*
(SE)**
Antisepsis
Brow bulge
Presence
84 (58.7)
41 (18,8)
94 (60.6)
8 (71.9)
<0.0001
Absence
59 (41.3)
177 (81.2)
61 (39.4)
34 (28.1)
(0.4316)
Narrow eyes
Presence
85 (59.4)
42 (19.3)
94 (60.6)
87 (71.9)
<0.0001
Absence
58 (40.6)
176 (80.7)
61 (39.4)
34 (28.1)
(0.4288)
Deepened nasolabial furrow
Presence
86 (60.1)
27 (12.4)
94 (60.6)
84 (69.4)
<0.0001
Absence
57 (39.9)
191 (87.6)
61 (39.4)
37 (30.6)
(0.4863)
Horizontal Opened mouth
Presence
86 (60.1)
19 (8.7)
90 (58.1)
80 (66.1)
<0.0001
Absence
57 (39.9)
199 (91.3)
65 (41.9)
41 (33.9)
(0.5042)
Taut tongue
Presence
34 (23.8)
19 (8.7)
79 (51)
68 (56.2)
<0.0001
Absence
109 (76.2)
199 (91.3)
76 (49)
53 (43.8)
(0.4305)
Puncture
Brow bulge
Presence
8 (61.5)
2 (15,4)
10 (76,9)
10 (76,9)
0.004
Absence
5 (38.5)
11 (84,6)
3 (23,1)
3 (23,1)
(0.5105)
Narrow eyes
Presence
8 (61.5)
2 (15,4)
10 (76,9)
10 (76,9)
0.004
Absence
5 (38.5)
11 (84.6)
3 (23.1)
3 (23.1)
(0.5105)
Deepened nasolabial furrow
Presence
8 (61.5)
2 (15.4)
10 (76.9)
10 (76.9)
0.004
Absence
5 (38.5)
11 (84.6)
3 (23.1)
3 (23.1)
(0.5105)
Horizontal Opened mouth
Presence
8 (61.5)
2 (15.4)
9 (69.2)
10 (76.9)
0.007
Absence
5 (38.5)
11 (84.6)
4 (30.8)
3 (23.1)
(0.482)
Taut tongue
Presence
5 (38.5)
2 (15.4)
8 (61.5)
7 (53.8)
0.085
Absence
8 (61.5)
11 (84.6)
5 (38.5)
6 (46.2)
(0.3831)
Squeezing/blood aspiration
Brow bulge
Presence
481 (64.5)
375 (26,8)
515 (64,6)
661 (74,5)
<0.0001
Absence
265 (35.5)
1022 (73,2)
282 (35,4)
226 (25,5)
(0.4065)
Narrow eyes
Presence
476 (63.8)
391 (28)
526 (62,5)
649 (73,2)
<0.0001
Absence
270 (36.2)
1006 (82)
316 (37,5)
238 (26,8)
(0.3805)
Deepened nasolabial furrow
Presence
451 (60.5)
330 (23.6)
550 (65.3)
640 (72.2)
<0.0001
Absence
295 (39.5)
1067 (76.4)
282 (34.7)
247 (27.8)
(0.4198)
Horizontal Opened mouth
Presence
422 (56.6)
293 (21)
524 (62.2)
649 (73.2)
<0.0001
Absence
324 (43.4)
1104 (79)
318 (37.8)
238 (26.8)
(0.432)
Taut tongue
Presence
228 (29.9)
323 (23.1)
465 (55.2)
477 (53.8)
<0.0001
Absence
535 (70.1)
1074 (76.9)
377 (44.8)
410 (46.2)
(0.3003)
Compression
Brow bulge
Presence
295 (47.2)
128 (21.2)
379 (70.3)
298 (42.1)
<0.0001
Absence
330 (52.8)
477 (78.8)
160 (29.7)
410 (57.9)
(0.3377)
Narrow eyes
Presence
308 (49.3)
216 (35.7)
340 (66)
324 (45.8)
<0.0001
Absence
317 (50.7)
389 (64.3)
175 (34)
384 (54.2)
(0.2071)
Deepened nasolabial furrow
Presence
306 (49)
200 (33.1)
342 (66.4)
232 (32.8)
<0.0001
Absence
319 (51)
405 (66.9)
173 (33.6)
476 (67.2)
(0.2685)
Horizontal Opened mouth
Presence
306 (49)
187 (30.9)
313 (60.8)
223 (31.5)
<0.0001
Absence
319 (51)
418 (69.1)
202 (39.2)
485 (68.5)
(0.247)
Taut tongue
Presence
194 (34.4)
156 (25.8)
295 (57.3)
183 (25.8)
<0.0001
Absence
370 (65.6)
449 (74.2)
220 (42.7)
525 (74.2)
(0.2601)
*Chi-square test; **SE – Cramer´s V Test. DISCUSSION The main finding was that 15 minutes of music from the re-
corded lullaby, once a day, at an intensity of 40 dB combined to
swaddling, at the basal and procedure moments, was effective
when compared to ten minutes of music combined to swaddling. Referring to the Basal moment, there was a higher percentage
of absence of facial actions from pain for brow bulge (99.6%), eye
squeeze (99.6%), nasolabial furrow (100%), horizontal mouth
(100%) and taut tongue (100%), for Experimental Group 2, when
compared to the other groups. On the other hand, a randomized,
double-blind clinical trial in a neonatal intermediate unit of a
public hospital in Brazil, identified that preterm newborns in the
experimental group (music) anticipated pain in preparation for
puncture compared to the value found at basal, through NFCS,
in relation to the Control Group (glucose 25%)(9). p
g
A randomized clinical trial with premature infants aimed to
examine whether combined music and touch intervention (CMT)
is an effective pain management method for premature infants
during the painful procedures performed in a neonatal unit;
infants in the control group without intervention; infants in the
experimental group with CMT. Premature Infant Pain Profile (PIPP)
was used to measure pain. The mean PIPP scores were 11.17 ± 0.91
and 12.14 ± 0.46 (control vs. experimental), respectively, at the
beginning of the hospitalization. After 2 weeks, the PIPP score in
the control group had significantly increased (t = 2.573; P < 0.05)
and that in the experimental group had significantly decreased
(t = 2.216; P < 0.05). It was not identified significant difference be-
tween the two groups at the beginning, however, two weeks later
the experimental group had a significantly lower score than the
control group (10.50 ± 0.85 vs 13.00 ± 0.46, respectively; P < 0.05)(12). At the Procedure moment (antisepsis, puncture, squeezing/
blood aspiration, compression), the quantitative brow bulge, eye
squeeze, nasolabial furrow, horizontal mouth and taut tongue
were smaller in Experimental Group 2 (p<0.05). In an experimental study, carried out in the neonatal intensive
care unit of a hospital in Italy, the objective was to determine the
effect of music by Mozart (Violin Concerto No. 3 in G major, K. 216,
II. RESULTS Another randomized clinical trial, with 30 newborns from a
neonatal intensive care unit of a Tehran hospital, aimed to evalu-
ate the effect of maternal voice on pain in full-term newborns
admitted to the neonatal intensive care unit, which listened to the
sound therapy recorded for a time of ten minutes before, during
and then for ten minutes after arterial puncture, at an intensity
of 50-60 dB, by means of two speakers (200V Sony) placed at a
distance of 20 cm from the newborn’s head, identifying, by means
of the Neonatal Infant Pain Scale that the maternal voice reduced
the pain of newborns during arterial puncture (p<0.005)(16). RESULTS Experimental Group 1
nº(%)
Experimental Group 2
nº(%)
Control Group 1
nº(%)
Control Group 2
nº(%)
p value*
(SE)** 5
Rev Bras Enferm. 2022;75(3): e20210017
8
of Effect of music combined with swaddling on pain in full-term newborns: randomized clinical trial
Melo GM, Cardoso MVLML, Almeida PC, Rodrigues EC. Effect of music combined with swaddling on pain in full-term newborns: randomized clinical trial
Melo GM, Cardoso MVLML, Almeida PC, Rodrigues EC. ns of the newborns´ heart rate during the moments of data collection regarding groups, Fortaleza, Ceará, Brazil, 2018 Table 3 - Comparison of the means of the newborns´ heart rate during the moments of data collection regarding groups, Fortaleza, Ceará, Brazil, 2018
Moments
Experimental Group 1
Experimental Group 2
Control Group 1
Control Group 2
p value*
X̅ ±SD
X̅ ±SD
X̅ ±SD
X̅ ±SD
Basal
130.5±21.4
123.6±12.8
135.5±24.2
131.1±17.5
<0.0001
Procedure
Antisepsis
148.9±13.6
129.1±18.4
149.6±19.8
141.5±23.3
<0.0001
Puncture
152.1±18
131.1±18.5
148.9±22.8
145±26,1
0.082
Squeezing/ Blood aspiration
154.8±21.1
140±23.9
152.9±22.3
159.2±25.7
<0.0001
Compression
153.6±37.9
149.4±29.2
150.1±21.1
150.1±30.8
0.073
*ANOVA test. data collection regarding groups, Fortaleza, Ceará, Brazil, 201 The full-term newborns of Experimental Group 1, Experimental
Group 2, Control Group 1 and Control Group 2 presented mean
heart rates within the normal range, however, with statistically sig-
nificant difference between the groups at basal, with lower mean in
Experimental Group 2 (p<0.0001). At the procedure time, the lowest
mean was also in Experimental Group 2, in antisepsis (p<0.0001) and
squeezing/ blood aspiration (p<0.0001). The peak heart rate occurred
at the squeezing time, among the newborns of the four allocation
groups, while in Experimental Group 2 it was in compression time. during the venous puncture than those exposed only to swad-
dling. For the procedure (antisepsis and puncture), there was
difference for all facial actions studied (p<0.05) and odds ratio
for absence of pain reaction was 17.1 times higher, at the time of
antisepsis for experimental group (both music and swaddling)(7). DISCUSSION Adagio), in the puncture of the calcaneus of 42 premature infants,
who listened to music for two minutes before, during and after the
puncture for a total period of five minutes, at an intensity of about
65-70dB, by means of speakers placed inside the incubator, about
30 cm from the newborns’ ears. The results showed a significantly
lower score in the mean of the Premature Infant Pain Profile scores
for the experimental group (with music) (5.1±1.8) (p=0.000), com-
pared to the control group (without music) (14.3±4.3)(17). Another randomized clinical trial conducted in Iran evaluated the
effect of music therapy (for 15 minutes) on the physiological (heart
rate, oxygen saturation) and behavioral (NFCS) pain responses of
preterm infants during and after blood sampling by arterial punc-
ture, noting that recorded music, administered once a day, at an
intensity of 45-60 dB was effective compared to the Control Group
(without music), heart rate (needle removal p=0.022 and in the first
five minutes after the puncture p=0.005); in the sleep-wake state
(five minutes before the puncture p=0.044, during the puncture
p=0.045, in the first five minutes after the puncture p=0.002 and
five minutes after the puncture p=0.005); facial expressions (in the
first five minutes after puncture p = 0.001)(15). Regarding physiological heart rate indicators, newborns from
both allocation groups presented values within the normal range
at all studied moments. In Experimental group 2 (15 minutes
of music) there was greater stability of heart rate, with lower
means than in newborns from the other groups, with statistical In a pilot study involving neonates who listened to music
combined with the swaddling technique had less pain actions 6
Rev Bras Enferm. 2022;75(3): e20210017
8
of Effect of music combined with swaddling on pain in full-term newborns: randomized clinical trial
Melo GM, Cardoso MVLML, Almeida PC, Rodrigues EC. blinded only to the main researcher; and c) the venous puncture
collection was performed by four different laboratory technicians,
this may have interfered in the response of neonates to pain. significance (p<0.05), in the Basal and Procedural moments at
puncture Procedural moment (p=0.082) and the compression
moments (p=0.073), there was no statistically significant differ-
ence when comparing the four allocation groups. DISCUSSION There was a
peak heart rate at the Procedural moment (milking) among the
full-term newborns of Experimental group 1, Control group 1
and Control group 2, while in Experimental group 2, it was at
the Procedure moment (compression). Limitations of the study http://www.repositorio.ufc.br/bitstream/riufc/33944/1/2018_
tese_gmmelo.pdf
https://ensaiosclinicos.gov.br/rg/RBR-8x8v2r http://www.repositorio.ufc.br/bitstream/riufc/33944/1/2018_
tese_gmmelo.pdf
https://ensaiosclinicos.gov.br/rg/RBR-8x8v2r The following are limitations: a) the reduced sample size,
due to the demand for rooming in; b) heart rate data had been Contributions of the study It is believed this research contributed as innovative way for
clarification of important aspects related to pain bio-behavioral
reactivity of full-term newborns submitted to venous puncture,
with pain minimization and use of non-pharmacological measures
like music during 15 minutes, therefore being recommended for
use in the clinical and academic practice. However, other studies
involving high samples must to be encouraged. Similarly, found a statistically significant difference between
the heart rate of premature infants when they investigated the
effects of recorded lullabies and maternal voice recorded for
30 minutes for 14 consecutive days, with an intensity of 55-66
dB. Both musical interventions led to a decrease in heart rate (p
<0.001) during and after musical intervention, when compared
to the control group (without acoustic stimulation)(18). CONCLUSIONS A double-blind, randomized, controlled trial was carried out in
the NICUs of 2 general public hospitals in Spain with 17 healthy
preterm infants. It evaluated the effect of a relaxing music therapy
intervention on respiratory rate, systolic and diastolic blood pres-
sure, and heart rate. The results showed that a relaxing music in
the computational Melomics (intensity 30dB) lasted 20 minutes,
3 times a day for 3 consecutive days, the heart rate was higher
in the control group (without intervention) (F1,11 = 5.09, P =
.045, ηpartial = 0.32) than neonates exposed to music therapy
(experimental group)(19). In view of the results presented, it was proved that full-term
newborns submitted to the Experimental Group 2 before and
during venous puncture for blood collection showed a greater
absence of facial actions. The hypothesis was proven that there is a difference in the
behavioral and physiological pain responses of full-term new-
borns submitted to music intervention (for ten minutes and
15 minutes) combines to swaddling, before and during venous
puncture for blood collection. Differently, in the randomized clinical trial, no significant differ-
ence was found between the heart rate of preterm newborns who
were allocated to the lullaby group, the silence group (unplayed
music) and the control group (care before (p=0.33), at the end of
the 20-minute intervention (p=0.41) and in the ten minutes after
the intervention (p=0.057). The lullaby was played at an intensity
of 55-60 dB, through headphones(20). FUNDING This study was financed in part by the Coordenação de Aper-
feiçoamento de Pessoal de Nível Superior - Brasil (CAPES) - Finance
Code 001. REFERENCES 1. Christoffel MM, Castral TC, Daré MF, Montanholi LL, Gomes ALM, Scochi CGS. Attitudes of healthcare professionals regarding the assessment
and treatment of neonatal pain. Esc Anna Nery. 2017;21(1). https://doi.org/10.5935/1414-8145.20170018 1. Christoffel MM, Castral TC, Daré MF, Montanholi LL, Gomes ALM, Scochi CGS. Attitudes of healthcare professionals regarding the assessment
and treatment of neonatal pain. Esc Anna Nery. 2017;21(1). https://doi.org/10.5935/1414-8145.20170018 2. Fitri SYR, Lusmilasari L, Juffrie M. The Indonesian version of the Premature Infant Pain Profile-Revised: translation and adaptation of a
neonatal pain assessment. Int J Nurs Sci. 2019;6(4):439-44. https://doi.org/10.1016/j.ijnss.2019.06.010 3. Melo GM, Cardoso MVLML. Non-pharmacological measures in preterm newborns submitted to arterial puncture. Rev Bras Enferm. 2017;70(2):317-25. https://doi.org/10.1590/0034-7167-2016-0003 4. Lago P, Frigo AC, Baraldi E, Pozzato R, Courtois E, Rambaud J, et al. Sedation and analgesia practices at Italian neona
results from the EUROPAIN study. Ital J Pediatr. 2017;43(1):26. https://doi.org/10.1186/s13052-017-0343-2 5. Gomes PPS, Lopes APA, Santos MSN, Façanha SMA, Silva AVS, Chaves EMC. Non-pharmacological measures for pain
newborns: description of behavioral and physiological responses. Braz J Pain. 2019;2(2). https://doi.org/10.5935/25 6. Sposito NPB, Rossato LM, Bueno M, Kimura AF, Costa T, Guedes DMB. Assessment and management of pain in newborns
hospitalized in a Neonatal Intensive Care Unit: a cross-sectional study. Rev Latino-Am Enfermagem. 2017;25:e2931. https://doi. org/10.1590/1518-8345.1665.2931 7. Viana TRF, Melo GM, Cardoso MVLML, Almeida PC, Oliveira LM, Santos DAS. Pain in full term newborns submitted to music and swaddling
during venipunctures. Rev Rene. 2020;21:e43904. https://doi.org/10.15253/2175-6783.20202143904 7
Rev Bras Enferm. 2022;75(3): e20210017
8
of Effect of music combined with swaddling on pain in full-term newborns: randomized clinical trial
Melo GM, Cardoso MVLML, Almeida PC, Rodrigues EC. Effect of music combined with swaddling on pain in full-term newborns: randomized clinical trial
Melo GM, Cardoso MVLML, Almeida PC, Rodrigues EC. 8. Cardoso MVLML, Farias LM, Melo GM. Music and 25% glucose pain relief for the premature infant: a randomized clinical trial. Rev Latino-Am
Enfermagem. 2014;22(5):810-8. Available from: https://doi.org/10.1590/0104-1169.0029.2484 9. Melo GM, Cardoso MVLML. Pain in preterm newborns submitted to music and 25% glucose intervention. Rev Rene. 2017;18(1):3-10. https://
doi.org/10.15253/2175-6783.2017000100002 10. Silva CM, Cação JMR, Silva KCS, Marques CF, Merey LSF. Physiological responses of preterm newborn infants submitted to classical music
therapy. Rev Paul Pediatr. 2013;31(1):30-6. https://doi.org/10.1590/S0103-05822013000100006 11. Shah SR, Kadage S, Sinn J. Trial of music, sucrose, and combination therapy for pain relief during heel prick procedures in neonates. J Pediatr. 2017;190:153-8.e2. https://doi.org/10.1016/j.jpeds.2017.08.003 12. 8
Rev Bras Enferm. 2022;75(3): e20210017
8
of REFERENCES Qiu J, Jiang Y, Li F, Tong Q, Rong H, Cheng R. Effect of combined music and touch intervention on pain response and β-endorphin and
cortisol concentrations in late preterm infants. BMC Pediatr. 2017;17:38. https://doi.org/10.1186/s12887-016-0755-y 13. Uematsu H, Sobue I. Effect of music (Brahms lullaby) and non-nutritive sucking on heel lance in preterm infants: a randomized controlled
crossover trial. Paediatr Child Health. 2019;24(1):e33–e39. https://doi.org/10.1093/pch/pxy072 14. Grunau RE, Craig KD. Neonatal facial coding system revised: training manual. Vancouver: Early Human Experience U 15. Shabani F, Nayari ND, Karimi R, Zarei K, Chehraizi M. Effects of music therapy on pain responses induced by blood sampling in premature
infants: a randomized cross-over trial. Iran J Nurs Midwifery Res. 2016;21:391–6. https://doi.org/10.4103/1735-9066.185581 16. Azarmnejad E, Sarhangi F, Javadi, M, Rejeh N. The Effect of Mother's Voice on Arterial Blood Sampling Induced Pain in Neonates Hospitalized
in Neonate Intensive Care Unit. Global Journal of Health Science. 2015; 7(6). https://doi.org/10.5539/gjhs.v7n6p198 17. Cavaiuolo C, Casani A, Di Manso G, Orfeo L. Effect of Mozart music on heel prick pain in preterm infants: a pilot randomized controlled trial. J
Pediatr Neonat Individual Med. 2015;4(1):e040109. https://doi.org/10.7363/040109 17. Cavaiuolo C, Casani A, Di Manso G, Orfeo L. Effect of Mozart music on heel prick pain in preterm infants: a pilot randomized controlled trial. J
Pediatr Neonat Individual Med. 2015;4(1):e040109. https://doi.org/10.7363/040109 18. Witt N, Coynor S, Edwards C, Bradshaw H. A guide to pain assessment and management in the neonate. Curr Emerg Hosp Med Rep. 2016;4:1-10. https://doi.org/10.1007/s40138-016-0089-y 18. Witt N, Coynor S, Edwards C, Bradshaw H. A guide to pain assessment and management in the neonate. Curr Emerg Hosp Med Rep. 2016;4:1-10. https://doi.org/10.1007/s40138-016-0089-y 19. Gonzalez RAC, Luque AT, Piedra CD, Vico FJ, Casal GB. Listening to relaxing music improves physiological responses in premature infants: a
randomized controlled trial. 2018;18(1):58-69. https://doi.org/10.1097/ANC.0000000000000448 19. Gonzalez RAC, Luque AT, Piedra CD, Vico FJ, Casal GB. Listening to relaxing music improves physiological responses in premature infants: a
randomized controlled trial. 2018;18(1):58-69. https://doi.org/10.1097/ANC.0000000000000448 20. Alipour Z, Eskandari N, Tehran HA, Hossaini SKE, Sangi S. Effects of music on physiological and behavioral responses of premature infants: a
randomized controlled trial. Complement Ther Clin Pract. 2013;19(3):128-32. https://doi.org/10.1016/j.ctcp.2013.02.007 20. Alipour Z, Eskandari N, Tehran HA, Hossaini SKE, Sangi S. Effects of music on physiological and behavioral responses of premature infants: a
randomized controlled trial. Complement Ther Clin Pract. 2013;19(3):128-32. https://doi.org/10.1016/j.ctcp.2013.02.007 8
Rev Bras Enferm. 2022;75(3): e20210017
8
of
|
https://openalex.org/W3111639540
|
https://www.frontiersin.org/articles/10.3389/fpsyg.2020.577903/pdf
|
English
| null |
Ecological Location of a Water Source and Spatial Dynamics of Behavior Under Temporally Scheduled Water Deliveries in a Modified Open-Field System: An Integrative Approach
|
Frontiers in psychology
| 2,020
|
cc-by
| 11,217
|
ORIGINAL RESEARCH
published: 18 December 2020
doi: 10.3389/fpsyg.2020.577903 Keywords: integrative ecological-parametric approach, recurrence plots, entropy, modified open field system,
spatial-dynamics of behavior, time-based schedules Ecological Location of a Water
Source and Spatial Dynamics of
Behavior Under Temporally
Scheduled Water Deliveries in a
Modified Open-Field System: An
Integrative Approach Alejandro León 1*, Varsovia Hernández 1, Ursula Huerta 1,
Carlos Alberto Hernández-Linares 2, Porfirio Toledo 2, Martha Lorena Avendaño Garrido 2,
Esteban Escamilla Navarro 3 and Isiris Guzmán 1 Alejandro León 1*, Varsovia Hernández 1, Ursula Huerta 1,
Carlos Alberto Hernández-Linares 2, Porfirio Toledo 2, Martha Lorena Avendaño Garrido 2,
Esteban Escamilla Navarro 3 and Isiris Guzmán 1 Specialty section:
This article was submitted to
Comparative Psychology,
a section of the journal
Frontiers in Psychology Specialty section:
This article was submitted to
Comparative Psychology,
a section of the journal
Frontiers in Psychology Received: 30 June 2020
Accepted: 17 November 2020
Published: 18 December 2020 1 Comparative Psychology Lab, Centro de Estudios e Investigaciones en Conocimiento y Aprendizaje Humano, Universidad
Veracruzana, Xalapa, Mexico, 2 Facultad de Matemáticas, Universidad Veracruzana, Xalapa, Mexico, 3 Laboratorio Nacional
de Informática Avanzada, Xalapa, Mexico Edited by:
Sarah Till Boysen,
Comparative Cognition Project,
United States It has been reported in non-contingent schedules that the variety of patterns of behavior
is affected by the temporal variation of water deliveries. While temporal variation is
accomplished by delivering water at fixed or variable times, spatial variation is usually
accomplished by varying the number of dispensers and distance among them. Such
criteria do not consider the possible ecological relevance of the location of water
dispensers. Nevertheless, it is plausible to suppose that the intersection of the programed
contingencies (e.g., time-based schedules), the ecological differentiated space (e.g.,
open vs. closed zones), and the relative location of relevant objects and events (e.g.,
location of the water source—peripherical vs. center zone) could set up an integrated
system with the behavioral patterns of the organism. In the present study, we evaluated
the eco-functional relevance of two locations of the dispensers upon behavioral dynamics
in Wistar rats using fixed and variable time schedules in a modified open-field system. In
Experiment 1, three subjects were exposed to a fixed time 30-s water delivery schedule. In the first condition, the water dispenser was located at the center of the experimental
chamber. In the second condition, the water dispenser was located at the center of a wall
of the experimental chamber. Each location was present for 20 sessions. In Experiment
2, conditions were the same, but a variable time schedule was used. Routes, distance
to the dispenser, recurrence patterns, time spent in zones, entropy, and divergence
were analyzed. Our findings suggest a robust differential relevance of the location of the
dispensers that should be considered in studies evaluating behavioral dynamics. Results
are discussed from an integrative, ecological-parametric framework. Reviewed by:
Peter R. Killeen,
Arizona State University, United States
Tiago Monteiro,
University of Oxford, United Kingdom *Correspondence:
Alejandro León
aleleon@uv.mx *Correspondence:
Alejandro León
aleleon@uv.mx INTRODUCTION One of the well-known facts of the
ecological approach is the differentiation in the organization
and dynamics of displacement patterns of rats (e.g., routes,
distance, velocity, time spent) concerning different zones in the
environment and even in environments in which the boundaries
to the displacement of rats are a remote (e.g., a parking lot or
a playing field) in comparison with standard open-field arenas
(Whishaw et al., 2006). The arbitrary perspective presents the following strengths:
(1) it separated the study of behavior from questionable
explanations in terms of “mental life” or animal instincts;
(2) it focused on the development of general theories; (3) it
encouraged the development of standardized experimental tasks
and paradigms allowing the comparison of general processes in
different species—including humans (Timberlake, 1984); and (4)
it encouraged the development of a parametric system for the
study of behavioral processes (Schoenfeld et al., 1972). On the other side, the ecological perspective emphasizes the
following: (1) the functional differences of the experimental space
and their effects on the behavior patterns, for example, the
forward-going tendency, the centrifugal swing, the direction of
food turn (Maier and Schneirla, 1964); (2) the role of locomotor
activity on changes in the contact stimulation; (3) animals
responding to invariants as well to changes in stimulation, that is,
to the permanent properties of the environment as well as to their
own motions; and (4) animals’ capacities not only of locomotion
in but also of orientation to their environment (Gibson, 1979). In a parametric system, derived from an arbitrary approach,
a functional relation between parametrical variations in stimuli
properties and parametrical variations in behavioral patterns is
assumed (Schoenfeld et al., 1972; Cabrer et al., 1975; Hernández
and Ruiz, 2019; Hernández et al., 2020). Among the most
prolific systems for the parametrical analysis of behavior are
reinforcement schedules (Ferster and Skinner, 1957). In a
standard reinforcement schedule, the occurrence of a relevant
stimuli, for example, delivery of a food pellet or a drop of
water, is contingent (i.e., it is dependent) on a discrete response
of the organism (e.g., pressing a lever); these schedules are
called contingent schedules. However, there are other stimuli
schedules that do not require a response (or responses) in order to
present relevant stimuli (e.g., delivery of drop of water), and they
only depend on the temporal relations between stimuli, namely,
non-contingent schedules (Zeiler, 1968; Lachter et al., 1971). INTRODUCTION TABLE 1 | Experimental design of experiments 1 and 2. In behavioral science, two approaches to the analysis of behavior
have taken place: the arbitrary and the ecological (Timberlake,
1990). The arbitrary approach is characterized for its emphasis
on the systematic variations of temporal parameters of stimuli
and its effect on the rate of an arbitrary response (Skinner,
1938; Ferster and Skinner, 1957; Schoenfeld et al., 1972). On
the other side, the ecological approach is characterized by its
emphasis in the study of behavior in a context in which
stimuli and responses have ecological relevance [e.g., water-
seeking behavior, exploratory behavior, etc; Maier and Schneirla
(1964)]. Even when the arbitrary and ecological approaches
were antagonist with respect to various topics, some behavioral
researchers influenced by biological sciences have been interested
to find a common ground among the arbitrary and ecological
perspective, taking advantage of the strengths of both approaches
(Timberlake, 1993; Cabrera et al., 2019). beyond the analysis of discrete responses, adding the spatial
dimension of the continuum of behavior (Pear and Eldridge,
1984; Pear, 1985, 2004). In this way, the analysis of the spatial dynamics of the
behavioral continuum under contingent (Pear, 1985) and non-
contingent schedules (Pear and Eldridge, 1984; Silva and Pear,
1995; Silva and Timberlake, 1998; Hurtado-Parrado et al., 2019)
and its integration with discrete-responses patterns, like a whole
system, has become a relevant field for the analysis of behavioral
processes. This emerging experimental field has gained strength
with the development of new technologies, for example tracking
systems (Pérez-Escudero et al., 2014) and tools for the analysis
of data based on displacement patterns (León et al., 2020). An
integrated system of discrete responses (e.g., lever pressing, nose
poking, head inputs) and displacement patterns (e.g., routes)
bring the arbitrary approach closer to the ecological approach
since it allows, from the arbitrary approach, to characterize and
analyze behavioral patterns with ecological relevance (e.g., water-
seeking behavior) but in a parametric perspective (Hernández
et al., 2020). Nevertheless, beyond the incorporation of behavioral
patterns with ecological relevance in behavior analysis, the
consideration of facts and evidence of the ecological approach
can be useful for expanding the comprehension of the dynamics
of the behavioral processes in a parametric way (Timberlake,
1993; Cabrera et al., 2019). Citation: León A, Hernández V, Huerta U,
Hernández-Linares CA, Toledo P,
Avendaño Garrido ML, Escamilla
Navarro E and Guzmán I (2020)
Ecological Location of a Water Source
and Spatial Dynamics of Behavior
Under Temporally Scheduled Water
Deliveries in a Modified Open-Field
System: An Integrative Approach. Front. Psychol. 11:577903. doi: 10.3389/fpsyg.2020.577903 December 2020 | Volume 11 | Article 577903 Frontiers in Psychology | www.frontiersin.org 1 Ecological Location and Behavioral Dynamics León et al. TABLE 1 | Experimental design of experiments 1 and 2. Experiment
Water-delivery
Condition I
Condition II
schedule
1
Fixed time
Center
Wall
2
Variable time
Center
Wall Frontiers in Psychology | www.frontiersin.org INTRODUCTION The non-contingent schedules research is relevant, among other
reasons, because, in the effort to understand the dynamics of the
functional relations between behavioral patterns not prescribed,
and programed contingencies, behavior analysis was extended In a work by Yaski et al. (2011), the dynamic of displacement
patterns was studied under two forms of an open-field test (i.e.,
square, 200 × 200 cm, and round, 200 cm diameter). Sixteen
rats were exposed to a single 20-min trial in each arena. The
displacement of organisms was recorded with a two-dimensional
tracking system. Routes, time spent per zone, distance, and
velocity were analyzed concerning two virtual zones: peripheral
and central. Results showed a robust difference in all referred
measures in the two zones, independently of the shape of the
arena. On the one side, rats showed a clear preference in terms of
routes, time spent in zone, and distance traveled to the peripheral
zones. On the other hand, velocity in the central zone was
twice as high as in the peripheral zone. These findings show a
functional difference between zones regarding the dynamics of
displacement patterns. December 2020 | Volume 11 | Article 577903 Frontiers in Psychology | www.frontiersin.org 2 Ecological Location and Behavioral Dynamics León et al. In another work by Martinez and Morato (2004), the
preference of rats to spend time in different zones in a modified
open-field system that allowed to vary the number of close and
open spaces was studied. Two brick blocks (20 × 20 cm of base)
were used to create three-wall circumscribed zones (10 × 10 cm)
in a squared experimental arena of 1.20 × 1.20 m. The arena was
segmented according to the number of surroundings walls (0, 1,
2, 3, 4). One group of rats was exposed to 25, 10-min sessions. In the first 10 sessions, rats spent more time in the zones with
two surrounding walls (i.e., the corners), while in the last 13
sessions, they spent more time in the zones with four walls. Time
spent in zones without walls (i.e., central area) was near to zero
in all sessions. Method
Subjects Three experimentally naive, female Wistar rats were used. All
rats were 3 months old at the beginning of the experiment. Rats
were housed individually with a 12-h light and dark cycle and
maintained under a daily schedule of 23 h of water deprivation
with free access to water 1 h after experimental sessions. Food
was freely available in their home cages. One session was
conducted daily, 7 days a week. All procedures were conducted
in agreement with university regulations of animal use and care
and followed the official Mexican norm NOM-062-ZOO-1999
for Technical Specification for Production, Use and Care of
Laboratory Animals. Continuing
with
the
parametric
approach,
time-based
schedules are the most used non-contingent schedules. In a fixed
time (FT) schedule, a relevant stimulus (e.g., drop of water)
occurs at regular intervals (e.g., every 30 s) regardless of the
activity of the organism, while in a variable time (VT) schedule,
a relevant stimulus occurs at different intervals (e.g., x, y, z)
whose mean is a given value (e.g., 30 s). In the standard arbitrary
approach, the main data in the time-based schedules has been
based on discrete responses, for example, dispenser entrances
or, in some cases, the rate of response to a non-functional
operandum (Skinner, 1938). But with the developments of Pear
and Eldridge (1984), Hurtado-Parrado et al. (2019), relevant
data based on displacement patterns have been added, for
example, routes of displacement and distance between the
organism and relevant objects (e.g., distance of organism to
water/food dispenser). Frontiers in Psychology | www.frontiersin.org INTRODUCTION In the two previously referred studies (Martinez
and Morato, 2004; Yaski et al., 2011), the authors discussed their
results from an ecological approach, in terms of the ecological
relevance of each zone as the close zones serving as a refuge or
“safe area” while characterizing the central zone as an “insecure
area” for organisms (Whishaw et al., 2006). and dispensers) and events (e.g., delivery of water or food)
are concentrated on the peripherical zone (e.g., walls) of the
experimental arena; and (c) an undifferentiated space is assumed
in an ecological sense (i.e., the different zones of the experimental
arena are assumed to be equifunctional). From an integrative, parametrical–ecological approach, it is
plausible to suppose that the intersection of the programed
contingencies
(e.g., time-based
schedules),
the ecological-
differentiated space (e.g., peripherical vs. center zone), and
the relative location of the relevant objects and events (e.g.,
location of the water source—peripherical vs. center zone)
conform a system that is integrated with the behavioral patterns
of the organism. Under this rationale, different ecologically
relevant locations of a water source would set up different
spatial dynamics of behavior under the same-programmed
contingencies. In order to test this hypothesis, in the present
study, we evaluated the relevance of two ecological locations
of the dispenser upon the spatial dynamics of behavior
in Wistar rats under two temporally scheduled deliveries
(fixed- and variable-time schedules) in a modified open-
field system. As it was already mentioned, in a parametric approach,
a functional relation between variations in stimuli properties
and variations in behavioral patterns is assumed (Hernández
and Ruiz, 2019; Hernández et al., 2020). Regardless of
programmed contingencies, this approach generally assumes
an undifferentiated functional space of the experimental arena. However, the findings of studies as those previously mentioned
have important implications insofar as they show a clear
functional differentiation in the dynamic of displacement
patterns concerning different zones of the experimental arena
even without programed contingencies. Procedure Subjects were exposed to two consecutive conditions in the same
order (See Table 1). On each condition, water was delivered using
an FT 30-s schedule. When delivered, water remained available
for 3 s. In Condition I, the water dispenser was located on the
floor at the center of the experimental chamber (see Figure 1). In
Condition II, the water dispenser was located on the floor next
to a wall. Each condition lasted 20 sessions. Each session lasted
20 min. Rats were directly exposed to the conditions without
any previous training. The MOFS was cleaned using isopropyl
alcohol between each experimental session. In Condition I, in the first session, for all subjects, the rats’
location at the moment of water delivery was far from the
dispenser and close to the walls with only a few instances in which
rats’ location was close to the water dispenser at the moment
of delivery. This pattern remained similar for session 10 with
just a few instances in which the rats were located close to
the dispensers; nonetheless, a clear differentiation in terms of
displacement began to appear among the walls and the center
of the arena. For session 20, the number of instances of water
delivery with the rats close to the dispenser slightly increased,
and a clear differentiation in the location of the rats between the
center and walls was found. Apparatus An isometric and top view of the system and its devices are presented on the left size of the figure. An image of the texturized patch is presented on the right side of the figure. separate rows. In Condition I, in the first sessions, all three rats
moved predominantly close to the walls of the MOFS with some
crossing between walls. In session 10, rats 1 and 2 continue to
move predominately on the walls, but a pattern of visits to the
center began to clearly appear. For rat 3, movement stayed close
to the walls with very little crossing to the walls using the center
of the floor. In session 20, for rats 1 and 2, there was a clear back
and forth pattern to the center of the chamber and to the walls
of the MOFS. For rat 3, there were some crossing in the middle
of the MOFS compare to session 10 but without the clear pattern
shown by rats 1 and 2. isolate external noise. All programmed events were scheduled
and recorded using Walden 1.0 software. The rats’ movement was
recorded by a Logitech C920 web camera, located at the center,
1.80 m above the experimental chamber. Tracking data were
analyzed using Walden 1.0 software. This software recorded the
rats’ location every 0.2 s in the experimental space using a system
of X, Y coordinate. The system recorded the rats according to
their center of mass. Data files obtained from this software were
then analyzed using MOTUSTM and SPATIUM software. Apparatus A modified open-field system (MOFS) was used. Figure 1 shows
a diagram of the apparatus. Dimensions of the chamber were 100
× 100 cm. All four walls of the chamber as well as the floor were
made of black Plexiglas panels. The floor contained 100 holes of
0.8 cm located 0.95 cm from each other. A water dispenser, based
on a servo system, made by Walden Modular Equipment, was
located close to the center of the (MOFS) (Condition I) or close
to a wall (Condition II). When activated, it delivered 0.1 cc of
water on a water cup that protruded 0.8 cm from the floor of
the MOFS in one of the holes. The MOFS was illuminated by
two low-intensity lights (3 W) located above the chamber and
in opposite sides of the room in order to avoid shadow zones. Once delivered, water remained available 3 s for its consumption. A texturized black patch, 9 × 9 cm with 16 dots/cm, printed in a
3D printer, was located in close proximity (5.5 cm) to the water
dispenser in order to facilitate its location. A robust finding concerning the spatial dimension of behavior
in time-based schedule is that, in fixed-time schedules, the routes
are extended and unpredictable but consistent in an idiosyncratic
way (Eldridge et al., 1988). On the other hand, the distance
of organisms to the dispenser is usually greater in fixed-time
schedules than in variable-time schedules (Van Hest et al., 1986). Nevertheless, to our knowledge, there are no studies that compare
the spatial–temporal dynamics under FT vs. VT schedules. There are some relevant issues about the parametrical
approach that deserve to be mentioned: (a) the explanation
of the spatial dynamics of behavior is based only on the
programed contingencies; (b) the relevant objects (e.g., operanda The experimental chamber was located on an isolated room
on top of a table of 45 cm of height. The room served to December 2020 | Volume 11 | Article 577903 3 León et al. Ecological Location and Behavioral Dynamics FIGURE 1 | Diagram of the Modified Open Field System (MOFS). An isometric and top view of the system and its devices are presented on the left size of the figure. An image of the texturized patch is presented on the right side of the figure. FIGURE 1 | Diagram of the Modified Open Field System (MOFS). Results decreased as sessions continued, independently of the location of
the dispenser (wall or center). In Condition II, for all subjects from session 1, there was
a drastic change in the rats’ location at the moment of water
delivery with more instances in which they were close to the
dispenser’s location in comparison to the previous condition. In session 10, the number of times in which rats were in close
proximity to the dispenser at the moment of water delivery
clearly increased with just a few instances in which these did not
coincide. This pattern was maintained and highlighted in session
20 for all rats. In short, in Condition I rats’ location in the first
0.2 s of water delivery was distributed between the perimetral
and central zone (close to dispenser), while in Condition II, it
concentrated in the perimeter and dispenser zone. In Condition I, in the first session, the three rats’ distance
from the dispenser was elevated, with most values close to one
and minor variation along the sessions. In session 10, also for
all subjects, relative-distance values continue to be close to the
maximum possible, but a pattern of increases and decreases in the
distance began to appear varying from almost 1 to values close to
0. In session 20, the values showed a clear pattern to increase and
decrease but with distance close to the lower values, mainly at the
end of the session for all rats. In Condition II, with the dispenser located in a wall of
the chamber, from session 1 and through all sessions, there
was a clear pattern for the value of the distance to remain
close to the lower values, although with some variability
across sessions. Using the same format as the previous figure, Figure 3 shows
the relative value of the distance from the rat to the dispenser
every 0.2 s (gray dots). To obtain these values, the maximum
possible distance from the rat to each location of the dispenser
(center or wall) was calculated, and the distance every 0.2 s was
divided between the maximum distance corresponding to that
condition. In addition, in order to clearly show the tendency of
the distance function, we performed a smoothing of it (red line)
by using a moving average of 200 frames (i.e., 40 s, see equation
in Appendix A). Results Figure 2 shows rats’ displacement on the MOFS and rats’ location
in the arena every 0.2 s for the duration of the entire session. The rats’ location in the first 0.2 s of water delivery is indicated
with black marks. It is important to mention that water remained
available for 3 s each time, so even if the rats’ location at the
beginning of the interval was not close to the dispenser, they still
could approach and make contact with it. The first three columns
depict data for sessions 1, 10, and 20 of Condition I (center),
and the next three columns depict data for sessions 1, 10, and
20 of Condition II (wall). Data for rats 1, 2, and 3 are shown in In Condition II, in the first session, rats 1 and 2 showed
a clear back and forth pattern of travels between the center
of the floor to the wall where the water dispenser was
located. This pattern was also shown in rat 3 but less clearly. In session 10, the movement of all three rats concentrated
predominately on the wall with the water dispenser, although
there were still some crossings in the middle of the floor. In
session 20, all three rats predominately stayed close to water
dispenser’s wall with less crossing by the middle of the floor in
comparison to session 10. December 2020 | Volume 11 | Article 577903 Frontiers in Psychology | www.frontiersin.org 4 León et al. Ecological Location and Behavioral Dynamics FIGURE 2 | Route per session. Each panel shows the analogic routes in the MOFS for a complete session. Black points show rats’ location in the arena at the first
moment of water delivery (the first frame of 0.2 s of the 3 s of water availability). Each row depicts data for one rat, and each column depicts routes for sessions 1, 10,
and 20 for conditions I and II of Experiment 1. FIGURE 2 | Route per session. Each panel shows the analogic routes in the MOFS for a complete session. Black points show rats’ location in the arena at the first
moment of water delivery (the first frame of 0.2 s of the 3 s of water availability). Each row depicts data for one rat, and each column depicts routes for sessions 1, 10,
and 20 for conditions I and II of Experiment 1. Frontiers in Psychology | www.frontiersin.org Results With this measure, a value close to 1 would
indicate that the distance from the rat to the dispenser was the
maximum possible for that location of the water dispenser. A
value close to zero would indicate that the rat was located in close
location in relation to the dispenser. If the only relevant object
were the water dispenser, it would be expected that this distance Figure 4 shows accumulated time of stays in each square
region from a configuration of 10 × 10 defined zones. In
Condition I, in the first session, accumulated time for all three
rats was higher in the regions close to the walls and on the corners
of the MOFS. In session 10, for rats 1 and 3, stays had longer
accumulated time close the walls, although there was an increase
in time spent at the center of the experimental chamber, whereas
rat 3 showed longer stays close to one wall of the chamber. In
session 20, accumulated time of stays was higher in the central
regions of the chamber for rats 1 and 2, compared to accumulated
time close to the walls. For rat 3, accumulated time was higher for December 2020 | Volume 11 | Article 577903 5 León et al. Ecological Location and Behavioral Dynamics FIGURE 3 | Distance to dispenser. Each panel shows the relative value of the distance (0 = minimum to 1 = maximum) from the rat to the dispenser, every frame or
0.2 s (gray dots) and a moving average of 200 frames (red line) for a complete session. Each row depicts data for one rat, and each column depicts data for sessions
1, 10, and 20 for conditions I and II of Experiment 1. FIGURE 3 | Distance to dispenser. Each panel shows the relative value of the distance (0 = minimum to 1 = maximum) from the rat to the dispenser, every frame or
0.2 s (gray dots) and a moving average of 200 frames (red line) for a complete session. Each row depicts data for one rat, and each column depicts data for sessions
1, 10, and 20 for conditions I and II of Experiment 1. the regions in close proximity to the walls, but it also increased in
the central areas of the chamber. In Condition I (center), in the first session, there were high
transitions among regions along time (densification of white). Results In session 10, rats 1 and 2 continue to show high transitions
but with low recurrence (densification and alternation of black–
white mosaic patterns). For rat 3, the level of recurrence increased
in comparison to session 1. In session 20, for rats 1 and 2,
recurrence slightly increased in comparison to sessions 1 and 10;
also recurrence started to increase by the end of the sessions. For
rat 3, recurrence level remained low. In Condition II, in the first session, accumulated time for
all three rats was higher in the region close to the wall where
the water dispenser was located with minor stays at the center
of the chamber. For sessions 10 and 20, stays were longer and
concentrated in zones close to the wall of the water dispenser. Figure 5 shows recurrence plots. This plot depicts change
in regions of each rat in a configuration of 10 × 10 defined
zones comparing the rats’ location along time [for a complete
description, see León et al. (2020)]. Both axes show time on
a time frame of 0.2 s. If a rat was on an Rk region in a
T time and on T + 1 on the same region, a black mark
represented the recurrence in time. If, on the contrary, on
T + 1 the rat was on a different location, a white mark
would be shown. The recurrence plot shows the reiteration of
the organism’s location in a given value in time (frame per
frame). Appendix B shows the equation employed to obtain the
recurrence plots. In Condition II (wall), there were higher transitions among
regions along time (densification of white). In session 10,
recurrence increased for rats 1 and 3 and remained low for rat
2. In session 20, recurrence increased for all three rats. In general,
recurrence was higher for all sessions in Condition II compared
to sessions in Condition I. With the purpose of having a quantitative measure of the
variation of displacement patterns, an entropy analysis was
conducted. This analysis provides a quantitative index of the
variations of displacement patterns within sessions, with high
entropy representing more variation of displacement patterns
and low entropy representing less variation of displacement
patterns. The mathematical description of this analysis can be
found in Appendix C. With this analysis, it is possible to identify the return and
permanence of the organism to a region. Frontiers in Psychology | www.frontiersin.org Results
Th f With
the
purpose
of
determining
the
variations
in
displacement patterns between sessions, a divergence index was
calculated considering all sessions. This index is calculated by
comparing the displacement patterns between two consecutive
full sessions (e.g., 1 and 2; 2 and 3, etc.). A value close to 0
indicates no difference in the displacement patterns between full
sessions; a positive value indicates difference in displacement
patterns between full sessions. The mathematical description
of this analysis can be found in Appendix D. The expected KL
divergence were values near to 0 between sessions of the same
phase and high values between sessions of the phase transition
(change in the dispenser location). The format for all figures in Experiment 2 is the same used in
Experiment 1. Figure 8 shows rats’ displacement on the MOFS
and rats’ location in the arena every 0.2 s for the duration of the
entire session. The rats’ location in the first 0.2 s of water delivery
is indicated with black marks. In Condition I, in the first sessions,
all three rats moved mostly close to the walls of the chamber
with minor crossings between walls. In session 10, rats 5 and 6
predominately move close to the walls, but a pattern of visits to
the center began to appear. For rat 4, routes continue to be close
to the walls, and movement diminished in comparison to session
1. In session 20, for rats 5 and 6, the back and forth pattern to
the center of the chamber and the walls of the MOFS was clearly
present, whereas for rat 4, routes remained close to the wall. Figure 7 depicts the divergence analysis throughout all
sessions in conditions I and II. For rats 1 and 2, the values
remained close to 0, except in the first session from Condition
II, in which the divergence value notably increased, showing
a difference in displacement patterns when the location of the
water dispenser was changed in consecutive sessions. For rat 3,
the divergence index showed variations in the last 10 sessions of
Condition I and the first 10 sessions in Condition II, but values
remained close to 0 in the last eight comparisons. In Condition I, in the first session, the location of all rats at
the moment of water delivery was distant from the dispenser and
close to the walls. EXPERIMENT 2 I, it showed an abrupt change in level for R1 and a delayed
change in level for R2 and R3. The change in level for
R3 was very robust. The entropy index in the last sessions
were markedly different between conditions but consistently
within conditions. Results Entropy values for each rat across all sessions of Condition I and Condition II for Experiment 1. Method
Subjects Three experimentally naive Wistar rats were used: two males and
one female (subject 4). All rats were 3 months old at the beginning
of the experiment. Housing conditions and maintenance were
identical to the ones used in Experiment 1. All procedures were
conducted in agreement with university regulations of animal
use and care and followed the official Mexican norm NOM-062-
ZOO-1999 for Technical Specification for Production, Use, and
Care of Laboratory Animals. Entropy did not show a major change within phases, but
it showed a significant change between phases. These findings
shows (a) that the behavioral dynamics within phases was
consistent, and (b) there was a wide difference in behavioral
dynamics between both dispenser’s location: when the dispenser
was allocated at the center zone, the displacement patterns
showed more variation than when the location was in the
perimeter zone. Frontiers in Psychology | www.frontiersin.org Results The densification
and alternation of black–white mosaic patterns indicates high
recurrence; a higher proportion of continue black zones would
mean higher permanence in a given region, while a higher
proportion of white zones would mean higher transitions
among regions. Figure 6 shows the entropy values for all sessions in
conditions I and II. The entropy index in Condition I showed a
very stable level for the second part of the phase. In Condition December 2020 | Volume 11 | Article 577903 Frontiers in Psychology | www.frontiersin.org 6 Ecological Location and Behavioral Dynamics León et al. FIGURE 4 | Accumulated time of stays. Each panel shows the accumulated time of stays in a square region from a configuration of 10 × 10 zones. Each row depicts
data for one rat, and each column depicts data for sessions 1, 10, and 20 for conditions I and II for Experiment 1. FIGURE 4 | Accumulated time of stays. Each panel shows the accumulated time of stays in a square region from a configuration
data for one rat, and each column depicts data for sessions 1, 10, and 20 for conditions I and II for Experiment 1. FIGURE 4 | Accumulated time of stays. Each panel shows the accumulated time of stays in a square region from a configuration of 10 × 10 zones. Each row depicts
data for one rat, and each column depicts data for sessions 1, 10, and 20 for conditions I and II for Experiment 1. FIGURE 5 | Recurrence plots. Each panel depicts change of regions for each rat in a configuration of 10 × 10 defined zones every 0.2 s. Each row depicts data for
one rat, and each column depicts data for sessions 1, 10, and 20 for conditions I and II for Experiment 1. FIGURE 5 | Recurrence plots. Each panel depicts change of regions for each rat in a configuration of 10 × 10 defined zones every 0.2 s. Each row depicts data for
one rat, and each column depicts data for sessions 1, 10, and 20 for conditions I and II for Experiment 1. December 2020 | Volume 11 | Article 577903 Frontiers in Psychology | www.frontiersin.org 7 León et al. Ecological Location and Behavioral Dynamics FIGURE 6 | Entropy index. Entropy values for each rat across all sessions of Condition I and Condition II for Experiment 1. FIGURE 6 | Entropy index. December 2020 | Volume 11 | Article 577903 Results
Th f There were only a few instances for rats 5 and 6
in which their location was close to the water dispenser at the
moment of delivery. This pattern remained similar for session
10 with just a few instances in which rats were located close to
the dispensers; nonetheless, a clear differentiation in terms of December 2020 | Volume 11 | Article 577903 8 León et al. Ecological Location and Behavioral Dynamics FIGURE 7 | Divergence index. Divergence values for each rat across all sessions of Condition I and Condition II for Experiment l. FIGURE 8 | Route per session. Each panel shows the analogic routes in the MOFS for a complete session. Black points show rats ’ location in the arena at the first
moment of water delivery (the first frame of 0.2 s of the 3 s of water availability). Each row depicts data for one rat, and each column depicts routes for sessions 1, 10,
and 20 for conditions I and II of Experiment 2. displacement began to appear among the walls and the center of
the arena, especially for rats 5 and 6. In session 20, the number
of instances of water delivery with the rats close to the dispenser
In Condition II, in session 1, rats 5 and 6 showed a back-
and-forth pattern of travels between the center of the floor
to the wall where the water dispenser was previously located. FIGURE 7 | Divergence index. Divergence values for each rat across all sessions of Condition I and Condition II for Experiment l. GURE 7 | Divergence index. Divergence values for each rat across all sessions of Condition I and Condition II for Experiment l. FIGURE 8 | Route per session. Each panel shows the analogic routes in the MOFS for a complete session. Black points show rats ’ location in the arena at the first
moment of water delivery (the first frame of 0.2 s of the 3 s of water availability). Each row depicts data for one rat, and each column depicts routes for sessions 1, 10,
and 20 for conditions I and II of Experiment 2. FIGURE 8 | Route per session. Each panel shows the analogic routes in the MOFS for a complete session. Results
Th f Black points show rats ’ location in the arena at the first
moment of water delivery (the first frame of 0.2 s of the 3 s of water availability). Each row depicts data for one rat, and each column depicts routes for sessions 1, 10,
and 20 for conditions I and II of Experiment 2. In Condition II, in session 1, rats 5 and 6 showed a back-
and-forth pattern of travels between the center of the floor
to the wall where the water dispenser was previously located. For rat 4, routes remained close to the walls of the arena. For
sessions 10 and 20, the pattern of routes remained similar to
previous sessions for all three rats with clear back-and-forth displacement began to appear among the walls and the center of
the arena, especially for rats 5 and 6. In session 20, the number
of instances of water delivery with the rats close to the dispenser
increased for subjects 5 and 6, and a clear differentiation in the
location of the rats between the center and walls was found also
for those subjects. Rat 4 remained close to the walls at all times. December 2020 | Volume 11 | Article 577903 Frontiers in Psychology | www.frontiersin.org 9 León et al. Ecological Location and Behavioral Dynamics FIGURE 9 | Distance to dispenser. Each panel shows the relative value of the distance (0 = minimum to 1 = maximum) from the rat to the dispenser, every frame or
0.2 s (gray dots) and a moving average of 200 frames (red line) for a complete session. Each row depicts data for one rat, and each column depicts data for sessions
1, 10, and 20 for conditions I and II of Experiment 2. FIGURE 9 | Distance to dispenser. Each panel shows the relative value of the distance (0 = minimum to 1 = maximum) from the rat to the dispenser, every frame or
0.2 s (gray dots) and a moving average of 200 frames (red line) for a complete session. Each row depicts data for one rat, and each column depicts data for sessions
1, 10, and 20 for conditions I and II of Experiment 2. FIGURE 10 | Accumulated time of stays. Each panel shows the accumulated time of stays in a square region from a configuration of 10 × 10 zones. DISCUSSION The present study evaluated the relevance of two ecological
locations of the dispenser upon the spatial dynamics of behavior
in Wistar rats under two water-delivery schedules (fixed time
and variable time) in a modified open-field system. In order
to have an integrative and multidimensional characterization of
the temporal–spatial dynamics of behavior, several analyses were
conducted. In this section, we will briefly describe and discuss
in an integrative and comparative manner the findings of both
studies from an ecological-parametric framework. In Condition II, session 1, in general for all three rats,
the distance to the dispenser was lower in comparison to
Condition I. In sessions 10 and 20, the distance to the dispenser
slightly decreased but with some fluctuating patterns toward
intermediate values. Figure 10 shows accumulated time of stays in each square
region from a configuration of 10 × 10 defined zones. In
Condition I, in the first session, accumulated time for all three
rats was higher in the regions close to the walls and on the corners
of the MOFS. In session 10, for rats 5 and 6, stays had longer
accumulated time close to the walls, although time spent at the
center of the experimental chamber increased. For rat 4, stays
concentrated close to one wall of the chamber. In session 20, stays
for rats 5 and 6 were longer in the central regions of the chamber,
compared to previous sessions. Rat 4 remained to present longer
stays close to one wall. In the first sessions of the initial phase, with water delivered
at the center, for both studies, our results were consistent with
the findings reported in the literature regarding displacement
patterns in an open-field arena (Martinez and Morato, 2004;
Whishaw et al., 2006; Yaski et al., 2011). That is, routes and time
spent per zone concentrated in the perimeter of the arena, so
a typical thigmotaxis pattern was observed, indicating an initial
eco-functional segmentation of the experimental arena given
the directionality and the preference of the patterns (approach
patterns to the perimeter zone). Nevertheless, around session
10 of the first phase, a relevant change in the directionality of
displacement patterns was observed, and these were oriented to
both the center and perimeter zones. Results
Th f Each row
depicts data for one rat, and each column depicts data for sessions 1, 10, and 20 for conditions I and II for Experiment 2. FIGURE 10 | Accumulated time of stays. Each panel shows the accumulated time of stays in a square region from a configuration of 10 × 10 zones. Each row
depicts data for one rat, and each column depicts data for sessions 1, 10, and 20 for conditions I and II for Experiment 2. December 2020 | Volume 11 | Article 577903 Frontiers in Psychology | www.frontiersin.org 10 Ecological Location and Behavioral Dynamics León et al. patterns for rats 5 and 6 and routes close to the walls
for rat 4. was higher for all sessions in Condition II compared to sessions
in Condition I. In Condition II, for subjects 5 and 6 from session 1, there
was a clear change in location at the moment of water delivery
with more instances in which they were close to the dispenser in
comparison to the previous condition. In session 10, the number
of times in which rats were in close proximity to the dispenser
at the moment of water delivery clearly increased with just a
few instances in which these did not coincide. This pattern was
maintained and highlighted in session 20 for all rats. Rat 4 was
not sensitive to the change in location of the water dispenser and,
for all sessions, remained close to the walls. With a similar format to Figures 6, 12 shows the entropy
values for all sessions in Conditions I and II. The entropy index,
in general, showed variability. However, in Condition I, it showed
a stable level for the last eight sessions for R8 and the last three
sessions for the R9. In Condition II, it showed an abrupt change
in level for R8 and a delayed and smooth change in level for R9. The entropy index for the last sessions of Condition II was stable
and lower than the last sessions of Condition I. With a similar format to Figures 7, 13 shows the divergence
analysis for sessions in Conditions I and II. For rats 5 and 6,
the values increased in the first session of Condition II, on the
other hand, in general terms, the divergence value was lower in
Condition II than in Condition I. Results
Th f For rat 4, there was no clear
change in divergence values in the first session of Condition II. Figure 9 shows the relative value of the distance from the rat
to the dispenser every 0.2 s (same formula described in Figure 3). In Condition I, in the first session for all rats, the distance to the
dispenser was high and close the maximum values. For session
10, for rats 5 and 6, distance remained close to the maximum
values but with variation to the lower values, while for rat 4, the
pattern remained similar to session 1. For session 20, and for rats
5 and 6, distance values decreased, with some variability to high
values. For rat 4, distance values had no clear change compared
to previous sessions. Frontiers in Psychology | www.frontiersin.org DISCUSSION This analysis shows that,
at the moment of water delivery, when the dispenser was at
the center zone, the animals were usually far to the dispenser
(in the perimeter zone), while when the dispenser was in the
perimetral zone, the animals were near to the dispenser. The
conjunction between the data of organism’s location at the first
moment of water delivery and the distance to the dispenser (see
distance close to zero) suggests that, when the dispenser was at
the center location, rats traveled from the perimeter to the center
at the time of the water delivery. Thus, with the dispenser at
the center, back-and-forth patterns associated with the deliveries
take place, while with the dispenser in the perimeter, patterns
of stays take place. This differentiated emergent patterns, with
quantitative variations, can be observed under TF and TV
schedules. This finding is important because the back-and-forth
patterns between the central and perimeter zones displayed by In Condition II, in the first session, accumulated time for all
three rats was higher in the region close to the wall where the
water dispenser was located; rats 5 and 6 also showed short stays
at the center of the chamber. For sessions 10 and 20, for all three
rats, stays were longer and concentrated in zones close to the wall
of the water dispenser. Figure 11 shows recurrence plots. In Condition I (Center), in
session 1, for all three rats, there were high transitions between
zones with a decrement by the end of the session for rats 4 and 6. In session 10, rats 5 and 6 showed recurrence patterns compared
to session 1, and rat 4 showed higher permanence in zones. In
session 20, rat 4 showed higher permanence, while it remained
similar to the previous session for rats 5 and 6. In Condition II (wall), for rat 4, the permanence remained
high and stable for session 1, while in sessions 10 and
20, some recurrence patterns emerged, indicating transitions
among regions. For rats 5 and 6, in session 10, recurrence
increased in comparison to previous sessions, and short stays
increased in session 20. In general, the permanence in zones December 2020 | Volume 11 | Article 577903 Frontiers in Psychology | www.frontiersin.org 11 Ecological Location and Behavioral Dynamics León et al. FIGURE 11 | Recurrence plots. Frontiers in Psychology | www.frontiersin.org DISCUSSION Each panel depicts change of regions for each rat in a configuration of 10 × 10 defined zones every 0.2 s. Each row depicts data for
one rat, and each column depicts data for sessions 1, 10, and 20 for conditions I and II for Experiment 2. FIGURE 11 | Recurrence plots. Each panel depicts change of regions for each rat in a configuration of 10 × 10 defined zones every 0.2 s. Each row depicts data for
one rat, and each column depicts data for sessions 1, 10, and 20 for conditions I and II for Experiment 2. FIGURE 12 | Entropy index. Entropy values for each rat across all sessions of Condition I and Condition II for Experiment 2. FIGURE 12 | Entropy index. Entropy values for each rat across all sessions of Condition I and Condition II for Experiment 2. FIGURE 12 | Entropy index. Entropy values for each rat across all sessions of Condition I and Condition II for Experiment 2. between “close” and “far,” which implicated an underlying
spatial dynamics with high recurrence of patterns, accelerated
transitions between zones, and high entropy. These dynamics
were more robust under the FT than under the VT schedules. the organisms indicate a new emergent eco-functional segment
in the experimental arena: the center zone by the delivery of
water. These patterns were very clear in the last sessions of
the first phase. In consequence, by having two distant eco-
functional segments (the dispenser and the perimeter zone) in
the experimental area, the distance to the dispenser fluctuated On the other hand, in the second phase, when the dispenser
was located in the perimeter zone, a significant change in December 2020 | Volume 11 | Article 577903 Frontiers in Psychology | www.frontiersin.org 12 León et al. Ecological Location and Behavioral Dynamics FIGURE 13 | Divergence index. Divergence values for each rat across all sessions of Condition I and Condition II for Experiment 2. GURE 13 | Divergence index. Divergence values for each rat across all sessions of Condition I and Condition II for Experiment 2. DISCUSSION (Pear, 1985; Eldridge et al., 1988; Silva and Pear, 1995; Silva
and Timberlake, 1998; Hurtado-Parrado et al., 2019) and add
evidence concerning the comparison between FT and VT
schedules from a parametrical framework for the analysis of the
continuum of behavior by integrating different complementary
dimensions related to temporal–spatial dynamics: routes, time
spent in zone, distance to dispenser, recurrence plots, entropy,
and divergence. These dimensions integrate a comprehensive
and broad characterization of the continuum of behavior that is
difficult to obtain with the approaches based only in the discrete
responses or other unique measure of the spatial dimension, for
example, time spent in zone (Gallistel et al., 2007; Ribes-Iñesta
et al., 2018). directionality was observed. That is, routes and time spent in
zones primarily concentrated in the perimeter area, in the wall
near to the dispenser with only some incursions to the center
zone. Thus, the center area lost functional relevance, except
for the change between phases, the back-and-forth patterns
decreased, and the relevant or functional segments in the arena
were contracted to the perimeter zone. On the other hand, the
distance to the dispenser in the second phase was significantly
reduced in comparison to the first phase. At the same time, the
entropy was lower, and the recurrence plot showed transitions
between zones less abrupt than in the first phase. This decrement
of spatial dynamics, with the dispenser located in the perimeter,
was more salient under the VT schedule, which was consistent
with the literature on time schedules that has shown less dynamic
(e.g., more time spent in zones near to the dispenser and lower
distance to the dispenser) in VT than FT schedules (Van Hest
et al., 1986). Our findings also suggest a high relevance of the location
of the water dispenser on the dynamics of behavior that
is not strictly explained in terms of the stimulus schedule
and
that
requires
integrating
an
ecological
approach
in
order to explain it. The results of this study suggest that
the
perimeter
zone
maintained
its
ecological
relevance
through
all
sessions,
in
both
experiments
and
in
their
two respective phases (see routes and preference plots),
independently of the location of the dispenser. Frontiers in Psychology | www.frontiersin.org DISCUSSION In the second phase, both eco-functional segments, water
delivery and safety zone, were contracted to the same area
(perimeter area), so the majority of approach patterns were
associated with this zone. In consequence, the direction and
preference of the displacement patterns converge, which led to
a relatively low spatial dynamics of behavior (see entropy plots). The above explains that the spatial dynamic under VT
schedule with the water dispenser located at the center of the
chamber in some cases was higher than under FT schedule
with the location of the dispenser in the perimeter. This
would not be explained if we only take into account the well-
known effect of stimuli schedules in a standard parametrical
way regarding a decrement in the dynamic of behavior
under VT compared to FT schedules (Ribes-Iñesta et al.,
2018). In the second phase, both eco-functional segments, water
delivery and safety zone, were contracted to the same area
(perimeter area), so the majority of approach patterns were
associated with this zone. In consequence, the direction and
preference of the displacement patterns converge, which led to
a relatively low spatial dynamics of behavior (see entropy plots). The above explains that the spatial dynamic under VT
schedule with the water dispenser located at the center of the
chamber in some cases was higher than under FT schedule
with the location of the dispenser in the perimeter. This
would not be explained if we only take into account the well-
known effect of stimuli schedules in a standard parametrical
way regarding a decrement in the dynamic of behavior
under VT compared to FT schedules (Ribes-Iñesta et al.,
2018). Nonetheless, despite the potential limitations of the study, as
a corollary of the present work, three contributions and future
directions are worth mentioning. First, in methodological terms,
the modified open field system is an alternative paradigm for
different fields of study in which the analysis of the spatial
dynamics in the open field are relevant, especially for studies in
which the incursion to open zones or changes in the directionality
of displacement patterns are relevant (Prut and Belzung, 2003;
Spruijt et al., 2014). Second, and as already mentioned, an
interesting issue that requires a systematic empirical analysis
is the high effectiveness of the texturized patch (i.e., haptic
stimulation) as a signal of the water delivery zone (see the
high level of behavioral adjustment to the dispenser between
phases) in rats. DISCUSSION Finally, the present work is an example of the
parsimony and heuristic value of an integrative parametrical–
ecological approach for the comprehension and analysis of the
temporal–spatial dynamics of behavior, which can be extended
to the study of the dynamics of behavior in other species, with
the respective adjustments in the environmental subsystem given
certain organism subsystem. It is important to mention that, from the broad literature
concerning spatial dynamics in the open field paradigm (Spruijt
et al., 2014), the dynamics of behavior observed in the first
phases of both experiments would seem to be unusual (e.g.,
displacements patterns directed and approached to the center
of the open field and time spent in this zone). Nevertheless,
if the modification to the open field paradigm (i.e., the
occurrence of a relevant ecological event in the central area) is
considered, these findings are comprehensible and invite us to
reconsider the standard assumption concerning a generalized
avoidance of the rats to open zones (Whishaw et al., 2006). Additionally, they show a parametrical way to endow of
functional relevance the inside area of the experimental arena,
in contrast with paradigms (Skinner, 1938; Ribes-Iñesta et al.,
2018) that only establish functional relevance to the perimeter
of the arena and, in consequence, cancel in some way the
functional relevance of the space. In other words, the functional
relevance of the space on the dynamics of behavior does
not depend on the size of the experimental area (reduced
vs. widen space) but on the relevant ecological events (or
objects) that occur (or present) inside of or in relation with
ecological differenced segments of the environment and its DISCUSSION This ecological
relevance has been extensively reported in the literature
as thigmotaxis patterns (Yaski et al., 2011), “safe patterns”
(Whishaw et al., 2006), and preference for closed zones
(Martinez and Morato, 2004), in opposition to preference
for open zones and incursions to the center area in open
field situations. In addition to the results discussed above, a low level of
divergence was observed between sessions within both phases,
and a high value of divergence in the transition between the
last session of the first phase and the first session of the second
phase was also found. This finding points to the consistency
of behavioral dynamics related to each dispenser’s location
under each stimulus schedule and strengthen the assumptions
concerning the eco-functional relevance of the different locations
of the dispenser and the interaction between dispenser’s location
and the stimulus schedule on temporal–spatial dynamics of
behavior. It is worth mentioning that the distance traveled per
session (a measure of the vigor of displacement patterns) did
not notably change between different locations of the dispenser. Thus, the dispenser’s location did not alter the vigor of behavioral
patterns, but it did alter their directionality. Following Schneirla (1964), who pointed that approach and
withdrawal patterns, that is, towardness or awayness, are the “only
empirical, objective terms applicable to all behavior patterns in
all animals, in order to understand how the animals manage
to reach beneficial conditions and stay away from the harmful,
that is, how survivors do this” (p. 511), it is plausible to say The results of the current experiments expand the evidence
concerning the dynamics of behavior under time-based schedules December 2020 | Volume 11 | Article 577903 13 Ecological Location and Behavioral Dynamics León et al. that our findings, considering approach and withdrawal patterns,
show a differential ecological segmentation of the experimental
arena (MOFS). From the first moment, in the first experimental
session and regardless of stimuli schedule, differentiated patterns
regarding closed (perimeter) vs. open (center) zones were
observed: approach to the perimeter and withdrawal to the center
zone. Then, in the intermediate and final session of the first
phase, the functional segmentation changed: the center zone
emerged as relevant segment (towardness), and the perimeter
zone maintained its ecological relevance (towardness) as a safety
zone. Frontiers in Psychology | www.frontiersin.org DISCUSSION Nevertheless, segments are not qualitatively equivalent;
one was a state of the space, relatively invariant (corners or
walls), and the other, the center zone, was intermittent and
relatively dynamic due to the fact that water appeared and
disappeared in time. Therefore, the direction and preference
of displacement patterns deviate and fluctuate between both
segments of the environment (see graphs of distance to the
dispenser), leading to a relatively high spatial dynamics of
temporal–spatial behavior in the first phase in both experiments
(see entropy plots). changes, aspect that can be referred to as functional densification
of space. From a systemic approach for the analysis of behavior,
this is a conception of behavior as an integrated functional
system comprising an environment subsystem and an organism
subsystem, in which the ecological relevance of the events and
segments of the space are codetermined by the qualities of the
organism, defined in a phylogenetic and an ontogenetic way. Thus, the present work explored some static (e.g., delimited
zones, texture path, and dispenser’s location) and dynamic
(e.g., water delivery and stimuli schedule) arrangements of the
environment subsystem and its relationship with the temporal–
spatial dynamics of the behavior, given a particular organism
(ratus norvergicus). Any variation in relevant ecological aspects
in the environment subsystem or in the organism subsystem
(e.g., deprivation, alterations in sensory–perceptual systems, etc.)
would have led to a different temporal–spatial dynamics of
the behavior. The present study has some limitations. One is that all subjects
were exposed to the same sequence of water locations (center–
wall), which could produce a sequencing effect that may have
affected the results in Condition II. However, it seems implausible
because, if that was the case, we would have seen that the distance
to the water dispenser decreased along sessions in the first phase
of the study (center); instead, figures clearly show a back-and-
forth pattern, especially for the rats under the FT schedule. A
second limitation is that we did not test the function of the
patch as a signal of the water location. Although the fact that
rats located the water source starting from session 1 in each
condition suggests that the patch facilitated the contact with the
water source; future studies should evaluate this. (see entropy plots). REFERENCES Martinez, R., and Morato, S. (2004). Thigmotaxis and exploration in adult and pup
rats. Rev Etol. 6, 49–54. Available online at: http://pepsic.bvsalud.org/pdf/reto/
v6n1/v6n1a07.pdf Cabrer, F., Daza, B. C., and Ribes-Iñesta, E. (1975). Teoría de la conducta: nuevos
conceptos o nuevos parámetros? Rev. Mexic. Análisis Conduct. 1, 191–212. doi: 10.5514/rmac.v1.i2.27164 Pear, J. J. (1985). Spatiotemporal patterns of behavior produced by variable
interval schedules of reinforcement. J. Exp. Anal. Behav. 44, 217–231. doi: 10.1901/jeab.1985.44-217 Cabrera,
F.,
Jiménez,
Á. A.,
and
Covarrubias,
P. (2019). Timberlake’s
behavior
systems:
a
paradigm
shift
toward
an
ecological
approach. Behav. Process. 167:103892. doi:
10.1016/j.beproc.2019. 103892 Pear, J. J. (2004). “A spatiotemporal analysis of behavior,” in Theory, Basic
and Applied Research, and Technological Applications in Behaviour Science:
Conceptual and Methodological Issues. Proceedings of the 8th Biannual
Guadalajara Symposium on the Science of Behaviour, Guadalajara, Mexico,
eds. J. E. Burgos
and
E. Ribes-Iñesta (Guadalajara:
Universidad
de
Guadalajara), 131–149. Eldridge, G. D., Pear, J. J., Torgrud, L. J., and Evers, B. H. (1988). Effects
of
prior
response-contingent
reinforcement
on
superstitious
behavior. Anim. Learn. Behav. 16,
277–284. doi:
10.3758/BF032
09077 Pear, J. J., and Eldridge, G. D. (1984). The operant-respondent distinction: future
directions. J. Exp. Anal. Behav. 42, 453–467. doi: 10.1901/jeab.1984.42-453 Ferster,
C. B.,
and
Skinner,
B. F. (1957). Schedules
of
Reinforcement. New
York,
NY:
Appleton-Century-Crofts. doi:
10.1037/106
27-000 Pérez-Escudero, A., Vicente-Page, J., Hinz, R. C., Arganda, S., and De
Polavieja,
G. G. (2014). idTracker:
tracking
individuals
in
a
group
by automatic identification of unmarked animals. Nat. Methods 11:743. doi: 10.1038/nmeth.2994 Gallistel, C. R., King, A. P., Gottlieb, D., Balci, F., Papachristos, E. B., Szalecki,
M., et al. (2007). Is matching innate? J. Exp. Anal. Behav. 87, 161–199. doi: 10.1901/jeab.2007.92-05 Prut, L., and Belzung, C. (2003). The open field as a paradigm to measure the
effects of drugs on anxiety-like behaviors: a review. Eur. J. Pharmacol. 463, 3–33. doi: 10.1016/S0014-2999(03)01272-X Gibson, J. J. (1979). The ecological Approach to Visual Perception. Boston, MA:
Mifflin and Company. Ribes-Iñesta, E., Palacios, H., Hernández, V., and León, A. (2018). Effects of
temporal and spatial allocation of water delivery on water-seeking behavior in
rats. Int. J. Comp. Psychol. 31. Available online at: https://escholarship.org/uc/
item/5dw0c197 Hernández, V., Palacios, H. B., Tamayo, J., and Torres, C. (2020). “Incorporación
de la dimensión espacial a la descripción del comportamiento: desarrollo
de medidas molares de la conducta y su representación mediante sistemas
dinámicos. FUNDING The publication of this work was supported by a grant provided
by Universidad Veracruzana. The publication of this work was supported by a grant provided
by Universidad Veracruzana. DATA AVAILABILITY STATEMENT The raw data supporting the conclusions of this article will be
made available by the authors, without undue reservation. December 2020 | Volume 11 | Article 577903 Frontiers in Psychology | www.frontiersin.org 14 Ecological Location and Behavioral Dynamics León et al. SUPPLEMENTARY MATERIAL The Supplementary Material for this article can be found
online
at:
https://www.frontiersin.org/articles/10.3389/fpsyg. 2020.577903/full#supplementary-material AL and VH: conceptualization, data curation, formal analysis,
investigation, methodology, project administration, resources,
software, supervision, visualization, roles/writing—original draft, ETHICS STATEMENT writing—review, and editing. UH: conducted experimental
sessions and data curation. CH, PT, MA, EE: data curation
and formal analysis. IG: data curation and editing. All authors
contributed to the article and approved the submitted version. The animal study was reviewed and approved by the Animal
Ethics Committee at Centro de Estudios e Investigaciones en
Conocimiento y Aprendizaje Humano, Universidad Veracruzana
(Protocol approval # PA-2019-01) in agreement with university
regulations of animal use and care and followed the official
Mexican norm NOM-062-ZOO-1999 for Technical Specification
for Production, Use and Care of Laboratory Animals. REFERENCES Alcaraz, Víctor Manuel (coordinator),” in Festtschift en honor
de Emilio Ribes, ed V. M. Alcaraz (México: Universidad Veracruzana),
115–166. Schneirla,
T. (1964). “An
evolutionary
and
developmental
theory
of
biphasic processes underlying approach and withdrawal,” in Principles
of
Animal
Psychology,
2nd
edn. (New
York,
NY:
Dover
Editions),
511–554. Hernández,
V.,
and
Ruiz,
J. (2019). “El
enfoque
paramétrico
en
la
teoría de la conducta: los alcances del sistema t,” in Programas de
Estímulo:
Las
Contribuciones
Mexicanas,
ed. M. Serrano
(México:
Red
Mexicana
de
Investigación
en
Comportamiento
Animal),
17–32. Schoenfeld, W. N., Cole, B., and Cole, B. K. (1972). Stimulus Schedules: the t-[tau]
Systems. New Yor, NY: HarperCollins Publishers. Silva, F. J., and Pear, J. J. (1995). Stereotypy of spatial movements during
noncontingent and contingent reinforcement. Anim. Learn. Behav. 23,
245–255. doi: 10.3758/BF03198921 Hurtado-Parrado, C., Acevedo-Triana, C., and Pear, J. (2019). Aversive
control of Betta splendens behavior using water disturbances: effects
of
signaled
and
unsignaled
free-operant
avoidance
and
escape
contingencies. Behav. Process. 158,
18–31. doi:
10.1016/j.beproc.2018. 10.021 Silva, K. M., and Timberlake, W. (1998). The organization and temporal
properties of appetitive behavior in rats. Anim. Learn. Behav. 26, 182–195. doi: 10.3758/BF03199211 Lachter, G. D., Cole, B. K., and Schoenfeld, W. N. (1971). Response
rate
under
varying
frequency
of
non-contingent
reinforcement. J. Exp. Anal. Behav. 15,
233–236. doi:
10.1901/jeab.1971. 15-233 Skinner, B. F. (1938). The Behavior of Organisms. New York, NY: Appleton-
Century. Spruijt, B. M., Peters, S. M., de Heer, R. C., Pothuizen, H. H., and van
der Harst, J. E. (2014). Reproducibility and relevance of future behavioral
sciences should benefit from a cross fertilization of past recommendations
and today’s technology: “Back to the future”. J. Neurosci. Methods 234, 2–12. doi: 10.1016/j.jneumeth.2014.03.001 León, A., Tamayo, J., Hernández-Eslava, V., Toledo, P., Avendaño, L., Hernández,
C., et al. (2020). MOTUS: software para el análisis conductual de patrones de
desplazamiento. Mexican J. Behav. Anal. 46. doi: 10.5514/rmac.v46.i1.76960 Maier, N. R. F., and Schneirla, T. C. (1964). Principles of Animal Psychology. New
York, NY: Dover Publications. Timberlake, W. (1984). An ecological approach to learning. Learn. Motiv. 15,
321–333. doi: 10.1016/0023-9690(84)90001-8 December 2020 | Volume 11 | Article 577903 Frontiers in Psychology | www.frontiersin.org 15 León et al. Ecological Location and Behavioral Dynamics Timberlake, W. (1993). Behavior systems and reinforcement: an integrative
approach. J. Exp. Anal. Behav. 60,
105–128. doi:
10.1901/jeab.1993. 60-105 Zeiler,
M. D. (1968). Fixed
and
variable
schedules
of
response-
independent
reinforcement
1. J. Exp. Anal. Frontiers in Psychology | www.frontiersin.org REFERENCES Behav. 11,
405–414. doi: 10.1901/jeab.1968.11-405 Timberlake,
W. (1990). “Natural
learning
in
laboratory
paradigms,”
in
Contemporary Issues in Comparative Psychology, ed. D. A. Dewsbury
(Sunderland,
MA:
Sinauer
Associates),
31–54. doi:
10.1037/115
25-002 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. Van Hest, A., Van Haaren, F., Kop, P., and Van der Schoot, F. (1986). Stimulus-
and feeder-directed behavior in a long-box: effect of fixed versus variable
time schedules of food presentation. Anim. Learn. Behav. 14, 168–172. doi: 10.3758/BF03200052 Copyright © 2020 León, Hernández, Huerta, Hernández-Linares, Toledo, Avendaño
Garrido, Escamilla Navarro and Guzmán. 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. Whishaw, I. Q., Gharbawie, O. A., Clark, B. J., and Lehmann, H. (2006). The
exploratory behavior of rats in an open environment optimizes security. Behav. Brain Res. 171, 230–239. doi: 10.1016/j.bbr.2006.03.037 Yaski, O., Portugali, J., and Eilam, D. (2011). Arena geometry and path shape: when
rats travel in straight or in circuitous paths? Behav. Brain Res. 225, 449–454. doi: 10.1016/j.bbr.2011.07.055 December 2020 | Volume 11 | Article 577903 Frontiers in Psychology | www.frontiersin.org 16
|
https://openalex.org/W1987161737
|
https://europepmc.org/articles/pmc2938453?pdf=render
|
English
| null |
CD9 Expression by Human Granulosa Cells and Platelets as a Predictor of Fertilization Success during IVF
|
Obstetrics and gynecology international
| 2,010
|
cc-by
| 6,801
|
Hindawi Publishing Corporation
Obstetrics and Gynecology International
Volume 2010, Article ID 192461, 7 pages
doi:10.1155/2010/192461 Hindawi Publishing Corporation
Obstetrics and Gynecology International
Volume 2010, Article ID 192461, 7 pages
doi:10.1155/2010/192461 Hindawi Publishing Corporation
Obstetrics and Gynecology International
Volume 2010, Article ID 192461, 7 pages
doi:10.1155/2010/192461 Carolyn R. Jaslow,1 Kyle S. Patterson,2 Shila Cholera,3 Lisa K. Jennings,3
Raymond W. Ke,2, 4 and William H. Kutteh2, 4 Department of Biology, Rhodes College, 2000 North Parkway, Memphis, TN 38112, USA 1Department of Biology, Rhodes College, 2000 North Parkway, Memphis, TN 38112, USA
2Department of Obstetrics and Gynecology, University of Tennessee Health Science Center, Memphis, TN 38152, USA
3Department of Internal Medicine, The Vascular Biology Center of Excellence, University of Tennessee Health Science Center, Memphis,
TN 38152 USA p
f
gy
g
y
p
2Department of Obstetrics and Gynecology, University of Tennessee Health Science Center, Memphis, TN 38152, USA
3Department of Internal Medicine, The Vascular Biology Center of Excellence, University of Tennessee Health Science Center, Memphis,
TN 38152, USA 2Department of Obstetrics and Gynecology, University of Tennessee Health Science Center, Memphis
3Department of Internal Medicine, The Vascular Biology Center of Excellence, University of Tennessee
TN 38152, USA 4Fertility Associates of Memphis, 80 Humphreys Center, Suite 307, Memphis, TN 38120, USA 4Fertility Associates of Memphis, 80 Humphreys Center, Suite 307, Memphis, TN 38120, USA Correspondence should be addressed to William H. Kutteh, wkutteh@uthsc.edu Correspondence should be addressed to William H. Kutteh, wkutteh@uthsc.edu Correspondence should be addressed to William H. Kutteh, wkutteh@uthsc.edu Received 27 May 2010; Revised 16 July 2010; Accepted 28 July 2010 Received 27 May 2010; Revised 16 July 2010; Accepted 28 July 2010 Academic Editor: Edward V. Younglai Academic Editor: Edward V. Younglai Copyright © 2010 Carolyn R. Jaslow 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. To determine whether CD9 expression on human granulosa cells (GCs) and platelets could predict the success of
conventional fertilization of human oocytes during in vitro fertilization (IVF). Methods. Thirty women undergoing IVF for
nonmale factor infertility participated. Platelets from venous blood and GCs separated from retrieved oocytes were prepared
for immunofluorescence. Flow cytometry quantified the percent of GCs expressing CD9, and CD9 surface density on GCs and
platelets. Fertilization rate was determined for the total number of oocytes, and the number of mature oocytes per patient. Correlations tested for significant relationships (P < .05) between fertilization rates and CD9 expression. Results. CD9 surface
density on human GCs is inversely correlated with fertilization rate of oocytes (P = .04), but the relationship was weak. Conclusion. More studies are needed to determine if CD9 expression on GCs would be useful for predicting conventional fertilization success
during IVF. 1. Introduction After
mechanical dispersion using a pipette, the GC solution was
layered over Histopaque 1077 (Sigma) and centrifuged at
600 g for 20 minutes at room temperature. GCs from the
interface were washed in Dulbecco’s Modified Eagle Medium:
Nutrient Mixture F-12 (DMEM) with 1% newborn calf
serum (NCS) (Invitrogen) and centrifuged (600 g, 5 min)
twice. The supernatant was discarded and the GCs were
resuspended in DMEM +1% NCS to produce a cell con-
centration of 1 × 106 viable cells/mL, based on trypan blue
staining for viability. To obtain platelets from patients on the
day of oocyte retrieval, a venous blood sample was collected
in a 4.5 mL glass tube with 3.2% buffered sodium citrate (BD
Diagnostics). From this whole blood sample, platelet-rich
plasma (PRP) was isolated by differential centrifugation, and
platelets were counted using a Coulter Counter. Platelet-poor
plasma (PPP) was used to dilute the PRP to a concentration
of 2.5 × 108cells/mL. Because oocyte CD9 is needed for gamete fusion, mea-
suring the expression of CD9 in women could provide a
useful marker for predicting conventional IVF fertilization
success in couples with normal sperm parameters, but non-
male factor infertility. Potentially, high expression of CD9
could indicate a high probability of oocyte fertilization using
conventional IVF whereas low expression might justify a
need for ICSI instead, although such a relationship has never
been measured. Ideally, oocytes from women undergoing
IVF for nonmale factor infertility could be tested for the
presence of CD9. Unfortunately, this procedure would use
oocytes needed for fertilization, which have been collected
after an expensive, time-consuming, and uncomfortable
procedure. CD9, however, is also expressed on the granulosa
cells surrounding the oocytes, and on circulating peripheral
blood platelets [19, 20]. These cells can easily be collected,
either before (platelets) or during oocyte retrieval, and their
expression of CD9 could be measured in time to make a
decision whether conventional fertilization would likely be
successful for that IVF cycle. CD9 expression on granulosa
cells and platelets has been linked with female reproductive
function [20–22], however, no study has tested whether
CD9 expression on granulosa cells and platelets correlates
with CD9 expression on oocytes. The specific goal of this
study, therefore, was to determine whether CD9 expression
by granulosa cells and platelets collected the day of oocyte
retrieval could predict the fertilization success for oocytes
obtained during a conventional IVF cycle. 2.3. Monoclonal Antibodies for Flow Cytometry. 1. Introduction Additionally, ICSI
might increase the risk of transmitting chromosomal Obstetrics and Gynecology International 2 2 anomalies or imprinting disorders (see reviews [10–12]),
although it is not clear whether these risks are due to
the procedure or to the factors causing male infertility
[8]. preliminary analysis showed no correlations (P
>
.05)
between patient age and oocyte fertilization rate or CD9
expression. Patient ethnicity was 90% Caucasian, 5% Asian,
and 5% African-American. Controlled ovarian stimulation
was accomplished using pituitary suppression in the luteal
phase with GnRH agonist (Luprolide acetate, Tap Phar-
maceuticals, Lake Forest, IL). Recombinant FSH (Gonal F,
EMD-Serono, Rockland, MD) or Follistim AQ (Schering-
Plough, Roseland, NJ) was used to induce multiple follicle
development. When at least three follicles with a mean
diameter >18 mm were observed on ultrasound, 10,000 mIU
hCG (Profasi or Ovidrel, EMD-Serono) was administered
followed by oocyte retrieval 35 hours later. At present, there are no morphological or physiological
features of oocytes that can predict whether conventional
fertilization will be successful, or whether there is a need
for ICSI. Given the risks and costs associated with ICSI, it
would be helpful to have an independent marker that could
predict, a priori, the likelihood of successful fertilization with
conventional IVF for couples with nonmale factor infertility. The sperm and oocyte both express numerous cell surface
proteins involved in the fertilization process. In particular,
the fusion of the sperm and egg membranes is a crucial step
that has been well studied, but is not completely understood
[13]. On the oocyte, one protein necessary for gamete fusion
is the tetraspanin, CD9. Female mice lacking a functional
CD9 gene are healthy and grow normally, but are infertile
because their oocytes cannot fuse with sperm [14–16]. This
function can be restored if CD9 deficient oocytes are injected
with CD9 mRNA [17, 18]. 2.2. Granulosa Cell and Platelet Collection and Prepa-
ration. Oocytes with surrounding granulosa cells (GCs)
were retrieved from patients using an ultrasound-guided
transvaginal puncture. Only follicles that were greater than
14 mm in diameter were aspirated so that the cohort of
oocytes and GC from all patients would be comparable
in maturation. Subsequently, the GCs were separated from
the retrieved oocytes, and GCs from all follicles per patient
were pooled together in modified human tubal fluid. 1. Introduction introduced as an alternative method of assisted fertilization
[3]. During ICSI, a selected sperm is inserted directly into
the oocyte’s cytoplasm, so this technique bypasses the usual
processes of sperm-oocyte penetration, binding, and fusion. Since its introduction, ICSI has become increasingly
common, primarily because of its undisputed success for
couples with male-factor infertility [4]. More recently, some
practitioners have argued that ICSI should be used for
all IVF procedures [5, 6], and the use of ICSI in cases
unrelated to male-factor infertility has increased greatly
at ART facilities worldwide [7–9]. Such general use of
ICSI, however, raises concerns because of its greater costs,
not only the additional financial burden to the patient,
but also the lab time spent performing sperm microin-
jections on numerous retrieved oocytes. Additionally, ICSI
might increase the risk of transmitting chromosomal introduced as an alternative method of assisted fertilization
[3]. During ICSI, a selected sperm is inserted directly into
the oocyte’s cytoplasm, so this technique bypasses the usual
processes of sperm-oocyte penetration, binding, and fusion. Infertility, defined as the inability to conceive for at least one
year, is an emotionally devastating problem that affects about
7.4% of reproductive-age married women in the United
States [1]. At least 85% of the time, hormonal therapies and
surgery can resolve the problems with conception [2], but
for some couples, Assisted Reproductive Technology (ART)
procedures, such as in vitro fertilization (IVF), are the best
chance for reproductive success. During conventional IVF,
fertilization involves the introduction of sperm into micro-
droplets containing secondary oocytes. Success depends on
the ability of the sperm to approach the oocyte, penetrate
though the outer cumulus and zona layers, and then bind
and fuse with the oocyte’s plasma membrane. In the early
1990s, however, intracytoplasmic sperm injection (ICSI) was Since its introduction, ICSI has become increasingly
common, primarily because of its undisputed success for
couples with male-factor infertility [4]. More recently, some
practitioners have argued that ICSI should be used for
all IVF procedures [5, 6], and the use of ICSI in cases
unrelated to male-factor infertility has increased greatly
at ART facilities worldwide [7–9]. Such general use of
ICSI, however, raises concerns because of its greater costs,
not only the additional financial burden to the patient,
but also the lab time spent performing sperm microin-
jections on numerous retrieved oocytes. 1. Introduction Mouse anti-
human CD9 mAb7 [23], provided by Dr. Lisa K. Jen-
nings, was conjugated with B-phycoerythrin (Invitrogen)
to provide anti-CD9-PE antibodies. Mouse anti-human
CD45, conjugated with fluorescein isothiocyanate (anti-
CD45-FITC) (Santa Cruz), was used to mark leukocytes to
distinguish them from the granulosa cells [24], and normal
mouse IgG1-PE and IgG1-FITC (Santa Cruz) were used as
negative isotype controls. 4. Discussion 2.6. Oocyte Fertilization Rate. Fertilization rate was cal-
culated as the percent of oocytes that progressed to the
two pronuclei/two polar body stage (2PN/2PB) 16 hours
after conventional fertilization, and again at 24 hours after
fertilization. Fertilization rate was determined for both the
total number of oocytes retrieved per patient, as well as for
the number of mature oocytes. Oocyte maturity was assessed
at the time of insemination based on cumulus expansion,
and it was estimated that 85%–95% of the oocytes appeared
mature. This was confirmed at 16 hours and 24 hours
by microscopic examination, which identified 90% of the
oocytes to be either fertilized, or at least in the metaphase II
stage (had produced one polar body). Although all sampled
follicles were at least 14 mm in diameter to help ensure
similar oocyte maturity, the calculation of fertilization rate
was done for mature oocytes, in addition to the rate for
all oocytes, to eliminate oocytes that were obviously too
immature for fertilization. Surface density of CD9 on pooled GCs was inversely cor-
related with fertilization frequency among mature oocytes. However, because it explained so little of the variance in
oocyte fertilization rate, our data suggest it would not be a
useful marker to predict whether conventional fertilization
would be successful during IVF. Most likely, pooling of
GCs from all >14 mm follicles in each patient reduced
the sensitivity of the analysis compared to testing GCs
from each follicle. In addition, pooling of GCs from all
follicles did not allow analysis of GCs from only the follicles
containing mature oocytes. We anticipated that this was a
minor reduction in sensitivity because 90% of the follicles
contained mature oocytes. Pooling was needed, however, to
provide a sufficient supply of cells for flow cytometry, and
it ensured that the analysis could be efficiently completed
within the brief window of time between oocyte retrieval and
fertilization. The use of ICSI during IVF is clearly indicated for cases
of oligoasthenoteratozoospermia (low sperm count with
numerous slow-moving and abnormal sperm) as well as for
those with either obstructive or nonobstructive azoospermia
[10]. In addition, ICSI is indicated for couples undergoing
preimplantation genetic diagnosis (PGD) because it reduces
the risk that DNA extracted from the embryo would
be contaminated by residual DNA from any sperm still
surrounding the embryo following conventional fertilization
[7, 10]. 3. Results were incubated with 8 μL anti-CD9-PE and 2.5 μL sequesol,
or 8 μL mouse IgG1-PE (isotype control). Additional aliquots
of GCs and of platelets were left unstained as controls. All tubes were incubated in the dark at room tempera-
ture for 30 minutes. Subsequently, the GCs and platelets
were centrifuged (800 g for 5 minutes) and washed three
times with cold PBS before they were resuspended in
500 μL of cold PBS for flow cytometry. For positive con-
trols, Raji cells were stained and processed as described
above. The frequency of GCs that expressed CD9 varied from 25%
to 92% of the GCs retrieved from each of the 30 patients,
with a mean frequency of 64% ± 8.8 CD9+ GCs/all GCs. The
mean intensity of CD9-PE fluorescence on the GCs was 345±
7.6. For platelets, the mean CD9-PE fluorescence intensity
was 117 ± 6.6. The number of oocytes retrieved per patient ranged from
4 to 35, with a mean of 16.0 ± 1.4 oocytes per patient. Of these retrieved oocytes, the mean frequency of mature
oocytes per patient was 90% (14.4 ± 1.3 oocytes). The mean
number of fertilized oocytes was 10.0 ± 1.0 oocytes per
patient. This yielded mean fertilization rates of 62% for all
oocytes retrieved (range = 20%–80%), and 72% (range =
27%–100%) for all mature oocytes. 2.5. Flow Cytometric Analysis. A FACSCalibur (Becton Dick-
inson) was used for flow cytometric analysis of GCs and
platelets. Size gating of the GC sample was used to eliminate
any debris and the few contaminating blood cells that were
not the size of GCs (e.g., erythrocytes). During analysis of
each sample, the cursor was placed so that <2% of the
cells incubated with the isotype control antibodies (IgG1-
PE and IgG1-FITC) appeared as positive staining events. Staining with anti-CD45-FITC allowed separation of the
CD45+ leukocytes from the CD45−GCs [24] (Figure 1). CD9
expression by GCs was quantified two ways: the percent of
GCs expressing CD9-PE and the surface density of CD9. CD9 surface density was measured as the mean relative
fluorescence intensity for all GCs (CD45−cells) that stained
positively for CD9-PE in each sample. For platelets, only
surface density of CD9 was measured. The rate of fertilization among mature oocytes showed
a slight inverse correlation with greater CD9 surface density
(i.e., CD9-PE fluorescence intensity) (r = −0.372, P
=
.04) (Figure 2). This relationship was relatively weak. 2. Method 2.1. Participants. This study was approved by the Institu-
tional Review Board at the University of Tennessee Health
Sciences Center and at Rhodes College, and all participants
gave informed consent. The subjects were 30 women who
were undergoing IVF for nonmale factor infertility; that
is, their partners had normal sperm parameters. The mean
age of the patients (+1 SE) was 32.5 years (+0.77), and a 2.4. Staining Procedure. Eppendorf tubes containing 100 μL
aliquots of the GC solution for each patient (105 viable
cells/100 μL) were incubated with the following combina-
tions of conjugated antibodies: 5 μL anti-CD9-PE and 5 μL
anti-CD45-FITC, or 5 μL mouse IgG1-PE and 5 μL mouse
IgG1-FITC (isotype controls). Tubes containing 100 μL
aliquots of each platelet solution (2.5 × 107 cells/100 μL) Obstetrics and Gynecology International 3 were incubated with 8 μL anti-CD9-PE and 2.5 μL sequesol,
or 8 μL mouse IgG1-PE (isotype control). Additional aliquots
of GCs and of platelets were left unstained as controls. All tubes were incubated in the dark at room tempera-
ture for 30 minutes. Subsequently, the GCs and platelets
were centrifuged (800 g for 5 minutes) and washed three
times with cold PBS before they were resuspended in
500 μL of cold PBS for flow cytometry. For positive con-
trols, Raji cells were stained and processed as described
above. 3. Results The
coefficient of determination, R2, is only 0.14, indicating
that the intensity of CD9 expression on the surface of the
GCs only explained 14% of the variation in fertilization
rate among the mature oocytes. No correlations were found
between fertilization rate and the percent of GCs expressing
CD9, or between fertilization rate and CD9 surface density
on platelets (Table 1). Obstetrics and Gynecology International Obstetrics and Gynecology International the matrix around the time of ovulation may be important
for preventing premature luteinization of the GCs. At
ovulation, however, laminin’s inhibition of GC maturation
must stop to permit formation of the corpus luteum and
secretion of progesterone. Because laminin remains present
in the GC matrix from ovulation up to four days afterwards
[33], the mechanism to reduce its impact most likely lies in
or on the GCs themselves. generates higher fertilization rates compared to conventional
IVF [26]. Given the additional costs and potential risks of
the procedure [10–12], there remains a need for a marker
to predict whether conventional fertilization would likely be
successful in any given IVF cycle. The results of this study indicate that CD9 expression
on human GCs and platelets may not be able to fulfill the
role of predicting conventional fertilization success during
IVF, but other cell surface proteins on GC’s could be
tested to determine if any may be able to perform that
function. Additionally, there are several genes expressed
within the GCs that could be evaluated for this purpose
because they have already been identified as markers for
oocyte competence (i.e., the ability of oocytes to yield a
successful pregnancy). These include genes induced during
cumulus cell expansion (e.g., HAS2, PTGS2, GREM1, PTX3),
genes involved in synthesis of progesterone (e.g., FDX1,
3βHDS1) or estrogen (CYP19A1), and genes induced by
the LH surge (e.g., STAR, COX2) [27–31]. Expression of
most of these GC genes was correlated with developmental
success of oocytes following ICSI, consequently, these may
not be useful markers to predict success of conventional
fertilization. Of two studies that used oocytes that were
fertilized conventionally, one evaluated competence based on
whether the embryos reached the 8-cell stage and resulted in
a successful pregnancy following transfer [29]. The five GC
genes identified, including FDX1, 3βHDS1, and CYP19A1,
may correlate with oocyte competence leading to fertiliza-
tion, but there is also the possibility that these genes associate
with successful early cleavage instead. The second study to
use oocytes that had been fertilized conventionally compared
GCs from follicles of oocytes that failed to fertilize with
GC’s associated with oocytes that reached the 8-cell stage
successfully. Furthermore, the cells used were cumulus cells,
the GCs immediately surrounding the oocytes. Their DNA
microarray identified numerous cumulus cell genes with
differential expression associated with oocyte fertilization
[31]. Obstetrics and Gynecology International One of these genes was PTX3, which is involved in
proper structuring of the oocyte/cumulus complex and is
important for female fertility [32]. Female knockout mice
lacking the PTX3 gene not only ovulate fewer oocytes, but
their oocytes have lower fertilization rates [32]. Both PTX3
and other GC genes identified in these studies could be
further tested for their usefulness as markers for conventional
fertilization success during IVF. To block the inhibitory effects of laminin at ovulation,
it is possible that the GCs decrease expression of the α6β1
integrin to which laminin binds. Although immunohisto-
chemistry has shown that α6 expression increases on GCs
leading up to ovulation, and persists on GCs during corpus
luteum formation [20, 34–36], flow cytometry by Clavero et
al. [21] demonstrated that GCs from mature follicles with
metaphase II oocytes expressed significantly less α6 than
GCs from immature follicles with only metaphase I oocytes. This downregulation of α6 at ovulation may be sufficient to
mitigate laminin’s suppression of GC maturation. It is also
likely that GCs mature because intracellular signals reduce
the affinity of α6β1 to the available laminin [37, 38]. This
loss of affinity by an integrin may occur through rapid
changes in its extracellular domains [38, 39], or by changes
in integrin position or clustering [40, 41]. CD9 promotes
the clustering of α6β1 [42]. Like α6, CD9 expression on
GCs increases though ovulation [20], but at ovulation there
is less CD9 on GCs of mature follicles than immature
ones [21]. This reduction in CD9 expression by GCs at
ovulation should cause dispersal of the α6β1 integrin from
its clustered arrangement, and a concomitant loss of α6β1
affinity for laminin. The decrease of laminin signaling would
then permit the GCs’ maturation into progesterone-secreting
granulosa-lutein cells. Microarray analysis has shown that
greater expression of GC genes promoting progesterone
synthesis is significantly correlated with production of
competent oocytes [29]. Perhaps the negative correlation we
observed between CD9 expression in GCs and fertilization
rate in metaphase II oocytes reflects some variation in the GC
maturation and competence of oocytes among the patients. Our samples of GCs came from all of the follicles greater than
14 mm that produced oocytes during the retrieval process,
so a patient with a greater proportion of mature follicles
producing oocytes capable of conventional fertilization may
have had somewhat lower expression of GC CD9 that a
patient with fewer mature follicles. 4. Discussion Yet more and more practitioners worldwide are using
ICSI for patients without male-factory infertility or PGD
[5–9]. This may be attributed, in part, to findings that ICSI 2.7. Statistical Analysis. Pearson correlation coefficients and
Model II regression [25] were used to test for significant
relationships (P < .05) between fertilization rates and CD9
expression. Fertilization and GC percentages were arcsine
transformed to normalize the data prior to data analysis
and graphing [25]. Figures show transformed data, but
percentage values and means + standard errors of the means
(SEM) in the text represent untransformed data. This study
was powered to detect a 15% difference in fertilization rate
with α = 0.05 and β = 0.80 with 29 subjects. 4 4 Acknowledgments to a patient, and because data from a preliminary study
suggested that platelet CD9 might be linked with fertilization
rates [22]. In this prior investigation, platelets were sampled
from study subjects at different times during their menstrual
or IVF cycles. Because platelet function and platelet-derived
microparticle activity are affected by both endogenous and
exogenous reproductive steroid hormones [45–48], it is
possible that prior indication of a link between platelets and
fertilization may have been a byproduct of variation in the
time of sampling among patients. to a patient, and because data from a preliminary study
suggested that platelet CD9 might be linked with fertilization
rates [22]. In this prior investigation, platelets were sampled
from study subjects at different times during their menstrual
or IVF cycles. Because platelet function and platelet-derived
microparticle activity are affected by both endogenous and
exogenous reproductive steroid hormones [45–48], it is
possible that prior indication of a link between platelets and
fertilization may have been a byproduct of variation in the
time of sampling among patients. The authors are grateful to all of the staffat Fertility
Associates of Memphis for their time and help with multiple
aspects of this project, particularly Lucy Williams for her
exceptional training and assistance in the lab. We thank
Carol Cummings for drawing blood samples. Thanks also
to J.P. Kotha, Celia Longhurst, T.J. Kueter, and Jan Adlrich
for their assistance with flow cytometry at the University
of Tennessee, and to Mary Jacoski for her help with the
necessary paperwork. Preliminary findings from this study
were presented at the 62nd Annual Meeting of the American
Society for Reproductive Medicine in New Orleans, LA,
on 24 October, 2006. Support for this research came from
a Creative Advance Planning Sabbatical Grant from the
Andrew W. Mellon Foundation (CRJ), the Frank Ling
Research Grant in Obstetrics and Gynecology, University
of Tennessee Health Science Center (CRJ, WHK), and the
Vascular Biology Center of Excellence at the University of
Tennessee Health Science Center (LKJ). 5. Conclusion Measurement of CD9 expression on human granulosa cells
and platelets may not be a useful indicator for predicting the
success of conventional fertilization in couples undergoing
IVF. A weak negative relationship between surface density
of CD9 on granulosa cells and fertilization rate of mature
oocytes may reflect a downregulation of CD9 that accom-
panies follicle maturation at ovulation. More studies are
necessary to determine the role of CD9 on granulosa cells
during follicle maturity, and to assess if CD9 expression on
human granulosa cells could be used as a factor to predict
the success of conventional fertilization during IVF. Obstetrics and Gynecology International 0
10
20
30
40
50
60
70
80
90
100
240
280
320
360
400
440
Mature oocytes fertilized (%)
Mean intensity of CD9-PE fluorescence on granulosa cells
Figure 2: Greater surface density of CD9 on the GCs (measured
as mean intensity of CD9-PE fluorescence) correlated with lower
fertilization rates in mature oocytes (r
=
−0.372, P
=
.04). See the text for the definition of mature oocytes. The Model II
regression is y = −0.27x + 152.8. 1000
1000
800
800
600
600
400
400
200
200
0
0
Intensity of PE fluorescence
Intensity of FITC fluorescence
Figure 1: Flow cytometry separation of granulosa cells (GCs) from
leukocytes based on intensity of staining with anti-CD45-FITC. Events showing CD45+ leukocytes are located in the upper right
quadrant whereas those representing CD45−GCs occur in the
upper left. The bottom two quadrants contain a few cells that did
not pick up the anti-CD9-PE antibody. 1000
1000
800
800
600
600
400
400
200
200
0
0
Intensity of PE fluorescence
Intensity of FITC fluorescence 0
10
20
30
40
50
60
70
80
90
100
240
280
320
360
400
44
Mature oocytes fertilized (%)
Mean intensity of CD9-PE fluorescence on granulosa cells Mean intensity of CD9-PE fluorescence on granulosa cells Figure 1: Flow cytometry separation of granulosa cells (GCs) from
leukocytes based on intensity of staining with anti-CD45-FITC. Events showing CD45+ leukocytes are located in the upper right
quadrant whereas those representing CD45−GCs occur in the
upper left. The bottom two quadrants contain a few cells that did
not pick up the anti-CD9-PE antibody. Figure 2: Greater surface density of CD9 on the GCs (measured
as mean intensity of CD9-PE fluorescence) correlated with lower
fertilization rates in mature oocytes (r
=
−0.372, P
=
.04). See the text for the definition of mature oocytes. The Model II
regression is y = −0.27x + 152.8. Figure 2: Greater surface density of CD9 on the GCs (measured
as mean intensity of CD9-PE fluorescence) correlated with lower
fertilization rates in mature oocytes (r
=
−0.372, P
=
.04). See the text for the definition of mature oocytes. The Model II
regression is y = −0.27x + 152.8. Obstetrics and Gynecology International Table 1: Correlations between CD9 expression on human granulosa cells (GCs) and platelets and fertilizat Table 1: Correlations between CD9 expression on human granulosa cells (GCs) and platelets and fertilization rates in oocytes. Correlation with fertilization rate in all oocytes Correlation with fertilization rate in mature
oocytesa
easure of CD9 expression
Correlation coefficient
P-Value
Correlation coefficient
P-Value
rcent of GCs expressing CD9 (n = 30)
0.151
.43
0.135
.48
rface density of CD9b on GCs (n = 30)
−0.316
.09
−0.372
.04
rface density of CD9b on platelets (n = 26)
−0.141
.49
−0.029
.89
e the text for the definition of mature oocytes. D9 surface density was measured as the mean intensity of CD9-PE fluorescence during flow cytometry. 1000
1000
800
800
600
600
400
400
200
200
0
0
Intensity of PE fluorescence
Intensity of FITC fluorescence
gure 1: Flow cytometry separation of granulosa cells (GCs) from
kocytes based on intensity of staining with anti-CD45-FITC. ents showing CD45+ leukocytes are located in the upper right
adrant whereas those representing CD45−GCs occur in the
per left. The bottom two quadrants contain a few cells that did
t pick up the anti-CD9-PE antibody
0
10
20
30
40
50
60
70
80
90
100
240
280
320
360
400
440
Mature oocytes fertilized (%)
Mean intensity of CD9-PE fluorescence on granulosa cells
Figure 2: Greater surface density of CD9 on the GCs (measured
as mean intensity of CD9-PE fluorescence) correlated with lower
fertilization rates in mature oocytes (r
=
−0.372, P
=
.04). See the text for the definition of mature oocytes. The Model II
regression is y = −0.27x + 152.8. y
surface density was measured as the mean intensity of CD9-PE fluorescence during flow cytometry. 1000
1000
800
800
600
600
400
400
200
200
0
0
Intensity of PE fluorescence
Intensity of FITC fluorescence
Figure 1: Flow cytometry separation of granulosa cells (GCs) from
leukocytes based on intensity of staining with anti-CD45-FITC. Events showing CD45+ leukocytes are located in the upper right
quadrant whereas those representing CD45−GCs occur in the
upper left. The bottom two quadrants contain a few cells that did
not pick up the anti-CD9-PE antibody. Obstetrics and Gynecology International Though CD9 on GCs is not directly involved in fertiliza-
tion of the oocyte, it may affect fertilization indirectly though
its role in follicle maturation. A mature follicle, usually
defined by its large size, generally has a greater probability of
containing an oocyte with a mature nucleus and cytoplasm. There is considerable communication between the GCs and
an oocyte in a developing follicle, and gene expression in
maturing GCs is closely associated with the production of
competent oocytes [27, 29, 43, 44]. Platelets, however, are far
removed from oocyte maturation and fertilization, so it is
not surprising that platelet CD9 expression was completely
unrelated to fertilization rates among oocytes. Platelets were
included in this study because they express abundant CD9,
they are very simple to obtain without discomfort or injury In contrast to oocyte CD9, which is necessary for
fertilization [14–16], it appears that CD9 on GCs serves
a different function that is more indirectly related to
fertilization success. On GCs, CD9 associates with α6β1, an
integrin heterodimer that binds laminin, a component of
the extracellular matrix surrounding the GCs [20]. Although
Fujiwara et al. [33] did not detect laminin in the matrix
between GCs of preovulatory follicles, they did find it
bound to GCs collected during oocyte retrieval for IVF (i.e.,
at the time of ovulation). In humans, the interaction of
laminin with α6β1 on GCs inhibits the cells’ maturation
into granulosa-lutein cells that secrete progesterone [33]. Expression of both CD9 and α6 increases on GCs leading up
to ovulation [20, 34–36], and the appearance of laminin in Obstetrics and Gynecology International 5 Table 1: Correlations between CD9 expression on human granulosa cells (GCs) and platelets and fertilization rates in oocytes. Correlation with fertilization rate in all oocytes Correlation with fertilization rate in mature
oocytesa
Measure of CD9 expression
Correlation coefficient
P-Value
Correlation coefficient
P-Value
Percent of GCs expressing CD9 (n = 30)
0.151
.43
0.135
.48
Surface density of CD9b on GCs (n = 30)
−0.316
.09
−0.372
.04
Surface density of CD9b on platelets (n = 26)
−0.141
.49
−0.029
.89
aSee the text for the definition of mature oocytes. bCD9 surface density was measured as the mean intensity of CD9-PE fluorescence during flow cytometry. Obstetrics and Gynecology International Gupta, “Trends in the use of intracytoplasmic
sperm injection in the United States,” New England Journal of
Medicine, vol. 357, no. 3, pp. 251–257, 2007. [26] S. Fishel, I. Aslam, F. Lisi et al., “Should ICSI be the
treatment of choice for all cases of in-vitro conception?”
Human Reproduction, vol. 15, no. 6, pp. 1278–1283, 2000. [9] A. Nyboe Andersen, E. Carlsen, and A. Loft, “Trends in the
use of intracytoplasmatic sperm injection marked variability
between countries,” Human Reproduction Update, vol. 14, no. 6, pp. 593–604, 2008. [27] F. Cillo, T. A. L. Brevini, S. Antonini, A. Paffoni, G. Ragni, and
F. Gandolfi, “Association between human oocyte developmen-
tal competence and expression levels of some cumulus genes,”
Reproduction, vol. 134, no. 5, pp. 645–650, 2007. [10] P. Devroey and A. Van Steirteghem, “A review of ten years
experience of ICSI,” Human Reproduction Update, vol. 10, no. 1, pp. 19–28, 2004. [28] P. Feuerstein, V. Cadoret, R. Dalbies-Tran, F. Guerif, R. Bidault,
and D. Royere, “Gene expression in human cumulus cells: one
approach to oocyte competence,” Human Reproduction, vol. 22, no. 12, pp. 3069–3077, 2007. [11] S. Oehninger, “Place of intracytoplasmic sperm injection in
management of male infertility,” Lancet, vol. 357, no. 9274, pp. 2068–2069, 2001. [29] M. Hamel, I. Dufort, C. Robert et al., “Identification of
differentially expressed markers in human follicular cells
associated with competent oocytes,” Human Reproduction, vol. 23, no. 5, pp. 1118–1127, 2008. [12] S. Oehninger and R. G. Gosden, “Should ICSI be the treatment
of choice for all cases of in-vitro conception? No, not in light
of the scientific data,” Human Reproduction, vol. 17, no. 9, pp. 2237–2242, 2002. [13] K. Kaji and A. Kudo, “The mechanism of sperm-oocyte fusion
in mammals,” Reproduction, vol. 127, no. 4, pp. 423–429, 2004. [30] L. J. McKenzie, S. A. Pangas, S. A. Carson et al., “Human
cumulus granulosa cell gene expression: a predictor of fer-
tilization and embryo selection in women undergoing IVF,”
Human Reproduction, vol. 19, no. 12, pp. 2869–2874, 2004. [14] K. Kaji, S. Oda, T. Shikano et al., “The gamete fusion process is
defective in eggs of Cd9-deficient mice,” Nature Genetics, vol. 24, no. 3, pp. 279–282, 2000. [31] X. Zhang, N. Jafari, R. B. Barnes, E. Confino, M. Milad, and R. R. Kazer, “Studies of gene expression in human cumulus cells
indicate pentraxin 3 as a possible marker for oocyte quality,”
Fertility and Sterility, vol. Obstetrics and Gynecology International 6 Growth,” Vital and Health Statistics. Series 23, no. 25, pp. 1–
160, 2005. [20] Y. Takao, H. Fujiwara, S. Yamada et al., “CD9 is expressed on
the cell surface of human granulosa cells and associated with
integrin α6β1,” Molecular Human Reproduction, vol. 5, no. 4,
pp. 303–310, 1999. [2] “Quick Facts About Infertility,” American Society for Repro-
ductive Medicine, 2010, http://www.reproductivefacts.org/
detail.aspx?id=2322. [21] A. Clavero, J. A. Castilla, L. Martinez, N. Mendoza, J. Fontes,
and V. Maldonado, “Expression of integrin fraction and
adhesion molecules on human granulosa cells and its relation
with oocyte maturity and follicular steroidogenesis,” Journal of
Assisted Reproduction and Genetics, vol. 21, no. 6, pp. 187–195,
2004. [3] G. Palermo, H. Joris, P. Devroey, and A. C. Van Steirteghem,
“Pregnancies after intracytoplasmic injection of single sper-
matozoon into an oocyte,” Lancet, vol. 340, no. 8810, pp. 17–
18, 1992. [4] “Assisted reproductive technology in the United States: 2001
results generated from the American Society for Reproductive
Medicine/Society for Assisted Reproductive Technology reg-
istry,” Fertility and Sterility, vol. 87, no. 6, pp. 1253–1266, 2007. [22] K. S. Patterson, R. W. Ke, M. V. Jacoski, et al., “Expression of
cell surface CD9 in fertile and infertile women,” Fertility and
Sterility, vol. 82, p. S283, 2004. y
y
y
[5] D. Abu-Hassan and S. Al-Hasani, “The use of ICSI for all cases
of in-vitro conception,” Human Reproduction, vol. 18, no. 4,
pp. 893–895, 2003. [23] L. K. Jennings, C. F. Fox, W. C. Kouns, C. P. McKay, L. R. Ballou, and H. E. Schultz, “The activation of human platelets
mediated by anti-human platelet p24/CD9 monoclonal anti-
bodies,” Journal of Biological Chemistry, vol. 265, no. 7, pp. 3815–3822, 1990. [6] Y. Orief, K. Dafopoulos, and S. Al-Hassani, “Should ICSI be
used in non-male factor infertility?” Reproductive BioMedicine
Online, vol. 9, no. 3, pp. 348–356, 2004. [24] D. De Neubourg, A. Robins, S. Fishel, and L. Gibbon, “Flow
cytometric analysis of granulosa cells from follicular fluid after
follicular stimulation,” Human Reproduction, vol. 11, no. 10,
pp. 2211–2214, 1996. [7] The ESHRE Capri Workshop Group, “Intracytoplasmic sperm
injection (ICSI) in 2006: evidence and evolution,” Human
Reproduction Update, vol. 13, no. 6, pp. 515–526, 2007. [25] R. R. Sokal and F. J. Rohlf, Biometry, W. H. Freeman, New
York, NY, USA, 2nd edition, 1981. [8] T. Jain and R. S. References [1] A. Chandra, G. M. Martinez, W. D. Mosher, J. C. Abma, and
J. Jones, “Fertility, family planning, and reproductive health of
U.S. women: data from the 2002 National Survey of Family Obstetrics and Gynecology International 7 7 Journal of Clinical Endocrinology and Metabolism, vol. 76, no. 4, pp. 956–961, 1993. [36] T. Honda, H. Fujiwara, M. Ueda, M. Maeda, and T. Mori,
“Integrin α6 is a differentiation antigen of human granulosa
cells,” Journal of Clinical Endocrinology and Metabolism, vol. 80, no. 10, pp. 2899–2905, 1995. [37] M. H. Ginsberg, X. Du, and E. F. Plow, “Inside-out integrin
signalling,” Current Opinion in Cell Biology, vol. 4, no. 5, pp. 766–771, 1992. [38] D. Monniaux, C. Huet-Calderwood, F. Le Bellego, S. Fabre,
P. Monget, and D. A. Calderwood, “Integrins in the ovary,”
Seminars in Reproductive Medicine, vol. 24, no. 4, pp. 251–261,
2006. [39] P. J. Sims, M. H. Ginsberg, E. F. Plow, and S. J. Shattil,
“Effect of platelet activation on the conformation of the
plasma membrane glycoprotein IIb-IIIa complex,” Journal of
Biological Chemistry, vol. 266, no. 12, pp. 7345–7352, 1991. [40] N. Hogg, R. Henderson, B. Leitinger, A. McDowall, J. Porter,
and P. Stanley, “Mechanisms contributing to the activity of
integrins on leukocytes,” Immunological Reviews, vol. 186, pp. 164–171, 2002. [41] Y. Van Kooyk and C. G. Figdor, “Avidity regulation of
integrins: the driving force in leukocyte adhesion,” Current
Opinion in Cell Biology, vol. 12, no. 5, pp. 542–547, 2000. [42] A. Ziyyat, E. Rubinstein, F. Monier-Gavelle et al., “CD9
controls the formation of clusters that contain tetraspanins
and the intergrin α6β1, which are involved in human and
mouse gamete fusion,” Journal of Cell Science, vol. 119, no. 3,
pp. 416–424, 2006. [43] J.-Y. Jiang, H. Xiong, M. Cao, X. Xia, M.-A. Sirard, and B. K. Tsang, “Mural granulosa cell gene expression associated
with oocyte developmental competence,” Journal of Ovarian
Research, vol. 3, no. 1, article 6, 2010. [44] Q. Li, L. J. McKenzie, and M. M. Matzuk, “Revisiting oocyte-
somatic cell interactions: in search of novel intrafollicular pre-
dictors and regulators of oocyte developmental competence,”
Molecular Human Reproduction, vol. 14, no. 12, pp. 673–678,
2008. [45] G. Cederblad, L. Hahn, K. Korsan-Bengtsen, N. G. Pehrsson,
and G. Rybo, “Variations in blood coagulation, fibrinolysis,
platelet function and various plasma proteins during the
menstrual cycle,” Haemostasis, vol. 6, no. 5, pp. 294–302, 1977. [46] M. Feuring, M. Christ, A. Roell et al., “Alterations in platelet
function during the ovarian cycle,” Blood Coagulation and
Fibrinolysis, vol. 13, no. 5, pp. 443–447, 2002. [47] A. Roell, P. Schueller, A. Obstetrics and Gynecology International 83, no. 4, supplement 1, pp. 1169–
1179, 2005. [15] F. Le Naour, E. Rubinstein, C. Jasmin, M. Prenant, and C. Boucheix, “Severely reduced female fertility in CD9-deficient
mice,” Science, vol. 287, no. 5451, pp. 319–321, 2000. [16] K. Miyado, G. Yamada, S. Yamada et al., “Requirement of CD9
on the egg plasma membrane for fertilization,” Science, vol. 287, no. 5451, pp. 321–324, 2000. [32] S. Varani, J. A. Elvin, C. Yan et al., “Knockout of pentraxin 3,
a downstream target of growth differentiation factor-9, causes
female subfertility,” Molecular Endocrinology, vol. 16, no. 6, pp. 1154–1167, 2002. [17] K. Kaji, S. Oda, S. Miyazaki, and A. Kudo, “Infertility of CD9-
deficient mouse eggs is reversed by mouse CD9, human CD9,
or mouse CD81; polyadenylated mRNA injection developed
for molecular analysis of sperm-egg fusion,” Developmental
Biology, vol. 247, no. 2, pp. 327–334, 2002. [33] H. Fujiwara, T. Honda, M. Ueda et al., “Laminin suppresses
progesterone production by human luteinizing granulosa
cells via interaction with integrin α6β1,” Journal of Clinical
Endocrinology and Metabolism, vol. 82, no. 7, pp. 2122–2128,
1997. [18] G.-Z. Zhu, B. J. Miller, C. Boucheix et al., “Residues SFQ (173-
175) in the large extracellular loop of CD9 are required for
gamete fusion,” Development, vol. 129, no. 8, pp. 1995–2002,
2002. [34] H. Fujiwara, M. Maeda, T. Honda et al., “Granulosa cells
express integrin α6: possible involvement of integrin α6 in
folliculogenesis,” Hormone Research, vol. 46, supplement 1, pp. 24–30, 1996. [19] C. Boucheix and P. Benoit, “CD9 antigen: will platelet
physiology help to explain the function of a surface molecule
during hemopoietic differentiation?” Nouvelle Revue Francaise
d’Hematologie, vol. 30, no. 4, pp. 201–202, 1988. [35] H. Fujiwara, M. Maeda, M. Ueda et al., “A differentiation-
related molecule on the cell surface of human granulosa cells,” Obstetrics and Gynecology International Obstetrics and Gynecology International Schultz et al., “Effect of oral contra-
ceptives and ovarian cycle on platelet function,” Platelets, vol. 18, no. 2, pp. 165–170, 2007. [48] B. Toth, K. Nikolajek, A. Rank et al., “Gender-specific
and menstrual cycle dependent differences in circulating
microparticles,” Platelets, vol. 18, no. 7, pp. 515–521, 2007.
|
https://openalex.org/W2296474380
|
https://www.scielo.br/j/aabc/a/Bbk6sxpsYsjzKzv7FzdShfQ/?lang=en&format=pdf
|
English
| null |
Composition and structure of bird communities in vegetational gradients of Bodoquena Mountains, western Brazil
|
Anais da Academia Brasileira de Ciências
| 2,016
|
cc-by
| 8,728
|
ABSTRACT The informations of bird species distribution in different habitats and the structure of their communities
are crucial for bird conservation. We tested the differences in composition, richness and abundance of
birds in different phytophysiognomies at Bodoquena Mountains, western Brazil, and we demonstrated the
variations in richness and abundance of birds between different trophic groups. Sampling was conducted
between July 2011 and June 2012 in 200 point counts arranged in the study area. A total of 3350 contacts
were obtained belonging to 156 bird species. Woodland savannas, seasonal forests and arboreal savannas
had higher bird abundance and richness, while riparian forests, clean pastures and dirty pastures had smaller
values of these parameters. The bird community was organized according to local vegetational gradient,
with communities of forests, open areas and savannas, although many species occurred in more than one
vegetation type. The insectivorous, omnivorous, frugivorous and gramnivorous birds composed most of
the community. These data showed how important environmental heterogeneity is to bird communities. Furthermore, the presence of extensive patches of natural habitats, the small distance between these patches
and the permeability of pastures, with high arboreal and shrubby cover, are indicated as important factors
to maintain the bird diversity. Key words: Cerrado, habitat use, point counts, Private Reserves, trophic groups. Manuscript received on December 26, 2014; accepted for publication on April 27, 2015 Manuscript received on December 26, 2014; accepted for publication on April 27, 2015 E-mail: mauricioecologia@hotmail.com Correspondence to: Mauricio Neves Godoi Correspondence to: Mauricio Neves Godoi
E-mail: mauricioecologia@hotmail.com Composition and structure of bird communities in vegetational
gradients of Bodoquena Mountains, western Brazil MAURICIO N. GODOI1, FRANCO L. SOUZA2, RUDI R. LAPS3 and DANILO B. RIBEIRO3 1Programa de Pós-Graduação em Ecologia e Conservação, Centro de Ciências Biológicas e da Saúde,
Universidade Federal de Mato Grosso do Sul, 79070-900 Campo Grande, MS, Brasil
2Departamento de Zoologia, Centro de Ciências Biológicas e da Saúde, Universidade Federal de Mato
Grosso do Sul, Cidade Universitária, s/n, C.P. 549, 79070-900 Campo Grande, MS, Brasil
3Departamento de Ecologia, Centro de Ciências Biológicas e da Saúde, Universidade Federal de Mato
Grosso do Sul, Cidade Universitária, s/n, C.P. 549, 79070-900 Campo Grande, MS, Brasil INTRODUCTION forests), woodland savannas (cerradão), arboreal
savannas (cerrado stricto sensu), natural grasslands
(campo cerrado, campo sujo and campo limpo) and
wetlands, which include swamps and formations of
Buriti palms (Mauritia fl exuosa, Arecaceae) locally
called veredas (Eiten 1993, Ribeiro and Walter
1998). The great habitat diversity provides high
bird richness in the Cerrado domain, comprising The Cerrado is the second largest Brazilian
phytogeographic domain, occupying almost 25%
of the country, especially in central Brazil (Eiten
1993). Its landscape is caracterized by a mosaic of
vegetation types with forests (riparian and seasonal An Acad Bras Cienc (2016) 88 (1) MAURICIO N. GODOI, FRANCO L. SOUZA, RUDI R. LAPS and DANILO B. RIBEIRO 212 APA - Área de Proteção Ambiental) and Private
Reserves (or RPPN’s - Reservas Particulares do
Patrimônio Natural). The Private Reserves, for
example, protect almost 1770 ha of natural areas
in the Bodoquena Mountains, showing their
importance for the regional system of protected
areas and to the biodiversity conservation
(ICMBIO 2013). These areas are generally small,
but are very important to complement the efforts
of public conservation. They are fundamental for
conservation on a regional scale because they
protect populations of different animal and plant
species in their natural habitats and function as
ecological corridors that contribute to the biological
connectivity in fragmented landscapes (Oliveira et
al. 2010). 45% of Brazilian avifauna or 856 of the 1900
species registered in Brazil (Silva and Santos 2005,
CBRO 2014). The Cerrado domain is one of the most
endangered biodiversity hotspots (Myers et al. 2000) and about 60% of its original vegetation
has been converted into pastures, plantations
and urban areas, creating a landscape formed by
great extensions of anthropogenic matrices with
isolated fragments of native vegetation (Machado
et al. 2004). However, some mountain regions still
maintain large extensions of native vegetation due
to the relief and the poor quality of the soil reducing
their agriculture capability. In central Brazil
these areas are extremely important for avifauna
conservation, and in the state of Mato Grosso do
Sul there are two of these regions, the Maracaju
Mountains (Nunes et al. 2013) and Bodoquena
Mountains (Pivatto et al. 2006). INTRODUCTION The information about composition and
structure of bird communities, as well as on
distribution of species in different vegetational
types present in a region, are very important for
the scientifi c knowledge and conservation of birds,
especially when we consider how quickly the
natural environments have been reduced, disturbed
and fragmented (Dias 1990). The Bodoquena Mountains are located
in the southwestern of Cerrado, and presents
biogeographic infl uences of the Pantanal, the Chaco
and of the Atlantic Forest. The biogeographic
infl uences of different domains, the great extensions
of natural areas and the habitat diversity of the
landscape provide the region with a high animal
and plant diversity, making them a priority area for
the conservation of the biodiversity of the Cerrado
(MMA 1999). In relation to the bird diversity, in
Bodoquena Mountains 353 species were recorded,
showing that this region has high bird richness in
comparation to other areas studied in the Cerrado
(Pivatto et al. 2006). The objective of this study was to test the
differences in composition, species richness
and abundance of birds between different
phytophysiognomies, showing the importance of
the vegetation gradient for the conservation of
birds in a protected area located in Bodoquena
Mountains, state of Mato Grosso do Sul, Brazil,
and additionally present the variations in species
richness and abundance of birds between different
trophic groups. At Bodoquena Mountains the efforts towards
to the conservation of biodiversity have been
conducted especially by the establishment of
protected areas. The Serra da Bodoquena National
Park is the most important protected area of the
region, maintaining 77.021,58 ha of natural
areas which include the main vegetational types
regionally presents. However, other types of
protected areas are important too, as Natural
Monuments, Environmental Protected Areas (or BIRD COMMUNITIES IN BODOQUENA MOUNTAINS 213 altitude in the region varies from 400 to 600 m above
sea level, with maximum values of altitude around
770 m in their northern portion and minimum values
just below 300 m (ICMBIO 2013). Bodoquena
Mountains have many headwaters, functioning as
extensive watersheds between the Paraguay River
basin, located on the west, and the sub-basins of Apa
river, located on the south, and the Miranda river,
located on the east (ICMBIO 2013). the Mimoso river, extensive patches of seasonal
forests and arboreal savannas (cerrado stricto
sensu), in addition to patches of woodland
savannas (cerradão) and pastures with different
levels of arboreal and shrubby cover (clean and
dirty pastures). The cattle ranching in this area is
developed into silvopasture system, maintaining
trees in pastures, which are usually small and are
surrounded by large patches of natural habitats. The climate of the region is Aw, or tropical
sub-warm, according to Köppen classification,
with medium annual temperatures between 22 °C
and 26 °C, maximum temperatures around 35 °C
and 40 °C, and minimal which could reach near 0
°C. The relative air umidity is low, rarely reaching
80%, and the medium annual precipitation is 1400
mm, with a hot and rainy season from November
to March, and a dry season from April to October
(IBGE 2006). The riparian forests are always associated
to watercourses. These forests are generally
evergreen, have continuous canopy (coverage of
70 to 90%) and have trees ranging from 20 to 25
m in height, possible reaching 30 m. Seasonal
forests occur in interfluvial areas, generally on
rich soils. Their trees range from 15 to 25 m in
height and form a continuous canopy with 70 to
95% of arboreal cover, although there is a drastic
reduction in this cover during the dry season
due to the deciduousness of many plant species. The woodland savannas (cerradão) are forest
formations of the Cerrado domain which have
relatively continuous canopy (50 to 90% of cover)
and tree layer with 8 to 15 m in height. The lower
height of the trees and the deciduousness of many
plant species in the woodland savannas allow
better luminosity and consequently major density
of understory, with great density of small schrubs. The arboreal savannas (cerrado stricto sensu) are
savanic formations with tree, shrub and herb layers
well defi ned. BIRD COMMUNITIES IN BODOQUENA MOUNTAINS Their trees are small (3 to 8 m in
height), twisted, formed a discontinuous canopy
(20 to 70% of cover) and generally present burn
evidences. The schrub and herb layers are dense,
especially in rainy seasons (Eiten 1993, Ribeiro
and Walter 1998). The Bodoquena Mountains are located in
transitional areas under infl uence of Cerrado and
Pantanal domains (Veloso et al. 1991), but they
are also infl uenced by Atlantic Forest and Chaco. The regional landscape is a complex mosaic of
vegetation types, dominated by decidual and
semidecidual seasonal forests, especially in moun-
tainous areas, riparian forests, woodland savannas
(cerradão), arboreal savannas (cerrado stricto
sensu), grasslands, swamps, artificial pastures
and disturbed areas in different stages of natural
regeneration (Brasil 1997, Pott and Pott 2003). In Bodoquena Mountains the area chosen
for this study was a private protected area called
RPPN Estância Mimosa and some areas around it
(20°58’57.70”S; 56°30’58.40”O; 390 m above sea
level). The study area (referred hereinafter as EM)
is located 18 km north of Bonito municipality, state
of Mato Grosso do Sul, Brazil (Figure 1). The EM
has a total of 800 ha, of which 278.42 ha belonging
to RPPN Estância Mimosa. STUDY AREA The Bodoquena Mountains, located in southwestern
of Mato Grosso do Sul state, western Brazil,
comprise 2 million ha, ranging 300 km long in a
north-south direction and 20-50 km wide from east to
west (Boggiani et al. 1993) (Figure 1). The medium An Acad Bras Cienc (2016) 88 (1) BIRD COMMUNITIES IN BODOQUENA MOUNTAINS FIELD METHODS The study area was delimited in a rectangle with
800 ha divided into 280 grids of 200 x 200 m, of
which 200 were randomly selected. In the center In the study area there is a vegetation
gradient formed by riparian forests associated to An Acad Bras Cienc (2016) 88 (1) MAURICIO N. GODOI, FRANCO L. SOUZA, RUDI R. LAPS and DANILO B. RIBEIRO 214 Figure 1 - Localization of Bodoquena Mountains and the study area (black rectangle), Bonito municipallity, state of Mato
Grosso do Sul (MS), Brazil. Figure 1 - Localization of Bodoquena Mountains and the study area (black rectangle), Bonito municipallity, state of Mato
Grosso do Sul (MS), Brazil. points were sampled randomly, and on each day
we sampled the drawned point and the four nearest
points. of each grid a point count was established, with a
fi xed radius of 50 m and 200 m of minimal distance
from any other point (Develey 2004, Anjos et
al. 2010, Vielliard et al. 2010). Each point count
was established in one vegetation type, avoiding
ecotones. By this method, areas of riparian forests
(n = 9), seasonal forests (n = 49), woodland
savannas (n = 18), arboreal savannas (n = 39), dirty
pastures (n = 45) and clean pastures (n = 40) were
sampled during 12 consecutive months, between
July 2011 and June 2012, equally covering the wet
and dry seasons. An Acad Bras Cienc (2016) 88 (1) BIRD COMMUNITIES IN BODOQUENA MOUNTAINS 215 orders (Table SI – Supplementary Material). The
randomized collector’s curve, which considers the
cumulative number of bird species as a function
of samples used, showed trends of stabilization. The observed richness corresponded to 92.8% of
the estimated richness (168.8 species ± 3.2). These
results showed that the number of samples used
was suffi cient for sampling most bird species of the
study area (Figure 2). community, a randomized collector curve was
made. This curve was made with the cumulative
number of species sampled by the number of
samples (point counts) used. The species richness
was also estimated using the Bootstrap estimator
(Colwell and Coddington 1994). The differences in avifauna abundance and
richness between the vegetation types were
tested by Analysis of Variance (ANOVA). The
community ordination in relation to composition
and abundance of species was performed by Non-
Metric Multidimensional Scaling (NMDS) with
two dimensions using distance indices of Bray-
Curtis. Additionally, an Analysis of Similarity
(ANOSIM) with the sequential Bonferroni test was
calculated to verify the level of similarity between
the bird communities of different vegetation types. Figure 2 - Randomized collector curve with average and
standard deviation of observed (continuous line) and estimated
richness (dashed line) of the bird communities at Estância
Mimosa, Bodoquena Mountains, state of Mato Grosso do Sul,
Brazil. The representation of each trophic group in
the community was determined by species richness
and bird abundance (number of contacts) in each
group. The species classifi cation in trophic groups
was based on classifications commonly used in
scientifi c literature (Karr et al. 1990, Motta-Junior
1990, Sick 1997) and on records of bird feedings
obtained in field expeditions. The bird species
were classifi ed according to principal food itens
consumed: insectivores (arthropods), frugivores
(fruits), omnivores (arthropods, fruits and small
vertebrates), gramnivores (seeds), nectarivores
(nectar), carnivores (terrestrial vertebrates
captured alive), piscivores (fi shes), malacofagous
(molluscs) and necrofagous (dead vertebrates). Figure 2 - Randomized collector curve with average and
standard deviation of observed (continuous line) and estimated
richness (dashed line) of the bird communities at Estância
Mimosa, Bodoquena Mountains, state of Mato Grosso do Sul,
Brazil. BIRD COMMUNITIES IN BODOQUENA MOUNTAINS The greatest values of species richness were
obtained in the woodland savannas (13.1 ± 4.9;
n = 18), seasonal forests (12.6 ± 3.9; n = 49) and
arboreal savannas (10.9 ± 3.9; n = 39), with the
smallest richness in clean pastures (7.8 ± 3.3; n =
40), dirty pastures (7.6 ± 4.3; n = 45) and riparian
forests (6.8 ± 5.08; n = 9) (Figure 3). The vegetation
types which showed the highest bird abundance
were also the woodland savannas (20.8 ± 7.1; n
= 18), seasonal forests (19.8 ± 6.9; n = 49) and
arboreal savannas (17.3 ± 6.4; n = 39), and those
with smaller abundances were clean pastures (15.2
± 8.3; n = 40), dirty pastures (13.3 ± 7.7; n = 45) The taxonomic classifi cation and nomenclature
adopted in this study followed the Brazilian
Comitee of Ornithological Records (CBRO 2014). All analyses used in this study were made on
software R (R Core Team 2013) and “VEGAN”
package (Oksanen et al. 2009). DATA ANALYSIS For each point count we recorded composition,
richness and number of contacts per species. The
species abundance was expressed by total number
of contacts and Punctual Abundance Index (PAI),
which is a ratio between the total number of specie´s
contacts by total number of samples used in the
study (Anjos et al. 2010, Vielliard et al. 2010). The
PAI of each species was calculated for all study
area and for each vegetation type, separately. Each point count, which represents a sample
unit, was visited only once during the study for 15
minutes in the earling morning, between 06:00 and
08:30, when most bird species were active. The To evaluate if the sampling effort applied was
enough to capture a non-biased sample of the entire An Acad Bras Cienc (2016) 88 (1) BIRD COMMUNITIES IN BODOQUENA MOUNTAINS MAURICIO N. GODOI, FRANCO L. SOUZA, RUDI R. LAPS and DANILO B. RIBEIRO MAURICIO N. GODOI, FRANCO L. SOUZA, RUDI R. LAPS and DANILO B. RIBEIRO 216 and riparian forests (12.5 ± 6.8; n = 9) (Figure 4). The vegetational types were signifi cantly different
in relation to species richness (F5, 194 = 12.93, p
≤ 0.0001) and bird abundance (F5, 194 = 5.74, p ˂
0.001). The ordination analysis showed there is a trend
to separation the bird community at EM between
forest formations (seasonal and riparian forests)
and open areas (clean pastures), with communities
of dirty pastures, arboreal and woodland savannas
being intermediate in this vegetational gradient
(NMDS, stress: 0.23; R² = 0.759) (Figure 5). The
similarity analysis indicated differences in bird
community composition between the vegetation
types (Anosim, R = 0.327, p ≤ 0.0001), but just
woodland savannas and dirty pastures (R = 0.002,
p = 0.45) and woodland savannas and arboreal
savannas (R = 0.01, p = 0.33) presented similar
bird communities. in relation to species richness (F5, 194 = 12.93, p
≤ 0.0001) and bird abundance (F5, 194 = 5.74, p ˂
0.001). Figure 3 - Bird species richness in riparian forests (RF),
seasonal forests (SF), woodland savannas (WS), arboreal
savannas (AS), dirty pastures (DP) and clean pastures (CP),
at Estância Mimosa, Bodoquena Mountains, state of Mato
Grosso do Sul, Brazil. N = number of samples. Figure 4 - Bird abundance in riparian forests (RF), seasonal
forests (SF), woodland savannas (WS), arboreal savannas
(AS), dirty pastures (DP) and clean pastures (CP), at Estância
Mimosa, Bodoquena Mountains, state of Mato Grosso do Sul,
Brazil. N = number of samples. Figure 3 - Bird species richness in riparian forests (RF),
seasonal forests (SF), woodland savannas (WS), arboreal
savannas (AS), dirty pastures (DP) and clean pastures (CP),
at Estância Mimosa, Bodoquena Mountains, state of Mato
Grosso do Sul, Brazil. N = number of samples. Figure 5 - Non-Metric Multidimensional Scaling (NMDS,
Bray-Curtis distance) (Stress = 0.23; R2 = 0.759) of bird
community in different vegetation types at Estância Mimosa,
Bodoquena Mountains, state of Mato Grosso do Sul, Brazil. Figure 3 - Bird species richness in riparian forests (RF),
seasonal forests (SF), woodland savannas (WS), arboreal
savannas (AS), dirty pastures (DP) and clean pastures (CP),
at Estância Mimosa, Bodoquena Mountains, state of Mato
Grosso do Sul, Brazil. N = number of samples. RESULTS In this study were obtained 3350 records of 156
bird species, belonging to 41 families and 19 An Acad Bras Cienc (2016) 88 (1) MAURICIO N. GODOI, FRANCO L. SOUZA, RUDI R. LAPS and DANILO B. RIBEIRO Figure 3 - Bird species richness in riparian forests (RF),
seasonal forests (SF), woodland savannas (WS), arboreal
savannas (AS), dirty pastures (DP) and clean pastures (CP),
at Estância Mimosa, Bodoquena Mountains, state of Mato
Grosso do Sul, Brazil. N = number of samples. Figure 4 - Bird abundance in riparian forests (RF), seasonal
forests (SF), woodland savannas (WS), arboreal savannas
(AS), dirty pastures (DP) and clean pastures (CP), at Estância
Mimosa, Bodoquena Mountains, state of Mato Grosso do Sul,
Brazil. N = number of samples. Figure 5 - Non-Metric Multidimensional Scaling (NMDS,
Bray-Curtis distance) (Stress = 0.23; R2 = 0.759) of bird
community in different vegetation types at Estância Mimosa,
Bodoquena Mountains, state of Mato Grosso do Sul, Brazil. The insectivores, omnivores, frugivores and
gramnivores were the most abundant and rich
guilds in the bird community (Table SI; Figure
6). We obtained 1213 contacts of 67 insectivorous
species, 1390 contacts of 46 omnivorous species,
349 contacts of 13 frugivorous species and 257
contacts of 12 gramnivorous species. The other
trophic groups presented smaller abundance and
species richness (Table SI; Figure 6). Figure 4 - Bird abundance in riparian forests (RF), seasonal
forests (SF), woodland savannas (WS), arboreal savannas
(AS), dirty pastures (DP) and clean pastures (CP), at Estância
Mimosa, Bodoquena Mountains, state of Mato Grosso do Sul,
Brazil. N = number of samples. An Acad Bras Cienc (2016) 88 (1) 217 BIRD COMMUNITIES IN BODOQUENA MOUNTAINS 217 Figure 6 - Species richness (a) and bird abundance (b) of different trophic groups at
Estância Mimosa, Bodoquena Mountains, state of Mato Grosso do Sul, Brazil. Figure 6 - Species richness (a) and bird abundance (b) of different trophic groups at
Estância Mimosa, Bodoquena Mountains, state of Mato Grosso do Sul, Brazil. Figure 6 - Species richness (a) and bird abundance (b) of different trophic groups at
Estância Mimosa, Bodoquena Mountains, state of Mato Grosso do Sul, Brazil. DISCUSSION widely used in studies on bird community structure
(Aleixo and Vielliard 1995, Aleixo 1999, Almeida
et al. 1999, Pozza and Pires 2003, Donatelli et al. 2004, 2007, Lyra-Neves et al. 2004, Telles and Dias
2010). We recorded 247 bird species at EM by joint
application of qualitative and quantitative sample
methods (Godoi et al. 2014). The bird species
richness observed in this study by point counts
(156 species) represented 63.2% of the known bird
richness for all study area, showing the effi ciency
of this method to record the most bird species of a
region (Develey 2004, Anjos et al. 2010, Vielliard et
al. 2010). Additionally, the method of point counts
is very suitable when the objective is to provide
controlled data on the bird abundance, being The bird abundance and richness varied in
the different vegetational types at EM. The mean
values of richness and abundance were larger in
seasonal forests, woodland savannas and arboreal
savannas, and lower in pastures. This result agrees
with studies conducted in other Cerrado localities,
where bird communities were normally more
diversifi ed in seasonal forests, patches of woodland An Acad Bras Cienc (2016) 88 (1) MAURICIO N. GODOI, FRANCO L. SOUZA, RUDI R. LAPS and DANILO B. RIBEIRO 218 savannas and arboreal savannas, when compared
with natural and anthropogenic open areas (Fry
1970, Tubelis and Cavalcanti 2000, 2001, Santos
2001, Piratelli and Blake 2006, Faria et al. 2009). of vegetation types to maintain their populations,
since most of them perform daily and seasonal
movements between these areas to forage. Thus, it
is important to maintain the habitat diversity in the
Cerrado domain to provide resource availability for
the birds throughout the year (Tubelis et al. 2004). In this context, it was expected that riparian
forests at EM would also present high bird
abundance and species richness, because they have
structurally heterogeneous environments and are
usually mentioned as very rich formations in bird
species in the Cerrado domain (Silva 1996, Silva
and Bates 2002, Faria et al. 2009, Valadão 2012). However, the riparian forests at EM presented
low bird abundance and species richness, which
may be attributed to the small area occupied by
this physiognomie in the study area and the small
number of samples utilized in them. DISCUSSION In relation to composition and structure, the
different vegetation types at EM presented particular
bird communities, especially seasonal and riparian
forests, which had species exclusively sampled in
these areas. Seasonal forests, for example, had bird
species which are most commonly found in the
Atlantic Forest domain, like Ramphastos dicolorus
and Melanerpes fl avifrons (Goerck 1997, Brooks
et al. 1999). These results showed seasonal forests
allow that different Atlantic species may expand
their distributions to the west, for regions of Cerrado
domain (Straube et al. 1996, Pivatto et al. 2006). The seasonal forests at EM also seem to be the
main habitat for some species that need relatively
large forests to maintain their populations, like
large forest birds such as Penelope superciliaris,
Micrastur ruficollis and Pulsatrix perspicillata,
and small insectivorous birds which depend on
forest understory, like Herpsilochmus atricapillus,
Thamnophilus caerulescens, Corythopis delalandi
and Cantorchilus guarayanus. Vegetational formations which have greater
heterogeneous structures, such as greater vertical
stratification, for example, usually have higher
richness and abundance of birds, a pattern that has
been explained by the hypothesis of environmental
heterogeneity. This hypothesis assumes that
structurally more heterogeneus habitats may
provide more ecological niches, allowing major
diversification in resource exploitation, which
would cause an increase in the species diversity
(MacArthur and MacArthur 1961, Tews et al. 2004). The heterogeneity may be provided, for example,
by vegetation structure, which in turn is determined
by vegetational communities (MacArthur and
MacArthur 1961, MacArthur et al. 1962). Thus,
even in small spatial scales, the vegetation structure
seems to determine the distribution and abundance
of species, promoting changes in the composition
and structure of bird communities between different
habitat types (Blake and Loiselle 2000, Tews et al. 2004). The riparian forests at EM also presented bird
species which only occur or were more abundant
in these areas, like Aramus guarauna, Crotophaga
major, Chloroceryle amazona, Momotus momota,
Myiozetetes cayanensis and Myiarchus ferox. These
forests usually have high species richness and
particular bird communities, with species strongly
associated with these formations (Fry 1970, Silva
and Vielliard 2004, Piratelli and Blake 2006, Faria
et al. 2009, Posso et al. 2013). These forests also
function as refuges to birds of adjacent savannas
(Silva and Bates 2002, Tubelis et al. 2004) and as
corridors that allow the expansion of Amazon and
Atlantic forest species to the interior of the Cerrado
(Silva 1996). An Acad Bras Cienc (2016) 88 (1) BIRD COMMUNITIES IN BODOQUENA MOUNTAINS 219 The woodland savannas is a forest physiognomy
of the Cerrado domain which is habitat for many
bird species that also occur in seasonal and riparian
forests (Piratelli and Blake 2006, Valadão 2012,
Posso et al. 2013). However, at EM the birds of these
savannas were more similar to birds of arboreal
savannas. Thus, the bird communities of woodland
savannas were formed especially by species
capable of inhabiting both forest and savanna
formations. Some species which were usually
most common in forests occurred in woodland
savannas at EM (Cyanocorax cyanomelas, Turdus
leucomelas, Sirystes sibilator, Myiothlypis fl aveola,
Casiornis rufus), such as some species which were
most common in arboreal savannas (Euphonia
chlorotica, Pitangus sulphuratus, Lepidocolaptes
angustirostris, Ramphastos toco, Myiarchus
tyrannulus). The clean pastures at EM also presented distinct
bird communities in relation to other vegetation
types. In these pastures many birds typical of open
areas occurred, like Theristicus caudatus, Caracara
plancus, Cariama cristata, Vanellus chilensis,
Eupsittula aurea, Athene cunicularia, Colaptes
campestris, Furnarius rufus, Sicalis fl aveola and
Gnorimopsar chopi. These species usually occur in
natural and anthropic open areas of the Cerrado and
other phytogeographic domains, even in disturbed
areas by deforestation in forest regions (Silva 1995,
Sick 1997). The arboreal savannas (cerrado stricto
sensu) and woodland savannas (cerradão) of the
EM presented great similarity in bird community
composition, such as in areas of the Cerrado
located in the east of the state of Mato Grosso do
Sul (Piratelli and Blake 2006). These formations,
together with the dirty pastures, formed an
intermediary group between the bird communities
of forests and clean pastures. The arboreal and
woodland savannas presented 61 species in
common, which represents 82.4% and 80.2% of
their communities, respectively. The dirty pastures at EM presented bird
communities more similar to those of woodland
savannas. These formations presented 54 species in
common, which comprises 58% of the birds of dirty
pastures and 72.9% of the community of woodland
savannas. Thus, dirty pastures indicated being
capable of harboring many bird species present
in surrounding forests and savannas. This was
possible because dirty pastures have many trees
and schrubs, which can be used as stepping stones,
making pastures more permeable for foraging
and movement of bird species between patches
of native vegetation (Silva et al. 1996, Estrada et
al. 2000). In addition, some plant species which
colonize pastures offer a large abundance of fruits,
making them more permeable to the birds. DISCUSSION Despite the differences in bird abundance
and richness between the vegetational types, one
should highlight the importance of habitat diversity
at EM with regard to the local bird conservation. The birds of the Cerrado domain need a mosaic BIRD COMMUNITIES IN BODOQUENA MOUNTAINS BIRD COMMUNITIES IN BODOQUENA MOUNTAINS This
is the case of capororoca (Rapanea guianensis,
Myrsinaceae), a common tree found in savannas
and dirty pastures of the study area and belonging
to a genus of plants known to be important in the
diet of some birds (Pineschi 1990, Francisco and
Galetti 2001, Pascotto 2007). The arboreal savannas usually present many
particular species, but can also be inhabited by
grassland and forest bird species (Tubelis et al. 2004, Piratelli and Blake 2006, Posso et al. 2013). The most abundant birds in arboreal savannas at EM
were species typically found in these areas, such
as Euphonia chlorotica, Myiarchus tyrannulus,
Hemithraupis guira, Lepidocolaptes angustirostris,
Ramphastos toco, Hemitriccus margaritaceiventer,
Hylocharis chrysura and Nystalus striatipectus. But in these areas also occur forest species which
have great movement capacity at landscape, such
as Pyrrhura devillei, Cyanocorax cyanomelas,
Turdus leucomelas and Pteroglossus castanotis. A few grassland species occurred in the arboreal
savannas at EM, like Cariama cristata and Sicalis
fl aveola, recorded especially in more open arboreal
savannas or on the edge of these environments. Insectivorous, omnivorous, frugivorous and
gramnivorous birds were dominant at EM and in An Acad Bras Cienc (2016) 88 (1) MAURICIO N. GODOI, FRANCO L. SOUZA, RUDI R. LAPS and DANILO B. RIBEIRO 220 (Piratelli and Blake 2006, Vieira et al. 2013). Malacofagous and piscivorous birds only occurred
in riparian forests, since these are the only areas
with rivers and streams where their food resources
could be found. Finally, carnivorous birds were
represented by few species, just like in other
studies (Motta-Junior 1990, Donatelli et al. 2004,
Manica et al. 2010), since top predators occupy
large territories and are naturally rare. each particular vegetation type. These groups are
usually dominant in the Cerrado domain (Motta-
Junior 1990, Donatelli et al. 2004, Piratelli and
Blake 2006, Manica et al. 2010, Telles and Dias
2010, Vieira et al. 2013) and other Brazilian
phytogeographic domains (Willis 1979, Aleixo
1999, Anjos 2001, Silveira et al. 2003, Santos
2004, Olmos et al. 2005, Telino-Júnior et al. 2005,
Roos et al. 2006, Donatelli et al. 2007, Silveira and
Machado 2012). In relation to conservation, two main groups
of species should be highlighted: insectivorous
birds that live in forest understory and forest
frugivorous birds, especially large species. BIRD COMMUNITIES IN BODOQUENA MOUNTAINS The
understory insectivorous birds are very sensitive
to the loss and fragmentation of forests (Willis
1979, Bierregaard Jr and Lovejoy 1989), since
many species cannot maintain viable populations
in small and isolated forest fragments or cross open
areas to move between fragments (Stouffer and
Bierregaard Jr 1995, Canaday 1997, Marini 2001,
Sekercioglu et al. 2002, Martensen et al. 2008). Large forest frugivorous birds (Crax fasciolata,
Aburria cumanensis, Penelope superciliaris,
Ramphastos dicolorus, Pteroglossus castanotis) are
very sensitive too (Willis 1979, Price et al. 1999),
because they need large patches of native vegetation
or well connected remaining areas to forage on
fruiting trees. The conservation of frugivorous birds
is extremelly important for the natural ecossystems
because they act as seed dispersers, promoting
the reproduction of many plant species and the
regeneration of natural environments (Levey 1988,
Silva et al. 1996, Pizo 2001). The dominance of insectivorous birds could be
related to the great abundance of arthropods and the
relatively regular supply of these resources. Thus,
maintaining a diet of arthropods may be a safer
strategy for the birds than the consumption of fruits,
which usually have more irregular availability in
space and time, especially in vegetational mosaics
of forests and grasslands with seasonal precipitation
regime, like in Bodoquena Mountains (Reys et al. 2005), as well as throughout the Cerrado domain
(Batalha and Mantovani 2000, Batalha and Martins
2004). The adoption of an omnivorous diet, with
a regular consumption of fruits, arthropods and
vertebrates, often makes the species less sensitive
to habitat degradation and fragmentation, since a
varied diet allows the birds to forage in different
vegetation types and grants them regular food
supply throughout the year. Because of this, some
omnivorous birds become abundant in disturbed
habitats at the same time more specialized birds,
both insectivorous and frugivorous, become rare in
these areas (Willis 1979). The gramnivorous birds were most common
at EM in pastures and arboreal savannas because
the seeds of grasses, which are the main food item
for some common bird species, like Volatinia
jacarina and Sicalis fl aveola, are more abundant
in grasslands and savannas of the Cerrado domain
(Motta-Junior 1990). Although nectarivorous birds
have been poorly observed, they seem to be more
common in arboreal savannas, corroborating data
from other areas of the Cerrado in central Brazil The high species richness observed at EM,
with many birds dependent or semidependent
on forests (Godoi et al. An Acad Bras Cienc (2016) 88 (1) RESUMO mainly seasonal forests and arboreal savannas. The proximity of large areas of native vegetation
certainly contributed to increase the bird species
diversity in disturbed areas in addition to increasing
the presence of sensitive species in fragmented
landscapes (Aleixo 1999, Marsden et al. 2001,
Faria et al. 2006). As informações de distribuição das espécies de aves em
diferentes habitats e a estrutura de suas comunidades
são cruciais para sua conservação. Nós testamos as
diferenças na composição, riqueza e abundância de aves
em diferentes fi tofi sionomias da Serra da Bodoquena,
oeste do Brasil, e demonstramos as variações na
riqueza e abundância de aves entre diferentes grupos
trófi cos. As amostragens foram conduzidas entre Julho
de 2011 e Junho de 2012 em 200 pontos de escuta
distribuídos na área de estudo. Foram obtidos 3350
contatos pertencentes a 156 espécies de aves. Savanas
fl orestadas, fl orestas estacionais e savanas arborizadas
tiveram maior riqueza e abundância de aves, enquanto
fl orestas ripárias, pastos limpos e pastos sujos tiveram
menores valores destes parâmetros. A comunidade de
aves foi organizada de acordo com o gradiente local de
vegetação, com comunidades de fl orestas, áreas abertas
e savanas, embora muitas espécies tenham ocorrido
em mais de um tipo de vegetação. As aves insetívoras,
onívoras, frugívoras e granívoras compreenderam a
maioria da comunidade. Estes dados demonstraram
quão importante é a heterogeneidade ambiental para as
comunidades de aves. Além disso, a presença de extensas
manchas de habitats naturais, a pequena distância entre
estas manchas e a permeabilidade das pastagens, com
alta cobertura arbórea e arbustiva, são apontadas como
importantes fatores para a manutenção da diversidade de
aves. Another important issue related to the
bird conservation is the permeability of the
anthropogenic matrix to the birds dependent and
semidependent of forests, especially in the dirty
pastures. Production systems which allow the
maintenance of structurally complex habitats
increase the permeability of the landscape to local
biodiversity, when compared to other systems
that simplify the environment by cutting trees, for
example (Pimentel et al. 1992, Estrada et al. 1993a,
b, 1994, Perfecto et al. 1996, Greenberg et al. 1997,
Rice and Greenberg 2000, Sherry 2000, Faria et
al. 2006). Thus, maintaining part of the shrub and
arboreal strata in pastures certainly contributes
to the local bird conservation, since it increases
the area of available habitat and facilitates the
movement of bird species in the landscape. BIRD COMMUNITIES IN BODOQUENA MOUNTAINS 221 BIRD COMMUNITIES IN BODOQUENA MOUNTAINS 2014), the presence of
endangered species and species sensitive to
loss and fragmentation of forests, as the large
frugivorous and understory insectivorous birds,
can be atributted to some main factors. Firstly, the
maintenance of fragments near areas which still
retain large extensions of natural environments, An Acad Bras Cienc (2016) 88 (1) ACKNOWLEDGMENTS The authors are very grateful to Eduardo and
Simone Coelho, the owners of RPPN Estância
Mimosa, for the opportunity and logistical support
to carry out this study on their farm, and to RPPN
staff for their help and hospitality during field
collections. The authors also thank the reviewers
of this article for their important contributions. Mauricio Neves Godoi thanks the Universidade
Federal de Mato Grosso do Sul and Coordenação
de Aperfeiçoamento de Pessoal de Nível Superior
(CAPES) for fi nancial support through a doctoral
scholarship. Franco Leandro de Souza is funded
by a research grant from Conselho Nacional de
Desenvolvimento Científi co e Tecnológico (CNPq,
301071/2011-0). The authors are very grateful to Eduardo and
Simone Coelho, the owners of RPPN Estância
Mimosa, for the opportunity and logistical support
to carry out this study on their farm, and to RPPN
staff for their help and hospitality during field
collections. The authors also thank the reviewers
of this article for their important contributions. Palavras-chave: Cerrado, uso do habitat, pontos de escuta, Palavras-chave: Cerrado, uso do habitat, pontos de escuta, Reserva Particular, grupos trófi cos. MAURICIO N. GODOI, FRANCO L. SOUZA, RUDI R. LAPS and DANILO B. RIBEIRO 222 2010. Técnicas de levantamento quantitativo de aves em
ambiente florestal: uma análise comparativa baseada em
dados empíricos. In: Von Matter S et al. (Eds), Ornitologia
e Conservação. Ciência Aplicada, Técnicas de Pesquisa e
Levantamento. Technical Books Editora, Rio de Janeiro,
RJ, p. 61-76. EITEN G. 1993. Vegetação do Cerrado. In: Pinto MN (Ed),
Cerrado: caracterização, ocupação e perspectivas, Editora
Universidade de Brasília (UNB), Brasília, DF, p. 17-73. ESTRADA A, CAMMARANO P AND COATES-ESTRADA R. 2000. Bird species richness in vegetation fences and in
strips of residual rain forest vegetation at Los Tuxtlas, Mexico. Biodivers Conserv 9: 1399-1416. BATALHA MA AND MANTOVANI W. 2000. Reproductive
phenological patterns of cerrado plant species at the Pe-de-
Gigante Reserve (Santa Rita do Passa Quatro, SP, Brazil):
a comparison between the herbaceous and woody floras. Rev Bras Biol 60(1): 129-145. ESTRADA A, COATES-ESTRADA R AND MERITT JR D. 1993a. Bat species richness and abundance in tropical rain forest
fragments and in agricultural habitats at Los Tuxtlas,
Mexico. Ecography 16: 309-318. BATALHA MA AND MARTINS FR. 2004. Reproductive
phenology of the cerrado plant community in Emas
National Park. Aust J Bot 52(2): 149-161. ESTRADA A, COATES-ESTRADA R AND MERITT JR D. 1994. Non flying mammals and landscape changes in the tropical
rain forest region of Las Tuxtlas, Mexico. Ecography 17:
229-241. BIERREGAARD JR RO AND LOVEJOY TE. 1989. Effects of
forest fragmentation on Amazonian understory bird
communities. Acta Amaz 19: 215-241. ESTRADA A, COATES R, MERITT JR D, MONTIEL S AND
CURIEL D. 1993b. Patterns of frugivore species richness
and abundance in forest islands and agricultural habitats at
Los Tuxtlas, Mexico. Vegetatio 107/108: 245-257. BLAKE JG AND LOISELLE BA. 2000. Diversity of birds along
an elevational gradient in the Cordillera Central, Costa
Rica. Auk 117(3): 663-686. FARIA D, LAPS RR, BAUMGARTEN J AND CETRA M. 2006. Bat and bird assemblages from forests and shade cacao
plantations in two contrasting landscapes in the Atlantic
Forest of southern Bahia, Brazil. Biodivers Conserv 15:
587-612. BOGGIANI PC, FAIRCHILD TR AND COIMBRA AM. 1993. O
grupo Corumbá (Neoproterozóico-Cambriano) na região
central da Serra da Bodoquena (Faixa Paraguai), Mato
Grosso do Sul. RBG 23(3): 301-305. BRASIL. 1997. Plano de Conservação da Bacia do Alto
Paraguai – PCBAP / Projeto Pantanal. Programa Nacional
de Meio Ambiente PNMA, Brasília, DF 3: 50-60. MAURICIO N. GODOI, FRANCO L. SOUZA, RUDI R. LAPS and DANILO B. RIBEIRO FARIA LCP, CARRARA LA, AMARAL FQ, VASCONCELOS
MF, DINIZ MG, ENCARNAÇÃO CD, HOFFMANN D,
GOMES HB, LOPES LE AND RODRIGUES M. 2009. Aves
da Fazenda Brejão: uma área prioritária para conservação
do Cerrado no noroeste de Minas Gerais, Brasil. Biota
Neotrop 9(3): 223-240. BROOKS T, TOBIAS J AND BALFORD A. 1999. Deforestation
and bird extinction in the Atlantic Forest. Anim Conserv
2: 211-222. CANADAY C. 1997. Loss of insectivorous birds along a
gradient of human impact in Amazonia. Biol Conserv 77:
63-77. FRANCISCO MR AND GALETTI M. 2001. Frugivoria e disper-
são de sementes em Rapanea lancifolia (Myrcinaceae)
por aves em uma área de Cerrado no estado de São Paulo,
sudeste do Brasil. Ararajuba 9(1): 13-19. CBRO - COMITÊ BRASILEIRO DE REGISTROS ORNITO-
LÓGICOS. 2014. Lista das aves do Brasil. http://www.cbro. org.br. Accessed on April 15, 2014. FRY CH. 1970. Ecological distribution of birds in north-
eastern Mato Grosso State, Brazil. An Acad Bras Cienc
42: 275-318. COLWELL RK AND CODDINGTON JA. 1994. Estimating
terrestrial biodiversity through extrapolation. Philos Trans
R Soc Lond B 345: 101-118. GODOI MN, PIVATTO MAC, MELLO AV, LAPS RR AND
SOUZA FL. 2014. Aves da RPPN Estância Mimosa, Serra
da Bodoquena, Mato Grosso do Sul, Brasil. Atual Ornitol
178: 39-49. DEVELEY PF. 2004. Métodos para estudos com aves. In:
Cullen L et al. (Eds), Métodos de Estudos em Biologia
da Conservação e Manejo da Vida Silvestre, Editora
Universidade Federal do Paraná (UFPR), Curitiba, Paraná,
p. 153-168. GOERCK JM. 1997. Patterns of rarity in the Birds of the
Atlantic Forests of Brazil. Conserv Biol 11: 112-118. GREENBERG R, BICHIER P, ANGON AC AND STERLING
J. 1997. Bird populations in rustic and planted coffee
plantations of Eastern Chiapas, México. Biotropica 29:
501-514. DIAS BFS. 1990. Conservação da natureza no cerrado
brasileiro. In: Pinto MN (Ed), Cerrado: caracterização,
ocupação e perspectivas, Editora Universidade de Brasília
(UNB), Brasília, DF, p. 583-640. IBGE - INSTITUTO BRASILEIRO DE GEOGRAFIA E ESTATÍS-
TICA. 2006. Diretoria de Geociências, Mapa das Unidades
de Relevo. http://www.ibge.gov.br. Accessed on March
25, 2013. DONATELLI RJ, COSTA TVV AND FERREIRA CD. 2004. Dinâmica da avifauna em fragmento de mata na Fazenda
Rio Claro, Lençóis Paulista, São Paulo, Brasil. Rev Bras
Zool 21: 97-114. ICMBIO - INSTITUTO CHICO MENDES DE CONSERVAÇÃO
DA BIODIVERSIDADE. 2013. Plano de Manejo do Parque
Nacional da Serra da Bodoquena. Encarte 2. Brasília, DF,
91 p. REFERENCES ALEIXO A. 1999. Effects of selective logging on a bird
community in the Brazilian Atlantic Forest. The Condor
101: 537-548. ALEIXO A AND VIELLIARD JME. 1995. Composição e
dinâmica da avifauna da Mata de Santa Genebra, Campinas,
São Paulo, Brasil. Rev Bras Zool 12(3): 493-511. São Paulo, Brasil. Rev Bras Zool 12(3): 493-511 ALMEIDA MEC, VIELLIARD JME AND DIAS MM. 1999. Composição da avifauna em duas matas ciliares na bacia
do rio Jacaré-Pepira, São Paulo, Brasil. Rev Bras Zool
16(4): 1087-1098. ANJOS L. 2001. Bird communities in natural forest patches in
southern Brazil. Wilson Bull 111: 397-414. ANJOS L, VOLPATO GH, MENDONÇA LB, SERAFINI PP,
LOPES EV, BOÇON R, SILVA ES AND BISHEIMER MV. An Acad Bras Cienc (2016) 88 (1) MAURICIO N. GODOI, FRANCO L. SOUZA, RUDI R. LAPS and DANILO B. RIBEIRO MAURICIO N. GODOI, FRANCO L. SOUZA, RUDI R. LAPS and DANILO B. RIBEIRO Bird richness
and composition in a Cerrado fragment in the State of São
Paulo. Braz J Biol 70(2): 243-254. PIVATTO MAC, MANÇO DDG, STRAUBE FC, URBEN-FILHO
A AND MILANO M. 2006. Aves do Planalto da Bodoquena,
Estado de Mato Grosso do Sul (Brasil). Atual Ornitol n. 129. MARINI MA. 2001. Effects of forest fragmentation on birds
of the cerrado region, Brazil. Bird Conserv Int 11: 13-25. PIZO MA. 2001. A conservação das aves frugívoras. In:
Albuquerque JLB et al. (Eds), Ornitologia e conservação:
da ciência às estratégias, Editora Unisul, Tubarão, SC, p:
49-59. MARSDEN SJ, WHIFFIN M AND GALETTI M. 2001. Bird
diversity and abundance in forest fragments and
Eucalyptus plantations around an Atlantic Forest reserve,
Brazil. Biodivers Conserv 10: 737-751. POSSO SR, FREITAS MN, BUENO FA, MIZOBE RS, MORANTE-
FILHO JC AND RAGUSA-NETO J. 2013. Avian composition
and distribution in a mosaico of Cerrado habitats (RPPN
Parque Ecológico João Basso) in Rondonópolis, Mato
Grosso, Brasil. Rev Bras Ornitol 21(4): 243-256. MARTENSEN AC, PIMENTEL RG AND METZGER JP. 2008. Relative effects of fragment size and connectivity on bird
community in the Atlantic Rain Forest: Implications for
conservation. Biol Conserv 141: 2184-2192. MMA - MINISTÉRIO DO MEIO AMBIENTE. 1999. Ações
prioritárias para a conservação da biodiversidade do
Cerrado e Pantanal, Ministério do Meio Ambiente,
Brasília, DF, 26 p. POTT A AND POTT VJ. 2003. Espécies de fragmentos flo-
restais em Mato Grosso do Sul. In: Costa RBD (Ed),
Fragmentação florestal e alternativas de desenvolvimento
rural na região centro oeste, UCDB, Campo Grande, MS,
p. 26-52. MOTTA-JÚNIOR JC. 1990. Estrutura trófica e composição das
avifaunas de três habitats terrestres na região central do
estado de São Paulo. Ararajuba 1: 65-71. POZZA DD AND PIRES JSR. 2003. Bird communities in two
fragments of semideciduous forest in rural São Paulo state. Braz J Biol 63(2): 307-319. MYERS N, MITTERMEIER RA, MITTERMEIER CG, FONSECA
GAB AND KENT J. 2000. Biodiversity hotspots for conser-
vation priorities. Nature 403: 853-858. PRICE OF, WOINARSKI JCZ AND ROBINSON D. 1999. Very
large area requirements for frugivorous birds in monsoon
rainforests of the Northern Territory, Australia. Biol
Conserv 91: 169-180. NUNES AP ET AL. 2013. Aves da Serra de Maracaju, Mato
Grosso do Sul, Brasil. Rev Bras Ornitol 21(1): 75-100. OKSANEN J, KIND R, LEGENDRE P, O’HARA B, SIMPSON
GL, SOLYMOS P, HENRY M, STEVENS H AND WAGNER
H. 2009. Vegan: Community Ecology Package, R
package version 1.15-3, http://CRAN.R-project.org/
package=vegan. MAURICIO N. GODOI, FRANCO L. SOUZA, RUDI R. LAPS and DANILO B. RIBEIRO http://www.icmbio.gov.br/portal/biodiversidade/
unidadesdeconservacao/biomasbrasileiros/cerrado/ DONATELLI RJ, FERREIRA CD, DALBETO AC AND POSSO
SR. 2007. Análise comparativa da assembléia de aves em
dois remanescentes florestais no interior de São Paulo,
Brasil. Rev Bras Zool 24(2): 362-375. An Acad Bras Cienc (2016) 88 (1) BIRD COMMUNITIES IN BODOQUENA MOUNTAINS 223 Atlântica, Conservação Internacional, Fundação SOS
Mata Atlântica, The Nature Conservancy, Belo Horizonte,
MG, 48 p. unidades-de-conservacao-cerrado/2082-parna-da-serra-
da-bodoquena.html. Accessed on April 16, 2014. KARR JR, ROBINSON SK, BLAKE JG AND BIERREGAARD
RO. 1990. Birds of four neotropical rainforests. In: Gentry
AH (Ed), Four Neotropical Rainforests, Yale University
Press, New Haven, p. 237-268. OLMOS F, SILVA WAG AND ALBANO CG. 2005. Aves em oito
áreas de Caatinga no Sul do Ceará e Oeste de Pernambuco,
Nordeste do Brasil: composição, riqueza e similaridade. l
l rdeste do Brasil: composição, riqueza e similaridade. LEVEY DJ. 1988. Spatial and temporal variation in Costa
Rican fruit and fruit-eating bird abundance. Ecol Monogr
58: 251-269. Pap Avulsos Zool 45: 179-199. PASCOTTO MC. 2007. Rapanea ferruginea (Ruiz & Pav) Mez
(Myrsinaceae) como uma importante fonte alimentar para
as aves em uma mata de galeria no interior do Estado de
São Paulo. Rev Bras Zool 24(3): 735-741. LYRA-NEVES RM, DIAS MM, AZEVEDO-JÚNIOR SM,
TELINO-JÚNIOR WR AND LARRAZÁBAL MEL. 2004. Comunidades de aves da Reserva Estadual de Gurjaú,
Pernambuco, Brasil. Rev Bras Zool 21(3): 581-592. PERFECTO I, RICE RA, GREENBERG R AND VAN DER
VOOT ME. 1996. Shade coffee: a disappearing refuge for
biodiversity. BioScience 46: 598-608. MACARTHUR R AND MACARTHUR J. 1961. On bird species
diversity. Ecology 43: 594-598. PIMENTEL D, STACHOW U, TAKACS DA, BRUBAKER HW,
DUMAS AR, MEANEY JJ, O’NEIL JSA, ONSI DE AND
CORZILIUS DB. 1992. Conserving biological diversity in
agricultural/forestry systems. BioScience 42: 354-362. MACARTHUR RH, MACARTHUR JW AND PREER J. 1962. On
bird species diversity: II. Prediction on bird census from
habitat measurements. Am Nat 46: 167-174. MACHADO RB, RAMOS NETO MB, PEREIRA PGP, CALDAS
EF, GONÇALVES DA, SANTOS NS, TABOR K AND
STEININGER M. 2004. Estimativas de perda da área do
Cerrado brasileiro, Conservação Internacional, Brasília,
DF, 26 p. PINESCHI RB. 1990. Aves como dispersoras de sete espécies
de Rapanea (Myrsinaceae) no Maciço do Itatiaia, Estados
do Rio de Janeiro e Minas Gerais. Ararajuba 1: 73-78. PIRATELLI A AND BLAKE JG. 2006. Bird communities of the
Southeastern Cerrado region, Brazil. Ornitol Neotrop 17:
213-225. MANICA LT, TELLES M AND DIAS MM. 2010. MAURICIO N. GODOI, FRANCO L. SOUZA, RUDI R. LAPS and DANILO B. RIBEIRO MAURICIO N. GODOI, FRANCO L. SOUZA, RUDI R. LAPS and DANILO B. RIBEIRO 224 Bacia do rio Salitre, Bahia, Brasil. Rev Bras Ornitol 20(3):
161-172. RIBEIRO JF AND WALTER BMT. 1998. Fitofisionomias do
bioma Cerrado. In: Sano SM and Almeida SP (Eds),
Cerrado: ambiente e flora, Embrapa Cerrados, Brasília,
DF, Brasil, p. 89-166. STOUFFER PC AND BIERREGAARD JR RO. 1995. Use of
Amazonian forest fragments by understory insectivorous
birds. Ecology 76: 2429-2445. RICE RA AND GREENBERG R. 2000. Cacao cultivation and the
conservation of biological diversity. Ambio 29: 167-173. STRAUBE FC, BORNSCHEIN MR AND SCHERER-NETO P. 1996. Coletânea da avifauna da região noroeste do Estado
do Paraná e áreas limítrofes (Brasil). Arq Biol Tec 39(1):
193-214. ROOS AL, NUNES MFC, SOUZA EA, SOUZA AEBA, NASCI-
MENTO JLX AND LACERDA RCA. 2006. Avifauna da
região do Lago de Sobradinho: composição, riqueza e
biologia. Ornithologia 1: 135-160. TELINO-JÚNIOR WR, DIAS MM, AZEVEDO JÚNIOR SM,
LYRA-NEVES RM AND LARRAZÁBAL ME. 2005. Estru-
tura trófica da avifauna na Reserva Estadual de Gurjaú,
Zona da Mata Sul, Pernambuco, Brasil. Rev Bras Zool 22:
962-973. SANTOS MPD. 2001. Composição da avifauna nas Áreas de
Proteção Ambiental Serra da Tabatinga e Chapada das
Mangabeiras, Brasil. Bol Mus Para Emílio Goeldi. Sér
Zool 17: 43-67. SANTOS MPD. 2004. As comunidades de aves em duas
fisionomias da vegetação de Caatinga no estado do Piauí,
Brasil. Ararajuba 12: 113-123. TELLES M AND DIAS MM. 2010. Bird communities in two
fragments of Cerrado in Itirapina, Brazil. Braz J Biol
70(3): 537-550. SEKERCIOGLU CH, EHRLICH PR, DAILY GC, AYGEN D,
GOEHRING D AND SANDI RF. 2002. Disappearance of
insectivorous birds from tropical forest fragments. Proc
Nat Acad Sci USA 99: 263-267. TEWS J, BROSE U, GRIMM V, TIELBORGERL K, WICHMANN
MC, SCHWAGER M AND JELTSCH F. 2004. Animal species
diversity driven by habitat heterogeneity/diversity: the
importance of keystone structures. J Biogeogr 31: 79-92. SHERRY TW. 2000. Shade coffee: A good brew even in small
doses. Auk 117: 563-568. TUBELIS DP AND CAVALCANTI RB. 2000. A comparison of
bird communities in natural and disturbed non-wetland
open habitats in the Cerrado’s central region, Brazil. Bird
Conserv Int 10: 331-350. SICK H. 1997. Ornitologia Brasileira, Editora Nova Fronteira
S. A., Rio de Janeiro, RJ, p. 863. SILVA JMC. 1995. Avian inventory of the Cerrado Region,
South America: Implications for biological conservation. Bird Conserv Int 5: 15-28. TUBELIS DP AND CAVALCANTI RB. 2001. MAURICIO N. GODOI, FRANCO L. SOUZA, RUDI R. LAPS and DANILO B. RIBEIRO R CORE TEAM. 2013. R: A language and environment
for statistical computing, R Foundation for Statistical
Computing, Vienna, Austria. http://www.R-project.org/. REYS P, GALETTI M, MORELLATO LPC AND SABINO J. 2005. Fenologia reprodutiva e disponibilidade de frutos
de espécies arbóreas em mata ciliar no rio Formoso, Mato
Grosso do Sul. Biota Neotrop 5(2): 1-10. OLIVEIRA VB, PAGLIA AP, FONSECA M AND GUIMARÃES
E. 2010. RPPN e biodiversidade: o papel das reservas
particulares na proteção da biodiversidade da Mata An Acad Bras Cienc (2016) 88 (1) BIRD COMMUNITIES IN BODOQUENA MOUNTAINS 225 MAURICIO N. GODOI, FRANCO L. SOUZA, RUDI R. LAPS and DANILO B. RIBEIRO Community
similarity and abundance of bird species in open habitats of a central Brazilian Cerrado. Ornitol Neotrop 12: 57-73. SILVA JMC. 1996. Distribution of Amazonian and Atlantic
birds in gallery forests of the Cerrado region, South
America. Ornitol Neotrop 7: 1-18. TUBELIS DP, COWLING A AND DONNELL C. 2004. Landscape
supplementation in adjacent savannas and its implications
for the design of corridors for forest birds in the central
Cerrado, Brazil. Biol Conserv 118: 353-364. SILVA JMC AND BATES JM. 2002. Biogeographic patterns and
conservation in the South American Cerrado: a tropical
savanna hotspot. BioScience 52(3): 225-233. VALADÃO RM. 2012. As aves da Estação Ecológica Serra das
Araras, Mato Grosso, Brasil. Biota Neotrop 12(3): 263-
281. SILVA JMC AND SANTOS MPD. 2005. A importância relativa
dos processos biogeográficos na formação da avifauna do
Cerrado e de outros biomas brasileiros. In: Scariot A et al. (Eds), Cerrado: Ecologia, Biodiversidade e Conservação,
Brasília, DF, p. 439. VELOSO HP, RANGEL-FILHO ALR AND LIMA JCA. 1991. Classificação da vegetação brasileira adaptada a um
sistema internacional, IBGE, Rio de Janeiro, RJ. VIEIRA FM, PURIFICAÇÃO KN, CASTILHO LS AND
PASCOTTO MC. 2013. Estrutura trófica da avifauna de
quatro fitofisionomias de Cerrado no Parque Estadual da
Serra Azul. Ornithologia 5(2): 43-57. SILVA JMC, UHL C AND MURRAY G. 1996. Plant succession,
landscape management, and the ecology of frugivorous
birds in abandoned Amazonian pastures. Conserv Biol 10:
491-503. VIELLIARD JME, ALMEIDA MEC, ANJOS L AND SILVA WR. 2010. Levantamento quantitativo por pontos de escuta e o
Índice Pontual de Abundância (IPA). In: Von Matter S et
al. (Eds), Ornitologia e Conservação. Ciência Aplicada,
Técnicas de Pesquisa e Levantamento, Technical Books
Editora, Rio de Janeiro, RJ, p: 45-60. SILVA WR AND VIELLIARD J. 2004. Avifauna de Mata Ciliar. In: Rodrigues RR and Leitão-Filho HDF (Eds), Matas
Ciliares: Conservação e Recuperação, 2ª Edição, Edusp,
Fapesp, São Paulo, SP, p. 169-186. SILVEIRA LF, OLMOS F AND LONG A. 2003. Birds in Atlantic
Forest fragments in northeastern, Brazil. Cotinga 20: 32-
46. WILLIS EO. 1979. The composition of avian communities in
remanescent woodlands in southern Brazil. Pap Avulsos
Zool 33: 1-25. SILVEIRA MHB AND MACHADO CG. 2012. Estrutura da
comunidade de aves em áreas de caatinga arbórea na An Acad Bras Cienc (2016) 88 (1) An Acad Bras Cienc (2016) 88 (1) SUPPLEMENTARY MATERIAL – malacofagous. PAI (Punctual Abundance Index): EM
(Estância Mimosa or all the study area), RF (riparian forests
or mata ciliar), SF (seasonal forests or mata estacional), WS
(woodland savannas or cerradão), AS (arboreal savannas or
cerrado stricto sensu), DP (dirty pastures or pasto sujo), CP
(clean pastures or pasto limpo); n = number of samples. TABLE SI - Bird species sampled at Estância Mimosa,
Bodoquena Mountains, state of Mato Grosso do Sul,
Brazil. Trophic groups: I – insectivorous; O – omnivorous;
F – frugivorous; G – gramnivorous; NT – nectarivorous;
C – carnivorous; N – necrofagous; P – piscivorous; M TABLE SI - Bird species sampled at Estância Mimosa, TABLE SI - Bird species sampled at Estância Mimosa, An Acad Bras Cienc (2016) 88 (1)
|
https://openalex.org/W2902752787
|
https://link.springer.com/content/pdf/10.1007/s10346-018-1114-x.pdf
|
English
| null |
Liquefied gravity flow-induced tsunami: first evidence and comparison from the 2018 Indonesia Sulawesi earthquake and tsunami disasters
|
Landslides
| 2,018
|
cc-by
| 3,624
|
News/Kyoto Commitment Landslides (2019) 16:195–200
DOI 10.1007/s10346-018-1114-x
Received: 2 November 2018
Accepted: 12 November 2018
Published online: 28 November 2018
© The Author(s) 2018 Shinji Sassa I Tomohiro Takagawa
Liquefied gravity flow-induced tsunami: first evidence
and comparison from the 2018 Indonesia
Sulawesi earthquake and tsunami disasters the flowability of the liquefied soil. All these factors may have helped
the substantial liquefied flows occur on a very gentle inland slope of
around only 1° (Fig. 1). the flowability of the liquefied soil. All these factors may have helped
the substantial liquefied flows occur on a very gentle inland slope of
around only 1° (Fig. 1). Abstract On 28 September 2018, a strong earthquake with a mo-
ment magnitude of 7.5 occurred on the island of Sulawesi, Indo-
nesia. This earthquake caused extensive liquefaction and
liquefaction-induced flow slides inland. Despite a strike-slip fault,
which typically displaces land horizontally, being unlikely to pro-
duce significant tsunamis, the earthquake in fact caused devastat-
ing tsunamis. Our field investigations showed that there was an
occurrence of extensive liquefaction in coastal areas. Significant
coastal liquefaction can result in a gravity flow of liquefied soil
mass that can cause a tsunami. A comparison with a past disaster
of the strike-slip fault Haiti earthquake tsunami indicated that
essentially the same occurred at the Palu coast of Central Sulawesi. Namely, liquefaction-induced total collapse of coastal land caused
liquefied sediment flows, resulting in a tsunami. An important
difference between this time and Haiti was that such total collapses
and flows of coastal land due to liquefaction occurred at several (at
least nine) places, resulting in multiple tsunamis. Analysis of the tidal
data implied that less than 20% of the tsunami height was related to
tectonic processes, and the majority was caused by the coastal and
submarine landslides as characterized by liquefied gravity flows. Coastal inundation surveys showed that the tsunami inunda-
tion height was 3–4 m on average around the Palu bay and, was as
high as 6.8 m in localized areas above the mean sea level and 6.2 m
above the astronomical tide level when the earthquake occurred
(the splash was excluded). These inundation heights are consistent
with the prior observations made by the International Research Insti-
tute of Disaster Science (IRIDeS) at Tohoku University (2018). The
average inundation distance was around 200 m, which is very short. This implies that the spatial extent of the tsunami source was much
smaller than the scale of tectonic deformation of the Mw 7.5 earthquake. Below, we present and discuss the liquefaction and liquefaction-
induced phenomena that occurred along the Palu coast of Central
Sulawesi, Indonesia. Introduction The 2018 Indonesia Sulawesi earthquake and tsunami disasters that
took place on 28 September caused more than 2000 fatalities. The
focal mechanism of the earthquake was strike-slip faulting. From the
distribution of aftershocks, it is estimated that the fault length was
over 150 km. Comparing satellite images before and after the earth-
quake, it is revealed that the fault traversed 20 km across the Pal Bay
in the North-South direction, and the east and west sides of the fault
moved about 4 m past each other to the north and the south,
respectively (Valkaniotis 2018). Due to the strong ground shaking,
extensive liquefaction and liquefaction-induced flow slides with sev-
eral hundred meters to kilometer scale flow-out distances were
observed inland (Fig. 1). Field investigations were conducted inland
and along coastal land on 17 to 19 October 2018. The basic mecha-
nism at work in the liquefaction and liquefied flows in Palu city,
Central Sulawesi may be described as follows. First, alluvial thick
loose deposits of sand with high groundwater level were subjected to
a strong ground shaking of the Mw = 7.5 earthquake with its shallow
focal depth of < 10 km. Second, the ground contained a certain
amount of silt and clay, with essential fractions being sand, and these
may have enhanced the flowability of the liquefied soil. Third, the
presence of confined groundwater imposed osmotic pressure, name-
ly, seepage, on the occurrence of liquefaction and further promoted Coastal liquefaction
h f ld The field investigations along the Palu coast revealed a new evi-
dence of the extensive liquefaction in these areas, not only inland
but also at coastal land. The liquefied area confirmed and the
corresponding representative remains/situations indicating the
occurrence of liquefaction are shown in Fig. 2. The two photo-
graphs put side by side on the upper right show pipes that came up
to the ground surface and lay randomly half-buried in the ground,
showing that the ground was once liquefied. The photographs at
the center right show the situations where liquefaction-induced
sand boils accompanied fine silt and clay content that deposited
on the soil surface and subsequently became dehydrated and
remained as films containing voids and cracks. The corresponding
side photograph shows remains of boils with fine content as
confirmed just after the 2018 Hokkaido Eastern Iburi Earthquake in
Japan, which occurred on September 2018. Both share the same
characteristics mentioned above, showing the occurrence of liquefac-
tion. The photograph on the lower right shows large remains of sand
boils just behind a structure that prevented the ejecta from being
washed away by the tsunami, thus showing a clear evidence of lique-
faction. The photograph to the right also shows sand ejecta spreading
over the original ground. All these features are clear evidence of the
liquefaction occurrence. These small pieces of evidence are identified
from neither aerial photographs nor satellite images. They can be
obtained only through direct and close observations on site. Keywords Coastal and submarine landslide . Liquefaction . Gravity
flow . Tsunami . Sulawesi earthquake News/Kyoto Commitment News/Kyoto Commitment Features of liquefied gravity flows A gravity flow of liquefied sediment is a phenomenon triggered by a
significant coastal liquefaction, which is then followed by the collapse Landslides 16 & (2019) 195 Fig. 1 a Spatial distribution of the epicenters of the Sulawesi earthquake and aftershocks within 3 days (USGS 2018). b The fault crosses the Palu Bay and Palu city in the
North-South direction (Valkaniotis 2018). c The areas of tsunami inundation and landslides are marked (satellite image: Digital Globe Open data Program 2018). Destructive tsunamis struck the coastal area (d) and kilometer-scale landslides (e) occurred in several places (photos: Reuters (2018), both locations are shown in b and c,
respectively)
News/Kyoto Commitment News/Kyoto Commitment News/Kyoto Commitment / y Fig. 1 a Spatial distribution of the epicenters of the Sulawesi earthquake and aftershocks within 3 days (USGS 2018). b The fault crosses the Palu Bay and Palu city in the
North-South direction (Valkaniotis 2018). c The areas of tsunami inundation and landslides are marked (satellite image: Digital Globe Open data Program 2018). Destructive tsunamis struck the coastal area (d) and kilometer-scale landslides (e) occurred in several places (photos: Reuters (2018), both locations are shown in b and c,
respectively) Fig. 1 a Spatial distribution of the epicenters of the Sulawesi earthquake and aftershocks within 3 days (USGS 2018). b The fault crosses the Palu Bay and Palu city in the
North-South direction (Valkaniotis 2018). c The areas of tsunami inundation and landslides are marked (satellite image: Digital Globe Open data Program 2018). Destructive tsunamis struck the coastal area (d) and kilometer-scale landslides (e) occurred in several places (photos: Reuters (2018), both locations are shown in b and c,
respectively) maximum flow depth of 3 m and a greater inundation height at
the coast (Hornbach et al. 2010). The Haiti case shares three
important characteristics with the present Sulawesi case: (1) both
were strike-slip fault earthquakes, (2) substantial tsunamis, and (3)
liquefactions occurred. Further, the Haiti coastal geography also
shares the same basic features with the Palu bay, such as the
average sea bottom slope of 1:5, namely, a 200-m water depth is
reached at 1 km offshore distance (Badan Informasi Geospasial
2018a). For the purpose of comparison, the Haiti coast and the
Palu coast before and just after the earthquake are shown side by
side in Fig. 3 on the same spatial scale. Features of liquefied gravity flows The comparison, together
with the results and evidence obtained from the field investiga-
tions conducted at the Palu coast, described above, indicate that
essentially the same phenomena occurred at both coasts. Namely,
the strong strike-slip fault earthquake caused liquefaction, trigger-
ing the total collapse of the coastal land and its flow that resulted
in a substantial tsunami. of the liquefied soil under gravity. It is categorized as a coastal/
submarine landslide that transforms itself into a high-density gravity
flow and subsequently flows out over a long distance, leading to re-
deposition. The concurrent processes and the dynamics of liquefied
gravity flow that may have a significant impact on tsunami generation
are governed by two-phase physics (Sassa and Sekiguchi 2010, 2012). Liquefied gravity flow-induced tsunami: comparison with the past
disaster and analysis The 2010 Haiti earthquake, with a moment magnitude of 7.0,
represented a strike-slip fault earthquake that was unlikely to
produce significant tsunami, but nevertheless generated substan-
tial tsunamis at coastal areas. In the Haiti case, an extensive
liquefaction took place in the river delta area, and accordingly an
area of coastal land extending for 400 m in the along-shore
direction and 100 m in the cross-shore direction totally collapsed
and flowed away, generating a substantial tsunami with the Landslides 16 & (2019) 196 Liquefaction-induced remains of sand boils with fines content:
Left: This earthquake, Right: 2018 Hokkaido Eastern Iburi Earthquake
Liquefaction-induced
floatation and burial of
pipes Sand boils at a sheltered area
Liquefaction-induced remains of sand boils with fines content:
Left: This earthquake, Right: 2018 Hokkaido Eastern Iburi Earthquake
Liquefied area
Liquefaction-induced
floatation and burial of
pipes
Surficial remains of sand boils
Palu
Epicenter: 77km north of Palu
2km
Fig. 2 Evidence of extensive coastal liquefaction along Palu coast Liquefaction-induced
floatation and burial of
pipes Liquefaction-induced
floatation and burial of
pipes Liquefaction-induced remains of sand boils with fines content:
Left: This earthquake, Right: 2018 Hokkaido Eastern Iburi Earthquake Liquefaction-induced remains of sand boils with fines content:
Left: This earthquake, Right: 2018 Hokkaido Eastern Iburi Earthquake Sand boils at a sheltered area
Surficial remains of sand boils Liquefied area Liquefied area Sand boils at a sheltered area Sand boils at a sheltered area Surficial remains of sand boils Surficial remains of sand boils Sand boils at a sheltered area
Surficial remains of sand boils ed area
Surficial remains of sand boils Fig. 2 Evidence of extensive coastal liquefaction along Palu coast A notable difference between the 2010 Haiti earthquake and
the 2018 Sulawesi earthquake is that such liquefaction-induced
total collapse and the subsequent flow of coastal land occurred not only at one place, as in the Haiti earthquake, but at several
(at least nine) places, simultaneously causing multiple substan-
tial tsunamis throughout the bay and coastal areas, as shown in Palu Coast 2018
Haiti Coast 2010
100m
After earthquake: October 1
Coastal land
disappeared
Before earthquake: August 22
100m
Fig. 3 Comparison of the Haiti coast (Hornbach et al. 2010) and the Palu coast (Reuters Graphics 2018) before and just after the Haiti and Sulawesi earthquakes. Liquefied gravity flow-induced tsunami: comparison with the past
disaster and analysis For the
purpose of clarity, a white dotted line has been added at the land-sea interface on the image taken on 25 January 2010 of Hornbach et al. (2010) Palu Coast 2018
Before earthquake: August 22 Palu Coast 2018 Palu Coast 2018
After earthquake: October 1
Before earthquake: August 22
100m Haiti Coast 2010 Haiti Coast 2010 Before earthquake: August 22 After earthquake: October 1 Fig. 3 Comparison of the Haiti coast (Hornbach et al. 2010) and the Palu coast (Reuters Graphics 2018) before and just after the Haiti and Sulawesi earthquakes. For the
purpose of clarity, a white dotted line has been added at the land-sea interface on the image taken on 25 January 2010 of Hornbach et al. (2010) Landslides 16 & (2019) 197 News/Kyoto Commitment News/Kyoto Fig. 4 a Bathymetry of Palu Bay (Badan Informasi Geospasial 2018a) and the locations of major coastal retreat (A–F). b Comparisons of satellite images before and after
the earthquake (A, Sep. 27: CNES/Airbus 2018; A, Oct. 1 and B–F: Digital Globe Open data Program 2018). Significant coastal retreat areas are indicated by white arrows
(No. 1–9). c Aerial photos of multiple tsunami occurrence at the areas E and F, taken just after the earthquake by Mafella (2018). Interpreted sketches are shown aside. The
black arrows indicate tsunami fronts and the arrows with numbers 7–9 match those with the same numbers in the satellite images of areas E and F in b. White caps of
breaking waves are shown on the land side of the tsunami fronts Fig. 4 a Bathymetry of Palu Bay (Badan Informasi Geospasial 2018a) and the locations of major coastal retreat (A–F). b Comparisons of satellite images before and af Fig. 4 a Bathymetry of Palu Bay (Badan Informasi Geospasial 2018a) and the locations of major coastal retreat (A–F). b Comparisons of satellite images before and after
the earthquake (A, Sep. 27: CNES/Airbus 2018; A, Oct. 1 and B–F: Digital Globe Open data Program 2018). Significant coastal retreat areas are indicated by white arrows
(No. 1–9). c Aerial photos of multiple tsunami occurrence at the areas E and F, taken just after the earthquake by Mafella (2018). Interpreted sketches are shown aside. The
black arrows indicate tsunami fronts and the arrows with numbers 7–9 match those with the same numbers in the satellite images of areas E and F in b. White caps of
breaking waves are shown on the land side of the tsunami fronts Landslides 16 & (2019) 198 Fig. 5 Analysis of the tidal measurements at Pantoloan. The 1-min-interval data was used for analysis of tsunami signals which were obtained by digitizing a tide chart
(Sudibyo 2018). Summary A summary of the findings from the present field investigations
and analysis of the 2018 Indonesia Sulawesi earthquake and tsu-
nami disasters is as follows. &
Our field investigation revealed new evidence of extensive
liquefaction in coastal areas, not only inland but also along
the coast. &
Significant coastal liquefaction resulted in liquefied sediment
flows, causing tsunami: liquefied gravity flow-induced tsunami. &
Integrated use of multiple field evidence, state-of-the-art
knowledge of liquefied gravity flows, and comparison with a
past disaster involving a strike-slip fault earthquake and tsu-
nami, together with analysis of tidal data, showed that the
liquefied gravity flows induced multiple tsunamis, and hence,
most of the earthquake and tsunami disasters in the 2018
Sulawesi earthquake stemmed from liquefaction. &
Integrated use of multiple field evidence, state-of-the-art
knowledge of liquefied gravity flows, and comparison with a
past disaster involving a strike-slip fault earthquake and tsu-
nami, together with analysis of tidal data, showed that the
liquefied gravity flows induced multiple tsunamis, and hence,
most of the earthquake and tsunami disasters in the 2018
Sulawesi earthquake stemmed from liquefaction. Analysis of the tidal data at Pantoloan (see the location in
Fig. 4(a)) shows that the long-period component with a peri-
od of about 1 h was 0.7 m in height, whereas the short-period
component with a period of a few minutes was 3.6 m in
height, as shown in Fig. 5. On the basis of the field evidence
and comparison described above, the results imply that only
16% of the tsunami amplitude was attributable to large-scale
tectonic processes, whereas the majority (84%) of the tsunami
amplitude was most likely due to the more concentrated
coastal and submarine landslides as characterized by liquefied
gravity flows. &
Considering liquefaction risks and taking appropriate mea-
sures are thus crucial for mitigating the impacts of future
earthquakes and tsunamis. Haiti Coast 2010 For extracting the astronomical tide, a long-term tide record with 2–3 min interval (Badan Informasi Geospasial 2018b) was used Fig. 5 Analysis of the tidal measurements at Pantoloan. The 1-min-interval data was used for analysis of tsunami signals which were obtained by digitizing a tide chart
(Sudibyo 2018). For extracting the astronomical tide, a long-term tide record with 2–3 min interval (Badan Informasi Geospasial 2018b) was used Fig. 4(a-c). From a comparison of satellite images (CNES/Airbus
2018; Digital Globe Open Data Program 2018) before and after
the earthquake, substantial levels of coastal retreat were detect-
ed (Fig. 4(b)). Places where major coastal retreat occurred are
indicated by white arrows. Additionally, direct observation of
tsunami occurrence in areas E and F are shown in Fig. 4(c). These captured images were taken from an airplane just after
the earthquake (Mafella 2018). Note that all of the locations 7, 8,
and 9 of tsunami occurrence marked by black arrows in the
images match the corresponding locations of major coastal
retreat. Therefore, Fig. 4(b), (c) shows evidence of the occur-
rence of multiple tsunamis exactly at locations where the above
phenomena took place. News/Kyoto Commitment Accessed 30 Oct 2018 Sudibyo M (2018) Wave record from the tidal station of the Pantoloan port, Palu city at
the time of tsunami event [twitter post], Retrieved from https://twitter.com/marufins/
status/1047467798996242433. Accessed 30 Oct 2018 Badan Informasi Geospasial (2018a) Contour map of Palu Bay, Retrieved from https://
cloud.big.go.id. Accessed 30 Oct 2018
Badan Informasi Geospasial (2018b) Real time tidal observation, Retrieved from http://
tides.big.go.id:8888/dash/. Accessed 30 Oct 2018
CNES/Airbus (2018) Satellite image of Labua, Sulawesi, Indonesia. Retrieved from http://
www.earth.google.com. Accessed 30 Oct 2018
Digital Globe Open data Program (2018) Satellite images of Palu and Donggala,
Sulawesi, Indonesia, Retrieved from https://www.digitalglobe.com/opendata/indone-
sia-earthquake-tsunami/. Accessed 30 Oct 2018
Hornbach MJ, Braudy N, Briggs RW, Cormier MH, Davis MB, Diebold JB, Dieudonne N,
Douilly R, Frohlich C, Gulick SPS, Johnson III HE, Mann P, McHugh C, Ryan-Mishkin K,
Prentice CS, Seeber L, Sorlien CC, Steckler MS, Symithe SJ, Taylor FW, Templeton J
(2010) High tsunami frequency as a result of combined strike-slip faulting and coastal
landslides. Nat Geosci 3:783–788 S. Sassa ()): T. Takagawa
Port and Airport Research Institute,
National Institute of Maritime, Port and Aviation Technology,
3-1-1 Nagase, Yokosuka, 239-0826, Japan
Email: sassa@pari.go.jp Acknowledgements The field investigation was conducted by the authors as members
of the mission team for damage and needs assessment of the Japan
International Cooperation Agency (JICA) in cooperation with the Landslides 16 & (2019) 199 News/Kyoto Commitment News/Kyoto Commitment Ministry of Land, Infrastructure, Transport and Tourism (MLIT),
Japan. Both authors would like to thank JICA and MLIT for their
assistance and cooperation during the field work. International Research Institute of Disaster Science (2018) 2018 Sulawesi earthquake and
tsunami, Retrieved from http://irides.tohoku.ac.jp/topics_disaster/2018sulawesi-
eq.html. Accessed 30 Oct 2018 International Research Institute of Disaster Science (2018) 2018 Sulawesi earthquake and
tsunami, Retrieved from http://irides.tohoku.ac.jp/topics_disaster/2018sulawesi-
eq.html. Accessed 30 Oct 2018 q
Mafella R (2018) Batik Air ID 6231 scheduled to depart at 17.55, door closed at 17.52
then pushed back. 18.02 after cleared for take off, tower building collapsed. [Instagram Post], Retrieved from https://www.instagram.com/p/BoRttnsn5po/?tak-
en-by=icoze_ricochet. Accessed 30 Oct 2018 q
Mafella R (2018) Batik Air ID 6231 scheduled to depart at 17.55, door closed at 17.52
then pushed back. 18.02 after cleared for take off, tower building collapsed. [Instagram Post], Retrieved from https://www.instagram.com/p/BoRttnsn5po/?tak-
en-by=icoze_ricochet. Accessed 30 Oct 2018 Funding information This work was supported in part by JSPS
KAKENHI Grant Numbers JP15H02265 and JP15H04052. Reuters (2018) Indonesia's quake-hit Sulawesi island from above, Retrieved from https://
www.reuters.com/news/picture/indonesias-quake-hit-sulawesi-island-fro-
idUSRTS23SN1. Accessed 30 Oct 2018 Reuters (2018) Indonesia's quake-hit Sulawesi island from above, Retrieved from https://
www.reuters.com/news/picture/indonesias-quake-hit-sulawesi-island-fro-
idUSRTS23SN1. Accessed 30 Oct 2018 Open Access This article is distributed under the terms of the
Creative Commons Attribution 4.0 International License (http://
creativecommons.org/licenses/by/4.0/), which permits unrestrict-
ed 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. Reuters Graphics (2018) Destruction in Palu, Regrieved from https://
fingfx.thomsonreuters.com/gfx/rngs/INDONESIA-QUAKE/010080MZ19R/index.html. Accessed 30 Oct 2018 Sassa S, Sekiguchi H (2010) LIQSEDFLOW: role of two-phase physics in subaqueous
sediment gravity flows. Soils Found 50(4):495–504 Sassa S, Sekiguchi H (2010) LIQSEDFLOW: role of two-phase physics in subaqueous
sediment gravity flows. Soils Found 50(4):495–504 Sassa S, Sekiguchi H (2012) Dynamics of submarine liquefied sediment flows: theory,
experiments and analysis of field behavior. Adv Nat Tech Hazards Res 31:405–416 Sassa S, Sekiguchi H (2012) Dynamics of submarine liquefied sediment flows: theory,
experiments and analysis of field behavior. Adv Nat Tech Hazards Res 31:405–416 Sudibyo M (2018) Wave record from the tidal station of the Pantoloan port, Palu city at
the time of tsunami event [twitter post], Retrieved from https://twitter.com/marufins/
status/1047467798996242433. References USGS (2018) Earthquake hazards program, Retrieved from https://earthquake.usgs.gov/
earthquakes/search/. Accessed 30 Oct 2018 USGS (2018) Earthquake hazards program, Retrieved from https://earthquake.usgs.gov/
earthquakes/search/. Accessed 30 Oct 2018 Badan Informasi Geospasial (2018a) Contour map of Palu Bay, Retrieved from https://
cloud.big.go.id. Accessed 30 Oct 2018
Badan Informasi Geospasial (2018b) Real time tidal observation, Retrieved from http://
tides.big.go.id:8888/dash/. Accessed 30 Oct 2018
CNES/Airbus (2018) Satellite image of Labua, Sulawesi, Indonesia. Retrieved from http://
www.earth.google.com. Accessed 30 Oct 2018
Digital Globe Open data Program (2018) Satellite images of Palu and Donggala,
Sulawesi, Indonesia, Retrieved from https://www.digitalglobe.com/opendata/indone-
sia-earthquake-tsunami/. Accessed 30 Oct 2018
Hornbach MJ, Braudy N, Briggs RW, Cormier MH, Davis MB, Diebold JB, Dieudonne N,
Douilly R, Frohlich C, Gulick SPS, Johnson III HE, Mann P, McHugh C, Ryan-Mishkin K,
Prentice CS, Seeber L, Sorlien CC, Steckler MS, Symithe SJ, Taylor FW, Templeton J
(2010) High tsunami frequency as a result of combined strike-slip faulting and coastal
landslides. Nat Geosci 3:783–788 Valkaniotis S (2018) Displacement from #Sentinel2 @CopernicusEU image frames
for the whole length of the #Palu #earthquake sequence. [twitter post]
Retrieved from https://twitter.com/SotisValkan/status/1047515941570007042. Accessed 30 Oct 2018 Valkaniotis S (2018) Displacement from #Sentinel2 @CopernicusEU image frames
for the whole length of the #Palu #earthquake sequence. [twitter post]
Retrieved from https://twitter.com/SotisValkan/status/1047515941570007042. Accessed 30 Oct 2018 Landslides 16 & (2019) 200
|
https://openalex.org/W4308457495
|
https://www.nature.com/articles/s41419-022-05390-8.pdf
|
English
| null |
CircFOXO3 protects against osteoarthritis by targeting its parental gene FOXO3 and activating PI3K/AKT-mediated autophagy
|
Cell death and disease
| 2,022
|
cc-by
| 13,231
|
1Department of Orthopedics, Shanghai Key Laboratory of Orthopedic Implant, Shanghai Ninth People’s Hospital, Shanghai Jiao Tong University School of Medicine, Shanghai
200011, China. 2Department of Oral Surgery, Shanghai Key Laboratory of Stomatology & Shanghai Research Institute of Stomatology, National Clinical Research Center for Oral
Diseases, Shanghai Ninth People’s Hospital, College of Stomatology, Shanghai Jiao Tong University School of Medicine, Shanghai 200011, China. 3These authors contributed
equally: Chen Zhao, Xiaodong Li, Guantong Sun. ✉email: feiyangyn@163.com; osteoclast2006@163.com
Edited by Professor Boris Zhivotovsky www.nature.com/cddis ARTICLE
OPEN
CircFOXO3 protects against osteoarthritis by targeting its
parental gene FOXO3 and activating PI3K/AKT-mediated
autophagy Osteoarthritis (OA) is a degenerative joint disorder causing pain and functional disability. Emerging evidence reveals that circular
RNAs (circRNAs) play essential roles in OA progression and development. This study aimed to investigate the role of a novel circRNA
factor, circFOXO3, in the progression of OA and elucidate its underlying molecular mechanism. The function of circFOXO3 in OA
and interaction between circFOXO3 and its downstream mRNA target, forkhead box O3 (FOXO3), were evaluated by western blot
(WB), immunofluorescence (IF), RNA immunoprecipitation, reverse transcription-quantitative PCR (RT-qPCR), and fluorescence
in situ hybridization (FISH). Upregulation of circFOXO3 and autophagic flux were detected both in vivo and in vitro by WB,
transmission electron microscopy (TEM), IF, and immunohistochemistry (IHC). A mouse model of OA was also used to confirm the
role of circFOXO3 in OA pathogenesis in vivo. Decreased expression of circFOXO3 in OA cartilage tissues was directly associated
with excessive apoptosis and imbalance between anabolic and catabolic factors of the extracellular matrix (ECM). Mechanistically,
circFOXO3 functioned in cartilage by targeting its parental gene FOXO3 and activating autophagy. Intra-articular injection of
lentivirus-circFOXO3 alleviated OA in the mouse model. In conclusion, our results reveal the key role played by circFOXO3 in OA
progression; circFOXO3 overexpression may alleviate apoptosis of chondrocytes and promote anabolism of the ECM via activation
of FOXO3 and autophagy, providing a potentially effective novel therapeutic strategy for OA. Cell Death and Disease (2022) 13:932 ; https://doi.org/10.1038/s41419-022-05390-8 Received: 21 June 2022 Revised: 26 October 2022 Accepted: 28 October 2022 INTRODUCTION CircRNAs are key regulators of
autophagy-related regulatory
networks in cancer, metabolic
diseases, and cerebrovascular diseases [12, 17, 18]. Therefore, we
hypothesized that the regulation of autophagy by circRNAs also
involved in OA. the incision was closed using sutures and disinfected. A sham operation
was performed in control animals in parallel by incising the medial knee
joint capsule. Two days following the surgery, 10 µl of lentivirus was
injected into the articular cavity via the trans-patella tendon approach. Eight weeks after the operation, the mice were sacrificed under anesthesia,
and their knee joints were dissected and processed for imaging and
histological evaluation. the incision was closed using sutures and disinfected. A sham operation
was performed in control animals in parallel by incising the medial knee
joint capsule. Two days following the surgery, 10 µl of lentivirus was
injected into the articular cavity via the trans-patella tendon approach. Eight weeks after the operation, the mice were sacrificed under anesthesia,
and their knee joints were dissected and processed for imaging and
histological evaluation. Afterwards,
to
investigate
whether
the
effect
of
circFOXO3
on
osteoarthritis progression and cartilage degeneration is FOXO3-depen-
dent,
the
recombinant
adenovirus
shFOXO3
was
constructed
and
packaged by OBiO Technology (Shanghai, China). The mice were randomly
divided into four groups (sham group, DMM group, DMM + circFOXO3
group and combined circFOXO3 overexpression and FOXO3 knockdown
group) with six mice in each group. Two days after the DMM surgery, the
stock solutions containing above virus (approximately 1 × 1010 plaque
formation unit (PFU)/ml) were slowly injected into right knee joint cavities
without solution spill. The subsequent process was the same as above. CircFOXO3 (has_circ_0006404, mmu_circ_0002207) is a newly
discovered circRNA derived from the parent gene forkhead box
O3 (FOXO3) and is involved in the regulation of apoptosis and cell
cycle. In cardiomyocytes, circFOXO3 binds to the inhibitor of DNA
binding 1, E2F transcription factor-1 (E2F1), focal adhesion kinase,
and hypoxia-inducible factor-1 alpha in the cytoplasm, affecting
their regulation of stress-related pathways and promoting the
aging of cardiomyocytes [19]. Among them, the transcription
factor E2F1 interacts with FOXO3 and participates in the
regulation of the cell cycle and apoptosis [19]. In tumor cells,
FOXO3 protein binds to circFOXO3, inhibiting the binding of
FOXO3 to E3 ubiquitin-protein ligase MDM2 (MDM2), and
promoting the enrichment of FOXO3 protein, thereby inducing
tumor cell apoptosis [20]. INTRODUCTION covalently closed continuous structures with neither 5′ caps nor 3′
polyadenylated tails, unlike linear RNAs. These molecules repre-
sent a new class of non-coding RNAs. Due to their unique
structure, circRNAs are highly stable, mainly distributed in the
cytoplasm, and highly conserved across species [9]. Recently,
various circRNAs have been implicated in OA. These circRNAs play
a protective role in chondrocytes by participating in multiple
pathways in OA, including resisting oxidative stress and inhibiting
apoptosis, to protect articular cartilage [10, 11]. However, few
circRNAs have been fully studied in articular cartilage. Novel
insights into OA treatment are expected through an in-depth
exploration of unknown circRNAs in chondrocytes. Osteoarthritis (OA) is a degenerative joint disease associated with
articular cartilage degeneration, subchondral bone sclerosis, and
osteophyte formation, and is the most common joint disease
worldwide [1, 2]. According to a World Health Organization survey,
approximately 10% of the global population suffers from varying
degrees of OA. Moreover, OA, cardiovascular disease, and tumors
are ranked as the three major causes of death affecting human
health today [3]. Risk factors for OA include advanced age, female
sex, previous joint damage, obesity, genetic susceptibility, and
congenital
deformities
[2,
4, 5]. Additionally,
mitochondrial
dysfunction, oxidative stress, and reduced autophagy can alter
chondrocyte function, promoting catabolic processes and cell
death during anabolic processes [6, 7]. Therefore, advancing our
understanding of the specific molecular mechanisms involved in
the initiation and progression of OA is critical for improving
prognosis and developing effective treatments. Among the many mechanisms that regulate circRNAs, the
regulation of autophagy has attracted our attention, because the
weakening of autophagic activity is an important contributor to
OA development [12, 13]. Autophagy involves the clearance of
damaged and dysfunctional macromolecules and organelles. It is a
cellular homeostatic mechanism that plays an important role in
energy and nutrient
regulation [14]. At the
cellular level,
dysregulation of autophagy leads to oxidative stress disorders,
abnormal gene expression, and abnormal cell death [15, 16]. p
g
p g
Recently, several studies have revealed the involvement of non-
coding RNAs, including circular RNAs (circRNAs), that are widely
present in the human transcriptome, in the occurrence and
development of human diseases [8]. CircRNAs are characterized by Official journal of CDDpress C. Zhao et al. 2 Therefore, identifying molecular targets with important regulatory
effects on autophagy may benefit OA treatment by improving
autophagy in chondrocytes. ATDC5 cell treatment To explore the expression level of circFOXO3-FOXO3 in ATDC5 chondro-
cytes, the chondrocytes were exposed to varying concentrations of IL-1β
(0, 5, 10, and 20 ng/ml) for 24 h and 10 µM of IL-1β for different durations
(0, 24, 48, and 72 h). In the functional study of circFOXO3 in vitro, the
chondrocytes were pre-exposed to Lv-circFOXO3 or small-interfering RNA
(siRNA) targeting circFOXO3 (si-circFOXO3) followed by treatment with IL-
1β (10 ng/ml) for 24 h. To assess the involvement of autophagy in
circFOXO3-mediated OA, ATDC5 chondrocytes were pretreated with Lv-
circFOXO3 and IL-1β (10 ng/ml) for 24 h. In this study, we quantitatively analyzed the content of
circFOXO3 in articular cartilage both in vitro and in vivo using
reverse transcription-quantitative polymerase chain reaction (RT-
qPCR) and fluorescence in situ hybridization (FISH) experiments,
respectively. Subsequently, we elucidated the functional role and
underlying molecular mechanisms of circFOXO3 in OA progres-
sion. This study paves the way for future research on circRNAs as
therapeutic targets for OA and an in-depth understanding of their
mechanisms of action. ATDC5 cell culture
h
ll l The ATDC5 cell line was used as a cellular model to assess chondrogenesis
in vitro [29]. The chondrogenic cell line ATDC5 was cultured as previously
described [30]. Mouse ATDC5 immortalized chondrocytes were purchased
from
Chinese
Academy
of
Sciences
(Shang’hai,
China)
and
were
maintained in DMEM/F12 supplemented with 5% fetal bovine serum
(FBS) and 1% penicillin-streptomycin (Gibco; Thermo Fisher Scientific,
Waltham, MA, USA) at 37 °C and 5% CO2. Before further experimental
processing, ATDC5 cells were treated with insulin-transferrin-selenium (ITS)
(Gibco) for 14 days. Western blot analysis y
Cultured cells were lysed using RIPA lysis buffer supplemented with
phosphatase and protease inhibitors (Roche Diagnostics, Basel, Switzer-
land). Total protein was quantified using a bicinchoninic acid assay
(Thermo Fisher Scientific) and then equal quantities of extracted protein
(20–30 µg) were separated via 12 or 15% sodium dodecyl sulfate-
polyacrylamide gel electrophoresis and electroblotted onto 0.22-µm PVDF
membranes (MilliporeSigma, Burlington, MA, USA). The membranes were
blocked using 5% BSA-PBS (Beyotime Biotechnology) at room temperature
(RT = 25 °C) for 1 h, and then incubated with primary antibodies (Cleaved
caspase-3, Cleaved PARP, BAX, BCL-2, Collagen II, MMP13, ADAMTS5). The
membranes were washed with Tris-buffered saline (TBS)-0.1% Tween 20
(TBST) and subsequently incubated with anti-rabbit IgG (H + L) secondary
antibody (cat. no. 5151; DyLight™800 4X PEG Conjugate; Cell Signaling
Technology; 1:5000) for 1 h at RT in the dark. After washing in TBST, protein Reagents g
Recombinant
mouse
interleukin-1
beta
(IL-1β)
was
acquired
from
Peprotech (Cranbury, NJ, USA), and dissolved in sterile phosphate-
buffered saline (PBS) containing 0.1% bovine serum albumin (BSA;
Beyotime Biotechnology, Shanghai, China) at a concentration of 10 µg/
ml. Primary antibodies against BCL-2 (B-cell lymphoma 2; no. 124; rabbit
monoclonal), BAX (BCL-2-associated X; no. D2E11; rabbit monoclonal),
Cleaved caspase-3 (no. Asp175; rabbit monoclonal), cleaved poly(ADP-
ribose) polymerase (PARP; no. Asp214; rabbit monoclonal), Beclin1 (no. D40C5; rabbit monoclonal), and β-actin (no. D6A8; rabbit monoclonal)
were purchased from Cell Signaling Technology (Danvers, MA, USA). Abcam (Cambridge, UK) provided the antibodies against matrix metallo-
protease (MMP13; ab39012), a disintegrin and metalloproteinase with
thrombospondin
motifs
5
(ADAMTS5;
ab41037),
and
collagen
II
(ab239007). While LC3 antibody (L8918) was purchased from Sigma-
Aldrich. INTRODUCTION The progression of OA is often
accompanied by the weakening of autophagic activity and
resulting increase in the level of apoptosis [6, 13, 21, 22]. FOXO3
is involved in the regulation of autophagy [23, 24]; however, the
role of circFOXO3 in chondrocytes has not yet been studied. Furthermore, circFOXO3 is involved in autophagy in various
tissues, including the brain [12] and myocardia [19]. Moreover, it is
also involved in autophagy regulation in cancer [25, 26]. However,
the role of circFOXO3 in the regulation of OA progression through
autophagy mechanisms is unknown. Lentivirus transfection The Lv-circFOXO3, Lv-FOXO3, and Lv-NC lentiviruses were purchased from
OBiO Technology (Shanghai, China). Cells were transfected at 30–50%
confluency. After 12 h, >95% of cells were viable. The medium was
changed, and cells were passaged after three days. After storing a portion
of the cells, the remaining cells were used for further experiments. Transfection efficiency was assessed by western blotting. siRNA transfection The si-circFOXO3, si-FOXO3, and si-NC siRNAs were acquired from
Genomeditech (Shanghai, China). Cells were inoculated and cultured in
six-well plates for 24 h to achieve a cell density of 60–70%. Next, 50 nM of
control or siRNA duplexes were added according to the Lipofectamine
3000 siRNA transfection system (Thermo Fisher Scientific, Waltham, MA,
USA). The
gene
knockdown
effect
was
verified
by
western
blot
experiments. Micro-computed tomography (micro-CT) scanning p
g
p y (
)
g
A high-resolution micro-CT scanner (μCT-100, SCANCO Medical AG,
Wangen-Brüttisellen, Switzerland) was used to perform the micro-CT
scanning. The μCT-100 software (v6.5-3, SCANCO Medical AG) was used for
three-dimensional (3D) knee reconstruction and image capture. RNA extraction and RT-qPCR q
Total RNA was extracted from cultured cells using TRIzol® reagent (Invitrogen,
Waltham, MA, USA) according to the manufacturer’s instructions. Comple-
mentary DNA (cDNA)
was reverse
transcribed using TaKaRa
reverse
transcription reagents (TaKaRa Bio Inc., Kusatsu, Shiga, Japan) and RT-qPCR
was performed using the Real-Time PCR Mix (TaKaRa Bio Inc.) on a light cycler
(Roche Diagnostics) with the following primers: circFOXO3 (forward primer 5′-
GTGGGGAACTTCACTGGTGCTAAG-3′ and reverse primer 5′-GGGTTGATGATC-
CACCAAGAGCTCTT-3′), FOXO3 (forward primer 5′-AAACGGCTCACTTTGTCCCA-
GATC-3′ and reverse primer 5′-CCTCGGCTCTTGGTGTACTTGTTG-3′), autophagy-
related gene 5 (ATG5; forward primer 5′-CATCCACTGGAAGAATGACAG-3′ and
reverse primer 5′-TGATGCAAGAAGATCAAATAG-3′), Beclin1 (forward primer 5′-
TTTTCTGGACTGTGTGCAGC-3′
and
reverse
primer
5′-GCTTTTGTCCACTG
CTCCTC-3′), microtubule-associated proteins 1A/1B light chain (LC3; forward
primer 5′-GATGTCCGACTTATTCGAGAGC-3′ and reverse primer 5′-TTGAGCTG-
TAAGCGCCTTCTA-3′),
and
glyceraldehyde-3-phosphate
dehydrogenase
(GAPDH;
forward
primer
5′-CGACTTCAACAGCAACTCCCACTCTTCC-3′
and
reverse primer 5′-TGGGTGGTCCAGGGTTTCTTACTCCTT-3′). Target gene expres-
sion levels were determined using the 2-ΔΔCq method [31], with GAPDH as the
internal reference control. FISH Cy-3-labeled circFOXO3 probes were constructed by Servicebio. (Wuhan,
China). Cells were seeded in 12-well plates with sterile glass lids and
processed overnight. Cells were then fixed with PBS containing 37%
formaldehyde for 15 min at 25 °C and dehydrated with 70% ethanol for 1 h
at 4 °C. Slides were hybridized for 14–16 h at 37 °C. Hybridization buffer for
RNA-FISH dissolves the probe at a concentration of 20 nM. After 6–8 h
hybridization, the slides were washed with 10% formamide/2X saline-
sodium citrate for 30 min on a shaker at 37 °C, and washed thrice with PBS
and 0.1% (v/v) Tween 20. Cells were then stained using Alexa Fluor 546-
conjugated streptavidin for 1 h at RT. Coverslips were re-stained with DAPI,
mounted with ProLong Gold antifade reagent, and imaged using a
DM4000 B epifluorescence microscope (Leica Microsystems GmbH). For
FISH of in vivo samples, biopsies were performed at 37 °C under 0.8%
pepsin treatment prior to hybridization. Sections were then dewaxed,
rehydrated, and infiltrated for 30 min. RNA treatment with RNase R and PCR For samples requiring linear RNA depletion, total RNA (2 mg) was treated
with or without 3 U/mg RNase R (RNR07250; Epicentre Technologies-
Illumina, San Diego, CA, USA) at 37 °C for 20 min. RT-qPCR was then
performed. The relative expression of circFoxO3 or FOXO3 was quantified
using the comparative CT method (2-ΔΔCq) and normalized to GAPDH. Terminal deoxynucleotidyl transferase deoxyuridine
triphosphate nick-end labeling (TUNEL) staining assay g
g
y
TUNEL staining was performed using the colorimetric TUNEL apoptosis
assay kit (Beyotime Biotechnology) according to the manufacturer’s
instructions. Briefly, cartilage specimens or cells were fixed in 4%
paraformaldehyde, embedded in paraffin, and sectioned at 5 μm. The
sections were then deparaffinized in xylene and ethanol and rehydrated
with proteinase K. After washing thrice with PBS, the sections were
incubated with the TUNEL reaction mixture for 2 h at 37 °C in a moist
chamber. The nuclei were stained using DAPI. All images were acquired
using
a
DM4000
B
epifluorescence
microscope
(Leica
Microsystems GmbH). High-density culture To assess chondrogenic differentiation, 1.5 × 105 ATDC5 were resuspended
in 10 µl incomplete MEM/F12 (Gibco) and seeded as micromasses at the
bottom of a 24-well plate. The cells were allowed to adhere for 1 h at 37 °C,
after which 0.5 ml MEM/F12 containing 10 ng/ml ITS and 2% FBS were
added. All media were refreshed on alternate days, and after 14 days, the
micromasses were stained with Alcian blue for 24 h at RT. Digital images
were captured using a light microscope at ×7.8 magnification (DM4000 B;
Leica Microsystems GmbH, Wetzlar, Germany). Immunofluorescence (IF) (
)
For IF assessment, ATDC5 cells were cultured on slides seeded on a six-well
plate. At 10% confluence, the cells were stimulated with IL-1β for 24 min at
37 °C, with or without lentivirus or siRNA pretreatment. The slides were
then fixed using 4% paraformaldehyde at RT for 48 h, and then immersed
in PBS (pH 7.4) and washed thrice for 5 min each. Autofluorescence
quencher was added to the sections for 5 min, which were then blocked
using a blocking buffer (Cell Signaling Technology) for 30 min at RT. The
slides were subsequently incubated with primary antibodies in a wet box
at 4 °C overnight. Anti-collagen II, anti-MMP13, or anti-LC3B primary
antibody was used at a 1:100 dilution. The following day, the slides were
washed using PBS and incubated with a recombinant Alexa Fluor 555 anti-
mannose-6-phosphate receptor antibody (ab203438) for 50 min at RT in
the dark. Subsequently, the slides were washed using PBS and incubated
with DAPI solution (Merck KGaA, Darmstadt, Germany) for 5 min at RT in
the dark to stain cell nuclei. After a final PBS wash, the samples were air-
dried and sealed with anti-fluorescence quenching tablets. Digital
fluorescence images were captured using a DM4000 B epifluorescence
microscope (Leica Microsystems GmbH) at ×10 and ×20 magnifications,
and interocular distance measurements were obtained using the Image
Pro Plus 6.0 software (Media Cybernetics, Inc., Rockville, MD, USA). RNA immunoprecipitation (RIP) RIP experiments were performed using the Magna RIP RNA-Binding Protein
Immunoprecipitation Kit (MilliporeSigma). Approximately 1 × 107 cells
were sedimented and resuspended with an equal pellet volume of RIPA
lysis buffer supplemented with a protease inhibitor cocktail and RNase
inhibitors. Cell lysates were incubated with 5 µg of antibody against FOXO3
(no. 75D8; rabbit monoclonal) or control IgG-coated beads and mixed by
rotation at 4 °C overnight. After treating with proteinase K buffer, the
immunoprecipitated RNAs were extracted using a RNeasy MinElute
Cleanup Kit (Qiagen, Hilden, Germany) and reverse transcribed using the
Prime-Script RT Master Mix (TaKaRa Bio Inc.). The abundance of circFOXO3
was detected using RT-qPCR. Animal models Eight-week-old male C57BL/6 mice (n = 48) were used for in vivo
experiments. To create a post-traumatic OA model (positive control
group), we performed medial meniscus destabilization (DMM) surgery as
previously described [27, 28]. Mice were randomly divided into four groups
with six mice per group: sham + vector, DMM + vector, DMM + control
lentivirus (Lv-NC), and DMM + circFOXO3 lentivirus (Lv-circFOXO3). Briefly,
mice were anesthetized, and their medial joint capsules were incised to
expose the medial meniscotibial ligament (MMTL). The MMTL was then
severed using microsurgical scissors to release the ligaments attached to
the tibial plateau, thereby destabilizing the medial meniscus. After surgery, Cell Death and Disease (2022) 13:932 C. Zhao et al. 3 were imaged using a JEM-1400 electron microscope (JEOL Ltd., Akishima,
Tokyo, Japan). immunoreactivity was detected using the Odyssey Fluorescence Imaging
system (LI-COR Biosciences, Lincoln, NE, USA). Semi-quantitative analysis of
protein band intensity was conducted using the ImageJ v1.8.0 software
(National Institutes of Health) and normalized to the intensity of the
internal loading control, β-actin. Cell counting kit-8 (CCK-8) cell proliferation assay Cell counting kit 8 (CCK 8) cell proliferation assay
For the cell proliferation assay, cells were transfected with siRNA or
lentivirus for 24 h, then seeded onto 96-well plates at a density of 1 × 104
cells/well and incubated for 24 h. At the end time point, cell proliferation
was detected using a CCK-8 assay (Sigma-Aldrich, St. Louis, MO, USA). Absorbance at 450 nm (mean optical density) was measured using an
Infinite M200 Pro multimode microplate reader (Tecan Group, Ltd.,
Männedorf, Switzerland). Radiographic analysis Digital X-ray imaging of the right lower limbs was performed according to
the manufacturer’s instructions [32] in the anteroposterior axis with a 21
lp/mm detector that provided up to 5X geometric magnification (Faxitron
VersaVision; Faxitron Bioptics LLC, Tucson, AZ, USA). CircFOXO3 expression is lower in OA tissue than in control
and is predominantly localized in the cytoplasm CircFOXO3 expression is lower in OA tissue than in control
and is predominantly localized in the cytoplasm and is predominantly localized in the cytoplasm
We detected the expression of circFOXO3 in a mouse model of OA
cartilage caused by destabilization via DMM surgery. Eight weeks
after surgery, we observed decreased proteoglycan staining (red)
and a rough surface in the articular cartilage in OA mice compared
with that in sham mice, suggesting cartilage matrix degeneration
(Fig. 1A). Moreover, RNA-FISH of cartilage sections indicated that
the increased degradation of cartilage corresponded to decreased
expression of circFOXO3 in chondrocytes in OA animals compared
with that in the sham group (Fig. 1B). Considering the correlation
between joint damage and the degree of arthritis and inflamma-
tion, we hypothesized that the expression level of circFOXO3 is
also reduced in an inflammatory environment. This hypothesis
was confirmed by RT-qPCR analysis which detected down-
regulated circFOXO3 RNA levels in the ATDC5 chondrocytes
in vitro, whether treated with different concentrations of IL-1β for
24 h or with 10 ng/ml IL-1β for different time periods, compared
with that in the control (Fig. 1C). Taken together, these results
revealed that circFOXO3 expression was negatively associated
with OA severity. y
To further explore the therapeutic effect of circFOXO3, an
overexpression virus (lentivirus) was constructed and transfected
in ATDC5 chondrocytes to upregulate circFOXO3 expression (Fig. 3A). Decreased proteoglycan synthesis induced by IL-1β stimula-
tion was rescued by overexpression of circFOXO3 (Fig. 3B). We
then performed gain-of-function experiments and found that
overexpression of circFOXO3 increased the viability of ATDC5
chondrocytes compared with that in the controls, as revealed by
the CCK-8 assay (Fig. 3C). Western blot and IF results showed that
treatment with IL-1β promoted the expression of BAX, Cleaved
caspase-3, Cleaved PARP, MMP13, and ADAMTS5 while decreasing
that of BCL-2 and Collagen II compared with that in the controls. Additionally, our results demonstrate that the overexpression of
circFOXO3 antagonized the effects of IL-1β (Fig. 3D–G, J, K). TUNEL
staining also revealed a rescue effect of circFOXO3 overexpression
on apoptosis (Fig. 3H, I). Taken together, these results indicate that
circFOXO3 protects against OA by regulating cell proliferation,
apoptosis, and ECM metabolism in chondrocytes. Comparison between the circFOXO3 sequences acquired from
circBase (mmu_circ_0002207)
and FOXO3 mRNA sequences
revealed that circFOXO3 was looped and comprised exon 2 of
its parental gene, and its head-to-tail splicing was further
confirmed by Sanger sequencing (Fig. 1D). CircFOXO3 regulates cell viability, apoptosis, and extracellular
matrix (ECM) metabolism in ATDC5 chondrocytes CircFOXO3 regulates cell viability, apoptosis, and extracellular
matrix (ECM) metabolism in ATDC5 chondrocytes
To investigate the role of circFOXO3 in regulating matrix-
degrading
enzymes
and
apoptosis,
we
transfected
ATDC5
chondrocytes with three circFOXO3 siRNAs. RT-qPCR confirmed
the success of circFOXO3 knockdown (Fig. 2A). Fixed lower limb samples were embedded in paraffin as described above,
sectioned into 8-µm slices, and subjected to an immunohistochemistry kit
(cat. no. G1215-200T; Servicebio Technology Co.) according to the
manufacturer’s instructions. The sections were incubated with primary
antibodies (COL2, MMP13 and LC3) at 4 °C overnight. The following day,
the slides were washed using PBS and incubated with goat anti-mouse/
rabbit IgG horseradish peroxidase-polymer (cat. no. 91196; anti-rabbit;
1:500; Cell Signaling Technology) for 30 min at RT using 3,3′-diaminoben-
zidine as the chromogen. Digital images were captured using a DM4000 B
microscope (Leica Microsystems GmbH) at ×10 and ×20 magnification, and
positively stained cell measurements were obtained using the Image Pro
Plus 6.0 software. To investigate the role of circFOXO3 in regulating matrix-
degrading
enzymes
and
apoptosis,
we
transfected
ATDC5
chondrocytes with three circFOXO3 siRNAs. RT-qPCR confirmed
the success of circFOXO3 knockdown (Fig. 2A). The inhibition of circFOXO3 revealed disturbances in ATDC5
chondrocyte
function
and
reduced
proteoglycan
synthesis
assessed by high-density cell culture and Alcian blue staining
compared with that in controls (Fig. 2B). We then assessed the
effect of circFOXO3 on ATDC5 chondrocyte viability using the
CCK-8 assay. The results showed that knockdown of circFOXO3
expression reduced chondrocyte viability compared with that in
the control (Fig. 2C). OA is a well-known disease closely related to
apoptosis. Therefore, the effects of circFOXO3 inhibition on IL-
1β-induced ATDC5 apoptosis were further examined. As shown in
Fig. 2D, E, inhibition of circFOXO3 significantly enhanced the
expression
of
Cleaved
PARP,
Cleaved
caspase-3,
and
BAX
compared with that in controls, whereas the expression of BCL-2
was downregulated in knockdown ATDC5 chondrocytes. TUNEL
staining further demonstrated that circFOXO3 regulates apoptosis
(Fig. 2H, I). CircFOXO3 expression is lower in OA tissue than in control
and is predominantly localized in the cytoplasm However, head-to-tail
splicing may be produced by trans-splicing or genomic rearrange-
ment. For the next experiments, it was necessary to rule out these
two possibilities. Therefore, we further designed convergent
primers to amplify FOXO3 mRNA and divergent primers to
amplify circFOXO3. CircFOXO3 was shown to only be amplified
by divergent primers and was detected in cDNA but not in Histological staining Autophagic vacuoles in ATDC5 cells were imaged using TEM. In brief, the
samples were fixed with 2.5% glutaraldehyde and 1% osmium tetroxide in
0.2 mol/l sodium phosphate buffer for 12 h. After dehydration in graded
ethanol (50, 75, and 95%), the samples were cut into 70-nm-thick sections
and stained using uranyl acetate and lead citrate. The autophagic vacuoles Fixed lower limb samples were embedded in paraffin and histologically
sectioned
(5-µm
thickness). For
histological
assessment,
paraffin-
embedded tissue sections were processed for safranin-O-fast green and
hematoxylin and eosin (H&E) staining (Servicebio Technology Co., Wuhan, Cell Death and Disease (2022) 13:932 C. Zhao et al. 4 genomic DNA (gDNA), whereas FOXO3 mRNA was amplified by
convergent primers both in cDNA and gDNA (Fig. 1E). Further-
more, the mRNA level of FOXO3 was significantly downregulated
after RNase R treatment compared with that in the control, but
circFOXO3 was resistant to RNase R treatment due to its covalently
closed-loop structure (Fig. 1F). RNA-FISH experiments revealed
that circFOXO3 was predominantly localized in the cytoplasm
rather than the nucleus (Fig. 1G). Together, these results indicate
that the expression of the circFOXO3 is downregulated with the
progression of OA and inflammation, and is primarily localized in
the cytoplasm, thus circFOXO3 may play a role in regulating OA
progression. genomic DNA (gDNA), whereas FOXO3 mRNA was amplified by
convergent primers both in cDNA and gDNA (Fig. 1E). Further-
more, the mRNA level of FOXO3 was significantly downregulated
after RNase R treatment compared with that in the control, but
circFOXO3 was resistant to RNase R treatment due to its covalently
closed-loop structure (Fig. 1F). RNA-FISH experiments revealed
that circFOXO3 was predominantly localized in the cytoplasm
rather than the nucleus (Fig. 1G). Together, these results indicate
that the expression of the circFOXO3 is downregulated with the
progression of OA and inflammation, and is primarily localized in
the cytoplasm, thus circFOXO3 may play a role in regulating OA
progression. Hubei, China) at RT for 2–5 min, according to the manufacturer’s
instructions. Histological staining The Osteoarthritis Research Society International (OARSI)
score was based on the safranin-O-fast green staining of each specimen
[33]: 0, normal; 0.5, loss of safranin-O without structural changes; 1, small
fibrillations without loss of cartilage; 2, vertical clefts down to the layer
immediately below the superficial layer and some loss of surface lamina; 3,
vertical clefts/erosion to the calcified cartilage extending to <25% of the
articular surface; 4, vertical clefts/erosion to the calcified cartilage
extending to 25–50% of the articular surface; 5, vertical clefts/erosion to
the calcified cartilage extending to 50–75% of the articular surface; and 6,
vertical clefts/erosion to the calcified cartilage extending to >75% of the
articular surface. Statistical analysis All data were collected from at least three independent experiments or
repeated measures. Differences between two groups were analyzed using
the Student’s t-test while those between multiple groups were analyzed
using one-way analysis of variance and Tukey’s multiple comparison test. The results are presented as the mean ± standard deviation, and statistical
significance was set at p < 0.05. All statistical analyses were performed
using the Graph Pad Prism 9.0 software. RESULTS We also found that circFOXO3 deficiency significantly down-
regulated Collagen II expression, whereas protein levels of the
matrix catabolic enzymes MMP13 and ADAMTS5 were significantly
upregulated in knockdown ATDC5 chondrocytes compared with
those in the controls (Fig. 2F, G). IF further demonstrated that
circFOXO3 knockdown affected IL-1β-stimulated collagen II and
MMP13 expression in ATDC5 cells (Fig. 2J, K). These data suggest
that circFOXO3 knockdown promotes cell apoptosis and catabo-
lism in ATDC5 chondrocytes. The downstream molecule FOXO3 regulates apoptosis and
ECM metabolism in ATDC5 chondrocytes y
To further explore the role of the downstream targeting molecule
FOXO3 in OA, we generated three FOXO3 siRNAs and one
overexpression
virus
that
specifically
knocks
down
or Cell Death and Disease (2022) 13:932 C. Zhao et al. 5 CircFOXO3 exhibits lower expression in OA tissue and predominantly localized in the cytoplasm. A Safranin-O/fast green staining
&E staining of the cartilage from different groups. Scale bars, 100 µm and 50 µm. B Expression levels of circFOXO3 was detected by RNA
n C57BL/6 samples. Representative photomicrographs and fluorescence intensity of FISH are shown. Scale bar, 50 µm. C Expression of
XO3 after treating with IL-1β for different concentrations and time spans. (n = 3) *p < 0.05, **p < 0.01, ***p < 0.001, ****p < 0.0001. ger sequencing after PCR using the indicated divergent flanking primers confirmed the “head-to-tail” splicing of circFOXO3. E The
ce of circFOXO3 was validated in ATDC5s, circFOXO3 was amplified by divergent primers in cDNA but not gDNA. GAPDH was used as a
ve control. F After treating or without treating with RNase R, the expression of circFOXO3 and FOXO3 mRNA in ATDC5s were detected
qPCR. (n = 3) ****p < 0.0001. G RNA FISH showed that circFOXO3 was predominantly localized in the cytoplasm. CircFOXO3 probes were
d with Cy-3. The nuclei were stained with DAPI. Scale bar, 10 µm. Fig 1
CircFOXO3 exhibits lower expression in OA tissue and predominantly localized in the cytoplasm A Safranin O/fast green staining Fig. 1
CircFOXO3 exhibits lower expression in OA tissue and predominantly localized in the cytoplasm. A Safranin-O/fast green staining
and H&E staining of the cartilage from different groups. Scale bars, 100 µm and 50 µm. B Expression levels of circFOXO3 was detected by RNA
FISH in C57BL/6 samples. Representative photomicrographs and fluorescence intensity of FISH are shown. Scale bar, 50 µm. C Expression of
circFOXO3 after treating with IL-1β for different concentrations and time spans. (n = 3) *p < 0.05, **p < 0.01, ***p < 0.001, ****p < 0.0001. D Sanger sequencing after PCR using the indicated divergent flanking primers confirmed the “head-to-tail” splicing of circFOXO3. E The
presence of circFOXO3 was validated in ATDC5s, circFOXO3 was amplified by divergent primers in cDNA but not gDNA. GAPDH was used as a
negative control. F After treating or without treating with RNase R, the expression of circFOXO3 and FOXO3 mRNA in ATDC5s were detected
by RT-qPCR. The downstream molecule FOXO3 regulates apoptosis and
ECM metabolism in ATDC5 chondrocytes (n = 3) ****p < 0.0001. G RNA FISH showed that circFOXO3 was predominantly localized in the cytoplasm. CircFOXO3 probes were
labeled with Cy-3. The nuclei were stained with DAPI. Scale bar, 10 µm. Cell Death and Disease (2022) 13:932 C. Zhao et al. 6 presses FOXO3 in ATDC5 chondrocytes. Both RT-qPCR and
n blotting showed that FOXO3 was successfully knocked
or overexpressed at the RNA and protein levels compared
at in controls (Fig. S1A–C). Using the CCK-8 kit, we found
ockdown or overexpression of FOXO3 also significantly
d cell viability (Fig. S1D). Moreover, proteoglycan synthesis
arply reduced in si-FOXO3-treated ATDC5 chondrocytes
ed with that in controls (Fig. S1E). Our results also showed
that FOXO3 deficiency directly promoted apoptosis. As F
knockdown upregulated the expression levels of apop
associated proteins (BAX, Cleaved caspase-3, and Cleaved
and downregulated the expression of BCL-2, overexpressi
FOXO3 significantly reversed the effects of IL-1β simulation
S1F, G). Thus, the knockdown or overexpression of FOXO3 p
role in maintaining chondrocyte homeostasis similar to its r
apoptosis (Fig. S1H, I). However, FOXO3 overexpression alon
Cell Death and Disease (2022)13:932 overexpresses FOXO3 in ATDC5 chondrocytes. Both RT-qPCR and
western blotting showed that FOXO3 was successfully knocked
down or overexpressed at the RNA and protein levels compared
with that in controls (Fig. S1A–C). Using the CCK-8 kit, we found
that knockdown or overexpression of FOXO3 also significantly
affected cell viability (Fig. S1D). Moreover, proteoglycan synthesis
h
l
d
d
d
h
d
that FOXO3 deficiency directly promoted apoptosis. As FOXO3
knockdown upregulated the expression levels of apoptosis-
associated proteins (BAX, Cleaved caspase-3, and Cleaved PARP)
and downregulated the expression of BCL-2, overexpression of
FOXO3 significantly reversed the effects of IL-1β simulation (Fig. S1F, G). Thus, the knockdown or overexpression of FOXO3 plays a
l
h
d
h
l
l that FOXO3 deficiency directly promoted apoptosis. As FOXO3
knockdown upregulated the expression levels of apoptosis-
associated proteins (BAX, Cleaved caspase-3, and Cleaved PARP)
and downregulated the expression of BCL-2, overexpression of
FOXO3 significantly reversed the effects of IL-1β simulation (Fig. S1F, G). Thus, the knockdown or overexpression of FOXO3 plays a
role in maintaining chondrocyte homeostasis similar to its role in
apoptosis (Fig. S1H, I). However, FOXO3 overexpression alone did overexpresses FOXO3 in ATDC5 chondrocytes. The downstream molecule FOXO3 regulates apoptosis and
ECM metabolism in ATDC5 chondrocytes IF analysis of collagen II and MMP13
further indicated that FOXO3 mediated the degradation of the
ECM (Figs. S1M, N and S3C, D). The downstream molecule FOXO3 regulates apoptosis and
ECM metabolism in ATDC5 chondrocytes Both RT-qPCR and
western blotting showed that FOXO3 was successfully knocked
down or overexpressed at the RNA and protein levels compared
with that in controls (Fig. S1A–C). Using the CCK-8 kit, we found
that knockdown or overexpression of FOXO3 also significantly
affected cell viability (Fig. S1D). Moreover, proteoglycan synthesis
was sharply reduced in si-FOXO3-treated ATDC5 chondrocytes
compared with that in controls (Fig. S1E). Our results also showed Cell Death and Disease (2022) 13:932 C. Zhao et al. 7 Fig. 2
Knockdown of circFOXO3 on cell viability, apoptosis and ECM metabolism in ATDC5 chondrocytes. A The knockdown efficiency of
circFOXO3 in ATDC5 chondrocytes was detected by RT-qPCR. (n = 4) ****p < 0.0001. B Alcian blue staining of siRNA-treated ATDC5
chondrocytes. C Cell viability determined by CCK-8 assay. (n = 3) ****p < 0.0001. D Western blot analysis of Cleaved PARP, Cleaved caspase-3,
Bax, and Bcl2 when circFOXO3 was downregulated in ATDC5 chondrocytes. E The optical density analysis was performed from the results of
three independent experiments of western blot samples. *p < 0.05, **p < 0.01, ***p < 0.001, ****p < 0.0001. F Western blot analysis of MMP13,
ADAMTS5 and Collagen II when circFOXO3 was downregulated in ATDC5 chondrocytes. G The optical density analysis was performed from
the results of three independent experiments of western blot samples. *p < 0.05, **p < 0.01, ***p < 0.001. H, I ATDC5s proliferation activity was
detected by TUNEL staining when circFOXO3 was downregulated. Representative photomicrographs and quantitative data showing the
percentage of TUNEL-positive cells are shown. (n = 3) Scale bar, 200 µm. *p < 0.05, **p < 0.01. J, K Representative photomicrographs and
fluorescence intensity of IF of MMP13, and Collagen II in ATDC5s after treating with IL-1β (10 ng/ml) for 24 h and the worsening effects of
knockdown circFOXO3 on IL-1β. (n = 3) Scale bar, 25 µm. *p < 0.05, ***p < 0.001, ****p < 0.0001. the control (Fig. 5G). These results suggest that the anti-apoptotic
activity and function of circFOXO3 in regulating ECM metabolism
may be related to the promotion of autophagy. not alter the expression levels of MMP13, ADAMTS5, or collagen II
(Fig. S2). Furthermore, proteoglycan loss induced by IL-1β
stimulation was also rescued by overexpression of FOXO3 (Fig. S1J). TUNEL staining confirmed that FOXO3 regulates apoptosis
(Figs. S1K, L and S3A, B). CircFOXO3 overexpression upregulates autophagy by
inhibiting the PI3K/protein kinase B (AKT) pathway inhibiting the PI3K/protein kinase B (AKT) pathway
To explore the molecular mechanisms underlying the effects of
circFOXO3 on autophagy, we analyzed the level of the PI3K/AKT
pathway following different exposure times (Fig. 6G). IL-1β (10 ng/
ml) administration increased the ratio of p-PI3K/PI3K and p-AKT/
AKT in a time-dependent manner between 30 min and 1 h
compared with that in controls (Fig. 6G, H). However, over-
expression of circFOXO3 counteracted the activation of p-PI3K and
p-AKT in an inflammatory environment, suggesting that the
regulation of autophagy by circFOXO3 may be achieved via partial
inhibition of p-AKT activation. Furthermore, the LC3II/LC3I ratio
and Beclin1 degradation were both increased in ATDC5 cells
treated with 10 ng/ml IL-1β for 30 min to 1 h, while overexpression
of circFOXO3 rescued the expression of these two autophagy
markers compared with that in the control (Fig. 6G), suggesting
that inhibition of the PI3K/AKT pathway is a major feature of
circFOXO3-induced autophagy. CircFOXO3 enhances autophagy in IL-1β-treated ATDC5
chondrocytes y
Next, we investigated whether the role of circFOXO3 in OA was
achieved through the regulation of autophagy. Using RT-qPCR, we
found that Lv-circFOXO3-treated ATDC5 cells overexpressed
autophagy markers including ATG5, Beclin1, and LC3 (Fig. 5A)
compared with that in controls, and overexpressed LC3II and
Beclin1 as shown by western blotting (Fig. 5C, D) and IF staining of
LC3 (Fig. 5E, F). TEM confirmed that Lv-circFOXO3 increased the
number of autophagy-associated vesicles compared with that in
the control (Fig. 5G). In contrast, knockdown of circFOXO3 not
only downregulated the expression levels of autophagy markers
(Fig. 5B), but also reduced the formation of autophagy-related
vesicles at the electron microscopy level compared with that in Regulation of OA by circFOXO3 is FOXO3-dependent g
y
p
As the circFOXO3 level is abundant and stable in the cytoplasm,
we further investigated whether the regulation of cellular
metabolism by circFOXO3 is achieved by other genes, such as
the parental gene of circFOXO3. As predicted, RIP results indicated
that circFOXO3 was pulled down by the anti-FOXO3 antibody (Fig. 4A). RNA-protein colocalization in ATDC5 chondrocytes further
verified the interaction between FOXO3 and circFOXO3 (Fig. 4B). To further examine whether circFOXO3 functions in OA via
interaction with FOXO3, we co-infected cells with Lv-circFOXO3
and si-FOXO3. Overexpression of circFOXO3 rescued the reduction
in cell viability caused by IL-1β, however, the rescue effect of this
overexpression on cell viability was reversed by simultaneous
FOXO3 knockdown (Fig. 4C). The protein levels of BAX, Cleaved
caspase-3, and Cleaved PARP significantly increased while BCL-2
levels decreased in the cells co-infected with Lv-circFOXO3 and si-
FOXO3 compared with that in the cells infected with Lv-circFOXO3
alone (Fig. 4D, E). Regarding ECM metabolism, protein levels of
MMP13 and ADAMTS5 significantly increased while Collagen II
levels decreased in the cells co-infected with Lv-circFOXO3 and si-
FOXO3 compared with those in the cells infected with Lv-
circFOXO3 alone (Fig. 4F, G). The TUNEL staining results showed
that the rescue effect of circFOXO3 overexpression on apoptosis
was reversed by FOXO3 knockdown (Figs. 4H and S4A). IF analysis
also showed that the expression of COL2A1 decreased and
MMP13 levels increased in the cells treated with circFOXO3 and
FOXO3 expression inhibitors compared with those in the cells
treated with Lv-circFOXO3 (Figs. 4I and S4B, C). The conclusions
drawn from high-density cell culture and analysis of proteoglycan
synthesis are consistent with the above results (Fig. 4J). Overall,
the above results suggest that circFOXO3 regulates apoptosis and
extracellular matrix metabolism by targeting FOXO3. CircFOXO3 autophagy sensitively regulates the IL-1β-induced
ATDC5 chondrocyte arthritis phenotype y
p
yp
We hypothesized that the regulation of autophagic activity by
circFOXO3 may be involved in its regulation of chondrocyte
apoptosis and ECM homeostasis. To investigate this hypothesis, we
measured the levels of markers of apoptosis and ECM metabolism
in
ATDC5
chondrocytes
in
the
absence
and
presence
of
3-methyladenine
(3-MA),
an
inhibitor
of
phosphatidylinositol
3-kinase (PI3K) that blocks autophagosome formation, or chlor-
oquine (CQ), an inhibitor of autophagosome-lysosome fusion. The
results showed that overexpression of circFOXO3 increased the
protein level of Beclin1 and ratio of LC3II/I compared with that in
the control, again suggesting a regulatory effect on autophagy (Fig. 6A, B). Furthermore, the rescue of IL-1β-induced autophagy
inhibition by overexpression of circFOXO3 was reversed after the
addition of an autophagy inhibitor (Fig. 6A, B). The ability of
circFOXO3 to rescue the levels of apoptosis markers including BAX,
Cleaved caspase-3, Cleaved PARP, and BCL-2 (Fig. 6C, D) as well as
those of ECM metabolism markers including Collagen II, MMP13,
and ADAMTS5 (Fig. 6E, F) was significantly reduced in the presence
of the two autophagy inhibitors compared with that in control cells. These results suggest that the protective effect of circFOXO3 on
chondrocytes is dependent on its autophagy-enhancing function. Gene therapy with circFOXO3 preserves articular cartilage
integrity in a mouse OA model The mechanism identified above can potentially be applied in the
treatment of OA. To evaluate whether circFOXO3 can serve as a
target for OA therapy, a lentiviral vector encoding mouse
circFOXO3 and the surgical destabilization of the DMM model of
OA were used for animal studies in vivo (Fig. 7A). The lentivirus
encoding circFOXO3 was injected into the mice two days after Cell Death and Disease (2022) 13:932 3
Overexpression of circFOXO3 on cell viability, apoptosis and ECM metabolism in ATDC5 chondrocytes. A The ove
ciency of circFOXO3 in ATDC5s detected by qRT-PCR. (n = 4) ****p < 0.0001. B Alcian blue staining of lentivirus-trea
ndrocytes. C Cell viability determined by CCK-8 assay. (n = 3) **p < 0.01, ****p < 0.0001. D, E Western blot analysis of Cleaved PA
pase-3, Bax and Bcl2 when circFOXO3 was upregulated in ATDC5 chondrocytes. The optical density analysis was perform
ults of three independent experiments of western blot samples. *p < 0.05, **p < 0.01, ***p < 0.001. F, G Western blot analysis
AMTS5 and Collagen II when circFOXO3 was upregulated in ATDC5 chondrocytes. The optical density analysis was perform
ults of three independent experiments of western blot samples. *p < 0.05, ***p < 0.001. H, I ATDC5s proliferation activity was
NEL staining when circFOXO3 was overexpressed. Representative photomicrographs and quantitative data showing the pe
NEL-positive cells are shown. (n = 3) Scale bar, 200 µm. *p < 0.05, ***p < 0.001. J, K Representative photomicrographs and fl
nsity of IF of MMP13, and Collagen II in ATDC5s after treating with IL-1β (10 ng/ml) for 24 h and the saving effects of ov
FOXO3 on IL-1β. (n = 3) Scale bar, 25 µm. *p < 0.05, ***p < 0.001. C. Zhao et al. Cell Death and Disease (2022)13:932 C. Zhao et al. 8 Fig. 3
Overexpression of circFOXO3 on cell viability, apoptosis and ECM metabolism in ATDC5 chondrocytes. A The overexpression
efficiency of circFOXO3 in ATDC5s detected by qRT-PCR. (n = 4) ****p < 0.0001. B Alcian blue staining of lentivirus-treated ATDC5
chondrocytes. C Cell viability determined by CCK-8 assay. (n = 3) **p < 0.01, ****p < 0.0001. D, E Western blot analysis of Cleaved PARP, Cleaved
caspase-3, Bax and Bcl2 when circFOXO3 was upregulated in ATDC5 chondrocytes. The optical density analysis was performed from the
results of three independent experiments of western blot samples. Gene therapy with circFOXO3 preserves articular cartilage
integrity in a mouse OA model *p < 0.05, **p < 0.01, ***p < 0.001. F, G Western blot analysis of MMP13,
ADAMTS5 and Collagen II when circFOXO3 was upregulated in ATDC5 chondrocytes. The optical density analysis was performed from the
results of three independent experiments of western blot samples. *p < 0.05, ***p < 0.001. H, I ATDC5s proliferation activity was detected by
TUNEL staining when circFOXO3 was overexpressed. Representative photomicrographs and quantitative data showing the percentage of
TUNEL-positive cells are shown. (n = 3) Scale bar, 200 µm. *p < 0.05, ***p < 0.001. J, K Representative photomicrographs and fluorescence
intensity of IF of MMP13, and Collagen II in ATDC5s after treating with IL-1β (10 ng/ml) for 24 h and the saving effects of overexpressed
circFOXO3 on IL-1β. (n = 3) Scale bar, 25 µm. *p < 0.05, ***p < 0.001. Cell Death and Disease (2022) 13:932 C. Zhao et al. 9 lation of circFOXO3 on osteoarthritis is FOXO3-dependent. A RIP assay was performed to detect circFOXO3 levels in ATDC5
essing FOXO3. (n = 3) ***p < 0.001. B Representative images of circFOXO3 (red) and FOXO3 (green) labeled fluorescence in situ
ISH) staining. Scale bar, 10 µm. C Cell viability determined by CCK-8 assay. (n = 3) **p < 0.01, ***p < 0.001, ****p < 0.0001. t analysis of Cleaved PARP, Cleaved caspase-3, Bax and Bcl2 when Lv-circFOXO3 and si-FOXO3 were co-transfected. The optical
was performed from the results of three independent experiments of western blot samples. ***p < 0.001, ****p < 0.0001. ot analysis of MMP13, ADAMTS5 and Collagen II when Lv-circFOXO3 and si-FOXO3 were co-transfected. The optical density
rformed from the results of three independent experiments of western blot samples. *p < 0.05, **p < 0.01, ***p < 0.001,
H
TUNEL
staining
assay
was
conducted
on
the
ATDC5
chondrocytes,
as
treated
above. Scale
bar,
200 µm. scence staining of MMP13 and collagen II in ATDC5 chondrocytes as treated above. Scale bar, 25 µm. J Alcian blue staining
and si-FOXO3 co-transfected ATDC5 chondrocytes. 9 Fig. 4
The regulation of circFOXO3 on osteoarthritis is FOXO3-dependent. A RIP assay was performed to detect circFOXO3 levels in ATDC5
cells stably expressing FOXO3. (n = 3) ***p < 0.001. B Representative images of circFOXO3 (red) and FOXO3 (green) labeled fluorescence in situ
hybridization (FISH) staining Scale bar 10 µm C Cell viability determined by CCK 8 assay (n = 3) **p < 0 01 ***p < 0 001 ****p < 0 0001 Fig. 4
The regulation of circFOXO3 on osteoarthritis is FOXO3-dependent. A RIP assay was performed to detect circFOXO3 levels in ATDC5
cells stably expressing FOXO3. (n = 3) ***p < 0.001. B Representative images of circFOXO3 (red) and FOXO3 (green) labeled fluorescence in situ
hybridization (FISH) staining. Scale bar, 10 µm. C Cell viability determined by CCK-8 assay. (n = 3) **p < 0.01, ***p < 0.001, ****p < 0.0001. D, E Western blot analysis of Cleaved PARP, Cleaved caspase-3, Bax and Bcl2 when Lv-circFOXO3 and si-FOXO3 were co-transfected. The optical
density analysis was performed from the results of three independent experiments of western blot samples. ***p < 0.001, ****p < 0.0001. F, G Western blot analysis of MMP13, ADAMTS5 and Collagen II when Lv-circFOXO3 and si-FOXO3 were co-transfected. The optical density
analysis was performed from the results of three independent experiments of western blot samples. *p < 0.05, **p < 0.01, ***p < 0.001,
****p < 0.0001. H
TUNEL
staining
assay
was
conducted
on
the
ATDC5
chondrocytes,
as
treated
above. Scale
bar,
200 µm. I Immunofluorescence staining of MMP13 and collagen II in ATDC5 chondrocytes as treated above. Scale bar, 25 µm. J Alcian blue staining
of Lv-circFOXO3 and si-FOXO3 co-transfected ATDC5 chondrocytes. Cell Death and Disease (2022) 13:932 C. Zhao et al. 10 5
CircFOXO3 enhances autophagy in IL-1β-treated ATDC5 chondrocytes. A The expression levels of ATG5, Beclin1 and LC3 w
ected by qRT-PCR when circFOXO3 was overexpressed in ATDC5s. (n = 3) **p < 0.01, ***p < 0.001, ****p < 0.0001. B The expression level
5, Beclin1 and LC3 was detected by qRT-PCR when circFOXO3 was downregulated in ATDC5s. (n = 3) **p < 0.01, ***p < 0.0
p < 0.0001. C, D Western blot analysis of LC3 and Beclin1 when circFOXO3 was overexpressed in ATDC5 chondrocytes. The optical den
ysis was performed from the results of three independent experiments of western blot samples. ***p < 0.001, ****p < 0.0001. E
resentative photomicrographs and fluorescence intensity of IF of LC3 in ATDC5s after treating with IL-1β (10 ng/ml) for 24 h and the sav
cts of overexpressed circFOXO3 on IL-1β. (n = 3) Scale bar, 50 µm. ***p < 0.001, ****p < 0.0001. G Representative TEM images
ndrocytes treated with Lv-circFOXO3 or si-circFOXO3. Scale bars, 5 µm and 1 µm. Fig. 5
CircFOXO3 enhances autophagy in IL-1β-treated ATDC5 chondrocytes. A The expression levels of ATG5, Beclin1 and LC3 was
detected by qRT-PCR when circFOXO3 was overexpressed in ATDC5s. (n = 3) **p < 0.01, ***p < 0.001, ****p < 0.0001. B The expression levels of
ATG5, Beclin1 and LC3 was detected by qRT-PCR when circFOXO3 was downregulated in ATDC5s. (n = 3) **p < 0.01, ***p < 0.001,
****p < 0.0001. C, D Western blot analysis of LC3 and Beclin1 when circFOXO3 was overexpressed in ATDC5 chondrocytes. The optical density
analysis was performed from the results of three independent experiments of western blot samples. ***p < 0.001, ****p < 0.0001. E, F
Representative photomicrographs and fluorescence intensity of IF of LC3 in ATDC5s after treating with IL-1β (10 ng/ml) for 24 h and the saving
effects of overexpressed circFOXO3 on IL-1β. (n = 3) Scale bar, 50 µm. ***p < 0.001, ****p < 0.0001. G Representative TEM images of
chondrocytes treated with Lv-circFOXO3 or si-circFOXO3. Scale bars, 5 µm and 1 µm. Cell Death and Disease (2022) 13:932 autophagy sensitively regulates IL-1β-induced ATDC5 chondrocyte arthritis phenotype. A Re
in ATDC5 chondrocytes pretreated with Lv-circFOXO3 with or without IL-1β (10 ng/mL) in the p
mM) for 24 h. B quantitative analysis of the protein levels in Fig. 7B. (n = 3) *p < 0.05, **p < 0.01, *
Western blot of Cleaved PARP, Cleaved caspase-3, Bax and Bcl2 in ATDC5 chondrocytes pretreated
g/mL) in the presence or absence of CQ (50 μM) or 3-MA (5 mM) for 24 h. D quantitative analysis
5, **p < 0.01, ***p < 0.001, ****p < 0.0001. E Representative Western blot of MMP13, ADAMTS5
eated with Lv-circFOXO3 with or without IL-1β (10 ng/mL) in the presence or absence of CQ (5
ve analysis of the protein levels in Fig. 7F. (n = 3) *p < 0.05, **p < 0.01, ***p < 0.001, **
f PI3K/AKT and Beclin1, LC3 in ATDC5 chondrocytes infected with Lv-circFOXO3 with or wit
. H Quantitative analysis of the protein levels in Figure 8B. (n = 3) *p < 0.05, **p < 0.01, ***p < 0
C. Zhao et al. C. Zhao et al. 11 XO3 autophagy sensitively regulates IL-1β-induced ATDC5 chondrocyte arthritis phenotype. A Representative Western blot
LC3 in ATDC5 chondrocytes pretreated with Lv-circFOXO3 with or without IL-1β (10 ng/mL) in the presence or absence of CQ
MA (5 mM) for 24 h. B quantitative analysis of the protein levels in Fig. 7B. (n = 3) *p < 0.05, **p < 0.01, ***p < 0.001, ****p < 0.0001. ive Western blot of Cleaved PARP, Cleaved caspase-3, Bax and Bcl2 in ATDC5 chondrocytes pretreated with Lv-circFOXO3 with or
(10 ng/mL) in the presence or absence of CQ (50 μM) or 3-MA (5 mM) for 24 h. D quantitative analysis of the protein levels in Fig. < 0.05, **p < 0.01, ***p < 0.001, ****p < 0.0001. E Representative Western blot of MMP13, ADAMTS5 and Collagen II in ATDC5
pretreated with Lv-circFOXO3 with or without IL-1β (10 ng/mL) in the presence or absence of CQ (50 μM) or 3-MA (5 mM) for
titative analysis of the protein levels in Fig. 7F. (n = 3) *p < 0.05, **p < 0.01, ***p < 0.001, ****p < 0.0001. G PI3K/AKT,
on of PI3K/AKT and Beclin1, LC3 in ATDC5 chondrocytes infected with Lv-circFOXO3 with or without IL-1β (10 ng/mL) for
span. H Quantitative analysis of the protein levels in Figure 8B. 7
Gene therapy with circFOXO3 preserves articular cartilage integrity in a mouse OA model. A Schematic of the animal experiments
(for each group, n = 6, C57BL/6). B X-ray and 3D reconstruction images of micro- CT scanning of the knees. Scale bars, 2 mm and 1 mm. C OARSI scoring was performed according to staining results. (n = 6) *p < 0.05. D Safranin-O/fast green staining, H&E staining, TUNEL staining,
IHC staining and IF staining of cartilage from different groups. Scale bars, 20 μm. E Safranin-O/fast green staining, H&E staining, TUNEL
staining and IHC staining of cartilage from different groups. Scale bars, 20 μm. F Graphic abstract of our study. degenerative changes in the cartilage matrix, including the
enhanced
apoptotic
(TUNEL)
and
catabolic
responses
and
increased ECM composition in the OA mouse model compared
with that in the sham, as indicated by immunohistochemistry and
IF (Figs. 7D and S5A–C). Furthermore, using immunohistochemical
analysis of LC3B, we further showed that the regulatory effect of
circFOXO3 on OA progression is partly dependent on the
autophagy mechanism in vivo (Fig. 7D, figure S5D). And in vivo
experiments further proved that the regulation of circFOXO3 on
autophagy is achieved through the PI3K/AKT signaling (Figs. 7D
and S5E, F). These findings indicate that intra-articular circFOXO3
delivery may be a method for OA treatment, as it preserves
cartilage integrity in the OA environment in vivo. DMM surgery. Cartilage destruction was assessed eight weeks
after DMM surgery by H&E staining, safranin-O staining, and OARSI
grade. H&E and safranin-O staining showed that cartilage surfaces
in DMM-induced OA mice were improved after injection of
lentivirus encoding circFOXO3, but not mock lentivirus (Fig. 7D,
top two). Quantitative analysis using OARSI scoring also revealed
that Lv-circFOXO3 significantly lowered OARSI scores, whereas the
DMM surgery and mock virus groups did not show improvements
in the OARSI score (Fig. 7C). g
Micro-CT is widely used to measure bone tissue because of its
superiority over X-ray. Compared with the limitations of two-
dimensional images, micro-CT performs 3D reconstruction of bone
tissue, and more intuitively observes and measures data, such as
bone density, bone morphology, and bone trabecular structure
[34]. The 3D reconstruction of micro-CT and X-ray images
demonstrated an increase in the number of osteophytes in OA
mice compared with that in sham control mice, whereas
circFOXO3 intra-articular injection decreased osteophytes (Fig. 7B). (n = 3) *p < 0.05, **p < 0.01, ***p < 0.001, ****p < 0.0001. Fig. 6
CircFOXO3 autophagy sensitively regulates IL-1β-induced ATDC5 chondrocyte arthritis phenotype. A Representative Western blot
of Beclin1 and LC3 in ATDC5 chondrocytes pretreated with Lv-circFOXO3 with or without IL-1β (10 ng/mL) in the presence or absence of CQ
(50 μM) or 3-MA (5 mM) for 24 h. B quantitative analysis of the protein levels in Fig. 7B. (n = 3) *p < 0.05, **p < 0.01, ***p < 0.001, ****p < 0.0001. C Representative Western blot of Cleaved PARP, Cleaved caspase-3, Bax and Bcl2 in ATDC5 chondrocytes pretreated with Lv-circFOXO3 with or
without IL-1β (10 ng/mL) in the presence or absence of CQ (50 μM) or 3-MA (5 mM) for 24 h. D quantitative analysis of the protein levels in Fig. 7D. (n = 3) *p < 0.05, **p < 0.01, ***p < 0.001, ****p < 0.0001. E Representative Western blot of MMP13, ADAMTS5 and Collagen II in ATDC5
chondrocytes pretreated with Lv-circFOXO3 with or without IL-1β (10 ng/mL) in the presence or absence of CQ (50 μM) or 3-MA (5 mM) for
24 h. F quantitative analysis of the protein levels in Fig. 7F. (n = 3) *p < 0.05, **p < 0.01, ***p < 0.001, ****p < 0.0001. G PI3K/AKT,
Phosphorylation of PI3K/AKT and Beclin1, LC3 in ATDC5 chondrocytes infected with Lv-circFOXO3 with or without IL-1β (10 ng/mL) for
different time span. H Quantitative analysis of the protein levels in Figure 8B. (n = 3) *p < 0.05, **p < 0.01, ***p < 0.001, ****p < 0.0001. Cell Death and Disease (2022) 13:932 C. Zhao et al. Fig. 7
Gene therapy with circFOXO3 preserves articular cartilage integrity in a mouse OA model. A Schematic of the animal experimen
(for each group, n = 6, C57BL/6). B X-ray and 3D reconstruction images of micro- CT scanning of the knees. Scale bars, 2 mm and 1 mm
C OARSI scoring was performed according to staining results. (n = 6) *p < 0.05. D Safranin-O/fast green staining, H&E staining, TUNEL staining
IHC staining and IF staining of cartilage from different groups. Scale bars, 20 μm. E Safranin-O/fast green staining, H&E staining, TUNE
staining and IHC staining of cartilage from different groups. Scale bars, 20 μm. F Graphic abstract of our study. 12 12 Fig. Additionally, the subchondral bone volume was also partially
increased in the circFOXO3 injection group compared with that in
the control (Fig. 7B). The injection of Lv-circFOXO3 alleviated the Finally, we further verified through in vivo experiments whether
the regulatory effect of circFOXO3 on OA progression depends on
its regulatory effect on FOXO3. H&E and safranin-O staining
showed the substantially thickened cartilage layer on the articular
surface after the injection of circFOXO3 overexpressing lentivirus;
however, the knockdown of FOXO3 weakened this effect (Fig. 7E). Moreover, as indicated by immunohistochemistry (IHC), the
injection of Lv-circFOXO3 decreased the expression of MMP13 Cell Death and Disease (2022) 13:932 C. Zhao et al. 13 and increased Collagen II levels in chondrocytes, while the
knockdown of FOXO3 reduced the expression of Collagen II while
increasing that of MMP13 (Figs. 7E and S6A, B). Furthermore, the
cell apoptosis (TUNEL staining assay) showed consistent results as
in vitro experiments (Figs. 7E and S6C). Together, our results
indicated that circFOXO3 could alleviate OA in vivo by maintaining
anabolism and inhibiting catabolism in the ECM of cartilage, and
these effects were FOXO3-dependent. ADAMTS5 and MMP13 and reduces the levels of type II collagen,
whereas circFOXO3 overexpression induces the opposite effect. Through
subsequent
experiments,
we
determined
that
the
mechanism by which circFOXO3 regulates ECM metabolism is
related to the autophagy and PI3K/AKT signaling cascade, and
depends on its parental gene FOXO3. and increased Collagen II levels in chondrocytes, while the
knockdown of FOXO3 reduced the expression of Collagen II while
increasing that of MMP13 (Figs. 7E and S6A, B). Furthermore, the
cell apoptosis (TUNEL staining assay) showed consistent results as
in vitro experiments (Figs. 7E and S6C). Together, our results
indicated that circFOXO3 could alleviate OA in vivo by maintaining
anabolism and inhibiting catabolism in the ECM of cartilage, and
these effects were FOXO3-dependent. p
p
g
There are four FOXO proteins in humans, namely FOXO1, FOXO3,
FOXO4, and FOXO6, which all belong to the large family of forkhead
box (Fox) transcription factors and share a highly conserved 100
amino acid DNA binding domain called the forkhead domain
[48, 49]. FOXO protein activity plays a key role in cellular homeostasis
and is tightly regulated. The most important regulation is the PI3K/
AKT signaling pathway, which provides a critical inhibitory input
signal for FOXO activity [50, 51]. Among the family members, FOXO1
and FOXO3 play major roles in cartilage homeostasis [52, 53]. DISCUSSION
O
d OA is a degenerative joint disease characterized by progressive
loss of articular cartilage. In OA, cartilage structure is reduced
because of chondrocyte death and the remaining chondrocytes
are activated by inflammatory cytokines, leading to the initiation
of catabolic
processes
and
abnormal
differentiation,
which
degrade the ECM and further promote OA progression [35–37]. Elucidating the molecular mechanisms that control articular
chondrocyte differentiation during articular cartilage development
and
maintenance
may
lead
to
the
development
of
new
therapeutic interventions. A more comprehensive understanding
of the mechanisms of OA development and progression may aid
the identification of these novel molecular targets. g
CircRNA has received increasing attention owing to its important
roles in disease occurrence, development, diagnosis, treatment, and
prognosis, particularly in OA in recent years [38]. Two studies by
Shen et al. [11, 39] revealed the protective roles of circPDE4B and
circSERPINE2 on the cartilage in OA, respectively, suggesting that
circRNA in chondrocytes may act on downstream targeted genes to
protect articular cartilage. Wu et al. [40] reported that circPDE4D
exerts its effect by acting as a sponge for miR-103a-3p and thereby
regulates fibroblast growth factor 18 expression, to protect articular
cartilage. Shen et al. [41] also demonstrated an important role for
the circCDK14/miR-125a-5p/Smad2 axis in OA progression and
provided a potential molecular therapeutic strategy for OA
treatment. Together, these studies have demonstrated important
protective effects of circRNAs in articular cartilage. p
p
Autophagy
helps cells digest and
decompose their own
components to maintain a dynamic and stable intracellular
environment. When cells are under stress, autophagy helps them
adapt to new environmental conditions to ensure the availability of
compounds necessary to synthesize macromolecules for survival,
and moderate autophagy can rescue apoptosis and cell death [6]. The occurrence and development of several diseases, including
tumors,
kidney
diseases,
liver
diseases,
and
cerebrovascular
diseases, are closely related to autophagy, and this process is likely
to become a new therapeutic entry point in disease progression
[12, 54–57]. In this study, we demonstrate that circFOXO3 in
articular cartilage regulates the apoptosis level of cells in vivo and
in vitro and the metabolic homeostasis of ECM through autophagy. Moreover, circFOXO3 is likely to activate autophagy via inhibition of
the PI3K/AKT pathway. Suppression of the PI3K/AKT pathway may
lead to cell survival or death via autophagy or apoptosis,
respectively [6, 13, 58]. DISCUSSION
O
d These results indicate that circFOXO3 may
be linked to autophagy in the pathological process of OA, which is
consistent with the related research conclusions about circFOXO3
and autophagy in other diseases [12]. p
g
In the present study, we report that circFOXO3, which originates
from exon 2 of FOXO3 and forms a ring structure by connecting
the 3′ and 5′ splice sites, is highly expressed in normal articular
cartilage and nearly absent in a surgically induced OA mouse
model. Following RNase R treatment, the stability and integrity of
circFOXO3
remained
high
and
circFOXO3
was
specifically
expressed in cDNA and not gDNA after reverse transcription,
which is consistent with circRNA characteristics [42–44]. In vitro,
our results revealed that the expression of circFOXO3 was
downregulated in cells treated with IL-1β compared with that in
controls. Moreover, the staining results showed that circFOXO3
was negatively correlated with cartilage degeneration, suggesting
that circFOXO3 may be involved in OA development. Further
experiments indicated that circFOXO3 plays an important role in
OA progression and may serve as a new target for its treatment. Our findings demonstrated that circFOXO3 knockdown promotes
increased expression of BAX, Cleaved PARP, and Cleaved caspase-3,
and reduces the expression of BCL-2, suggesting that circFOXO3
inhibits apoptosis in chondrocytes. Conversely, overexpression of
circFOXO3 attenuated IL-1β-induced apoptosis, suggesting that
circFOXO3 partially inhibited apoptosis caused by inflammatory
progression in the inflammatory environment of OA. Besides
apoptosis, metabolic disturbance of the ECM is another important
feature of OA [45–47]. Shen et al. [11] showed that circSERPINE2
upregulates the expression of collagen II, aggrecan, and other
collagens in chondrocytes by interacting with downstream miR-
1271, and inhibits the upregulation of MMPs such as MMP13. A
study by Yang et al. [10] also showed that circRSU1 rescues an ECM
metabolism disorder caused by oxidative stress. For the first time,
we report that circFOXO3 may regulate ECM metabolism in OA. This
study shows that circFOXO3 knockdown increases the levels of In the present study, we report that circFOXO3, which originates
from exon 2 of FOXO3 and forms a ring structure by connecting
the 3′ and 5′ splice sites, is highly expressed in normal articular
cartilage and nearly absent in a surgically induced OA mouse
model. Following RNase R treatment, the stability and integrity of
circFOXO3
remained
high
and
circFOXO3
was
specifically
expressed in cDNA and not gDNA after reverse transcription,
which is consistent with circRNA characteristics [42–44]. DISCUSSION
O
d In vitro,
our results revealed that the expression of circFOXO3 was
downregulated in cells treated with IL-1β compared with that in
controls. Moreover, the staining results showed that circFOXO3
was negatively correlated with cartilage degeneration, suggesting
that circFOXO3 may be involved in OA development. Further
experiments indicated that circFOXO3 plays an important role in
OA progression and may serve as a new target for its treatment. Our study also has certain limitations. As mentioned in other
studies, our conclusions would be more convincing if we
constructed transgenic circFOXO3 knockout mice rather than
simply injecting overexpressing lentivirus into the joint cavity of
mice [10]. However, our method may also be improved by similar
methods of drug delivery, including wrapping exosomes or
hydrogels around circRNA molecules—a common method for
stable delivery of therapeutic contents [59, 60]. Second, we used
the ATDC5 cell line instead of primary chondrocytes in our cellular
experiments. However, the ATDC5 cell line is often used as a
cellular model to assess chondrogenesis in vitro [29]. After the
addition of ITS to the medium, the cells can form cartilage nodule-
like cell aggregates that can produce specific proteoglycans and
type II collagen, typical molecular markers of chondrocytes. ATDC5, therefore, provides a good model with which to under-
stand chondrogenic differentiation. In addition, the ATDC5
chondrocytes has been widely used as a cell research tool in
many osteoarthritis studies in recent years [30, 47, 61, 62], which
has good chondrocyte characteristics while killing as few animals
as possible. Furthermore, although our study demonstrated that
the regulation of autophagy by circFOXO3 may play a key role in
the occurrence and progression of OA, our results do not rule out g
y
g
Our findings demonstrated that circFOXO3 knockdown promotes
increased expression of BAX, Cleaved PARP, and Cleaved caspase-3,
and reduces the expression of BCL-2, suggesting that circFOXO3
inhibits apoptosis in chondrocytes. Conversely, overexpression of
circFOXO3 attenuated IL-1β-induced apoptosis, suggesting that
circFOXO3 partially inhibited apoptosis caused by inflammatory
progression in the inflammatory environment of OA. Besides
apoptosis, metabolic disturbance of the ECM is another important
feature of OA [45–47]. Shen et al. [11] showed that circSERPINE2
upregulates the expression of collagen II, aggrecan, and other
collagens in chondrocytes by interacting with downstream miR-
1271, and inhibits the upregulation of MMPs such as MMP13. A
study by Yang et al. FOXO3
is not only essential for bone development, but also protects against
cartilage damage caused by aging [52] and further protects against
OA by maintaining homeostasis of the meniscus during growth and
development [53]. Here, we found that FOXO3 plays an important
role in OA pathogenesis by regulating apoptosis in ATDC5
chondrocytes, further enriching its regulatory role in OA home-
ostasis. We found that the regulation of circFOXO3 in OA is achieved
through FOXO3. Therefore, considering that circFOXO3 was found to
function through FOXO3, emphasis on the important role of the
circFOXO3-FOXO3 axis in ECM metabolism and apoptosis in OA will
help to further explore the circFOXO3 mechanism. REFERENCES 27. Glasson SS, Blanchet TJ, Morris EA. The surgical destabilization of the medial
meniscus (DMM) model of osteoarthritis in the 129/SvEv mouse. Osteoarthr
Cartil. 2007;15:1061–9. 1. Loeser RF, Collins JA, Diekman BO. Ageing and the pathogenesis of osteoarthritis. Nat Rev Rheumatol. 2016;12:412–20. 1. Loeser RF, Collins JA, Diekman BO. Ageing and the pathogenesis of osteoarthritis. Nat Rev Rheumatol. 2016;12:412–20. 28. Chen D, Shen J, Zhao W, Wang T, Han L, Hamilton JL, et al. Osteoarthritis: toward
a
comprehensive
understanding
of
pathological
mechanism. Bone
Res. 2017;5:16044. 2. Martel-Pelletier J, Barr AJ, Cicuttini FM, Conaghan PG, Cooper C, Goldring MB,
et al. Osteoarthritis. Nat Rev Dis Prim. 2016;2:16072. 3. McCarberg B, Tenzer P. Complexities in the pharmacologic management of
osteoarthritis pain. Curr Med Res Opin. 2013;29:539–48. 29. Atsumi T, Ikawa Y, Miwa Y, Kimata K. A chondrogenic cell line derived from a
differentiating
culture
of
AT805
teratocarcinoma
cells. Cell
Differ
Dev. 1990;30:109–16. 4. Felson DT, Lawrence RC, Dieppe PA, Hirsch R, Helmick CG, Jordan JM, et al. Osteoarthritis: new insights. Part 1: the disease and its risk factors. Ann Intern
Med. 2000;133:635–46. 30. Zhang H, Lin C, Zeng C, Wang Z, Wang H, Lu J, et al. Synovial macrophage M1
polarisation exacerbates experimental osteoarthritis partially through R-spondin-
2. Ann Rheum Dis. 2018;77:1524–34. 5. Morone NE, Karp JF, Lynch CS, Bost JE, El Khoudary SR, Weiner DK. Impact of
chronic musculoskeletal pathology on older adults: a study of differences
between knee OA and low back pain. Pain Med. 2009;10:693–701. 31. Livak KJ, Schmittgen TD. Analysis of relative gene expression data using real-time
quantitative PCR and the 2−ΔΔCT method. Methods. 2001;25:402–8. between knee OA and low back pain. Pain Med. 2009;10:693–70 6. Yang H, Wen Y, Zhang M, Liu Q, Zhang H, Zhang J, et al. MTORC1 coordinates the
autophagy and apoptosis signaling in articular chondrocytes in osteoarthritic
temporomandibular joint. Autophagy. 2020;16:271–88. 32. Sohara Y, Shimada H, Scadeng M, Pollack H, Yamada S, Ye W, et al. Lytic bone
lesions in human neuroblastoma xenograft involve osteoclast recruitment and
are inhibited by bisphosphonate1. Cancer Res. 2003;63:3026–31. 7. Chen X, Li C, Cao X, Jia X, Chen X, Wang Z, et al. Mitochondria-targeted supra-
molecular coordination container encapsulated with exogenous itaconate for
synergistic therapy of joint inflammation. Theranostics. 2022;12:3251–72. 33. Laverty S, Girard CA, Williams JM, Hunziker EB, Pritzker KPH. The OARSI histo-
pathology
initiative
–
recommendations
for
histological
assessments
of
osteoarthritis in the rabbit. REFERENCES Osteoarthr Cartil. 2010;18:S53–S65. synergistic therapy of joint inflammation. Theranostics. 2022;12:3 8. Patop IL, Wüst S, Kadener S. Past, present, and future of circ RNA s. EMBO J. 2019;38:e100836 34. Bouxsein ML, Boyd SK, Christiansen BA, Guldberg RE, Jepsen KJ, Müller R. Guidelines
for
assessment
of
bone
microstructure
in
rodents
using
micro–computed tomography. J bone Miner Res. 2010;25:1468–86. 9. Chen L-L. The biogenesis and emerging roles of circular RNAs. Nat Rev Mol Cell
Biol. 2016;17:205–11. 35. Goldring MB. The role of the chondrocyte in osteoarthritis. Arthritis Rheum. 2000;43:1916–26. 10. Yang Y, Shen P, Yao T, Ma J, Chen Z, Zhu J, et al. Novel role of circRSU1 in the
progression
of
osteoarthritis
by
adjusting
oxidative
stress. Theranostics. 2021;11:1877–900. 36. Lotz M. Cytokines in cartilage injury and repair. Clin Ortho Relat Res. 2001;391:108–115. 11. Shen S, Wu Y, Chen J, Xie Z, Huang K, Wang G, et al. CircSERPINE2 protects
against osteoarthritis by targeting miR-1271 and ETS-related gene. Ann Rheum
Dis. 2019;78:826–36. 37. Kühn K, D’lima D, Hashimoto S, Lotz M. Cell death in cartilage. Osteoarthr Cartil. 2004;12:1–16. 38. Meng S, Zhou H, Feng Z, Xu Z, Tang Y, Li P, et al. CircRNA: functions and prop-
erties of a novel potential biomarker for cancer. Mol Cancer. 2017;16:1–8. 12. Yang Z, Huang C, Wen X, Liu W, Huang X, Li Y, et al. Circular RNA circ-FoxO3
attenuates blood-brain barrier damage by inducing autophagy during ischemia/
reperfusion. Mol Ther. 2022;30:1275–87. 39. Shen S, Yang Y, Shen P, Ma J, Fang B, Wang Q, et al. circPDE4B prevents articular
cartilage degeneration and promotes repair by acting as a scaffold for RIC8A and
MID1. Ann Rheum Dis. 2021;80:1209–19. 13. Zhang Y, Vasheghani F, Li YH, Blati M, Simeone K, Fahmi H, et al. Cartilage-specific
deletion of mTOR upregulates autophagy and protects mice from osteoarthritis. Ann Rheum Dis. 2015;74:1432–40. 40. Wu Y, Hong Z, Xu W, Chen J, Wang Q, Chen J, et al. Circular RNA circPDE4D
protects against osteoarthritis by binding to miR-103a-3p and regulating FGF18. Mol Ther. 2021;29:308–23. 14. Carames B, Hasegawa A, Taniguchi N, Miyaki S, Blanco FJ, Lotz M. Autophagy
activation by rapamycin reduces severity of experimental osteoarthritis. Ann
Rheum Dis. 2012;71:575–81. 41. Shen P, Yang Y, Liu G, Chen W, Chen J, Wang Q, et al. CircCDK14 protects against
Osteoarthritis by sponging miR-125a-5p and promoting the expression of Smad2. Theranostics. 2020;10:9113–31. 15. DISCUSSION
O
d [10] also showed that circRSU1 rescues an ECM
metabolism disorder caused by oxidative stress. For the first time,
we report that circFOXO3 may regulate ECM metabolism in OA. This
study shows that circFOXO3 knockdown increases the levels of Cell Death and Disease (2022) 13:932 C. Zhao et al. 14 the possibility that other molecules that interact with circFOXO3
may be involved in autophagy activation. Yang et al. [26] showed
that circFOXO3 interacts with mammalian target of rapamycin
(mTOR) and E2F1 to suppress mTOR complex 1 activity, which
promotes autophagy. This mechanism may also be involved in the
regulation of circFOXO3 in OA. To understand the mechanism by
which circFOXO3 improves OA conditions by activating autop-
hagy, future studies should focus on exploring other molecules
related to circFOXO3 and autophagy functions. the possibility that other molecules that interact with circFOXO3
may be involved in autophagy activation. Yang et al. [26] showed
that circFOXO3 interacts with mammalian target of rapamycin
(mTOR) and E2F1 to suppress mTOR complex 1 activity, which
promotes autophagy. This mechanism may also be involved in the
regulation of circFOXO3 in OA. To understand the mechanism by
which circFOXO3 improves OA conditions by activating autop-
hagy, future studies should focus on exploring other molecules
related to circFOXO3 and autophagy functions. 20. Du WW, Fang L, Yang W, Wu N, Awan FM, Yang Z, et al. Induction of tumor
apoptosis through a circular RNA enhancing Foxo3 activity. Cell Death Differ. 2017;24:357–70. 21. Lian WS, Ko JY, Wu RW, Sun YC, Chen YS, Wu SL, et al. MicroRNA-128a represses
chondrocyte autophagy and exacerbates knee osteoarthritis by disrupting Atg12. Cell Death Dis. 2018;9:919. 22. Vuppalapati KK, Bouderlique T, Newton PT, Kaminskyy VO, Wehtje H, Ohlsson C,
et al. Targeted deletion of autophagy genes Atg5 or Atg7 in the chondrocytes
promotes caspase-dependent cell death and leads to mild growth retardation. J
Bone Min Res. 2015;30:2249–61. In conclusion, our research unveiled a new signaling pathway,
circFOXO3/FOXO3, that may protect against OA by maintaining the
ECM of chondrocytes and regulating chondrocyte apoptosis and
proliferation (Fig. 7F). Consequently, overexpression of circFOXO3
may be a promising therapeutic approach for treating OA. 23. Alvarez-Garcia O, Matsuzaki T, Olmer M, Miyata K, Mokuda S, Sakai D, et al. FOXO
are required for intervertebral disk homeostasis during aging and their deficiency
promotes disk degeneration. Aging Cell. 2018;17:e12800. promotes disk degeneration. Aging Cell. 2018;17:e12800. 24. DATA AVAILABILITY All data generated or analyzed during this study are included in this published article. All data generated or analyzed during this study are included in this published article. 26. Yang W, Du WW, Li X, Yee AJ, Yang BB. Foxo3 activity promoted by non-coding
effects of circular RNA and Foxo3 pseudogene in the inhibition of tumor growth
and angiogenesis. Oncogene. 2016;35:3919–31. DISCUSSION
O
d Shen C, Cai GQ, Peng JP, Chen XD. Autophagy protects chondrocytes from
glucocorticoids-induced apoptosis via ROS/Akt/FOXO3 signaling. Osteoarthr
Cartil. 2015;23:2279–87. 25. Zhang S, Liao K, Miao Z, Wang Q, Miao Y, Guo Z, et al. CircFOXO3 promotes
glioblastoma progression by acting as a competing endogenous RNA for NFAT5. Neuro Oncol. 2019;21:1284–96. REFERENCES Bouderlique T, Vuppalapati KK, Newton PT, Li L, Barenius B, Chagin AS. Targeted
deletion of Atg5 in chondrocytes promotes age-related osteoarthritis. Ann
Rheum Dis. 2016;75:627–31. 42. Kristensen LS, Andersen MS, Stagsted LVW, Ebbesen KK, Hansen TB, Kjems J. The
biogenesis, biology and characterization of circular RNAs. Nat Rev Genet. 2019;20:675–91. 16. Goutas A, Syrrou C, Papathanasiou I, Tsezou A, Trachana V. The autophagic
response to oxidative stress in osteoarthritic chondrocytes is deregulated. Free
Radic Biol Med. 2018;126:122–32. 43. Memczak S, Jens M, Elefsinioti A, Torti F, Krueger J, Rybak A, et al. Circular RNAs
are
a
large
class
of
animal
RNAs
with
regulatory
potency. Nature. 2013;495:333–8. 17. Liang G, Ling Y, Mehrpour M, Saw PE, Liu Z, Tan W, et al. Autophagy-associated
circRNA circCDYL augments autophagy and promotes breast cancer progression. Mol Cancer. 2020;19:1–16. 44. Li Z, Huang C, Bao C, Chen L, Lin M, Wang X, et al. Exon-intron circular RNAs
regulate transcription in the nucleus. Nat Struct Mol Biol. 2015;22:256–64. 18. Jin
X,
Gao
J,
Zheng
R,
Yu
M,
Ren
Y,
Yan
T,
et
al. Antagonizing
circRNA_002581–miR-122–CPEB1
axis
alleviates
NASH
through
restoring
PTEN–AMPK–mTOR pathway regulated autophagy. Cell Death Dis. 2020;11:1–13. 45. Rahmati M, Nalesso G, Mobasheri A, Mozafari M. Aging and osteoarthritis: Central
role of the extracellular matrix. Ageing Res Rev. 2017;40:20–30. 46. Peng Z, Sun H, Bunpetch V, Koh Y, Wen Y, Wu D, et al. The regulation of cartilage
extracellular matrix homeostasis in joint cartilage degeneration and regeneration. Biomaterials. 2021;268:120555. 19. Du WW, Yang W, Chen Y, Wu ZK, Foster FS, Yang Z, et al. Foxo3 circular RNA
promotes cardiac senescence by modulating multiple factors associated with
stress and senescence responses. Eur Heart J. 2017;38:1402–12. Cell Death and Disease (2022) 13:932 C. Zhao et al. 15 Reprints and permission information is available at http://www.nature.com/
reprints 58. Saiki S, Sasazawa Y, Imamichi Y, Kawajiri S, Fujimaki T, Tanida I, et al. Caffeine
induces apoptosis by enhancement of autophagy via PI3K/Akt/mTOR/p70S6K
inhibition. Autophagy. 2011;7:176–87. Publisher’s note Springer Nature remains neutral with regard to jurisdictional claims
in published maps and institutional affiliations. Publisher’s note Springer Nature remains neutral with regard to jurisdictional claims
in published maps and institutional affiliations. Publisher’s note Springer Nature remains neutral with regard to jurisdictional claims
in published maps and institutional affiliations. 59. Xia W, Xie J, Cai Z, Liu X, Wen J, Cui ZK, et al. Damaged brain accelerates bone
healing by releasing small extracellular vesicles that target osteoprogenitors. Nat
Commun. 2021;12:6043. 60. Guo Z, Wang H, Zhao F, Liu M, Wang F, Kang M, et al. Exosomal circ-BRWD1
contributes to osteoarthritis development through the modulation of miR-1277/
TRAF6 axis. Arthritis Res Ther. 2021;23:159. Open Access This article is licensed under a Creative Commons
Attribution 4.0 International License, which permits use, sharing,
adaptation, distribution and reproduction in any medium or format, as long as you give
appropriate credit to the original author(s) and the source, provide a link to the Creative
Commons license, and indicate if changes were made. The images or other third party
material in this article are included in the article’s Creative Commons license, unless
indicated otherwise in a credit line to the material. If material is not included in the
article’s Creative Commons license 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
license,
visit
http://
creativecommons.org/licenses/by/4.0/. 61. Yan W, Zheng L, Xu X, Hao Z, Zhang Y, Lu J, et al. Heterozygous LRP1 deficiency
causes developmental dysplasia of the hip by impairing triradiate chondrocytes
differentiation due to inhibition of autophagy. Proc Natl Acad Sci USA. 2022;119:e2203557119. 62. Xing W, Godwin C, Pourteymoor S, Mohan S. Conditional disruption of the osterix
gene in chondrocytes during early postnatal growth impairs secondary ossifi-
cation in the mouse tibial epiphysis. Bone Res. 2019;7:24. COMPETING INTERESTS 51. Brown AK, Webb AE. Regulation of FOXO factors in mammalian cells. Curr Top
Dev Biol. 2018;127:165–92. 52. Matsuzaki T, Alvarez-Garcia O, Mokuda S, Nagira K, Olmer M, Gamini R, et al. FoxO
transcription factors modulate autophagy and proteoglycan 4 in cartilage
homeostasis and osteoarthritis. Sci Transl Med. 2018;10:eaan0746. AUTHOR CONTRIBUTIONS 47. Shi Y, Hu X, Cheng J, Zhang X, Zhao F, Shi W, et al. A small molecule promotes
cartilage extracellular matrix generation and inhibits osteoarthritis development. Nat Commun. 2019;10:1914. CZ performed most experiments with the assistance of X-dL, G-tS, P-cL, K-yK and
X-zC. CZ and X-qW conceived and designed the study, and critically revised the
manuscript. CZ analyzed the data, and drafted the manuscript. G-tS assisted CZ in
completing in vivo experiments. FY and X-qW supervised the study. All authors have
read and approved the final manuscript. 48. Myatt SS, Lam EW-F. The emerging roles of forkhead box (Fox) proteins in cancer. Nat Rev Cancer. 2007;7:847–59. 49. Carter ME, Brunet A. FOXO transcription factors. Curr Biol. 2007;17:R113–R114. 49. Carter ME, Brunet A. FOXO transcription factors. Curr Biol. 2 50. Eijkelenboom A, Burgering BM. FOXOs: signalling integrators for homeostasis
maintenance. Nat Rev Mol cell Biol. 2013;14:83–97. ETHICAL APPROVAL All animal experiments were performed in accordance with the procedures approved
by the Animal Center of Shanghai Jiao Tong University School of Medicine and the
Animal Care and Ethics Committee of Shanghai Ninth People’s Hospital. 53. Lee KI, Choi S, Matsuzaki T, Alvarez-Garcia O, Olmer M, Grogan SP, et al. FOXO1
and FOXO3 transcription factors have unique functions in meniscus development
and homeostasis during aging and osteoarthritis. Proc Natl Acad Sci USA. 2020;117:3135–43. 54. Levy JMM, Towers CG, Thorburn A. Targeting autophagy in cancer. Nat Rev
Cancer. 2017;17:528–42. ADDITIONAL INFORMATION 55. DeFronzo RA, Reeves WB, Awad AS. Pathophysiology of diabetic kidney disease:
impact of SGLT2 inhibitors. Nat Rev Nephrol. 2021;17:319–34. Supplementary information The online version contains supplementary material
available at https://doi.org/10.1038/s41419-022-05390-8. 56. Tang C, Livingston MJ, Liu Z, Dong Z. Autophagy in kidney homeostasis and
disease. Nat Rev Nephrol. 2020;16:489–508. Correspondence and requests for materials should be addressed to Fei Yang or
Xiaoqing Wang. 57. Gao J, Wei B, de Assuncao TM, Liu Z, Hu X, Ibrahim S, et al. Hepatic stellate cell
autophagy inhibits extracellular vesicle release to attenuate liver fibrosis. J
Hepatol. 2020;73:1144–54. Reprints and permission information is available at http://www.nature.com/
reprints ACKNOWLEDGEMENTS This work was financially supported by the National Natural Science Foundation of
China, award number: 81871791, Shanghai Municipal Natural Science Foundation
(Grant No. 19ZR1429100). © The Author(s) 2022 © The Author(s) 2022 Cell Death and Disease (2022) 13:932 Cell Death and Disease (2022) 13:932
|
https://openalex.org/W2779151482
|
http://revistas.udc.es/index.php/reipe/article/download/reipe.2017.0.14.2557/pdf
|
Portuguese
| null |
Formação de treinadores: Importância da liderança, compatibilidade treinador-atleta e rendimento desportivo
|
Revista de estudios e investigación en psicología y educación
| 2,017
|
cc-by-sa
| 4,275
|
REVISTA DE ESTUDIOS E INVESTIGACIÓN
EN PSICOLOGÍA Y EDUCACIÓN
eISSN: 2386-7418, 2017, Vol. Extr., No. 14
DOI: https://doi.org/10.17979/reipe.2017.0.14.2557 REVISTA DE ESTUDIOS E INVESTIGACIÓN
EN PSICOLOGÍA Y EDUCACIÓN
eISSN: 2386-7418, 2017, Vol. Extr., No. 14
DOI: https://doi.org/10.17979/reipe.2017.0.14.2557 Correspondencia: Andreia Correia, 27459@ufp.edu.pt; Isabel Silva, isabels@ufp.edu.pt
Selección y peer-review bajo responsabilidad del Comité Organizador del XIV Congreso Internacional Galego-Portugués de Psicopedagogía Formação de treinadores: Importância da liderança, compatibilidade treinador-
atleta e rendimento desportivo
Training of coaches: importance of leadership, coach-athlete compatibility and
sports performance Andreia Correia*, Isabel Silva**
*UFP, **UFP/Hospital-Escola da UFP/Centro de Investigação FPB2S/APASD O Modelo Multidimensional de Liderança no
Desporto foi uma das propostas que mais contributo deu
para o estudo da liderança no desporto (Chelladurai &
Saleh, 1980; Gomes & Paiva, 2010; Gomes, et al. 2008). Este modelo defende que a liderança depende das
caraterísticas da situação/competição, das caraterísticas
do próprio treinador e dos comportamentos desejados e
preferidos dos atletas, o que nos diz que aspetos como a
idade, o tipo de modalidade desportiva, desejos,
expectativas, experiência, personalidade e objetivos
pessoais são variáveis que implicam no estilo de
liderança (Chelladurai & Saleh, 1980; Gomes & Paiva,
2010; Gomes, et al. 2008). O modelo enfatiza a
importância do comportamento atual do treinador ser
congruente com o comportamento preferido dos atletas e
os que são exigidos pelo contexto, pois assim aumenta a
possibilidade de maiores níveis de satisfação e
rendimento nos atletas (Chelladurai & Saleh, 1980;
Gomes & Paiva, 2010). No entanto, este modelo não
contempla os avanços mais recentes do estudo da
liderança na Psicologia: as abordagens transformacionais
(Bass, 1999). Nas últimas duas décadas tem sido
demonstrada a necessidade dos líderes se tornarem mais
transformacionais e menos transacionais, uma vez que a
primeira postura promove a autonomia, é mais
desafiante, aumenta a moral e motivação, satisfazendo os
atletas, ao contrário da segunda (Bass, 1999; Resende,
Gomes, & Vieira, 2013). Resumo O Modelo Multidimensional de Liderança no
Desporto foi uma das propostas que mais contributo deu
para o estudo da liderança no desporto (Chelladurai &
Saleh, 1980; Gomes & Paiva, 2010; Gomes, et al. 2008). Este modelo defende que a liderança depende das
caraterísticas da situação/competição, das caraterísticas
do próprio treinador e dos comportamentos desejados e
preferidos dos atletas, o que nos diz que aspetos como a
idade, o tipo de modalidade desportiva, desejos,
expectativas, experiência, personalidade e objetivos
pessoais são variáveis que implicam no estilo de
liderança (Chelladurai & Saleh, 1980; Gomes & Paiva,
2010; Gomes, et al. 2008). O modelo enfatiza a
importância do comportamento atual do treinador ser
congruente com o comportamento preferido dos atletas e
os que são exigidos pelo contexto, pois assim aumenta a
possibilidade de maiores níveis de satisfação e
rendimento nos atletas (Chelladurai & Saleh, 1980;
Gomes & Paiva, 2010). No entanto, este modelo não
contempla os avanços mais recentes do estudo da
liderança na Psicologia: as abordagens transformacionais
(Bass, 1999). Nas últimas duas décadas tem sido
demonstrada a necessidade dos líderes se tornarem mais
transformacionais e menos transacionais, uma vez que a
primeira postura promove a autonomia, é mais
desafiante, aumenta a moral e motivação, satisfazendo os
atletas, ao contrário da segunda (Bass, 1999; Resende,
Gomes, & Vieira, 2013). Este estudo tem como objetivo analisar a associação entre
o estilo de liderança, compatibilidade treinador-atleta e
classificação do clube em atletas seniores de futsal da
divisão nacional. 107 atletas responderam a um
questionário sociodemográfico; Escala Multidimensional
de Liderança no Desporto; e Medida de Compatibilidade
Treinador-Atleta. Foi demonstrada a importância dos
estilos de liderança para a compatibilidade treinador-atleta,
sendo que, para atletas do sexo feminino, a demonstração
de comportamentos de confiança/entusiasmo acerca das
suas capacidades por parte dos treinadores, e os aspetos
mais pessoais da relação assumem particular importância
para o rendimento. Palavras chave: estilo de liderança, compatibilidade
treinador-atleta, rendimento desportivo, atletas Abstract Estes autores demonstraram que os
atletas que evidenciam maior compatibilidade com os
treinadores reagem melhor do ponto de vista cognitivo e
emocional aos comportamentos assumidos pelo líder em
situações de competição (Gomes & Paiva, 2010). Além
disso, demonstraram ainda que, a perceção de maior
compatibilidade se correlaciona positivamente com os
níveis de apoio fornecidos pelo treinador (Gomes &
Paiva, 2010). A investigação mostra, ainda, que os atletas com maior
sucesso desportivo avaliam mais positivamente os estilos
de liderança dos seus treinadores do que os atletas com
menor sucesso desportivo (Gomes & Paiva, 2010;
Resende, et al. 2013; Trocado & Gomes, 2013). Mais
especificamente, os atletas pertencentes a equipas com
melhores
resultados
desportivos
avaliam
mais
positivamente os seus treinadores nas dimensões da
visão, inspiração, instrução técnica e respeito pessoal
(Gomes & Paiva, 2010; Resende, et al. 2013; Ribeiro, et
al. 2016; Trocado & Gomes, 2013). Em 2006, Jowett havia feito uma análise dos estudos
existentes nos últimos 20 anos e concluiu que a relação
treinador-atleta caraterizada por altos níveis de
proximidade (confiança, respeito, etc.), compromisso
(procurar
sempre
o
melhor
rendimento)
e
complementaridade (interagir de forma cooperativa,
colaborativa, recetiva, amigável, etc.) pode afetar
positivamente o desempenho dos atletas e treinadores, o
bem-estar e a dinâmica da equipa. A mesma autora
(2016)
acredita
que
treinadores
e
atletas
que
desenvolvem e mantêm relacionamentos favoráveis,
atenciosos, satisfatórios e propositados têm o que é
necessário para o sucesso no desempenho desportivo,
qualquer que seja o nível da competição e do escalão,
tendo especial importância no desporto de alta
competição. Assim, é importante que os treinadores e
atletas
tenham
intenção
de
fortalecer
os
seus
relacionamentos, para que a eficácia da liderança e o
sucesso desportivo ocorra (Aleksic-Veljkovic, Djurovic,
Mujanovic, & Zivcic-Markovic, 2016; Jowett, 2016;
Jowett & Cockerill, 2003). Num
estudo
de
Resende,
et
al. (2013),
a
compatibilidade foi predita pela perceção de instrução
técnica, respeito pessoal e de gestão partilhada do poder
nos atletas sem sucesso desportivo; e a inspiração foi a
variável preditora da compatibilidade com os treinadores
nos atletas com sucesso desportivo (e dimensões
instrução técnica e respeito pessoal com valores quase
significativos). Abstract The purpose of this study is to analyse the association
between leadership style, coach-athlete compatibility and
the club classification in senior futsal athletes. 107 athletes
answered
a
sociodemographic
questionnaire,
Multidimensional Scale of Leadership in Sport; and
Coach-athlete Compatibility Measure. The importance of
leadership styles for coach-athlete compatibility has been
demonstrated, and for female athletes the demonstration of
confidence/enthusiasm about concern to understand them
as people and the personal aspects of the relationship are
particularly important for income. Keyword: leadership style; coach-athlete compatibility;
sports performance; athletes Vejamos os três estilos de liderança estudados
atualmente: transacional, transformacional e tomada de
decisão. A liderança transacional é caraterizada pelos
membros da equipa seguirem a ideia do líder, com a
intenção e esperança de alcançarem alguma recompensa,
mas não tanto pelo valor intrínseco da tarefa (Bass,
1999). No caso desportivo, esta relação estabelece-se
pelo uso do feedback positivo, quando o treinador
reconhece e reforça os atletas que atingem os objetivos
propostos, ou do feedback negativo, quando o treinador
demonstra descontentamento e pune os atletas que não
atingem os objetivos propostos (Gomes & Resende,
2014). A liderança transformacional carateriza-se pela
capacidade do líder conseguir estimular os membros da
equipa a alcançar os seus objetivos, através de ideias
desafiadoras e estimulantes, que levam a uma melhor É notória e evidente a importância do papel dos
treinadores na orientação das equipas, não só a nível do
ensino e aperfeiçoamento de competências físicas,
táticas,
técnicas
e
motoras,
mas
também
no
desenvolvimento psicológico dos atletas, ajudando-os a
lidar eficazmente com as exigências da competição
(Brandão & Carchan, 2010; Gomes & Cruz, 2006). Assim, o estilo de liderança exercida pelos treinadores é
um tema de bastante debate na Psicologia do Desporto,
uma vez que é claro o impacto dos mesmos na forma
como os atletas encaram a atividade física, na sua
satisfação, mas também no seu rendimento desportivo
(Chelladurai & Saleh, 1980; Gomes & Cruz, 2006;
Gomes, Pereira, & Pinheiro, 2008; Terry & Howe, 1984). CORREIA, SILVA performance por parte do grupo (Bass, 1999). Em relação
ao desporto, o treinador pode aumentar a sua influência
através do uso de cinco ações (Gomes & Resende, 2014):
visão do futuro (positivo e desafiador), inspiração
(promover o sucesso e esforço contínuo), instrução
técnica (métodos de treino), respeito pessoal (tratar os
atletas como pessoas) e apoio pessoal (relações informais
com os atletas). Abstract A tomada de decisão está relacionada
com a forma como os líderes controlam a sua atividade e
tomam as decisões (Gomes & Resende, 2014). No
desporto, podemos avaliar se o treinador gere a sua
autoridade ativa ou passivamente, ou seja, se envolve os
atletas nos aspetos importantes do treino e competição ou
se, por outro lado, adia/evita tomar decisões perante
determinado problema (Gomes & Resende, 2014). exclusivamente a questões técnicas, estratégicas e táticas,
mas também fornecer aos treinadores informações que os
ajudem a desenvolver relacionamentos efetivos com os
seus atletas, pois terá um impacto positivo no bem-estar
e rendimento dos mesmos. Apesar de existir alguma escassez no conhecimento
sobre a relação compatibilidade treinador-atleta e os
estilos de liderança, alguns estudos demonstram que as
caraterísticas da liderança que se relacionam mais
positivamente com a compatibilidade treinador-atleta são
a instrução técnica, respeito pessoal, apoio pessoal, visão
e inspiração (Gomes & Paiva, 2010; Resende, et al. 2013). Já as dimensões do feedback negativo e positivo e
a gestão passiva do poder não assumiram associações tão
fortes ou significativas com a compatibilidade (Gomes &
Paiva, 2010; Resende, et al. 2013; Ribeiro, Gomes,
Simães, Resende, & Moreira, 2016; Trocado & Gomes,
2013). Podemos, então, dividir o impacto da liderança em
medidas subjetivas (satisfação, compromisso, lealdade) e
objetivas
(produtividade,
lucro),
procurando
compreender a forma como os treinadores exercem a sua
influência nos atletas e no rendimento dos mesmos (por
exemplo, tendo em conta a classificação alcançada na
prova), verificando como os atletas reagem ao poder
exercido e o modo como se sentem face às tarefas que
devem desempenhar (Gomes, 2014; Gomes, et al. 2008;
Gomes & Resende, 2016; Resende, et al. 2013). Relativamente à associação entre a compatibilidade
treinador-atleta e o sucesso desportivo, não há
congruência nos estudos revistos, uma vez que, por um
lado, uns mostram que os bons resultados não estão
relacionados com a compatibilidade treinador-atleta
(Trocado & Gomes, 2013) e, por outro lado, outros
concluem que os atletas com sucesso desportivo
apresentam maior compatibilidade com o treinador do
que o grupo dos atletas sem sucesso desportivo (Gomes
& Paiva, 2010; Resende, et al. 2013). Gomes
e
Paiva
(2010)
defendem
que
a
compatibilidade treinador-atleta tem influência no modo
como os atletas avaliam e reagem aos comportamentos
dos treinadores. Materiais Os participantes responderam a um protocolo de
investigação com os seguintes instrumentos: -
Questionário
sociodemográfico:
desenvolvido
especificamente para o presente estudo, com o objetivo
de recolher dados relativos a variáveis pessoais (idade,
sexo, posição em que joga, anos a praticar a modalidade,
anos no clube, tempo que trabalha com o atual treinador,
classificação do clube onde joga, tipo de recompensa,
número de treinos por semana); - Medida de Compatibilidade Treinador-Atleta (MCTA)
é uma versão desenvolvida por Gomes (2008) e adaptada
por Gomes e Paiva (2010), a partir dos trabalhos de
Kenow e Williams (1999) e Williams et al. (2003), que
avalia a consonância e compatibilidade entre treinador(a)
e atleta, em termos desportivos e pessoais. O instrumento
é constituído por uma dimensão com cinco itens
relacionados
com
a
compatibilidade
entre:
comportamentos
(1
item);
objetivos
(1
item);
personalidade/temperamento (2 itens); e ideias (1 item)
entre treinador(a) e atletas. Assim, os itens são
respondidos numa escala tipo Likert de 9 pontos (1=
“Nada compatíveis”; 9= ”Muito compatíveis”). O score
é calculado através da soma dos valores dos itens,
dividindo depois esse valor pelo número total de itens da
escala. As pontuações mais altas significam valores mais
elevados de compatibilidade entre treinador e atleta. O
instrumento apresentou, no presente estudo, um valor de
alfa de Cronbach de .87, revelador de uma boa fidelidade
do mesmo. - Escala Multidimensional de Liderança no Desporto
(EMLD) (versão para atletas) (Gomes & Resende, 2014). Esta escala é constituída por 36 itens que avaliam a
perceção dos atletas acerca dos comportamentos e
liderança dos respetivos treinadores). Materiais A escala encontra-
se dividida em nove dimensões: visão (4 itens) –
tendência de o treinador estabelecer um futuro positivo e
desafiador para os atletas (“o meu treinador aponta um
futuro interessante para mim”); inspiração (4 itens) –
comportamentos do treinador no sentido de promover o
desejo de sucesso e esforço contínuo dos atletas na
concretização das tarefas (“o meu treinador promove em
mim o desejo de sucesso e de melhorar”); instrução
técnica (4 itens) – métodos de treino e indicações dadas
pelo treinador acerca do que os atletas devem fazer ou
como podem corrigir e melhorar as suas capacidades
desportivas (“o meu treinador explica-me o que devo ou
não fazer”); respeito pessoal (4 itens) – consideração dos
sentimentos e das necessidades individuais dos atletas
(“o meu treinador demonstra respeito pelos meus
sentimentos pessoais”); apoio pessoal (4 itens) –
comportamentos do treinador orientados para o bem-
estar dos atletas e demonstração de interesse em
estabelecer relações informais e pessoais (“o meu
treinador ajuda-me quando tenho um problema pessoal”);
feedback
positivo
(4
itens)
–
utilização
de
comportamentos de reforço face aos bons rendimentos
dos atletas (“o meu treinador faz com que eu seja
recompensado(a) pelo meu bom rendimento”); feedback
negativo (4 itens) – comportamentos de punição e castigo
do treinador no sentido de gerir ou controlar os
comportamentos inadequados dos atletas (“o meu
treinador usa castigos e punições quando falho ou faço
asneiras”); gestão ativa do poder (4 itens) – utilização de
comportamentos
do
treinador
para
promover
o
envolvimento dos atletas no processo de tomada de
decisão (“o meu treinador deixa-me participar nas
decisões a tomar”) e gestão passiva do poder (4 itens) –
evitamento ou distanciamento do treinador no processo
de tomada de decisão (“o meu treinador adia resolver Método questões importantes”). Estas nove dimensões, estão
distribuídas por três domínios gerais de liderança. Assim,
as subescalas visão, inspiração, instrução técnica,
respeito pessoal e apoio pessoal avaliam a liderança
transformacional; as subescalas feedback positivo e
feedback
negativo
dizem
respeito
à
liderança
transacional; e as subescalas gestão ativa do poder e
gestão passiva do poder são do domínio da tomada de
decisão. Todos os itens são respondidos numa escala tipo
Likert de cinco pontos (1=Nunca, 5=Sempre). A
pontuação é obtida através da soma dos itens de cada
subescala, dividindo-se o valor final pelo número de itens
que compõem cada dimensão. Valores mais elevados em
cada
subescala
significam
maior
frequência
de
comportamentos do treinador na perspetiva dos atletas. O
instrumento revelou apresentar, no presente estudo, alfas
de Cronbach para as várias subescalas entre .74 e .94,
reveladoras de boa fidelidade. Participantes Foi avaliada uma amostra por conveniência que incluiu
107 atletas seniores da Divisão Nacional de futsal, 69 do
sexo feminino (64.5%) e 38 do sexo masculino (35.5%),
com idades compreendidas entre 18 e 37 anos (M=25.00;
DP=4.5). 61 dos participantes encontram-se em equipas
que estão a disputar a fase de apuramento de campeão e
40 fazem parte de equipas que estão a disputar a fase de
descida/manutenção. Abstract No entanto, independentemente do status desportivo
alcançado pelos atletas, os comportamentos do treinador
direcionados para o ensino e correção das técnicas da
respetiva modalidade, a capacidade para explicarem e
treinarem individualmente os atletas nas diferentes
competências desportivas, representam comportamentos
muito significativos na explicação da experiência dos
atletas ao nível da compatibilidade com o treinador
(Gomes & Paiva, 2010; Resende, et al. 2013). O presente estudo tem como principal objetivo
analisar se existe uma associação entre o estilo de
liderança, compatibilidade treinador-atleta e rendimento
desportivo em atletas seniores de futsal masculino e
feminino, integrados na Divisão Nacional. Tendo em conta a relevância do bom relacionamento
entre treinador-atleta, Jowett e Cockerill (2003)
defendem a ideia de que os programas de formação de
treinadores não se devem concentrar apenas e R Est Inv Psico y Educ, 2017, Extr.(14), A14-129 Procedimento Numa primeira fase, foram obtidas as autorizações
necessárias para a administração os instrumentos EMLD
e MCTA. De seguida, o Projeto foi submetido a
apreciação da Comissão de Ética da Universidade
Fernando Pessoa, tendo obtido um parecer positivo à sua
realização. Os questionários foram informatizados de
forma a possibilitar a sua administração de forma
eletrónica e foi realizado um convite pelas redes sociais
para participação no estudo. Todos os participantes
responderam aos questionários após darem a sua
autorização de forma livre e esclarecida, tendo sido
informados de que seriam livres de aceitar ou não
participar, sem que resultasse para si quaisquer
consequências dessa decisão. Foram ainda, informados
que poderiam desistir em qualquer momento, mesmo
tendo começado a responder aos questionários, dando
também, a oportunidade de esclarecerem todas as
dúvidas
junto
das
responsáveis
do
projeto
de
investigação. Os dados foram codificados numa base de
dados em que não constaram quaisquer informações que
permitam identificar os respondentes, sendo que apenas
os investigadores envolvidos no projeto tiveram acesso R Est Inv Psico y Educ, 2017, Extr.(14), A14-130 CORREIA, SILVA que
respeita
à
Compatibilidade
Treinador-Atleta
(U=117.50; p>.05), nem aos vários domínios de liderança
avaliados – Visão de Futuro e Otimismo (U=82.50;
p>.05), Inspiração (U=122.00; p>.05), Instrução Técnica
(U=96.50; p>.05), Respeito Pessoal (U=72.5; p>.05),
Apoio Pessoal (U=112.50; p>.05), Feedback Positivo
(U=135.00; p>.05), Feedback Negativo (U=93.00; p>.05),
Gestão Ativa do Poder (U=139.00; p>.05) e Gestão
Passiva do Poder (U=95.00; p>.05). aos questionários respondidos e à base de dados
construída. Todas as comunicações (dirigidas a públicos
de contexto científico ou outros) relativas aos resultados
apenas dirão respeito ao grupo avaliado e, em momento
algum, a indivíduos específicos, assegurando-se em
todos os momentos a confidencialidade e anonimato no
que respeita aos dados recolhidos. Para atingir o objetivo do estudo, os atletas
participantes foram divididos em dois grupos: atletas que
fazem parte das equipas que estão na fase de apuramento
de campeão e os atletas que estão em equipas que estão
na fase de manutenção/descida, como forma de analisar
o rendimento desportivo. Resultados A análise dos resultados revela existir uma correlação
estatisticamente
significativa,
positiva
e
maioritariamente moderada entre a Compatibilidade
Treinador-Atleta e a perceção das atletas do sexo
feminino acerca dos comportamentos assumidos pelos
respetivos treinadores ao nível da Visão, Inspiração,
Instrução Técnica, Respeito Pessoal, Apoio Pessoal,
Feedback Positivo e Gestão Ativa do Poder, bem como a
existência
de
uma
correlação
estatisticamente
significativa negativa e fraca entre essa Compatibilidade
e a Gestão Passiva do Poder (Tabela 1). Nos atletas
masculinos, existe uma correlação estatisticamente
significativa,
de
fraca
a
moderada
entre
a
Compatibilidade Treinador-Atleta e a perceção que têm
acerca dos comportamentos dos respetivos treinadores
quanto à Visão, Inspiração, Instrução Técnica e Apoio
Pessoal e Gestão Ativa do Poder. O Feedback Negativo
revelou
não
estar
correlacionado
de
forma
estatisticamente significativa com a Compatibilidade
Treinador-Atleta em ambos os sexos (Tabela 1). Procedimento No entanto, as atletas do sexo feminino que se
encontram em fase de apuramento de campeão revelam
apresentar valores superiores nos domínios de liderança
Inspiração (U=293.00; p<.05) e de Apoio Pessoal
(U=112.50; p<.05) aos apresentados pelas atletas em fase
de manutenção/descida (M=19.00; DP=1.44/M=17.22;
DP=3.43 e M=15.41; DP=3.47/M=14.28; DP=4.27,
respetivamente), ainda que não se distingam de forma
estatisticamente
significativa
relativamente
à
Compatibilidade Treinador-Atleta (U=437.00; p>.05) e
aos restantes domínios de liderança avaliados – Visão de
Futuro e Otimismo (U=379.00; p>.05) Instrução Técnica
(U=475.00; p>.05), Respeito Pessoal (U=379.00; p>.05),
Feedback
Positivo
(U=413.50;
p>.05),
Feedback
Negativo (U=571.00; p>.05), Gestão Ativa do Poder
(U=423.00; p>.05) e Gestão Passiva do Poder (U=630.00;
p>.05). Discussão Os resultados apontam para uma correlação positiva e
maioritariamente moderada entre a compatibilidade
treinador-atleta e a perceção dos atletas de ambos os
sexos acerca dos comportamentos assumidos pelos
respetivos treinadores ao nível da visão, inspiração,
instrução técnica e gestão ativa do poder. Estes
resultados, com exceção da gestão ativa do poder, vão de
encontro aos apresentados pela literatura (Gomes &
Paiva, 2010; Resende, et al. 2013). Além disso, verificou-
se que a dimensão do feedback negativo não revelou estar
correlacionada de forma estatisticamente significativa
com a compatibilidade treinador-atleta, em ambos os
sexos, o que também vai ao encontro da literatura
(Gomes & Paiva, 2010). É importante referir e refletir
sobre as caraterísticas que diferem nos resultados entre
os sexos. Assim, olhemos para o facto de haver também
correlação
estatisticamente
significativa
e
maioritariamente moderada entre a compatibilidade
treinador atleta e as dimensões visão, respeito pessoal e
feedback positivo, no caso das atletas femininas. Já os
atletas
masculinos,
apresentam
uma
correlação
estatisticamente
significativa
fraca
entre
a
compatibilidade treinador-atleta e as dimensões visão e
apoio pessoal. Todas estas dimensões, à exceção do
feedback positivo, são também salientadas na literatura
(Gomes & Paiva, 2010; Resende, et al. 2013). No
entanto, a grande maioria dos estudos realizados tinham
como participantes apenas atletas masculinos. LIDERANÇA, COMPATIBILIDADE E RENDIMENTO Science
Publishers. https://www.researchgate.net/publication/310794991 Science
Publishers. https://www.researchgate.net/publication/310794991 avaliados, o que não vai ao encontro da literatura, que
sugere que os atletas com maior sucesso desportivo
avaliam mais positivamente os estilos de liderança dos
seus treinadores do que os atletas com menor sucesso
desportivo (Gomes & Paiva, 2010; Resende, et al., 2013;
Trocado & Gomes, 2013). Por outro lado, as atletas
femininas que se encontram em fase de apuramento de
campeão revelam apresentar valores superiores nos
domínios da visão, inspiração, respeito pessoal e apoio
pessoal aos das atletas em fase de manutenção/descida,
ainda
que
não
se
distingam
relativamente
à
compatibilidade. Foram vários os autores que chegaram
a estas mesmas conclusões relativamente às dimensões
da visão, inspiração e respeito pessoal (Gomes & Paiva,
2010; Resende, et al. 2013; Ribeiro, et al., 2016, Trocado
& Gomes, 2013). Gomes, R., & Cruz, J. (2006). Relação treinador-atleta e
exercício da liderança no desporto: A perceção de
treinadores de alta competição. Estudos de Psicologia,
11,
5-15. http://repositorium.sdum.uminho.pt/bitstream/1822/63
48/1/Lideran%C3%A7a-Estudos%20Psicologia-
Brasil.pdf Gomes, R., & Cruz, J. (2006). Relação treinador-atleta e
exercício da liderança no desporto: A perceção de
treinadores de alta competição. Estudos de Psicologia,
11,
5-15. Gomes,
R.,
&
Paiva,
P. (2010). Liderança,
compatibilidade treinador-atleta e satisfação no
andebol: Perceção de atletas novatos e experientes. Psico-USF,
15,
235-248. http://repositorium.sdum.uminho.pt/bitstream/1822/11
236/1/6-Lideran%C3%A7a-
Gomes%20%26%20Paiva-Psico-USF.pdf Gomes%20%26%20Paiva-Psico-USF.pdf Os resultados obtidos neste estudo sublinham a
importância
dos
estilos
de
liderança
para
a
compatibilidade treinador-atleta para todos os atletas,
mas revelam, também, que, para as atletas do sexo
feminino, a demonstração de comportamentos de
confiança/entusiasmo acerca das suas capacidades por
parte dos treinadores, a preocupação destes em as
entenderem como pessoas e os aspetos mais pessoais da
relação
treinadores/atleta
assumem
particular
importância para o rendimento das equipas. É, pois,
importante que a formação de treinadores, para além de
visar o desenvolvimento de competências de ensino no
domínio das técnicas/táticas inerentes ao futsal e de
competências de comunicação, valorize as competências
relacionais, sensibilizando para as distintas necessidades
dos atletas conforme o seu género. Gomes, R., & Resende, R. (2014). Assessing leadership
styles of coaches and testing the augmentation effect in
sport. In C. Mohiyeddini (Ed.), Contemporary topics
and trends in the psychology of sports (pp. 115-137). New
York:
Nova
Science
Publishers. https://www.researchgate.net/publication/310795083 Gomes, R., Pereira, A., & Pinheiro, A. (2008). Liderança,
coesão e satisfação em equipas desportivas: Um estudo
com atletas portugueses de futebol e futsal. Psicologia:
Reflexão
e
Crítica,
21,
482-491. http://www.scielo.br/scielo.php?script=sci_arttext&pi
d=S0102-79722008000300017 Jowett, S. LIDERANÇA, COMPATIBILIDADE E RENDIMENTO (2016). At the heart of effective sport
leadership lies the dyadic coach-athlete relationship. Sport & Exercise Psychology Review, 13, 62-65. https://www.researchgate.net/publication/304147149_
At_the_heart_of_effective_sport_leadership_lies_the_
dyadic_coach-athlete_relationship Tabela 1. Correlações entre compatibilidade treinador-atleta e as
dimensões de liderança em atletas do sexo feminino e
atletas do sexo masculino Compatibilidade
Sexo
Masculino
Sexo
Feminino
Visão
.38*
.55**
Inspiração
.48**
.69**
Instrução Técnica
.46**
.56**
Respeito Pessoal
.21
.57**
Apoio Pessoal
.33*
.44**
Feedback Positivo
.30
.44**
Feedback Negativo
.17
.10
Gestão Ativa do
Poder
.43**
.43**
Gestão Passiva do
Poder
-.18
-.36**
* p<.05; ** p<.01 Relativamente aos atletas masculinos que estão em fase
de apuramento de campeão e os que estão em fase de
manutenção/descida,
verificou-se
não
existirem
diferenças estatisticamente significativas relativamente à
compatibilidade, nem aos vários domínios de liderança Quando comparados os atletas do sexo masculino de
equipas que estão em fase de apuramento de campeão
com os que se encontram em equipas em fase de
manutenção/descida, não se encontram diferenças
estatisticamente significativas entre os dois grupos no R Est Inv Psico y Educ, 2017, Extr.(14), A14-131 LIDERANÇA, COMPATIBILIDADE E RENDIMENTO Referências Jowett, S., & Cockerill, I. (2003). Olympic medallists’
perspective
of
the
athlete-coach
relationship. Psychology of Sport and Exercise, 4, 313-331. https://www.researchgate.net/publication/222296904_
Olympic_Medallists'_perspective_of_the_athlete-
coach_relationship Aleksic-Veljkovic,
A.,
Djurovic,
D.,
Dimic,
I.,
Mujanovic, R., & Zivcic-Markovic, K. (2016). College
athletes’
perceptions
of
coaching
behaviours:
Differences between individual and team sports. Baltic
Journal of Sports & Health Sciences, 2, 61-65. http://www.lsu.lt/sites/default/files/dokuumentai/balti
c_journal_of_sport_2101_2016_06_29_1.pdf Resende, R., Gomes, R., & Vieira, O. (2013). Liderança
no futsal de alta competição: Importância dos
resultados
desportivos. Motriz,
19,
502-512. http://www.scielo.br/pdf/motriz/v19n2/28.pdf Bass, B. (1999). Two decades of research and
development in transformational leadership. European
Journal of Work and Organizational Psychology, 8, 9-
32. http://www.tandfonline.com/doi/abs/10.1080/1359432
99398410 Ribeiro, C., Gomes, R., Simães, C., Resende, R.,
Moreira, D. (2016). Liderança, satisfação e perceção de
rendimento desportivo: Estudo com atletas seniores. Journal of Sport Pedagogy & Research, 2, 72-86. https://www.researchgate.net/publication/305488794_
Lideranca_Satisfacao_e_Percecao_de_Rendimento_D
esportivo_Estudo_com_Atletas_Seniores Brandão, M., & Carchan, D. (2010). Comportamento
preferido de liderança e a sua influência no
desempenho dos atletas. Motricidade, 6, 53-69. http://www.revistamotricidade.com/arquivo/2010_vol
6_n1/v6n1a05.pdf Terry, P., & Howe, B. (1984). Coaching preferences of
athletes. Canadian Journal of Applied Sport Sciences,
9,
188-193. https://www.ncbi.nlm.nih.gov/pubmed/6525751 Chelladurai, P., & Saleh, S. (1980). Dimensions of leader
behavior in sports: Development of a leadership scale. Journal
of
Sport
Psychology,
2,
34-
45.http://areas.fmh.utl.pt/~arosado/Repositorio/ficheir
os/LONGTERM/Ref5.pdf https://www.ncbi.nlm.nih.gov/pubmed/6525751 Trocado, R., & Gomes, R. (2013). Winning or not
winning: The influence on coach-athlete relationships
and goal achievement. Journal of human Sport &
Exercise,
8,
986-996. Gomes, R. (2014). Transformational leadership: Theory,
research, and application to sports. In C. Mohiteddini
(Ed.), Contemporary topics and trends in the
psychology of sports (pp. 53-114). New York: Nova https://rua.ua.es/dspace/bitstream/10045/34895/1/jhse
_Vol_8_N_IV_986-995.pdf R Est Inv Psico y Educ, 2017, Extr.(14), A14-132
|
https://openalex.org/W2552675743
|
http://www.scielo.br/pdf/dpjo/v21n5/2176-9451-dpjo-21-05-00075.pdf
|
English
| null |
Reliability of overbite depth indicator (ODI) and anteroposterior dysplasia indicator (APDI) in the assessment of different vertical and sagittal dental malocclusions: a receiver operating characteristic (ROC) analysis
|
Dental Press Journal of Orthodontics
| 2,016
|
cc-by
| 5,294
|
DOI: http://dx.doi.org/10.1590/2177-6709.21.5.075-081.oar Introduction: Differential diagnosis of skeletal and dental relationships is crucial for planning orthodontic treatment. Overbite depth
indicator (ODI) and anteroposterior dysplasia indicator (APDI) had been introduced in the past for assessment of vertical and sagittal
jaw relationships, respectively. Objective: The objectives of this study were to evaluate the reliability of ODI and APDI in overbite
and Angle malocclusions, as well as assess their diagnostic reliability among males and females of different age groups. Material and
Methods: This study was conducted using pretreatment dental casts and lateral cephalograms of 90 subjects. For ODI, subjects were divided
into three groups based on overbite (normal overbite, open bite and deep bite). Likewise, the same subjects were divided for APDI into three
groups, based on Angle’s malocclusion classification (dental Class I, II and III malocclusions). Mann-Whitney U test was applied for compari-
son of study parameters regarding sex and different age groups. The mean values of ODI and APDI were compared among study groups by
means of Kruskal-Wallis and post-hoc Dunnet T3 tests. The receiver operating characteristic (ROC) curve was applied to test diagnostic reli-
ability. Results: Insignificant differences were found for ODI and APDI angles, particularly in regards to sex and age. Significant inter-
group differences were found in different overbite groups and Angle’s classification for ODI and APDI, respectively (p < 0.001). ROC
showed 91% and 88% constancy with dental pattern in ODI and APDI, respectively. Conclusions: ODI can reliably differentiate
deep bite versus normal overbite and deep bite versus open bite. APDI can reliably differentiate dental Class I, II and III malocclusions. Keywords: Malocclusion. Overbite. Cephalometry. Receiver operating characteristic curve. Introdução: o diagnóstico diferencial das relações esqueléticas e dentárias é essencial para o plano de tratamento ortodôntico. O indicador de
profundidade da sobremordida (ODI)) e o indicador de displasia anteroposterior (APDI) foram desenvolvidos, no passado, para avaliação das
relações verticais e sagitais dos maxilares, respectivamente. Objetivo: o objetivo desse estudo foi avaliar a confiabilidade do ODI e do APDI
em diferentes sobremordidas e más oclusões de Angle, bem como verificar sua confiabilidade diagnóstica em homens e mulheres de diferentes
grupos etários. Métodos: esse estudo foi conduzido utilizando-se modelos de estudo e radiografias cefalométricas laterais pré-tratamento de
90 indivíduos. Para o ODI, os indivíduos foram divididos em três grupos, com base na sobremordida (sobremordida normal, mordida aberta,
mordida profunda). original article original article Reliability of overbite depth indicator (ODI) and
anteroposterior dysplasia indicator (APDI) in the assessment of
different vertical and sagittal dental malocclusions: a receiver
operating characteristic (ROC) analysis Farheen Fatima1, Mubassar Fida2, Attiya Shaikh3 DOI: http://dx.doi.org/10.1590/2177-6709.21.5.075-081.oar 1 Resident in Orthodontics, The Aga Khan University Hospital, Section of
Dentistry, Department of Surgery, Karachi Pakistan.
2 Consultant Orthodontist/Associate Professor, The Aga Khan University
Hospital, Program Director Orthodontics Residency Program, Section of
Dentistry, Department of Surgery, Karachi, Pakistan.
3 Consultant Orthodontist/ Assistant Professor, The Aga Khan University
Hospital, Program Coordinator, Orthodontics Residency Program, Section of
Dentistry, Department of Surgery, Karachi, Pakistan.
Submitted: December 07, 2015 - Revised and accepted: February 28, 2016 © 2016 Dental Press Journal of Orthodontics Dental Press J Orthod. 2016 Sept-Oct;21(5):75-81 INTRODUCTION INTRODUCTION describe the relationship between dental and skeletal pat-
terns. Hence, the diagnosis drawn from the most com-
monly used analyses is still questionable.2,3,8,9,10 In order to
overcome these shortcomings, Kim and Vietas11 studied
cephalograms of 102 subjects with normal occlusion and
874 subjects with different dental malocclusions based
on Angle’s classification, and proposed the anteroposte-
rior dysplasia indicator (APDI) which scores the sagittal
skeletal relationship. The APDI is the sum of three in-
terplaner angles that showed the highest correspondence
with Angle’s classification.12,13,14 Malocclusions are classified on the basis of skeletal
discrepancies and occlusal disharmonies. In clinical
practice, a dental malocclusion is usually found with a
corresponding skeletal discrepancy. However, in several
cases, dental and skeletal malocclusions may not follow
an analogous pattern. This might be due to variations
in dental malocclusion which are more amenable to en-
vironmental influences.1 Hence, differential diagnosis
is crucial for planning the treatment of complex orth-
odontic problems. Identification of dentoalveolar and skeletal relationships
in the vertical and sagittal planes can be achieved by vari-
ous cephalometric analyses.2-6 Skeletal relationship in the
vertical plane is commonly assessed by Downs mandibular
plane angle (FMA), Y-axis, Steiner mandibular plane angle
(SNMP), facial angle and several others. In 1948, Downs4
introduced FMA, Y-axis and facial angle, using Frankfort
horizontal plane as the reference plane. The problem re-
garding these analyses was related to difficulty identifying
the landmarks. Additionally, the mandibular plane used in
FMA was drawn as a tangent to the lower border of the
body of the mandible, which is not very reliable and may
lead to measurement error.5 To overcome this deficiency
and facilitate diagnosis, Kim7 studied cephalograms of 119
subjects with ideal occlusion and 500 subjects with differ-
ent malocclusions, and introduced the overbite depth indi-
cator (ODI) to assess the skeletal relationship in the vertical
plane. The ODI is the sum of two interplaner angles that
showed the highest correlation with incisor overbite. It de-
scribes the skeletal trends towards open bite or deep bite. Similarly, a few studies have been conducted to test
the reliability of ODI and APDI in Caucasian and Japa-
nese populations.7,11,14 However, to date, no study has
been conducted in a Pakistani population. Therefore, the
aim of our study was to determine and compare the mean
ODI and APDI values in various overbite and Angle’s
classification groups, respectively. INTRODUCTION In addition, we aimed
to assess the diagnostic validity of ODI and APDI and
compare them among different sex and age groups. DOI: http://dx.doi.org/10.1590/2177-6709.21.5.075-081.oar Ainda, para avaliação do APDI, esses mesmos indivíduos foram divididos em três grupos baseados na classificação de
Angle para as más oclusões (Classes I, II e III dentárias). O teste U de Mann-Whitney foi aplicado para comparar os parâmetros estudados,
quanto ao sexo e diferentes grupos etários. Os valores médios do ODI e do APDI foram comparados entre os grupos estudados por meio
dos testes de Kruskal-Wallis e post-hoc T3 de Dunnett. A curva ROC (receiver operating characteristic) foi aplicada para testar a confiabilidade do
diagnóstico. Resultados: diferenças não significativas foram encontradas para os ângulos ODI e APDI, particularmente em relação ao sexo
e à idade. Diferenças significativas foram encontradas entre os grupos com diferentes sobremordidas e diferentes más oclusões de Angle, para
o ODI e para o APDI, respectivamente (p < 0,001). A ROC mostrou 91% e 88% de concordância com o padrão dentário, para o ODI e
APDI, respectivamente. Conclusões: o ODI mostrou-se confiável para diferenciar entre a mordida profunda e a sobremordida normal, e
entre a mordida profunda e a mordida aberta. O APDI é confiável para se diferenciar entre as más oclusões dentárias de Classes I, II e III. Palavras-chave: Má oclusão. Sobremordida. Cefalometria. Curva ROC. How to cite this article: Fatima F, Fida M, Shaikh A. Reliability of overbite
depth indicator (ODI) and anteroposterior dysplasia indicator (APDI) in the as-
sessment of different vertical and sagittal dental malocclusions: a receiver operating
characteristic (ROC) analysis. Dental Press J Orthod. 2016 Sept-Oct;21(5):75-81. DOI: http://dx.doi.org/10.1590/2177-6709.21.5.075-081.oar » The authors report no commercial, proprietary or financial interest in the products
or companies described in this article. Contact address: Farheen Fatima
E-mail: farheen.fatimakhan@aku.edu © 2016 Dental Press Journal of Orthodontics 75 Dental Press J Orthod. 2016 Sept-Oct;21(5):75-81 original arti Reliability of overbite depth indicator (ODI) and anteroposterior dysplasia indicator (APDI)
in the assessment of different vertical and sagittal dental malocclusions: a receiver operating characteristic (ROC) analysis © 2016 Dental Press Journal of Orthodontics Dental Press J Orthod. 2016 Sept-Oct;21(5):75-81 RESULTS Each study group was further divided into adolescent
group (10-18 years old) and adult group (19-30 years old). Each group included 14 males and 16 females, except for
the open bite group that had an equal number of male and
female subjects. Lateral cephalograms of these subjects
were traced manually on acetate paper, with a 0.5-mm
lead pencil in a dark room by the main investigator. Spe-
cific landmarks were identified (N, Or, Po, ANS, PNS,
A, B, Pg, Me, Go) and angular measurements were de-
termined with the aid of a protractor (Fig 1). The study parameters were compared between
males and females as well as between adolescents and
adults. Results showed insignificant differences. Hence,
to conserve the power of study, data were not stratified
according to sex and age (Tables 1 and 2). Comparison among overbite groups showed
significant differences for AB-MP angle (p < 0.001) and
ODI (p < 0.001). However, insignificant difference was
found for the palatal plane angle among the three over-
bite groups (p = 0.775) (Table 3). The ODI was measured as the sum of two angles
(AB-MP and PP-FH), as described by Kim7 (Fig 2). Comparison among Angle’s classification groups
showed significant differences for the facial plane angle
(p < 0.001), denture base to facial plane angle (p < 0.001)
and APDI (p < 0.001). However, insignificant difference
was found for the palatal plane angle among Classes I, II
and III (p = 0.214) (Table 4). The APDI was measured as the sum of three angles
(FH-NPg, PP-FH and AB-NPg), as described by Kim
and Vietas11 (Fig 2). Statistical analysis of data was carried out by means
of SPSS for Windows (version 20.0, SPSS Inc. Chicago,
USA). Shapiro-Wilk test was used to test for normality of
data and revealed non-normal distribution; hence, non-
parametric tests were applied. Mann-Whitney-U test was
used to compare the study parameters between males and
females as well as adolescent and adult groups. The mean
values of ODI and APDI angles were compared among
study groups by means of Kruskal-Wallis test. Multiple ROC plot comparing overbite groups for ODI
showed an area under curve with a value equal to 0.196
between normal overbite and open bite groups; 0.70
between deep bite and normal overbite groups; and 0.91
between deep bite and open bite groups. MATERIAL AND METHODS Data were collected retrospectively from the
pretreatment orthodontic records of patients presenting
to our dental clinics during 2006-2015. Sample size
was calculated using the values of ODI in three overbite
groups, as reported by Freudanthaler et al.12 Alpha was
set as 0.05 and the power of study as 80% for sample size
calculation which showed that a sample of 16 was neces-
sary in each group. However, to ensure the validity of
comparison among different study groups, sample size
was increased to 30 subjects in each of the three groups. Assessment of sagittal skeletal relationship is most com-
monly performed by ANB angle, Wits appraisal, McNa-
mara analysis and several others.2,3,8,9 Riedel2 introduced
the ANB angle in 1952. It estimates the discrepancy of
maxilla and mandible in reference to the anterior cranial
base. Various studies have reported that the values of the
ANB angle are affected by steepness of the S-N plane,
variation in the position of point A due to root position,
exceptionally long or short mandible, and excessively
long or short face.3,6 To overcome these problems, Jacob-
son,3 in 1975, proposed a simple method to measure the
degree of anteroposterior dysplasia: “Wits appraisal.” In
this method, perpendicular lines were drawn from points
A and B on the occlusal plane. However, the value of
Wits appraisal was affected by occlusal plane angle and
incisor angulations.6 Moreover, these analyses do not Subjects with good-quality pretreatment lateral
cephalograms and dental casts with well-established
molar and incisor relationship were included in the
study. A digital vernier caliper (0-150 mm ME00183,
Dentaurum, Pforzheim, Germany) with accuracy of
0.02 mm and reliability of 0.01 mm (manufacturer’s
specification) was used to record overbite on dental
casts. Subjects having subdivision malocclusion and
those with anterior teeth showing combined character-
istics of open and deep bite were excluded. A sample of 90 subjects was divided into three groups
for ODI on the basis of overbite: A sample of 90 subjects was divided into three groups
for ODI on the basis of overbite: » Normal overbite group: overbite 1-3 mm (30 subjects); » Open bite group: overbite < 0 mm (30 subjects); » Deep bite group: overbite > 4 mm (30 subjects). © 2016 Dental Press Journal of Orthodontics 76 Dental Press J Orthod. MATERIAL AND METHODS 2016 Sept-Oct;21(5):75-81 al article original article Fatima F, Fida M, Shaikh A comparisons for ODI and APDI among study groups were
carried out by means of post-hoc Dunnet T3 test. A p ≤ 0.05
was consigned as statistically significant. The reliability of
ODI and APDI as diagnostic analyses was tested by means
of the receiver operating characteristic curve (ROC). For APDI, 90 subjects were equally divided into
three groups on the basis of Angle’s classification of
malocclusion8 : » Dental Class I (30 subjects); » Dental Class II (30 subjects); » Dental Class III (30 subjects). RESULTS The calculated
values of ODI were consistent with incisor overbite in
91% of subjects (Table 5, Fig 3). Figure 1 - Landmarks for ODI and APDI. Figure 2 - ODI and APDI parameters. FH
PP
NPg
AB
MP
Me
Pg
B
A
ANS
PNS
Or
N
Po
Go Figure 1 - Landmarks for ODI and APDI
Me
Pg
B
A
ANS
PNS
Or
N
Po
Go Figure 1 - Landmarks for ODI and APDI. Me
Pg
B
A
ANS
PNS
Or
N
Po
Go FH
PP
NPg
AB
MP Figure 2 - ODI and APDI parameters. Figure 2 - ODI and APDI parameters. Figure 2 - ODI and APDI parameters. Figure 1 - Landmarks for ODI and APDI. Figure 1 - Landmarks for ODI and APDI. © 2016 Dental Press Journal of Orthodontics Table 1 - Comparison of study parameters between adolescent and adult groups. Table 1 - Comparison of study parameters between adolescent and adult groups. Parameters
Adolescents (n = 44)
Adults (n = 46)
p-value
Median
Range
Median
Range
Over bite (mm)
3.00
10.5 (-4.0 to 6.5)
3.00
16.5 (-6.5 to 10.0)
0.607
AB-MP (degrees)
71.50
40 (49 to 89)
74.00
38 (53 to 91)
0.824
PP-FH (degrees)
2.00
15 (-6 to 9)
2.00
18 (-7 to 11)
0.987
ODI (degrees)
74.00
43 ( 54 to 97)
73.50
45 (53 to 98)
0.929
FH-NPg (degrees)
87.00
22 (78 to 100)
88.00
17 (79 to 96)
0.682
AB-NPg (degrees)
-7.00
22 (-16 to 6)
-6.00
24 (-15 to 9)
0.382
APDI (degrees)
83.50
46 (62 to 108)
83.00
45 (65 to 110)
0.492
n = 90. Mann-Whitney U Test. p ≤ 0.05. n = 90. Mann-Whitney U Test. p ≤ 0.05. Table 2 - Comparison of study parameters between male and female groups. Table 2 - Comparison of study parameters between male and female groups. Table 2 - Comparison of study parameters between male and female groups. n = 90. Mann-Whitney U Test. p ≤ 0.05. Parameters
Male (n = 44)
Female (n = 46)
p-value
Median
Range
Median
Range
Over bite (mm)
2.75
15.5 (-5.5 to 10.0)
3.00
14.0 (-6.5 to 7.5)
0.786
AB-MP (degrees)
74.00
42 (49 to 91)
72.00
32 (55 to 87)
0.759
PP-FH (degrees)
2.00
15 (-7 to 8)
3.00
16 (-5 to 11)
0.065
ODI (degrees)
73.50
44 (53 to 97)
74.50
41 (57 to 98)
0.288
FH-NPg (degrees)
87.50
22 (78 to 100)
87.50
17 (70 to 96)
0.761
AB-NPg (degrees)
-7.00
25 (-16 to 9)
-6.50
19 (-14 to 5)
0.557
APDI (degrees)
83.00
45 (65 to 110)
83.00
4162 to 103)
0.965 n = 90. Mann-Whitney U Test. p ≤ 0.05. Table 3 - Comparison of ODI among overbite groups. Table 3 - Comparison of ODI among overbite groups. n = 90, SD – Standard Deviation. Kruskal-Wallis Test. Post hoc-Dunnet T3. *p ≤ 0.05, **p < 0.01. © 2016 Dental Press Journal of Orthodontics Dental Press J Orthod. 2016 Sept-Oct;21(5):75-81 Dental Press J Orthod. 2016 Sept-Oct;21(5):75-81 77 original art Table 1 - Comparison of study parameters between adolescent and adult groups. Table 1 - Comparison of study parameters between adolescent and adult groups. Variables
ODI (degrees)
P
Post hoc Dunnet T3
Open bite (n = 30)
Normal overbite (n = 30)
Deep bite (n = 30)
Open vs
Deep bite
(p)
Deep vs
Normal
overbite (p)
Open vs
Normal
overbite (p)
Median
Range
Median
Range
Median
Range
AB-MP
62.00
31 (49 to 80)
74.50
30 (54 to 84)
81.50
31 (60 to 91)
<0.001**
<0.001**
0.012*
<0.001**
PP-FH
-1.00
14 (-6 to 8)
2.00
16 (-7 to 9)
2.00
18 (-7 to 11)
0.775
0.738
0.963
0.931
ODI
64.50
24 (53 to 77)
74.50
32 (57 to 89)
83.00
42 (56 to 98)
<0.001**
<0.001**
0.022*
<0.001** Table 4 - Comparison of APDI among Angle’s molar classes groups. p
g
g
g
p
n = 90, SD – Standard Deviation. Kruskal-Wallis Test. Post hoc-Dunnet T3. *p ≤ 0.05, **p < 0.01. Variables
APDI (degrees)
P
Post hoc Dunnet T3
Dental Class I (n = 30)
Dental Class II (n = 30)
Dental Class III (n = 30)
Dental
Class I vs II
Dental
Class II
vs III
Dental
Class I
vs III
Median
Range
Median
Range
Median
Range
FH-NPg
88.00
11 (82 to 93)
85.00
22 (78 to 100)
85.50
18 (79 to 97)
< 0.001**
0.085
0.001*
0.109
PP-FH
3.00
15 (-7 to 8)
-1.00
18 (-7 to 11)
-1.00
15 (-6 to 9)
0.214
0.236
0.999
0.271
AB-NPg
-7.00
13 (-14 to -1)
-9.00
17 (-16 to 1)
1.50
18 (-9 to 9)
<0.001**
0.025*
<0.001**
<0.001**
APDI
83.00
20 (72 to 92)
76.50
31 (62 to 93)
90.50
35 (75 to 110)
<0.001**
0.001*
<0.001**
<0.001** © 2016 Dental Press Journal of Orthodontics © 2016 Dental Press Journal of Orthodontics 78 Dental Press J Orthod. 2016 Sept-Oct;21(5):75-81 original article original article Fatima F, Fida M, Shaikh A Table 5 - ROC of ODI and APDI among overbite and Angle’s classes, respectively. Table 5 - ROC of ODI and APDI among overbite and Angle’s classes, respectively. ROC = Reciever Operating Characteristic. ROC > 0.6 is significantly reliable. Study groups
Lower confidence level
Upper confidence level
ROC
ROC of ODI
Normal overbite vs Open bite
0.08
0.30
0.196
Deep bite vs Normal overbite
0.57
0.84
0.70
Deep bite vs Open bite
0.82
0.99
0.91
ROC of APDI
Class I vs II
0.65
0.90
0.77
Class I vs III
0.61
0.86
0.74
Class II vs III
0.80
0.97
0.88
Normal overbite vs Open bite
Dental Class I vs Dental Class II
Deep bite vs Normal overbite
Dental Class I vs Dental Class III
A
A
B
B
ROC Curve
ROC Curve
ROC Curve
ROC Curve
ROC Curve
ROC Curve
sensitivity
sensitivity
sensitivity
sensitivity
sensitivity
sensitivity
1 - Specificity
1 - Specificity
1 - Specificity
1 - Specificity
1.25
1.25
1.25
1 0
1.0
1 2
1.0
0.75
0.75
0.75
0 6
0.6
0.6
0.25
0.25
0.25
0 2
0.0
0.2
0.2
1.00
1.00
1.00
0 8
0.8
0.8
0.50
0.50
0.50
0 4
0.4
0.4
0.00
0.00
0.00
0 0
0.0
0.0
0.0
0.0
0.2
0.2
0.2
0.2
0.2
0.2
0.4
0.4
0.4
0.4
0.4
0.4
0.6
0.6
0.6
0.6
0.6
0.6
1.0
1.0
1.0
1.0
1.0
1.0
0.8
0.8
0.8
0.8
0.8
0.8 ROC = Reciever Operating Characteristic. ROC > 0.6 is significantly reliable. Study groups
Lower confidence level
Upper confidence level
ROC
ROC of ODI
Normal overbite vs Open bite
0.08
0.30
0.196
Deep bite vs Normal overbite
0.57
0.84
0.70
Deep bite vs Open bite
0.82
0.99
0.91
ROC of APDI
Class I vs II
0.65
0.90
0.77
Class I vs III
0.61
0.86
0.74
Class II vs III
0.80
0.97
0.88 ROC = Reciever Operating Characteristic. ROC > 0.6 is significantly reliable. © 2016 Dental Press Journal of Orthodontics Study groups
Lower confidence level
Upper confidence level
ROC
ROC of ODI
Normal overbite vs Open bite
0.08
0.30
0.196
Deep bite vs Normal overbite
0.57
0.84
0.70
Deep bite vs Open bite
0.82
0.99
0.91
ROC of APDI
Class I vs II
0.65
0.90
0.77
Class I vs III
0.61
0.86
0.74
Class II vs III
0.80
0.97
0.88 Dental Class I vs Dental Class II
A
ROC Curve
sensitivity
1 - Specificity
1.0
0.6
0.2
0.8
0.4
0.0
0.2
0.4
0.6
1.0
0.8 Normal overbite vs Open bite
A
ROC Curve
sensitivity
1 - Specificity
1.25
0.75
0.25
1.00
0.50
0.00
0.0
0.2
0.4
0.6
1.0
0.8 A Normal overbite vs Open bite Dental Class I vs Dental Class II A Deep bite vs Normal overbite
B
ROC Curve
sensitivity
1 - Specificity
1.25
0.75
0.25
1.00
0.50
0.00
0.0
0.2
0.4
0.6
1.0
0.8 Dental Class I vs Dental Class III
B
ROC Curve
sensitivity
1 - Specificity
1.25
0.75
0.25
1.00
0.50
0.00
0.2
0.4
0.6
1.0
0.8 B B Deep bite vs Open bite
C
ROC Curve
sensitivity
1 - Specificity
1.0
1.2
0.6
0.2
0.8
0.4
0.0
0.0
0.2
0.4
0.6
1.0
0.8 ROC Curve
sensitivity
1 - Specificity
1.0
0.6
0.0
0.2
0.8
0.4
0.2
0.4
0.6
1.0
0.8 C C Figure 4 - ROC of APDI amongst sagittal groups: (A) Dental Class I vs II;
(B) Dental Class I vs III; (C) Dental Class II vs III. Figure 3 - ROC of ODI amongst vertical groups: (A) Normal overbite vs Open bite;
(B) Deep bite vs Normal overbite; (C) Deep bite vs Open bite. Figure 4 - ROC of APDI amongst sagittal groups: (A) Dental Class I vs II;
(B) Dental Class I vs III; (C) Dental Class II vs III. © 2016 Dental Press Journal of Orthodontics DISCUSSION Cephalometric analysis is an essential clinical tool in
orthodontic diagnosis and treatment planning. To this
end, several cephalometric analyses have been intro-
duced by researchers, but none of them provides de-
tailed information regarding dental malocclusion and
their corresponding skeletal discrepancy.6 Hence, the
objective of the current study was to identify whether
the skeletal and dental components of malocclusion can
be clearly identified by ODI and APDI. To evaluate ODI, subjects were divided into three
equal groups on the basis of overbite. The present study
showed significant differences in ODI among open bite,
normal overbite and deep bite groups. Our results were in
accordance with the study conducted by Kim.7 Another
study conducted by Freudenthaler et al12 found signifi-
cant differences between deep bite and open bite groups
as well as normal overbite and deep bite groups. Howev-
er, insignificant differences were reported between nor-
mal overbite and open bite groups. The reason behind
the differences in results may be due to the stratification
of subjects on the basis of incisor overbite. The reliability of diagnostic information provided by
the analyses plays a vital role in treatment success. Re-
liability could be assessed by means of the ROC curve
which describes efficacy in terms of sensitivity and speci-
ficity.15 An ideal test shows a value of 1, while a test re-
sult of 0.5 or less indicates no diagnostic value.16-21 In
our study, assessment of ROC demonstrated that ODI
yielded the highest diagnostic value for deep bite and
open bite groups. These results were 91% correspondent
with incisor overbite. In contrast, a study conducted by
Freudenthaler et al12 reported a value of 81%. Wardlaw
et al20 showed a high diagnostic value between open bite
and positive overbite groups, using a modification of
ODI. They used palatal plane to cranial base plane angle
(PP-SN) instead of Frankfort horizontal plane to palatal
plane angle (PP-FH). Although landmark identification
is difficult with the use of the Frankfort horizontal plane,
the latter provides more accurate information regarding
jaw position. Moreover, a true horizontal plane provides
better information in terms of ODI.7,22 The ODI is the sum of the AB-MP angle and the pal-
atal plane angle. Considering these components of ODI
independently, the AB-MP angle value showed significant
intergroup differences. © 2016 Dental Press Journal of Orthodontics 79 Dental Press J Orthod. 2016 Sept-Oct;21(5):75-81 Reliability of overbite depth indicator (ODI) and anteroposterior dysplasia indicator (APDI)
in the assessment of different vertical and sagittal dental malocclusions: a receiver operating characteristic (ROC) analysis original arti Reliability of overbite depth indicator (ODI) and anteroposterior dysplasia indicator (APDI)
in the assessment of different vertical and sagittal dental malocclusions: a receiver operating characteristic (ROC) analysis previous studies.11,12,15 In evaluating each compo-
nent individually, the facial plane angle showed sig-
nificant differences between dental Classes II and III. The lowest values were presented in cases of man-
dibular retrognathism, while the highest values were
found in mandibular excess, indicating skeletal Class
III pattern. A higher value of the mean palatal plane
angle was observed in dental Class I pattern, but statis-
tical analysis showed insignificant differences among
the three Angle’s classification groups. In contrast,
the third component of APDI, denture base to facial
plane angle, showed significant intergroup differences
among all three sagittal groups. Clockwise rotation of
this angle led to a decrease in the APDI value, which
expressed clinically as dental Class II pattern. On the
other hand, an increased value of APDI and dental
Class III pattern was observed with counter clock-
wise rotation of this angle.11 Hence, facial plane angle
and denture base to facial plane angle were the deci-
sive factors for APDI to determine various Angle’s
classification groups. ROC plot comparing Angle’s classification groups for
APDI showed an area under curve with a value equal to
0.77 between dental Classes I and II; 0.74 between dental
Class I and III; and 0.88 between dental Classes II and
III. The calculated values of APDI were consistent with
Angle’s classification in 88% of subjects (Table 5, Fig 4). © 2016 Dental Press Journal of Orthodontics REFERENCES However, there are cases that present different Angle’s
malocclusions with variable skeletal patterns, i.e., mo-
lar Class II could present with skeletal Class III pat-
tern, showing a higher APDI value; or molar Class I
with skeletal Class II pattern. Such cases require care-
ful treatment planning and cautious use of biomechan-
ics, since the dental decompensation occurring during
orthodontic treatment may result in the expression of
underlying skeletal discrepancy. 23-26 1. Graber TM. Orthodontics: principles and practice. 2nd ed. Philadelphia:
WB Saunders; 1966. 1. Graber TM. Orthodontics: principles and practice. 2nd ed. Philadelphia:
WB Saunders; 1966. CLINICAL IMPLICATION The results of the present study indicate that ODI
and APDI can be reliably used to assess the nature of
dental malocclusion. However, there may be cases
in which skeletal and dental malocclusions are not in
correspondence with each other and for which cautious
treatment planning would be required. 8. Angle EH. Treatment of malocclusion of the teeth and fractures of the
maxillae. 6th ed. Philadelphia: SS. White Dental; 1990. 9. Singh AK, Ganeshkar SV, Mehrotra P, Bhagchandani J. Comparison of
different parameters for recording sagittal maxillomandibular relation using
natural head posture: a cephalometric study. J Orthod Sci. 2013 Jan-Mar;2(1):16-22. 9. Singh AK, Ganeshkar SV, Mehrotra P, Bhagchandani J. Comparison of
different parameters for recording sagittal maxillomandibular relation using
natural head posture: a cephalometric study. J Orthod Sci. 2013 Jan-Mar;2(1):16-22. 10. Veeranarayana D, Rajani, Vani SVK, Rao GS, Raju KS, Pullaparaju G. Reliability, accuracy and interchangeability of different cephalometric
methods for assessing sagittal jaw relationships. J Res Adv Dent. 2014;3:232-8. 10. Veeranarayana D, Rajani, Vani SVK, Rao GS, Raju KS, Pullaparaju G. Reliability, accuracy and interchangeability of different cephalometric
methods for assessing sagittal jaw relationships. J Res Adv Dent. 2014;3:232-8. CONCLUSIONS 11. Kim YH, Vietas JJ. Anteroposterior dysplasia indicator: an adjunct to
cephalometric differential diagnosis. Am J Orthod. 1978 Jun;73(6):619-33. 11. Kim YH, Vietas JJ. Anteroposterior dysplasia indicator: an adjunct to
cephalometric differential diagnosis. Am J Orthod. 1978 Jun;73(6):619-33. The following conclusions could be drawn from
this study: 12. Freudenthaler JW, Celar AG, Schneider B. Overbite depth and
anteroposterior dysplasia indicators: the relationship between occlusal and
skeletal patterns using the receiver operating characteristic (ROC) analysis. Eur J Orthod. 2000 Feb;22(1):75-83. 12. Freudenthaler JW, Celar AG, Schneider B. Overbite depth and
anteroposterior dysplasia indicators: the relationship between occlusal and
skeletal patterns using the receiver operating characteristic (ROC) analysis. Eur J Orthod. 2000 Feb;22(1):75-83. 1. No difference was found in ODI and APDI val-
ues between males and females, as well as between
adolescents and adults. 13. Kim YH. A comparative cephalometric study of Class II, Division 1
nonextraction and extraction cases. Angle Orthod. 1979 Apr;49(2):77-84. 2. ODI can significantly differentiate between over-
bite groups and was consistent with patient’s over-
bite in 91% of the cases. 14. Freudenthaler JW, Celar AG, Kubota M, Akimoto S, Sato S, Schneider B. Comparison of Japanese and European overbite depth indicator and
anteroposterior dysplasia indicator values. Eur J Orthod. 2011 Feb;33(1):1-5. 15. Han UK, Kim YH. Determination of Class II and Class III skeletal patterns:
Receiver operating characteristic (ROC) analysis on various cephalometric
measurements. Am J Orthod Dentofacial Orthop. 1998 May;113(5):538-45. 3. APDI can significantly differ between Angle’s
malocclusions and was consistent with the dental
classification in 88% of the cases. 16. Weinstein MC, Fineberg HV. Clinical decision analysis. Philadelphia:
WB Saunders; 1980. 17. Douglass CW. Evaluating diagnostic tests. J Eval Clin Pract. 2016
Aug;22(4):575-9. 18. Centor RM. Signal detectability: the use of ROC curves and their analyses. Med Decis Making. 1991 Apr-Jun;11(2):102-6. 18. Centor RM. Signal detectability: the use of ROC cu
Med Decis Making. 1991 Apr-Jun;11(2):102-6. 19. Berkey CS, Douglass CW, Valachovic RW, Chauncey HH, McNeil BJ. Statistical methods for comparing dental diagnostic procedures. Community Dent Oral Epidemiol. 1990 Aug;18(4):169-76. Community Dent Oral Epidemiol. 1990 Aug;18(4):169-76. 20. Wardlaw DW, Smith RJ, Hertweck DW, Hildebolt CF. Cephalometrics of
anterior open bite: a receiver operating characteristic (ROC) analysis. Am J
Orthod Dentofacial Orthop. 1992 Mar;101(3):234-43. 21. Newhauser D, Yin XP. Deciding whether a new test/measure is useful. Med Care. 1991 Aug;29(8):685-9. 22. Jacobson A. Radiographic cephalometry. How reliable is cephalometric
prediction? São Paulo: Quintessence; 1995. 23. DISCUSSION A lower value of AB-MP angle was
observed in the horizontal growth pattern, while an in-
creased value was observed in the vertical growth pattern. However, the palatal plane angle did not show significant
differences among the three overbite groups. The inclina-
tion of palatal plane upward and forward to the Frankfort
horizontal plane results in decreased value of ODI. This
indicates a tendency towards skeletal open bite. Therefore,
it showed that the primary determinant of ODI is AB-MP
angle, while the palatal plane angle does not play any sig-
nificant role in the value of ODI. These results were simi-
lar to those reported by other studies.7,12,14 Likewise, applying ROC for APDI demonstrated
high diagnostic value among dental Classes II and III
malocclusions. These results were in accordance with
Angle’s classes in 88% of subjects, and a similar val-
ue was reported by Freudenthaler et al.12 Neverthe-
less, Kim and Vietas11 reported a lower value of 64%. In the assessment of APDI, our study showed
significant intergroup differences regarding Angle’s
classification. Analogous results were found in the 80 Dental Press J Orthod. 2016 Sept-Oct;21(5):75-81 al article original article Fatima F, Fida M, Shaikh A REFERENCES CONCLUSIONS Meyers DM. A multivariate analysis of the relations between craniofacial
structure and occlusion with DiPaolo’s quadrilateral measures. Am J Orthod
Dentofacial Orthop. 1992 July;102(1):52-61. 24. Dibbets JM. Morphological associations between the Angle classes. Eur J
Orthod. 1996 Apr;18(2):111-8. 24. Dibbets JM. Morphological associations between the Angle classes. Eur J
Orthod. 1996 Apr;18(2):111-8. 24. Dibbets JM. Morphological associations between the Angle classes. Eur J
Orthod. 1996 Apr;18(2):111-8. 25. Harris EF, Johnson MG. Heritability of craniometric and occlusal variables:
a longitudinal sib analysis. Am J Orthod Dentofacial Orthop. 1991
Mar;99(3):258-68. 25. Harris EF, Johnson MG. Heritability of craniometric and occlusal variables:
a longitudinal sib analysis. Am J Orthod Dentofacial Orthop. 1991
Mar;99(3):258-68. 26. Bishara SE, Jakobsen JR, Vorhies B, Bayati P. Changes in dentofacial
structures in untreated Class II division 1 and normal subjects: a longitudinal
study. Angle Orthod. 1997;67(1):55-66. © 2016 Dental Press Journal of Orthodontics 81 Dental Press J Orthod. 2016 Sept-Oct;21(5):75-81
|
https://openalex.org/W2155800796
|
https://estudiosmedievales.revistas.csic.es/index.php/estudiosmedievales/article/download/608/618/620
|
Catalan; Valencian
| null |
L'Església secular catalana al segle XIV: la conflictiva relació social
|
Anuario de estudios medievales
| 1,998
|
cc-by
| 16,036
|
'Abreviatures emprades: ACA, Arxiu de la Corona d'Aragó; ACV, Arxiu Capitular de Vie;
ADG. Arxiu Dioce.sà de Girona: ADM, Archivo Ducal de Medinaeeli; ADPO, Archives
Départementales des Pyrénées-Orientales; AEV. Arxiu Episcopal de Vie; AHCBl. Arxiu
Historic Comarcal de Balaguer; AHCBr, Arxiu Historic de la Ciutat de Barcelona; AHCG,
Arxiu Historic de la Ciutat de Girona; AHCM. Arxiu Historic de la Ciutat de Manresa; AHCG.
Arxiu Historic Comarcal d'Olot; AHCP. Arxiu Historie Comarcal de Puigcerdà; AHCR. Arxiu
Historie Comarcal de Reus; AHCT. Arxiu Historic Comarcal de lïirrega; AHCTE. Arxiu
Historic Comarcal de les Terres de TEbre; AHCV, Arxiu Historie Comarcal de Valls;
AHMTM, Arxiu Historie Municipal de Torroella de Montgri; AHMV. Arxiu Historic
Municipal de Vie; AHPB, Arxiu Historic de Protocols de Barcelona; AHÏ, Arxiu Historic de
Tarragona; AME. Arxiu Municipal de Lleida; AMSJA, Arxiu del Monestir de vSant joan de les
Abade.s.ses; APSMM, Arxiu Parroquial de Santa Maria del Mar; AVV. Arxiu del Veguer de
Vic; BC. Arxiu de la Biblioteca de Catalunya. L'ESGLÉSIA SECULAR CATALANA AL SEGLE XIV:
LA CONFLICTIVA RELACIÓ SOCIAL FLOCEL SABATÉ
Universitaf de Lleida "Anuario de l-sitidios Mcdicsalcs". 2<S (1W8) (c) Consejo Superior de Investigaciones Científicas
Licencia Creative Commons 3.0 España (by-nc) http://estudiosmedievales.revistas.csic.es SUMARÍ 1. Les tensions urbanes: jurisdieeió. tlsealitat i tonsura.- 2. L'agressivi-
tat rural.- 3. La difícil deliniitació dels ambits jurisdiccionals.- 4. Escriva-
nies i ofieis reiais vedats.- 5. Diseurs i armes de TEsglésia.- 6. El eonHicie
de les temporalitals.- 7. Relacions a la cúpula del poder.- 8 Vers Tanticleri-
calisme popular'. La duaiitat presideix la relació de l'Església secular amb la societal
baixmedieval: condemna la usura albora que té en els seus clergues uns deis
principais abastidors de credit, especialment en els ambits rurais; exigeix el
respecte a la propia jurisdieeió mentre dins d'aquesta inclou clergues
conjugats que duen vida laica; gaudeix dels avantantges de la vida urbana http://estudiosmedievales.revistas.csic.es http://estudiosmedievales.revistas.csic.es (c) Consejo Superior de Investigaciones Científicas
Licencia Creative Commons 3.0 España (by-nc) (c) Consejo Superior de Investigaciones Científicas
Licencia Creative Commons 3.0 España (by-nc) FLOCEL SABATE 758 però pretén no contribuir-hi fiscalment o jurisdiccionalment. Son contradic-
cions que no poden menys que menar a situacions de gran tensió, entorn a
les quais tothom es posicionará: el poder vilatà exigint una participado en
els costos municipals i vetllant per l'exercici jurisdiccional; TEsglésia amb
l'articulació del diseurs defensiu jurídic i espiritual; el sobirà formulant
l'enlairament de la monarquia en el joc del poder; i el poblé élaborant un
específic raonament anticlerical. "AHMV Llibre de Privilegis H, pergami 34.
'AUCG 1.1.2.1, lligall 1, llibre 2, fol. 26v. (c) Consejo Superior de Investigaciones Científicas
Licencia Creative Commons 3.0 España (by-nc) http://estudiosmedievales.revistas.csic.es 1. LES TENSIONS URBANES:
JIJRISDICCIÓ, EISCALITAT I TONSURA El col lectin eclesiàstic gaudeix de la consideració estamental
particular, cosa que Teximeix de l'exercici jurisdiccional i del tractament
legislatiu pertanyent ais diferents nuclis vilatans. La lògica jurídica permet
ais clergues beneficiar-se deis avantatges urbans com habitadors sense
participar en els seus costos fiscais ni en les seves responsabilitats jurisdic-
cionals. Els governs locals invocaran l'aparent paradoxa i exigirán una
participado que será rebutjada per l'Església ordinària, contrarietat que mena
a tensions, proporcionalment creixents amb les dificultais financeres i
d'ordre public que es van apoderam de la centúria, sobretot traspassat mitjan
segle. g
Les discrepancies sorgeixen, a nivell fiscal, tant en la redacció del
manifest com en la recaptació de talles i imposicions o en la contribució en
remissions, trêves i paus, per considerar l'Església que el clergue mai "no
ha contribuít en taylles, ajudes ne altres negocis, segons que los altres
ciutadans fan"'. En sentir-se fiscalment exempts, també es negaran a
contribuir en les costoses despeses de reparació i construcció de muralles que
carreguen tots els municipis a la segona meitat del segle XIV, fins i tot quan,
com a la Girona de 1332, els seus habitatges sobre el mur son assenyalats
per la població com els responsables que les defenses estiguin trocades e
destroydes^. La mateixa exempció empara l'entrada de productes a la vila
en contra no sols de les percepcions obligades sino de les limitacions
imposades, amb tibantors ben enquistades entorn al vi, del que molts http://estudiosmedievales.revistas.csic.es 759 L'ESGLÉSIA SECULAR CATALANA AL SEGLE XIV clergues son acusats d'esdevenir-ne iMícits revenedors després d'entrar-lo
a la vila en contra de les vedes. A ni veli jurisdiccional, les alteracions
d'ordre, sobretot per rao de la col lisió de bàndols^ comporten una barreja
estamental arran de "sediciones ac tumultus" amb mescla de violències "tam
contra clericos quod alias personas"^ en les que els eclesiàstics s'esmunyi-
ran de la justicia ordinària per la seva condicio personal. Les discrepancies s'agreugen entorn del nombrós conjunt de
"clergues conjugats", conformât per homes que duen una vida laica en tots
els aspectes però que son de jurisdicció eclesiástica per haver rebut la
tonsura —"clericus simplex tonsuratus"—ja sigui en la infantesa —I'atorga
el bisbe durant les visites pastorals a nens suposadament preparats per la
parroquia^'— o en algún altre moment de la seva vida. Moites vegades es
desconeix la condicio clerical fins que el propi afectat la invoca a manera de
garantia d'impunitat. ^Aiès que. "alegrant-se de privilegis clericals", s'esta anant "contra Déu i justicia e en gran
frau d'aquelles persones qui ab ells contraeteli" (AHCBr. Pons municipal B-I. llibre 27, fol.
70v). "Josep M. MARTÍ I BONHT; Leandre NlQUl l PUIGVERT. FJS processos de les visiles pastorals
del primer any del pontificat de Ponç de Gualha (a. 1303), "Processos de TArxiu Diocesà de
Barcelona". I, Deparlament de Cultura de la Generalitat de Catalunya, Barcelona. 1984, pp. 25-
27; Pere BENITO, Les parrdquies del Maresiue a la baixa edat luitjana. Una aproximado des
de les Visites Pastorals (1305-1447), Caixa d'Estalvis Laietana. Mataró, 1992, pp. 130-132. (c) Consejo Superior de Investigaciones Científicas
Licencia Creative Commons 3.0 España (by-nc) "'AUCT. perganiins. caixa IO, 1376.
'ACV. calaix 37, Privilegis i í:siatuts IV. pergami 73.
"Josep M. MARTÍ I BONHT; Leandre NlQUl l PUIGVERT. FJS processos de les visiles pastorals
del primer any del pontificat de Ponç de Gualha (a. 1303), "Processos de TArxiu Diocesà de
Barcelona". I, Deparlament de Cultura de la Generalitat de Catalunya, Barcelona. 1984, pp. 25-
27; Pere BENITO, Les parrdquies del Maresiue a la baixa edat luitjana. Una aproximado des
de les Visites Pastorals (1305-1447), Caixa d'Estalvis Laietana. Mataró, 1992, pp. 130-132.
'AIICG 1.1.1.2.1, lligall 2. llihre 2, fol. 29v.
^Aiès que "alegrant-se de privilegis clericals" s'esta anant "contra Déu i justicia e en gran 'AIICG 1.1.1.2.1, lligall 2. llihre 2, fol. 29v. "'AUCT. perganiins. caixa IO, 1376. 1. LES TENSIONS URBANES:
JIJRISDICCIÓ, EISCALITAT I TONSURA Aleshores es repeteixen fets com el viscut a Girona el
1335, quan el batUe després de retenir Tespasa d'un home que circulava per
la nit armat i sense Hum, és comminat pel vicari episcopal a retornar l'arma
i descarregar de carrees l'afectat en tractar-se d'un clergue conjugate. D'aquesta manera, nombrosos incompliments de bans resten impunits arreu. Igualment, esdevé estéril l'actuació de l'oficial ordinari en prétendre procedir
per l'incompliment de deutes i contractes registrats en la cort ordinària, rao
per la que el govern municipal de Barcelona el 1397 elevará les protestes al
Papa^ La mateixa impunitat deis clergues conjugats s'estén sobre les
contribucions fiscais, fins i tot amb el frau de declarar els propis béns com
a propietat d'algun familiar que ha rebut la tonsura. El govern local de
Montblanc no s'esta d'acusar "que en la dita vila ha alguns singulars qui han http://estudiosmedievales.revistas.csic.es 760 FLOCEL SABATE emancipai lurs fills et donai tot quant havien et han los fêta corona", eludin
així de pagar "la questa de la dita vila"*^. emancipai lurs fills et donai tot quant havien et han los fêta corona", eludint
així de pagar "la questa de la dita vila"*^. A la impunitat s'afegeix la intranquillitat infosa a uns oficiais
ordinaris reiteradament acusats per haver procedit contra clergues, i no
poques vegades afectats per les discussions amb els homòlegs episcopais per
escatir qui gaudeix de la condicio de clergue, incloent consultes per saber
que consta "scriptum in libro Curie Decani"'^\ La jurisdicció eclesiástica esdevé objecte de la permanent malfiança
de les institucions municipals i jurisdiccionals". Era "fama pública" que
l'Església protegia així els qui "allegaven privilegi de clergue per que no
poguessin èsser punits per los officials del senyor Rey"'~, amb una
proverbial impunitat reiterament retreta pels monarques'-\ convençuts que
no és pas cap altra cosa el que cerquen els qui sols reben la simple
tonsura'"*. La mateixa autoritat eclesiástica contribueix a aquesta situació en
blindar jurisdiccionalment els propis partidaris mitjançant la concessió de
tonsures, reforçant així l'entorn de força i atorgant un contingut específic ais
anomenats "familiars del bisbe" o, a Tarragona, "de rarquebisbe"'\ La
tonsura esdevé, en si mateixa, un arma en el joc del poder, d'efectes
equiparables ais canvis de fur cada cop mes emprats pel sobirà. '^Fl maleix Jaume II el 1314 raona que "hoc non fecerint nec faciant animo ad sacros
ordines promovendi nec ut tenentur Divino Cultui insistendi, sed solum ut perpetratis per eos
facinoribus, ex privilegiis cetui clericorum indultis, quibus gaudere non merentur, temporalis
gladii poenam haberent materiam evitandi" {Pragmáticas y Altres Drets de Catlialimya, II, tit.
V, cap. 2, ed. Constitiicions y altres Drets de Cathalunya, Departament de Justicia de la
Generalitat de Catalunya, Barcelona, 1995, Pragmáticas, p. 15). ''FI 1318 .launìe II retreu al degà vigatà a rUrgell que per "clericos comorantes in villa
Tarrega plura vulnera, furia et alia enormia maleficia quotidie in dicto loco multipliciler comitur
et quod lez querimonia coram vobis fieri prosperata de eiusdem nulla per vos sic punitio contra
eos" (ACA, Cancelleria, reg. 245, fol. 18r). '-AHMV, Ordinacions del Sr. Rey D. Alfonso sobre salaris de jutges, advocats y
procuradors, fol. 4v. ^AHCR. pergamins, carpeta Cambrers 12. niim 19; 13, niim. 3. ACA, Cancelleria, reg. 2018, fol. 72r (éd.: Francisco de BOFARULL I SANS, Documentos
para escribir una monografía de la villa de Monîblanc, "Memorias de la Real Academia de
Buenas Letras de Barcelona", VI [Barcelona. i896|, p. 507). (c) Consejo Superior de Investigaciones Científicas
Licencia Creative Commons 3.0 España (by-nc) "AHCG 1.1.2.1, lligall 1, llibre 2, fol. 99r-v. ACA, Cancelleria, reg. 2018, fol. 72r (éd.: Francisco de BOFARULL I SANS, Documentos
para escribir una monografía de la villa de Monîblanc, "Memorias de la Real Academia de
Buenas Letras de Barcelona", VI [Barcelona. i896|, p. 507).
'"ACA, Cancelleria, reg. 507, fol. 124r.
"AHCG 1.1.2.1, lligall 1, llibre 2, fol. 99r-v.
'-AHMV, Ordinacions del Sr. Rey D. Alfonso sobre salaris de jutges, advocats y
d
f l 4 '"ACA, Cancelleria, reg. 507, fol. 124r. ACA, Cancelleria, reg. 2018, fol. 72r (éd.: Francisco de BOFARULL I SANS, Documentos
para escribir una monografía de la villa de Monîblanc, "Memorias de la Real Academia de
Buenas Letras de Barcelona", VI [Barcelona. i896|, p. 507).
'"ACA, Cancelleria, reg. 507, fol. 124r.
"AHCG 1.1.2.1, lligall 1, llibre 2, fol. 99r-v.
'-AHMV, Ordinacions del Sr. Rey D. Alfonso sobre salaris de jutges, advocats y
procuradors, fol. 4v.
''FI 1318 .launìe II retreu al degà vigatà a rUrgell que per "clericos comorantes in villa
Tarrega plura vulnera, furia et alia enormia maleficia quotidie in dicto loco multipliciler comitur
et quod lez querimonia coram vobis fieri prosperata de eiusdem nulla per vos sic punitio contra
eos" (ACA, Cancelleria, reg. 245, fol. 18r).
'^Fl maleix Jaume II el 1314 raona que "hoc non fecerint nec faciant animo ad sacros
ordines promovendi nec ut tenentur Divino Cultui insistendi, sed solum ut perpetratis per eos
facinoribus, ex privilegiis cetui clericorum indultis, quibus gaudere non merentur, temporalis
gladii poenam haberent materiam evitandi" {Pragmáticas y Altres Drets de Catlialimya, II, tit.
V, cap. 2, ed. Constitiicions y altres Drets de Cathalunya, Departament de Justicia de la
Generalitat de Catalunya, Barcelona, 1995, Pragmáticas, p. 15).
^AHCR. pergamins, carpeta Cambrers 12. niim 19; 13, niim. 3. 1. LES TENSIONS URBANES:
JIJRISDICCIÓ, EISCALITAT I TONSURA En els
conflictes de regalies succeeixen casos com els viscuts a Elna, on en imposar
el rei la capacitai exclusiva sobre les aigües marines, en contra de les http://estudiosmedievales.revistas.csic.es (c) Consejo Superior de Investigaciones Científicas
Licencia Creative Commons 3.0 España (by-nc) L'ESGLÉSÍA SECULAR CATALANA AL SEGLE XIV 761 pretensions del bisbe, els infractors que haurien de ser punits pels oficiais del
monarca troben acollida en I'entorn episcopal, on se'Is ofereix la tonsura per
tal de poder així defugir les demandes regies. Tots els qui reclamen èsser tractats com tonsurais son exigits per
I'autoritat eclesiástica, que no renuncia a aquesta capacitai de penetració
jurisdiccional. Per això, en una clima de forta tensió, desemboquen en greus
enfrontaments entre jurisdiccions fets com el generat a Perpinyà quan
l'oficial episcopal procedeix contra "los officials reyals, specialment lo batle
de Perpenyà, per co car tenia près algún hom de Castella delat de la mort de
sa muller qui.s apellava Diego, mer laych e taverner e qui tenia taffureria,
e s'havia feta fer corona dins la presó, jatsia no fos del tot acabada e qui
james no pot fer fer de títol aigu car non havia"'^. Jaume II i Alfons III lamentaran l'aparent impunitat i exhortaran els
seus oficiais, davant de casos concrets, a intervenir-hi, cosa, però, que
propiciará importants queixes eclesiàstiques. Pere III, el 1359, proposa que,
en situacions flagrants, eîs oficiais ordinaris puguin détenir els clergues "in
locis inhonesti vel ritxam moventibus" per a lliurar-los després a la cort
episcopal^^, pretensió, però, també desbatarada pel poder episcopal. Joan
I aconseguirà de Beneí XIIÍ autorització per a perseguir els clergues acusáis
per deutes, bé que a la práctica costa molt d'aplicar i en el segle XV caldrà
continuar-hi insistint'^ Amb normalitat, sois al bisbat d'Elna poden actuar
comissaris reials sobre clergues, tant per a procedir sobre els qui afegeixen
el tractament de familiars del rei com per a completar les indagacions
respecte de la seva moralitat. AHCBr C-V, caixa L plec "contra tonsuratos et personas eclesiásticas", sense numerar.
'«ADPO IB-346, fols. 155v-156r.
''^AHCBr, C-V, caixa 1, plec "contra tonsuratos et personas ecclesiasticas", sense numerar. (c) Consejo Superior de Investigaciones Científicas
Licencia Creative Commons 3.0 España (by-nc) -°AHCG 1.1.2.1, llgiall 6, Ilibre 1, fol. 187r-v.
-'AHCO, Pons notarial. Secció Besalú, registre 285, sense numerar.
"AHCG 1.1.2.1, Iligall 6, Ilibre 1, fol. 187r-v.
"^AHCBr, C-V, caixa 1, plec "contra tonsuratos et personas eclesiásticas", sense numerar.
""'AHCV, Administració de Justicia, Cort del batlle, processos 1391, sentencia plet, fol.
22v.
-•''Johannes VlNCKE, Docwnenuí selecta mutuas civitatis aragcxathalaunicae et ecclesiae
relationes illustrantia. Biblioteca Balmes, Barcelona, 1936, pp. 102-104, 126.
-^AHMV, Llibre de Privilegis XXV, pergami 434.
-''Pragmáticas y Altres Drets de Cathalunya, O, tit. V, caps. 2-8 (Constitucions y altres
Drets (le Cathalunya, Departament de Justicia de la Generalitat de Catalunya, Barcelona, 1995,
Pragmciticas, pp. 15-17).
-^ADPO lB-346, fols. 71r, 77r-v. -•''Johannes VlNCKE, Docwnenuí selecta mutuas civitatis aragcxathalaunicae et ecclesiae
relationes illustrantia. Biblioteca Balmes, Barcelona, 1936, pp. 102-104, 126. 1. LES TENSIONS URBANES:
JIJRISDICCIÓ, EISCALITAT I TONSURA La monarquia anima els municipis en els enfrontaments amb els
coMectius eclesiàstics, intercedint-hi -—com exposa el 1355 davant de
l'arquebisbe de Tarragona en la qüestió del delnie—, pronunciant-s'hi a
favor —com a Barcelona el 1362 entorn de l'ajuda del vi^"^— i fins i tot
amenaçant els clergues, com fa Pere III el 1366 a Girona en manar que els
oficiais reials "sense altra tarda vos en forçen e destreuguen" o, com pretén
l'infant Joan el 1378 a Besalú, décrétant presó per ais eclesiàstics que no
vulguin contribuir. La manca de voluntat a coMaborar en les despeses dels http://estudiosmedievales.revistas.csic.es (c) Consejo Superior de Investigaciones Científicas
Licencia Creative Commons 3.0 España (by-nc) 762 FLOCEL SABATE municipis és permanentment criticada per una corona reial que, erigida en
"príncep e senyor e garde del bé de la cosa pública"'^^, pot considerar els
clergues com "inimicos públicos""' per no moure's "per lo bé de la cosa
pública d'aquella ciutat e encar de totes ses comarques"^', per desatendre
la tasca d'"officia celebrari"^^ i per oblidar que "arma clericorum sunt
lacrimis et orationes"-^"^. Per tal de diferenciar adientment els clergues conjugats, Jaume II
reclama el cumpliment de les disposicions eclesiàstiques que els imposen
"habitum et tonsuram"^*' per a preservar la condicio de tonsurats. Alesho-
res, però, els oficiais relais poden ser sorpresos, com li succeix al veguer de
Vie el 1383 en voler détenir un acusat de maltractar Tesposa i trobar-lo "in
habitu clericali et tonsura"-^^, estratagema prou usual per a evitar que es
pugni dir que "tempore capcionis non portabat tonsuram ñeque vestes
clericales". Cercant la clarificació d'aquest panorama, des de 1314 la corona
reial malda per delimitar el privilegi eclesiàstic mitjançant excloure'l ais qui
practiquen "officio mercature vel alus artibus mecanicis", mesura inicialment
assumida per la jerarquia eclesiástica que, amb suport papal, decreta el
registre deis clergues. L'immediat incompliment fa que Pere III no sols
n'exigeixi Taplicació el 1374, tot recalcant les activitats impropies d'un
eclesiàstic^^, sino que reiteradament —1345, 1366 i 1386 sobretot— reclami
la moralitat dels tonsurats. -''Pragmáticas y Altres Drets de Cathalunya, O, tit. V, caps. 2-8 (Constitucions y altres
Drets (le Cathalunya, Departament de Justicia de la Generalitat de Catalunya, Barcelona, 1995,
Pragmciticas, pp. 15-17). (c) Consejo Superior de Investigaciones Científicas
Licencia Creative Commons 3.0 España (by-nc) -^AHMV, Llibre de Privilegis XXV, pergami 434. -^ADPO lB-346, fols. 71r, 77r-v. ^'Flocel SABATÉ, L'aiig/nenf de J'e.xigència fiscal en els municipis catalans al segle XIV:
elements de pressiâ i de resposta, "Colloqui Corona, Municipis i Fiscal itat a la Baixa Edat
Mitjana (Lleida, 1995)", Institut d'Estudis Ilerdencs, Lleida, 1997, pp. 455-457. ''^AML, SeccK) de Conseils municipals, A-396, toi. 92r.
^"AHMV Llibre de Privilegis II, pergami 34.
^'Francese de ia VIA, El Llibre de Fra Bernât, éd. Laertes, Barcelona, 1989, p. 89.
^-AHCV, pergami 51.
^^AHCBr. fons municipal B-I, llibre 11, fol. 93v; AHCG L 1.2.1, Iligall 5, llibre 1, fol.
12r.
^'Flocel SABATÉ, L'aiig/nenf de J'e.xigència fiscal en els municipis catalans al segle XIV:
elements de pressiâ i de resposta, "Colloqui Corona, Municipis i Fiscal itat a la Baixa Edat
Mitjana (Lleida, 1995)", Institut d'Estudis Ilerdencs, Lleida, 1997, pp. 455-457. 1. LES TENSIONS URBANES:
JIJRISDICCIÓ, EISCALITAT I TONSURA Tanmateix, el rei Marti, haurà de tornar a
insistir-hi el 1407, reprenent els mots, ja pronunciats pel seu besavi el 1314,
en la pretensio d'evitar que els tonsurats entrin en el mon laboral urbà al
manar que ningu no "gosàs tenir algun dexeble clergue o tonsura portant per
apendre e usar de offici de mercadería o quin d'aquell offici usàs"'^^ http://estudiosmedievales.revistas.csic.es (c) Consejo Superior de Investigaciones Científicas
Licencia Creative Commons 3.0 España (by-nc) 763 (c) Consejo Superior de Investigaciones Científicas
Licencia Creative Commons 3.0 España (by-nc) ''^AML, SeccK) de Conseils municipals, A-396, toi. 92r.
^"AHMV Llibre de Privilegis II, pergami 34.
^'Francese de ia VIA, El Llibre de Fra Bernât, éd. Laertes, Barcelona, 1989, p. 89.
^-AHCV, pergami 51.
^^AHCBr. fons municipal B-I, llibre 11, fol. 93v; AHCG L 1.2.1, Iligall 5, llibre 1, fol.
12r. ^^AHCBr. fons municipal B-I, llibre 11, fol. 93v; AHCG L 1.2.1, Iligall 5, llibre 1, fol.
2r L'ESGLÉSIA SECULAR CATALANA AL SEGLE XIV L'ESGLÉSIA SECULAR CATALANA AL SEGLE XIV Albora, els governs locals maiden per desmuntar l'ambigüetat
cercada pels clergues conjugats. A Lleida el 1340 s'adverteix que qui es
declari clergue s'atingui a les consequències de perdre tots els beneficis
propis de la condicio ciutadana, incloent que "de continent li sien toltes totes
mesures, pes e alna que tingue en lurs botigues ho obradors"*^'^, De tota
manera, la fractura interna en bàndols condiciona la clarificació a les
conveniències i evolucions dels equilibris de poder, com prou significativa-
ment es viu a Vic"^". Mestrestant, tots els tonsurats pretenen seguir gaudint dels avantatges
urbans i sols allegen "beneficium clericale et tonsuram" en el moment de
ser detinguts o fins i tot quan s'esta donant compliment a la sentencia,
évitant aquesta en el darrer moment, tal com recull la literatura-^' i com, de
manera ben explícita, fa Francese Alegre, el 1330 en advertir èsser
"clericum tonsuratum" després d'haver estât jutjat i condemnat a "furca
suspendendum "-^"^, El clergat secular, ben organitzat en les comunitats de preveres, amb
el suport episcopal i amparat jurídicament, esdevé objecte de difícils
negociacions per a uns governs locals que persegueixen la seva eontribució
fiscal, si mes no pel que fa als clergues que sols gaudeixen d'ordres menors
i, molt concretament, els conjugats, inclosos dins dels qui "faessen
mercaderia*''^\ El manifest de bens —es tem que les donacions efectuades
als clergues es fonguin fiscalment— i la participado en imposicions i talles
s'aniran aconseguint localment amb dificultai mitjançant avinences i
sentencies arbitrais sargides d'apellacions i incompliments-^"^. Tot plegat propicia un clima molt tens, on la imatge de l'Església
secular també és popularment danyada per les excessives exigencies pels
servéis liturgies, a voltes dispensais amb recança i previ pacte amb el
municipi, tot contrastant amb el posicionament dels mendicants, sempre mes http://estudiosmedievales.revistas.csic.es 764 FLOCEL SABATE propers al tarannà municipal. Cal afegir-hi el ressò de tibantors pels dominis
territorials de la mitra en la regió d'influència —com palmatòriament
succeeix a Girona amb les discussions per la participado a les hosts^^—,
l'actuació crediticia de molts clergues i la imatge dissipada d'un coMectiu
amb moites mancances de formació. A mes, el poder local s'arrenglerà
contra l'episcopat en temes doctrináis com la condicio cristiana deis esclaus
grecs o en la protecció de població vilatana i ciutadana perseguida per
l'actuació inquisitorial contra l'heretgia. ^-Cortes de Cataluña, "Cortes de los antiguos reinos de Aragón y de Valencia y Principado
de Cataluña", III, Real Academia de la Historia, Madrid, 1900, p. 308. L'ESGLÉSIA SECULAR CATALANA AL SEGLE XIV Per aixó costa tant posar-se d'acord
per a preparar els funerals per la mort del rei^^ i per aixó qualsevol espurna
pot fer esclatar una revolta contra les persones i els béns de l'Església, com
succeix a Barcelona el 1370-^'' o, molt mes contundentment, a Elna, amb
Passait al palau episcopal-'^^ Cal, en certa manera, avesar-se, a la violencia contra béns i persones
de l'Església. Es reiteren robatoris en els principals temples de viles com
Sant Joan de les Abadesses-^'^ o Banyoles"^" i és molt élevât el nombre de
clergues no sois agredits sino assassinats, com succeix el 1333 amb el degà
de Manresa'^^ o com s'exposa el 1375 a les Corts respecte del canonge mort
a l'església de Santa Eulalia de Vic"^'. És, en aquest sentit, una agressivitat
similar a la viscuda coetàniament en l'àmbit rural. •^"^AMSJA, Processos criminals 1300-1309, plec 1305, sense numerar. ^«ADPO lB-164, fol. 168r-v. (c) Consejo Superior de Investigaciones Científicas
Licencia Creative Commons 3.0 España (by-nc) •'•'AHCG 1.1.2.1, Iligal! 1, llibre 3, fois. 27v-28r.
-^^Flocel SABATÉ, LO senvor reí és morí, Edicions de la Università! de Lleida, Lleida, 1994,
pàgs. 159-172.
'^Carme BATLLE, Un exemple de la liipersensihilitaí popular (Barcelona, Corpus, 1370),
"VIII Coniíreso de Historia de la Corona de Aragón (Valencia, 1967)", II, Valencia, 1970, pp.
91-101. '^Carme BATLLE, Un exemple de la liipersensihilitaí popular (Barcelona, Corpus, 1370),
"VIII Coniíreso de Historia de la Corona de Aragón (Valencia, 1967)", II, Valencia, 1970, pp.
91-101. •^^^ACA, Reial Patrimoni, Mestre Racional, 1556, fol. 55r. •'•'AHCG 1.1.2.1, Iligal! 1, llibre 3, fois. 27v-28r.
-^^Flocel SABATÉ, LO senvor reí és morí, Edicions de la Università! de Lleida, Lleida, 1994,
pàgs. 159-172.
'^Carme BATLLE, Un exemple de la liipersensihilitaí popular (Barcelona, Corpus, 1370),
"VIII Coniíreso de Historia de la Corona de Aragón (Valencia, 1967)", II, Valencia, 1970, pp.
91-101.
^«ADPO lB-164, fol. 168r-v.
•^"^AMSJA, Processos criminals 1300-1309, plec 1305, sense numerar.
•^^^ACA, Reial Patrimoni, Mestre Racional, 1556, fol. 55r.
•*'ACA, Cancelleria, reg, 528, fol. 249r.
^-Cortes de Cataluña, "Cortes de los antiguos reinos de Aragón y de Valencia y Principado
de Cataluña", III, Real Academia de la Historia, Madrid, 1900, p. 308. •'•'AHCG 1.1.2.1, Iligal! 1, llibre 3, fois. 27v-28r. -^^Flocel SABATÉ, LO senvor reí és morí, Edicions de la Università! de Lleida, Lleida, 1994,
pàgs. 159-172. ACA, Reial Patrimoni, Mestre Racional 1524, foi. 250v; ACV, calaix 9, pergamins dei
bisbe Ponç de Vilaró, 1301.
'-•AHMTM, pergami 40.
•"'AHMV, llibre de Privilegis VOI, pergami 155.
"^^'No sols fets de gran ressò, com Tassait de Serrateix el 1251 (Joan SERRA VILARÓ, História
de Cardona, I, Imprenta Sugrañes, Tarragona, 1966, pp. 200-204) o l'assassinat de l'abat de
Sant Cugat el 1350 (Corres de Catalana, "Cortes del Reino de Aragón y de Valencia y
Principado de Cataluña", I Real Academia de la Historia, Madrid, 1896, pp. 386-387) sino
reiterats casos com Panada del veguer de Rosselló el 1358 "al loch de Sant Nicholau per pendre
confessió de l'abat de Valbona, lo qual trobaren naffrat" (ACA, Reial Patrimoni, Mestre
Racional, 1522, fol. 346r).
llib
d
i il
i
i
5 2. L'AGRESSIVITAT RURAL L'espai rural, llargament avesat a diverses formes de violencia contra
les persones i el patrimoni eclesiàstic, contempla, en el segle XIV, diferents
nivells d'agressió. http://estudiosmedievales.revistas.csic.es L'ESGLÉSIA SECULAR CATALANA AL SEGLE XIV "^^'No sols fets de gran ressò, com Tassait de Serrateix el 1251 (Joan SERRA VILARÓ, História
de Cardona, I, Imprenta Sugrañes, Tarragona, 1966, pp. 200-204) o l'assassinat de l'abat de
Sant Cugat el 1350 (Corres de Catalana, "Cortes del Reino de Aragón y de Valencia y
Principado de Cataluña", I Real Academia de la Historia, Madrid, 1896, pp. 386-387) sino
reiterats casos com Panada del veguer de Rosselló el 1358 "al loch de Sant Nicholau per pendre
confessió de l'abat de Valbona, lo qual trobaren naffrat" (ACA, Reial Patrimoni, Mestre
Racional, 1522, fol. 346r). ''AHMV, llibre de Privilegis VII, pergami 25. (c) Consejo Superior de Investigaciones Científicas
Licencia Creative Commons 3.0 España (by-nc) http://estudiosmedievales.revistas.csic.es ^^AVV, Processos civils 1350-1359, plec 1350-3, sense numerar.
'^'^AVV, Processos criminals 11, plec 1388-2, sense numerar.
^^ ACÁ, Reial Patrimoni, Mestre Racional 1424, fol. 307r; ACÁ, Cancelleria, reg. 242,
fol. 137r; AVV, Processos civils 1313-1317, plec 1316, sense numerar.
•'^'ACA, Cancelleria, reg. 143, fol. 92v; reg. 250, fol. 18v; "Papeles por incorporar",
Cervera, sense numerar; Reial Patrimoni, Mestre Racional, 1523, fol. 79v
•'^-ACA, Reial Patrimoni, Mestre Racional 1524, fols. 270v, 281r.
^^Coríes cíe Cataluña, "Cortes de los antiguos reinos de Aragón y de Valencia y Principado
de Cataluña", UI, Real Academia de la Historia, Madrid, 1900, p. 308; ACÁ, Reial Patrimoni,
Mestre Racional, 1426 C-1, sense numerar.
•'^'^ACA, Reial Patrimoni, Mestre Racional, 1524, fol. 250r. L'ESGLÉSIA SECULAR CATALANA AL SEGLE XIV 765 Les discrepancies jurisdiccionals mantenen unes divergencies similars
a les de qualsevol altre domini, amb invasions als oponents i amb conflictes
per aspectes com els pasturatges o per questions de jurisdiccio, a voltes amb
molta tensio'^l En aquest marc es produiran agressions a ambits monacals,
com en les tibantors entre Torroella de Montgrí i el cenobi d'Ullà"^, i es
repeteixen atacs protagonitzats per solidaritats municipals, com el greu assalt
dels vigatans a la casa del monestir de Ripoll a Palau de Granollers'^^ Són
actuacions que contribueixen a l'elevat percentatge d'agressions, sota
diverses moti vac ions, a dominis monastics, amb priors i abats nafrats o fins
i tot assassinats"^^. Es reiteren igualment els robatoris en els temples al llarg de tot el
segle. Com en els espais vilatans, els principals objectes robats son robes i
teles, seguides ben a prop per objectes liturgies i, en tercer Hoc, imatges i
reretaules. Els oficiais ordinaris han de procedir davant d'aquests casos, en
vora la meitat dels quais s'atribueix la responsabilitat a un clergue. A vegades, els eclesiàstics son assaltats en el cami, de manera no
gaire destriable als ocasionais robatoris. Molt mes freqüentment, es pretén
agredir a clergues concrets, ja sigui per rao de bàndols, sovintejat per les
interseccions amb les topades urbanes caractéristiques de zones com l'entorn
vigatà'^^, o, encara en major nombre, per tensions relacionades amb
questions crediticies. En tot el camp cátala el volum de clergues dedicats al
crédit és molt élevât. Les dificultats de la segona meitat de segle hi vinculen
un élevât nombre de poblacio, en ocasions debent amb gran dificultat molts
diners. Albora, els mateixos clergues també efectúen inversions associats
amb laics, générant així nous lligams economics. Molts rectors rurais,
mitjançant aqüestes activitats, especulen amb les rendes de la parroquia, http://estudiosmedievales.revistas.csic.es (c) Consejo Superior de Investigaciones Científicas
Licencia Creative Commons 3.0 España (by-nc) FLOCEL SABATE 766 establint fins i tôt una amplia xarxa de deutors, com assoleix en Tantepenúl-
tima década del segle l'osonenc rector de Sant Julia. A voltes son rectors que
acumulen diverses prebendes i, encara niés, que practiquen un absentisme
que els converteix en véritables clergues rendistes urbans, pagant el vicari
que desenvolupa les tasques pastorals. Precisament, molta gent de la ruralia
contracta obligacions creditícíes amb eclesiàstics residents en viles i ciutats,
alguns força eoneguts en el seu moment corn, traspassat mitjan segle,
Guillem Salomó a Vinçà o Jaume Vila a Perpinyà. (c) Consejo Superior de Investigaciones Científicas
Licencia Creative Commons 3.0 España (by-nc) http://estudiosmedievales.revistas.csic.es •'^'^ACA, Reial Patrimoni, Mestre Racional, 1524, fol. 250r. ''AHCP, Provisions Reials 1.1, fol. 17v.
•''^'El 1367 el veguer de Rosselló amonesta el batUe d'Elna tant per intervenir a Sant Llorenç
com per fer-ho amb una detenció dins de l'església "non obstante quod missa maior
celebraretur", és a dir, "turbando in hiis divinum offícium" (ACA, Reial Patrimoni, Mestre
Racional 1523, foi. lOr)
•''ACA, Cancelleria, regs. 235, foi. 212r; 239, foi. 96r; 244, foi. 17r; 247, foi. 64r; 250,
foi. 18v, entre molts altres.
•*'^E1 1372 el lloctinent de veguer de Rosselló es desplaça durant tres dies per anar "a la vayll
de Banyuls per pendra I capellà encolpat de molts malefficis" (ACA, Reial Patrimoni, Mestre
Racional, 1524, fol. 307v).
''^ADPO lB-146, fol. 175r; ACA, Reial Patrimoni, Mestre Racional 1525, fol. 76r.
^^ACV, calaix 9, pergami 547; AHCM, Pons del veguer, llibre 1323-1328, fol. Ir. L'ESGLÉSIA SECULAR CATALANA AL SEGLE XIV Els endeutats assumeixen
les obligacions crediticies obligant-se davant de la cort de l'oficial episcopal
o de la jurisdicció ordinària, per tal de poder ser perseguits en cas d'incom-
pliment, amb la corresponent demanda de la pena de terç. En aquest context, la violencia apareix en el doble vessant. Fer un
costat, nombrosos clergues son assenyalats com extorquidors de deutors"*^
i fins i tot alguns cauen sota sospita d'induir i excercir violències i
assassinats"^^. De forma encara mes frequent, els eclesiàstics son els
agredits. Tant per tibantors de bàndol com per diferencies generades entorn
als crédits, es reiteren atacs personals, intimidacions amb espasa o amb
ballesta i, en primer Hoc, assalts a domicilis, que normalment comporten
actuacions de saqueig, però també d'incendi i destrucción^. Al llarg de la
centuria, no sois la involucració deis clergues en els diferents actes de
violencia és constant^' sino que un 12% deis assassinats els té per objecte,
als que ocasionalment es pot afegir la mort de personal al seu servei^^. En
la seva punició s'hi compliquen els conflictes de jurisdicció territorial^^ i
les interferéncies de bàndols^"^, albora que el volum justifica el 1359 el
guiatge reial sobre clergues ates que "diversa, enormia ac crudelia homicidia http://estudiosmedievales.revistas.csic.es http://estudiosmedievales.revistas.csic.es 767 L'ESGLÉSIA SECULAR CATALANA AL SEGLE XIV personarum religiosorum et ecclesiasticarum et etiam aliorum comissa fuerint
et frequentes comittantur in Cathalonia"'*'^ ''AHCP, Provisions Reials 1.1, fol. 17v. •''^'El 1367 el veguer de Rosselló amonesta el batUe d'Elna tant per intervenir a Sant Llorenç
com per fer-ho amb una detenció dins de l'església "non obstante quod missa maior
celebraretur", és a dir, "turbando in hiis divinum offícium" (ACA, Reial Patrimoni, Mestre
Racional 1523, foi. lOr) (c) Consejo Superior de Investigaciones Científicas
Licencia Creative Commons 3.0 España (by-nc) •''ACA, Cancelleria, regs. 235, foi. 212r; 239, foi. 96r; 244, foi. 17r; 247, foi. 64r; 250,
i. 18v, entre molts altres. •*'^E1 1372 el lloctinent de veguer de Rosselló es desplaça durant tres dies per anar "a la vayll
de Banyuls per pendra I capellà encolpat de molts malefficis" (ACA, Reial Patrimoni, Mestre
Racional, 1524, fol. 307v). 3. L A DIFÍCIL DELIMITACIÓ DELS AMBITS JURISDICCIONALS L'àmbit de la jurisdicció eclesiástica es defineix amb nitidesa pel
caire personal de l'inculpat: inclou tot aquell que sigui clergue. Per això, les
agressions contra persones o béns de l'església i el respecte pels llocs
sagrats, son tractats pels oficiais ordinaris-'^^ els quais, en canvi, es guarden
d'intervenir si l'acusat és un clergue. Fins i tot inicialment quan es tracta
d'incompliment de regalies, la jurisdicció reial cedeix l'inculpât a la
jurisdicció eclesiástica i s'haura limitât nomes a detenir-lo i exhortar la seva
punició, com sovinteja sota Jaume IP. En barrejar-se laics i religiosos,
com en les obligacions contretes en sentencies arbitrais, cal, precisament,
esmentar ambdues corts, la civil i 1'eclesiástica. Les pretensions relais per
a practicar détendons, apuntades per Jaume II però reiterades per Pere III,
sols es materialitzen de manera efectiva al Rosselló, per rao del peculiar
equilibri jurisdiccional entre la puixant Perpinyà i l'esmicolament jurisdiccio-
nal, cosa que, traspassat mitjan segle, permetrà détenir clergues-^^ sobretot
en ser acusats de trencament de pau i treva o d'incompliment de regalies^^. L'oferiment de la corona reial com a bracchium secular e és
ocasionalment assumit per l'Església, al llarg de tot el segle, davant de
problèmes jurisdiccionals^ i com a reforç d'una força física absent en la
institució eclesiástica, segons es pacta a Vie el 1347, quan per a pacificar les
tensions de bàndols s'especifica que l'Església actuará "invocato ad hoc per http://estudiosmedievales.revistas.csic.es FLOCEL SABATE 768 nos dictos officiales et comissários (regios) si opus fuerit brachio secula-
ri"^^ A la segona meitat de la centuria, amb tensio i malfiança pels afanys
de la monarquia de consolidar la preeminencia a costa de l'Església, la
invocacio del bracchium seculare acostuma a ser un ocasional recurs per part
de població no prou satisfeta per l'exercici jurisdiccional eclesiástica". nos dictos officiales et comissários (regios) si opus fuerit brachio secula-
ri"^^ A la segona meitat de la centuria, amb tensio i malfiança pels afanys
de la monarquia de consolidar la preeminencia a costa de l'Església, la
invocacio del bracchium seculare acostuma a ser un ocasional recurs per part
de població no prou satisfeta per l'exercici jurisdiccional eclesiástica". ^ACA, Cancelleria reg. 985, fol. 160r; AHCBr, C-V, caixa 1, plec "contra tonsuratos et
personas eclesiásticas", sense numerar. ^^El govern municipal de Barcelona dictamina, explícitament, que "si negun lech naffrarà
noli hom qui port corona, que.l veguer deja posar devant los prohoms e que-Is prohomens quel
deien jutjar" (AHCBr, Fons municipal B-I, llibre 9, fol. 6v). ^^ACHBr, C-V, caixa 1, plec "contra tonsuratos et personas eclesiásticas", sense numerar. ^^A Vie, la tensió entre el municipi i l'episcopat per aquesta rao precisa, el 1338, de la
intervenció reial (ACV, pergamins calaix 37, Privilegis i estatuts IV, 73). "AHMV, llibre de Privilegis XIX, fol. 63r.
^-ACA, Cancelleria, reg. 2002, fols. 4v-5r.
^•^El sotsveguer de Besalú ha de comparèixer davant de l'oficial episcopal "a instancia del
capellà de Mata per ço com havien allegat que lo dit sotzveguer li havia treta de casa sua per
força la serventa e penyores" (ACÁ, Reial Patrimoni, Mestre Racional 1556, fol. 92r). De fet,
a Barcelona, l'acolliment que dues esclaves fugides trobaren al palau episcopal endega una
discussió que "per XX annos dictam questio non esset decisa" (AHCBr, Pons municipal B-I,
llibre 27, fol. 95v).
^ACA, Cancelleria reg. 985, fol. 160r; AHCBr, C-V, caixa 1, plec "contra tonsuratos et
personas eclesiásticas", sense numerar.
^^El govern municipal de Barcelona dictamina, explícitament, que "si negun lech naffrarà
noli hom qui port corona, que.l veguer deja posar devant los prohoms e que-Is prohomens quel
deien jutjar" (AHCBr, Fons municipal B-I, llibre 9, fol. 6v).
^^A Vie, la tensió entre el municipi i l'episcopat per aquesta rao precisa, el 1338, de la
intervenció reial (ACV, pergamins calaix 37, Privilegis i estatuts IV, 73).
^^ACHBr, C-V, caixa 1, plec "contra tonsuratos et personas eclesiásticas", sense numerar. (c) Consejo Superior de Investigaciones Científicas
Licencia Creative Commons 3.0 España (by-nc) ^•^El sotsveguer de Besalú ha de comparèixer davant de l'oficial episcopal "a instancia del
capellà de Mata per ço com havien allegat que lo dit sotzveguer li havia treta de casa sua per
força la serventa e penyores" (ACÁ, Reial Patrimoni, Mestre Racional 1556, fol. 92r). De fet,
a Barcelona, l'acolliment que dues esclaves fugides trobaren al palau episcopal endega una
discussió que "per XX annos dictam questio non esset decisa" (AHCBr, Pons municipal B-I,
llibre 27, fol. 95v). ^-ACA, Cancelleria, reg. 2002, fols. 4v-5r. "AHMV, llibre de Privilegis XIX, fol. 63r. 3. L A DIFÍCIL DELIMITACIÓ DELS AMBITS JURISDICCIONALS p
p
p
j
Tot i la nitidesa formal, la constant barreja de gent comporta
confusions de jurisdicció, amb oficiais relais acusats per haver-se apropat a
persones i, encara mes, bens vinculats a clergues^^ La tensio sorgeix, però,
per l'afany de l'Església en procedir sobre laies inculpats per eclesiàstics,
sobretot per haver-s'hi obligat econòmicament. Albora, la jurisdicció
eclesiástica prodiga amplies citacions sobre molts seglars, a voltes per
simples conflictes contractuals, cosa que provoca les queixes dels municipis
i deis ordinaris, amb el suport reial^, en apreciar-hi un injustificat desig
d'estendre la capacitat jurisdiccional eclesiástica. Amb tot, les pretensions de
l'Església insistirán puntualment en els diferents supòsits on es mescla la
població: clergues agredits per laics^^ concessió de tutories a eclesiàstics^^
i, sobretot, les vinculacions creditícies, amb molts afectats, ais que, en el cas
concret de Barcelona, es refereix Pere III el 1372 en advertir al veguer i al
batlle que "prohibirent omnes láyeos ne comparent curiam officialibus dicti
episcopi ratione censium"^'^. Altres tipus de discrepancies jurisdiccionals s'equiparen plenament
a les tensions entorn a l'àmbit baronial, amb les discussions, tan usuais a
inicis del segle XIV, per a escatir el contingut del domini cedit —mixt http://estudiosmedievales.revistas.csic.es L'ESGLÉSIA SECULAR CATALANA AL SEGLE XIV 769 imperi o mer i mixt imperi— i, al llarg de tot el segle, les infranquejabilitats
jurisdiccionals, amb tibantors que inclouen les sortides en someten i amb
divergencies com les encallades a Tarragona entorn a les respectives
capacitats de jurisdicción^. En altres casos els plantejaments eclesiàstics
cerquen emparar-se en pretesos privilegis, com es fa el 1318 a Tarragona en
voler eludir les limitacions generals de treure productes^*^. De manera mes
estesa, les tensions sorgiran amb l'afany reial d'imposar la capacitat
exclusiva sobre les anomenades regalies, que es sumen al gruix de drets i
rendes disputades en diferents diócesis en forma de castlanies, lluïsmes i
censos. Traspassat mitjan segle, aqüestes discrepancies sols s'inclinen
favorablement vers el monarca a Elna, mentre que a Girona les respectives
competencies sobre la poblaciô ubicada en dominis episcopais perllonguen
llargues discussions, amb punts emblemàtics com les negatives a participar
en l'host reiaP. Albora, las divergencies sobre la capacitat jurisdiccional
territorial adopta uns trets propis entorn de les sagreres, que sobretot a
Osona i sota Alfons el Benigne esdevenen disputades entre la corona i
l'episcopat o entre aquest i els respectius dominis baroniais'''. "El 1403, el rei Martí escriu al sotsveguer de Barcelona per tal que participi "havent vostre
scriva o notari" a costat de l'autoritat episcopal per a investigar "contra frare Miquel dez Puig,
per paraules desonestes que dix no ha molt segons nos és donat entendre en la liçó que legia en
lo Capítol de la Seu" (ACÁ, Cancelleria, reg. 2245, fol. 96r.; éd.: Faustino D. GAZULLA, LOS
reyes de Aragón v la Purísima Concepción de María Santísima, "Boletín de la Real Academia
de las Letras de Barcelona", IV [Barcelona, 1907-1908], pp. 116-117). (c) Consejo Superior de Investigaciones Científicas
Licencia Creative Commons 3.0 España (by-nc) ' AHT, n.2. Economia i Hisenda, procès 12, sense numerar.
"'ACÁ, Cancelleria, reg. 244, fol. 6r.
'^'AHCG L1.2.L Iligall 1, Ilibre 3, fols. 27v-28r.
^'Flocel SABATÉ, El territori de la Catalunya medieval, Fundació Salvador Vives Casajuana,
Barcelona, 1997, p. 86.
"El 1403, el rei Martí escriu al sotsveguer de Barcelona per tal que participi "havent vostre
scriva o notari" a costat de l'autoritat episcopal per a investigar "contra frare Miquel dez Puig,
per paraules desonestes que dix no ha molt segons nos és donat entendre en la liçó que legia en
lo Capítol de la Seu" (ACÁ, Cancelleria, reg. 2245, fol. 96r.; éd.: Faustino D. GAZULLA, LOS
reyes de Aragón v la Purísima Concepción de María Santísima, "Boletín de la Real Academia
de las Letras de Barcelona", IV [Barcelona, 1907-1908], pp. 116-117). ' AHT, n.2. Economia i Hisenda, procès 12, sense numerar.
"'ACÁ, Cancelleria, reg. 244, fol. 6r.
'^'AHCG L1.2.L Iligall 1, Ilibre 3, fols. 27v-28r.
^'Flocel SABATÉ, El territori de la Catalunya medieval, Fundació Salvador Vives Casajuana,
Barcelona, 1997, p. 86.
"El 1403, el rei Martí escriu al sotsveguer de Barcelona per tal que participi "havent vostre
scriva o notari" a costat de l'autoritat episcopal per a investigar "contra frare Miquel dez Puig, http://estudiosmedievales.revistas.csic.es '^ADPO lB-175, foi. 40r.
'"^Constiíucions y altres Dreís de Catlmlunya, llibre I, tit X, caps. I-VI (Consîirudons y
(litres Dreîs de Catlialwwa, Departament de Justicia de la Generalilat de Catalunya, Barcelona,
1995, pp. 33-36).
'•'ADPO lB-95, fol. 8iv; lB-100. fol. 33r; lB-110, fol. 45r: lB-121, fol. 24v; lB-163, fol.
12r; lB-190, fol. 48r.
'^'ADPO lB-219, fol. 21r.
^^Tomàs NOGUER 1 MUSQUERAS; Josep Maria PONS 1 GURI, Constitucions sinodais de
Girona de la primera compilado, "Recull d'Estudis d'Història Jurídica Catalana", Fundació
Noguera, Barcelona, 1989, pàg. 201.
^^AHCBr, C-V, caixa 1, plec solt, sense numerar; AHCTE, Clavari, llibre 13, fol. 159r.
^'^AHCV, Llibre del Conseil 1393-1396, fol. 37r i 39r; AHCT, pergamins, caixa 13, 1396;
AHCBl, pergami 54, entre molts altres exemples.
^"AHCBl, pergami 57; AHCT, pergamins, caixa 13, 1396. '"^Constiíucions y altres Dreís de Catlmlunya, llibre I, tit X, caps. I-VI (Consîirudons y
(litres Dreîs de Catlialwwa, Departament de Justicia de la Generalilat de Catalunya, Barcelona,
1995, pp. 33-36). '•'ADPO lB-95, fol. 8iv; lB-100. fol. 33r; lB-110, fol. 45r: lB-121, fol. 24v; lB-163, fol.
12r; lB-190, fol. 48r. '^ADPO lB-175, foi. 40r. (c) Consejo Superior de Investigaciones Científicas
Licencia Creative Commons 3.0 España (by-nc) '^'ADPO lB-219, fol. 21r.
^^Tomàs NOGUER 1 MUSQUERAS; Josep Maria PONS 1 GURI, Constitucions sinodais de
Girona de la primera compilado, "Recull d'Estudis d'Història Jurídica Catalana", Fundació
Noguera, Barcelona, 1989, pàg. 201. ^Terran VALLS 1 TABERNER, Els antics privilegis de Girami i altres fonts documentais de
la compliaciô consuetudinaria gironina de Tomeis Mieres, "Estudis Universitaris Catalans", XIII
(Barcelona, 1928), p. 189. L'ESGLÉSIA SECULAR CATALANA AL SEGLE XIV L'ESGLÉSIA SECULAR CATALANA AL SEGLE XIV 771 De fet, com recalca Pere III, les penalitzacions économiques
pertanyen a la corona, raonament que limita l'Església a aplicar penes
espirituais i a haver d'acceptar la creixent presencia de la corona, fins i tot
compartint la punició d'uns mateixos fets, com en determinades agressions
a béns eclesiàstics"^'. L'entesa entre la intimidació civil i l'eclesial també es
produeix en ambits municipals, com a la Berga finisecular, on la venda de
censáis es reforça amb la proteccio reial i eclesiástica sota penes de presó i
d'excomunión-. "'AHMV, Ilibre de Privilegis, VIII, pergami 155.
**-Manuel Riu, La vila de Ber^a i els herguedans a la darreria del segle XIV, "Honienatge
a la Memòria del Profesor Dr. Emilio Sáez", CSIC, Barcelona, 1989, p.'351.
^'"Quod si delinquerent in aliquo. quod non possemus eos inde punire" (Cortes de Cataluña,
"Cortes de los antiguos Reinos de Aragón y de Valencia y Principado de Cataluña", I. Real
Academia de la Historia, Madrid, 1896, p. 173).
«'ADPO lB-346, fols. 148r-150r, 155r-v.
^Terran VALLS 1 TABERNER, Els antics privilegis de Girami i altres fonts documentais de
la compliaciô consuetudinaria gironina de Tomeis Mieres, "Estudis Universitaris Catalans", XIII
(Barcelona, 1928), p. 189. 3. L A DIFÍCIL DELIMITACIÓ DELS AMBITS JURISDICCIONALS Mes fàcils son les enteses en Taplicació de saucions sobre la
moralitat de la societat. Bé que l'Església n'expressarà la preocupaciô
mitjançant les indagacions de les visites pastorals i estendrà ocasionais
excomunions en casos d'incest o de matrimonis secrets, son els tribunals
ordinaris els qui procedeixen respecte d'aquests aspectes, com també, de
manera molt destacada, sobre el joc, la blasfemia, el proxénétisme o
l'adulteri. Fins i tot amb Joan I i encara mes sota Martí 1, el monarca
invocará la preocupaciô pels costums del clergat no sois per a intervenir-
hi^- sino fins i tot per a designar comissaris especiais contra eclesiàstics, tot
afermant el poder reial i els ingressos economics corresponents, segons http://estudiosmedievales.revistas.csic.es 770 FLOCEL SABATE I'acord puntual amb Tepiscopat, esdevingut ben regular a la diòcesi d'Elna,
on es reiteren comissions mixtes, especialment sobre clergues concubinaris
i sobre la práctica de la usura^-\ I'acord puntual amb Tepiscopat, esdevingut ben regular a la diòcesi d'Elna,
on es reiteren comissions mixtes, especialment sobre clergues concubinaris
i sobre la práctica de la usura^-\ L'ëhtesa entre ambdues jurisdiccions sempre és present en els ambits
on l'Església promou els tribunals: I'heretgia i la usura. La primera,
amparada en una legislado heretada d'un segle prou sensible a la matèria
com fou el XIIP, s'articula mitjançant r"inquisitorem heretici pravitatis",
désignât pel Papa i auxiliat pels seus lloctinents o vicaris, amb percepcio
d'émoluments relais i amb el corresponent ajut de I'oficial ordinari en ser
requerit'^-\ Les escasses discrepancies, com les sorgides entorn a la capacitat
d'incidir sobre la poblacio jueva, son facilment acordades^^. La concordan-
ça es reitera igualment en la persecució de la usura, definida com un pecat
mortaF^ i objecte de comissions tant papais com relais, sobretot des de Pere
UV^. La gran extensio del crédit, sota les diferents formes, permet dir que
"nonnullus et maior pars singularium universitatis (...) involuti in crimine
usurarum", justificant aixi que les comissions eclesiàstiques contra la usura
esdevinguin simples excuses per a exigir remissions generals''*^ en uns
moments en qué la poblacio s'esta avesant a ser objecte, mitjançant formules
similars, d'una "fiscalitat encoberta" per part de la monarquia. L'acord entre
aquesta i l'Església pot, fins i tot, adreçar les percepcions a necessitats
concretes del sobirà, com aprova Climent VII el 1393 en destinar la
campanya contra la usura a subvencionar l'esquadra que Joan I prepara
contra Sardenya i Córsega^". http://estudiosmedievales.revistas.csic.es "'AHMV, Ilibre de Privilegis, VIII, pergami 155.
**-Manuel Riu, La vila de Ber^a i els herguedans a la darreria del segle XIV, "Honienatge
a la Memòria del Profesor Dr. Emilio Sáez", CSIC, Barcelona, 1989, p.'351.
^'"Quod si delinquerent in aliquo. quod non possemus eos inde punire" (Cortes de Cataluña,
"Cortes de los antiguos Reinos de Aragón y de Valencia y Principado de Cataluña", I. Real
Academia de la Historia, Madrid, 1896, p. 173). (c) Consejo Superior de Investigaciones Científicas
Licencia Creative Commons 3.0 España (by-nc) http://estudiosmedievales.revistas.csic.es **-Manuel Riu, La vila de Ber^a i els herguedans a la darreria del segle XIV, "Honienatge
a la Memòria del Profesor Dr. Emilio Sáez", CSIC, Barcelona, 1989, p.'351. ^^Pragtnàticas y altres Drets de Cathalunya, llibre II tit. V 1-8 (Constitucions y Altres Dret
de Cathalunya, Departament de Justicia de la Generalitat de Catalunya, Barcelona, 1995.
"Pragmáticas", pp. 11-16); Cortes de Cataluña, "Cortes de los antiguos Reinos de Aragón y
de Valencia y Principado de Cataluña", I, Real Academia de la Historia, Madrid, 1896, pàg.
172; AHCBr C-V, caixa 1, plec "Contra tonsurats et personas eclesiásticas", sense numerar;
ADPO lB-146, fols. 45r-47r; IB-206, fol. 87r; lB-346, fols. 66v-71v; lB-367, fols. 22r-31v;
Johannes ViNCKE, Docwnenta Selecta mutuas civitatis arago-cathalaunicae et ecclesiae
relationes illustrantia. Biblioteca Balines, Barcelona, 1936, p. 167. 4. ESCRIVANIES I OFICIS REIALS VEDATS La separació jurisdiccional deis ambits eclesiàstic i reial comporta la
preocupació del monarca per evitar la presencia de clergues detentant oficis
reials. Es justifica, en primer Hoc, per la impunitat que es derivaria de
qualsevol irregularitatn\ i en segon per l'incrément de les malfiances davant
deis integrants d'un altre col lectin de solidaritat, raó per la que els oficiais
regis tampoc han de "recipere pensiones, salaria aut quecumque benefficia
a predictis ecclesiasticis aut secularibus personis cuiuscumque status seu
condicionis existant", segons repeteixen els diferents monarques —sobretot
Pere III el 1362 i el 1374 i Martí I el 1400— sense cloure pas la qüestió^^. Des del vessant eclesiàstic es limitava, a partir del concili lateranense
de 1179, que els clergues participessin en tasques própies de juristes. Al
segle XIII, però, arreia I'exclusió deis eclesiàstics dels oficis reials^^^
— "salvis cancellario et consiliario et elemosionario nostro et iudicibus qui http://estudiosmedievales.revistas.csic.es FLOCEL SABATE 772 scrirentius"— sancionada per les corts de 1292, 1299 i 1300^^ per bé que
haura de ser recalcada diverses vegades al llarg del segle XIV per cadascun
deis monarques^^^ La mesura collideix, irremeiablement, amb el problema
deis clergues conjugais i la seva identificació. Reiteradament es detecten
diferents carrees que amagaven la condicio de clergue conjugat, des del
missatger del mostassaf de Lleida el 1350 a l'advocat fiscal de la veguería
del Bages el 1332, passant per nombrosos escrivans de les corts reials. En
alguns casos l'afectat pretén retenir Tofici tot renunciant a la condicio
clerical, com l'escrivà que a la cort reial perpinyanesa el 1316 es "treié la
corona i no la tindrà d'aquí en avant"^^ De fet, l'elevada presencia en les
escrivanies reials facilita acceptacions "de coniugatis autem clericis
laycaliter" en el cas d'atorgar "sponsores láyeos ydoneos et securos" i
comprometre's a no allegar fur eclesiàstic, tal com determina Alfons III el
1328 i especifica Pere III el 1341. En general, el poder municipal insta a detectar i excloure els oficiais
amb origen de clergues conjugats^'^, per bé que en altres ocasions surt en
la seva defensa, com a Puigcerdà el 1381, quan fins i tot s'aconsegueix que
el monarca, després de diverses dubitacions, accepti "que-ls clergues
coniugats sien admesos en officials"'^". En realitat, malgrat les reiterades
instancies reials per a detectar els clergues conjugats"^', la situació sempre
es presta a les estratègies del poder. 'Cortes de Cataluña, "Cortes de los antiguos Reinos de Aragón y de Valencia y Principado
de Cataluña", I, Real Academia de la Historia, Madrid, 1896, pàgs. 156; 172-173; Constitu-
cions y Altres Drets de Cathalunya, llibre I, tit. LXVO, IV (Constitucions y Altres Drets de
Cathaìimya. Departament de Justicia de la Generalitat de Catalunya, Barcelona, 1995, pàg.
155). "ADPO lB-95, fol. 41v; Pragmáticas y altres Drets de Cathalunya, llibre II tit. V 2-4
(Constitucions y Altres Drets de Cathalunya, Departament de Justicia de la Generalitat de
Catalunya, Barcelona, 1995, "Pragmáticas", pp. 11-14). (c) Consejo Superior de Investigaciones Científicas
Licencia Creative Commons 3.0 España (by-nc) «'^AHCG 1.1.2.1, Iligall 2, llibre 2, fols. 26v-27r. "<^AHCP, Llibre de Provisions Reials 1.1, fol. 69r. http://estudiosmedievales.revistas.csic.es ««ADPO lB-95, fol. 41v. '-ACA, Cancelleria, regs. 505, fol. 177v; 520, fol. 180r-v.
'^'Arcadi GARCÍA I SANZ, Précédents, origen i evolució deis collegis notariais, "Actes del
I Congrès d'Història del Notariat Cátala" (Barcelona, novembre de 1993), Josep M. SANS I
TRAVE, coord., Barcelona, Fundació Noguera, 1994, pp. 168-171.
•^'ADPO lB-346, fol. 127v-132r.
'^'ACA, Cancelleria, reg. 340, fols. 22v.-23r.
*^^'Rafael CONDE Y DELGADO DE MOLINA. La titularidad de las notarías parroquiales
cat alarms desde Pedro ¡I (HI) el Gratule a Jaime II: del proyecto Besa lu (1281) a la Pragtnátic
de 1302, "Estudis sobre Historia de la Institució Notarial a Catalunya en honor de Raimon
Noguera". Josep Maria SANS TRAVE, coord., Fundació Noguera, Barcelona, 1988, pp. 33-36.
'^''Cortes de Cataluña, "Cortes de los antiguos Reinos de Aragón y de Valencia y Principado
de Cataluña", I, Real Academia de la Historia, Madrid, 1896, pàg. 144. *^^'Rafael CONDE Y DELGADO DE MOLINA. La titularidad de las notarías parroquiales
cat alarms desde Pedro ¡I (HI) el Gratule a Jaime II: del proyecto Besa lu (1281) a la Pragtnáti
de 1302, "Estudis sobre Historia de la Institució Notarial a Catalunya en honor de Raimon
Noguera". Josep Maria SANS TRAVE, coord., Fundació Noguera, Barcelona, 1988, pp. 33-36. '^''Cortes de Cataluña, "Cortes de los antiguos Reinos de Aragón y de Valencia y Principado
de Cataluña", I, Real Academia de la Historia, Madrid, 1896, pàg. 144. (c) Consejo Superior de Investigaciones Científicas
Licencia Creative Commons 3.0 España (by-nc) 4. ESCRIVANIES I OFICIS REIALS VEDATS El 1328 Alfons III, en el conflicte amb
la ciutat de Barcelona per la designado del cap de guaita, pot imposar el http://estudiosmedievales.revistas.csic.es (c) Consejo Superior de Investigaciones Científicas
Licencia Creative Commons 3.0 España (by-nc) '^'Arcadi GARCÍA I SANZ, Précédents, origen i evolució deis collegis notariais, "Actes del
I Congrès d'Història del Notariat Cátala" (Barcelona, novembre de 1993), Josep M. SANS I
TRAVE, coord., Barcelona, Fundació Noguera, 1994, pp. 168-171. L'ESGLÉSIA SECULAR CATALANA AL SEGLE XIV L'ESGLÉSIA SECULAR CATALANA AL SEGLE XIV 773 propi candidat en acusar el detentor de Tofici com a clericus coniugatus,
mentre que a Vilagrassa, en el context de les diferencies amb Tàrrega,
disculpa la condicio de clergue conjugat en el seu candidat a la batllia ates
que "non obstante quod dictus lacobus dicatur clericus coniugatus, haberens
uxorem unicam et virginem dum tamen nec tonsuram nec vestes habeat
clericales et layciter incedat'"^'. El monarca també vol extreure de l'àmbit eclesiàstic la possessió
d'escrivanies, arran d'interpretar Texclusiva competencia reial en l'autoritza-
ció de notaries i d'aprofitar Texpansió del notariat laic, afavorit, precisa-
ment, per les limitacions imposades per les Decretals papais a la participació
dels clergues ordenats "in sacris" en la contractació de negocis temporals i
en l'administració de justícia'^^ L'arrelada tradició contrària argumentada
tant per dominis nobiliaris com, sobretot, per una Església d'amplia
incidencia popular en aquest sentit, mena, en el segle XIII, a puntuáis acords
i sentencies arbitrais en diferents seus episcopals*^"^ i en determinades
parròquies'^^ No estalvien, però, l'ofensiva reial de 1281^^^, aturada a les
corts de 1283^^ amb el reconeixement de les autoritzacions efectuades pels
respectius senyors sobre els dominis particulars, compaginat amb la capacitat
reial sobre el conjunt de la Corona. El sobirà, dones, no discutirá l'e-
xistència de notaries eclesiàstiques sobre els ambits propis, però si que el
titular delegui l'exercici a altres clergues, tal com detalla Jaume II el http://estudiosmedievales.revistas.csic.es (c) Consejo Superior de Investigaciones Científicas
Licencia Creative Commons 3.0 España (by-nc) 774 FLOCEL SABATÉ 1302'^^ provisió recalcada tant per Alfons III com per Pere III que, en
realitat, no sera respectada fora de la jurisdicció reial^'^. Puntualment els oficiais ordinaris, sovint amb el corresponent suport
municipal, procedeixen contra clergues que practiquen la notaria, en general
a la propia parròquia'^^', albora que s'allargassen discrepancies d'interpreta-
ció dels acords prévis'"'. Els greus conflictes, però, es generen quan
l'autoritat eclesiástica pretén avalar notaris en territoris de jurisdicció reial,
com es viu sobretot a Tarragona i, encara mes, a Girona. En la primera
s'insereix en la disputa jurisdiccional'"' i amb intermitències es perllonga
fins que l'arquebisbe assoleix el domini sobre el Camp de Tarragona el
1391. A Girona, les pretensions episcopais, tolerades vitalíciament per Jaunie
I en la persona del bisbe Pere de Castellnou, mort el 1279, seran combatudes
pels successius monarques el 1320, 1330 i 1336. '"^Josep Maria PONS GURI, El conflicîe de la iioîaria de Girona, "Anales del Instituto de
Estudios Gerundense", XXV/I (Girona" 1979-1980), pp. 167-236; "Recull d'Estudis d'Història
Jurídica Catalana", I, Fundació Noguera, Barcelona, 1989, pp. 33-93). AHCBr, C-V, caixa 1, plec "contra tonsurais et personas eclesiásticas", sense numerar;
Pragiuciîicas y altres Dreîs de Catlialimya, Ilibre II tit. V.l {Constiîucions y Alîres Dreîs de
Caîludimya, Departament de Justicia de la Generalitat de Catalunya, Barcelona, 1995,
"Pragmáticas", p. 11). '"'Maria Teresa FERRER 1 MALLOL, L'expansió d'ima regalia al començamenî delsegle XIV
el noiariaì ma/, "Estudis Histories i Documents dels Arxius de Protocols", XIII (Barcelona,
1995), pp. 60-63. '^"^"La provisió feita pel senyor rey que cartes publiques sien escrites per persones layches
o que-Is cierges que i auctoritat an de fer aqueles facen aqueles personalment o ffaçen servir
l'offici de la notaria per persones layches, nos té ne s'observa sino en los lochs del senyor Rey,
e no en tots aquels" (ACÁ, Cancelleria, "Papeles por incorporar", Cervera, sense numerar).
"^^AHCTE Provisions 3 fol 13v AHCBr, C-V, caixa 1, plec "contra tonsurais et personas eclesiásticas", sense numerar;
Pragiuciîicas y altres Dreîs de Catlialimya, Ilibre II tit. V.l {Constiîucions y Alîres Dreîs de
Caîludimya, Departament de Justicia de la Generalitat de Catalunya, Barcelona, 1995,
"Pragmáticas", p. 11).
'^"^"La provisió feita pel senyor rey que cartes publiques sien escrites per persones layches
o que-Is cierges que i auctoritat an de fer aqueles facen aqueles personalment o ffaçen servir
l'offici de la notaria per persones layches, nos té ne s'observa sino en los lochs del senyor Rey,
e no en tots aquels" (ACÁ, Cancelleria, "Papeles por incorporar", Cervera, sense numerar).
"^^AHCTE, Provisions, 3, fol. 13v.
'"'Maria Teresa FERRER 1 MALLOL, L'expansió d'ima regalia al començamenî delsegle XIV:
el noiariaì ma/, "Estudis Histories i Documents dels Arxius de Protocols", XIII (Barcelona,
1995), pp. 60-63.
'"-AHT, Secció II.2. Economia i Hisenda, plet 12, fol. 58v.
'"^Josep Maria PONS GURI, El conflicîe de la iioîaria de Girona, "Anales del Instituto de
Estudios Gerundense", XXV/I (Girona" 1979-1980), pp. 167-236; "Recull d'Estudis d'Història
Jurídica Catalana", I, Fundació Noguera, Barcelona, 1989, pp. 33-93).
"^-'ACA, Cancelleria, reg. 985, fol. 159r-v. '"-AHT, Secció II.2. Economia i Hisenda, plet 12, fol. 58v. (c) Consejo Superior de Investigaciones Científicas
Licencia Creative Commons 3.0 España (by-nc) "^-'ACA, Cancelleria, reg. 985, fol. 159r-v. http://estudiosmedievales.revistas.csic.es '"'AHCT, llibre de la Cort del Batlle, 1, fol. 15r.
'"^'Josep Maria PONS GURl, El îesîamenî parroquial gironi en el se^le XIV, "Recull d'Estudis
d'Història Jurídica Catalana", I, Fundació Noguera, Barcelona, 1989, pp. 25-27.
'"^Maria Teresa FERRER, Notariat laic contra notarial eclesicistic. Un episodi de la pugna
entre ambdós a Girona (1347-1380), "Estudios Históricos y Documentos de los Archivos de
Protocolos", V (Barcelona, 1977), pp. 21-31.
•"«AHCTE, Paeria i Vegueria II, 24, tbl. 8r.
'"'^AHCV. Administració de Justicia, Cort del batlle, processos 1391, sentencia plet, tbl.
llv. L'ESGLÉSIA SECULAR CATALANA AL SEGLE XIV El 1365, però, esclata el
greu conflicte, quan el bisbe pretén efectuar nomenaments i el monarca ho
vol impedir, convertit en una topada violenta, amb les hosts locals contra uns
familiars episcopais detinguts, posant enjoe totes les armes eclesiàstiques i
reials'"\ Les trames de Girona i de Tarragona s'enllacen, amb el suport
ofert pel metropolita al gironi i la reacció del monarca en contra seva el
1366'"^ El rei recalcará per a tot arreu, el 1373, que ningú "no gos fermar
cartes publiques ne testaments ne altres qualsevol contractes en poder de
notaris o scrivans de prélats, de abbats ne d'esglésies ho rectons d'aquelles http://estudiosmedievales.revistas.csic.es 775 L'ESGLÉSIA SECULAR CATALANA AL SEGLE XIV ho altres qualsevol persones ecclésiastiques"•"^ La mesura, que pretén
consolidar el poder del sobirà, es remet a la manca de compliment de les
garanties constitucionais en els notaris no reials, per bé que collisiona amb
un mon rural avesat a les practiques notariais de rectors i vicaris, moites
vegades imprescindibles per a no caure en intestacions. Per això el 1374 el
monarca acceptarà els usos consuetudinaris, tant en els ambits rurais gironins
com entre població reial atreta per capitalitats de jurisdicció eclesiástica, del
caire de Guissona o Sanahuja, i el testament parroquial perviurà en els segles
posteriors •^'^. Tanmateix, les exigencies de respectar la infeudació de les notaries
de la ciutat, batUia i veguería de Girona, contra les renovades pretensions
bisbals, propicien fortes topades a partir de 1377 entre la jurisdicció reial i
repiscopal'"^ La contundencia emprada incita a indagar en les armes
esgrimides per l'Església. (c) Consejo Superior de Investigaciones Científicas
Licencia Creative Commons 3.0 España (by-nc) "^Josep Maria PONS GURl, Constitucions conciliars tarraconenses (1229-1330), "ReculI
d'Estudis ¿'Historia Jurídica Catalana", II, Barcelona, Fundació Noguera, 1989, pp. 223-287.
'"Tomas NOGUER l MUSQUERES; Josep Maria PONS I GURl, Constitucions sinodais de
Girono de la primera compilación "Recull d'Estudis d'Història Jurídica Catalana", II, Barcelona,
Fundació Noguera, 1989, pp. 81-222.
"-Josep Maria PONS GURI, Constitucions conciliars tarraconenses (1229-1330), "Recull
d'Estudis d'Història Jurídica Catalana", II, Barcelona, Fundació Noguera, 1989, pp. 321, 328,
354-355, 359-360, 369, 370, 379.
"^ACA Monacals Hisenda 896, fols. 99v, 22Iv, entre molts altres exemples.
"'AHCG 1.1.2.1, lligall 2, llibre 2, fol. 26r. 5. DLSCURS I ARMES DE L'ESGLÉSIA L'Església secular sol proclamar, davant de les discrepancies, una
voluntat de servei i de concórdia, convençuda que "lex boni hominis est lutes
execrari et maxime religiosi proprium est lutes aborrere"'"^. Justifica la
seva presencia i actuació per rao del servei prestat a través de les pregarles
i de l'atenció ais pobres, disposició que l'eximeix d'altres contribucions a la
collectivitat social, malgrat la disparitat deis qui no ho entenen"^'^. Aquest
diseurs es compatibilitza amb l'aferrissada defensa de tots els indicis de
jurisdicció i capacitats d'intervenció. La retórica reiteradament encerta
imatges veterotestamentàries que assimilen els conflictes de l'Església
baixmedieval contra els poders municipals i les autoritats reials amb el poblé
escollit sotjat per babilónics o pel faraó egipci. http://estudiosmedievales.revistas.csic.es FLOCEL SABATE 776 Formalment, l'Església basa el seu ordenament intern en els canons
aprovais pel concili de la província eclesiástica tarraconense, les Constitutio-
nes sacri concila Tarrachone. És el corpus doctrinal permanentment citat des
de Farrencada propiciada pel concili de Lleida de 1229, compilât el
1330"" i que encara pot ser concretat pels diferents sínodes diocesans amb
les respectives constitutiones sinodales^^\ Els canons recullen les disposi-
cions sobre la moralitat deis clergues, incloses les advertencies a "oninis
clerici coniugati vel alii in minoribus ordinibus tonsurati", amb limitacions
a Tabsentisme i a Taccés al crédit o a les armes. Igualment, s'hi precisa la
protecció de les persones i béns de TEsglésia contra "omnes invasores et
raptores et depredatores rerum eclesiasticarum et locum religiosorum""'. D'aquesta manera, les Constitucions Tarraconenses passen a emparar totes
les situacions i supòsits en qué intervé l'Església. En els diferents conflictes
entorn a la jurisdicció territorial o personal, la institució eclesiástica gaudeix
així d'una arma particular: amenaçar amb "les penes contengudes en les
Constitucions del Sacre Conseyl de Terragona fetes e promulgades contra los
usurpadors —o contra los invasidors e occupadors— deis béns e drets
eclesiàstichs""-\ El servei divi propi del clergue permet sumar-hi, albora, l'agreujant
"ratione sacrilegii", com en les primeres décades del segle aplica el bisbe de
Tortosa i com el 1334 pretén generalitzar l'homòleg gironi "can s'esdeven
que algún lee fer o nafre alcun muleyrat haven corona""^, pretensions que
amaguen el deler per les penes économiques inhérents i que, per això
mateix, el monarca podrá fer descartar en limitar les penalitzacions
eclesiàstiques ais ambits espirituais. (c) Consejo Superior de Investigaciones Científicas
Licencia Creative Commons 3.0 España (by-nc) 5. DLSCURS I ARMES DE L'ESGLÉSIA Els succesiüs concilis provincials permeten legislar sobre els temes
candents, augmentant així la capacitat d'incisió de les Constitucions de
Tarragona: coincidint amb la pugna per les notaries, el 1364, el 1367 i el http://estudiosmedievales.revistas.csic.es (c) Consejo Superior de Investigaciones Científicas
Licencia Creative Commons 3.0 España (by-nc) 777 L'ESGLÉSIA SECULAR CATALANA AL SEGLE XIV 1369 els canons conciliars recolzen les escrivanies eclesiàstiques i arriben a
decretar l'exclusió de les relais en les zones pertanyents a l'Església. La pena aplicable ais incompliments de les Constitucions es
Texclusio de la comunitat cristiana, és a dir, l'excomunió. Tots els oficiais
jurisdiccionals civils s'arrisquen a caure-hi en détenir algú que alegui ser
clergue, inclosos els conjugats, o en intervenir dins de qualsevol indret
considérât de jurisdicció eclesiástica. La mateixa penalització pot estendre's,
sota la fórmula de l'entredit, a poblacions senceres, ja sigui pel suport ofert
ais oficiais ordinaris o per les discrepancies en els diferents aspectes en
discussió. Es multiplica, dones, un elevadíssim nombre de veguers i batlles
sota excomunió, albora que la interdicció de viles i ciutats es reitera: el 1333
les discrepancies fiscais entorn de les talles culminen amb l'entredit de Vic,
situació repetida el 1356 per les tensions entorn a la cessió a Bernât de
Cabrera. Conflictes jurisdiccionals poden menar a l'entredit de demarcacions
senceres, com el comtat d'Empúries el 1355 arran de les diferencies entre
el comte emporità i el bisbe de Girona per Foixà. Com tants altres indrets,
Barcelona és entredita el 1341 arran d'baver detingut el veguer un clergue
i Lleida n'és el 1350 perqué el missatger del mostassaf continua arrestat
malgrat identificar-se com a clergue conjugat. Fins i tot el cas del castella
detingut a Perpinyà per assassinar la seva esposa que a la presó simula ser
un clergue desemboca en l'excomunió del batlle i l'entredit de tota la vila. Precisament, el 1368 l'exigència de l'ajuda de la earn ais clergues mena
Perpinyà a la interdicció, endegant un conflicte que s'enrarirà i s'allargassarà
vuit anys. "^Joaquim SARRET I ARBÓS, Lei cequia de Manresa, Estampa Católica de Domingo Vives,
Manresa, 1906 (facsímil, 1987), pp. 36-40.
"^Norah B. RAMOS, La Iglesia a través de las Cortes castellanas. Uso y abuso de la
excomunión (ss. XIIÍ-XIV), "Cuadernos de Historia de España", LXIX (Buenos Aires, 1987),
pp. 102-107. (c) Consejo Superior de Investigaciones Científicas
Licencia Creative Commons 3.0 España (by-nc) "^AHCP, registre de la cúria eclesiástica de Puigcerdà, 1, fol. 5v; AHCT, pergamins, caixa
12, 1395, entre molts altres.
"^AMSJA, Carpeta cúria secular. Processos s. XÜI-XIV, plec "Fragments de processos del
segle XIV", sense numerar.
"'^ADPO 1B-Í46, fol. 171r-v;
'-^^AHMV, Llibre de Privilegis XX, pergami 341; Llibre de Privilegis XXIX, pergami 409;
ADG, calaix 7, pergamins 88-89.
'-'Francesch CARRERAS Y CANDI, Notes sobre los origens de la enfiteusis en lo territori de
Barcelona, "Revista Jurídica de Catalunya", XVI (Barcelona, 1910), pp. 75-85.
'"ACÁ, Cancelleria, 1 ligai I de greuges i processos de greuges (1333-1431), sense numerar.
^'^Cortes de Cataluña, "Cortes de los antiguos Reinos de Aragón y de Valencia y Principado
de Cataluña", I, Real Academia de la Historia, Madrid, 1896, p. 96. 5. DLSCURS I ARMES DE L'ESGLÉSIA Manresa viu entredita de 1340 a 1345 per la indisposició episcopal
a qué la cequia reial de la ciutat travessi indrets sota jurisdicció del bisbe de
Vic'^-\ A la interdicció s'bi arriba molt sovint per espumes de poc gruix:
el 1384 bi cau la vila d'Elna formalment pel deute de set sous que el
consolât es nega a pagar, albora que un Hoc petit com l'Albiol el 1313 ja
bavia estât entredit amb el seu batlle per les discrepancies arran de la
penyora de dues cabres. La banalització d'aquestes penes s'emmarca en una dinàmica
generalitzada a Occident'^^. Les excomunions a particulars s'apliquen, ja http://estudiosmedievales.revistas.csic.es (c) Consejo Superior de Investigaciones Científicas
Licencia Creative Commons 3.0 España (by-nc) 778 FLOCEL SABATE a la primera meitat del segle XIV, per crédits no tornats, contractes
desatesos o penes de terces incomplertes, en un abundant nombre que les
dificultats de la segona meitat de la centúria acreixerà'^^ En funcio del
deute, fins i tot es graduará l'excomunió temporalment, com es reitera en el
darrer terç de segle amb les excomunions d'un any de durada'^^ Assumida
com a eina coercitiva, també sera aplicada ais laics que no compareixin als
requeriments de les corts eclesiàstiques, responent així a les critiques de la
jurisdicció ordinària contra tantes citacions"'^. En tots els casos, es pot apellar al tribunal metropolita de Tarragona
i a la cort papal, vies usuais que allargassen els processos amb notoria
despesa per als eraris de les entitats apeMants''^^^ És mitjançant la interven-
ció del papa que el 1307 la ciutat de Barcelona es Iliura de la interdiccio
imposada al 1304 arran de la negativa de dos ciutadans a pagar el lluïsme
per unes cases de propietat eclesiástica'-^'. Al mateix temps, el Hoc ocupat per l'Església, com a braç estamen-
tal, a les Corts generals és reiteradament utilitzat per a plantejar greuges
respecte dels diferents conflictes'-^^ La proteccio atorgada per les Constitu-
cions de Catalunya, en incorporar les iniciais Constitucions de Pau i
Treva'*^\ no es gaire reivindicada per l'Església, en témer-hi una via
d'ingerència del monarca que està, precisament, fonamentant la propia
autoritat com a garant exclussiu d'aquestes Constitucions. De fet, la jerarquia
eclesiástica també empra la seva influencia en l'accès directe al sobirà, que
en cada decisió haura d'optar entre les diferents pressions de que es objecte. (c) Consejo Superior de Investigaciones Científicas
Licencia Creative Commons 3.0 España (by-nc) '-^'Pierre André SiGAL, Un aspect du calte des saints: le châtiment divin aux Xf et Xlf
siècles d'après la littérature hagiographique du Midi de la France, "Cahiers de Fanjeaux", il
(Toulouse, 1976), pp. 42-45. '-^"Cum dominus Rex possideat homines Civitate Terrachone qui sunt propii et solidi, ipsius
vicarius arquiepiscopi convocavi! partem populi diete Civitatis sub colore quod volebat eis
predicare verbum Dei in sede eiusdem Civitatis cum simbalo majori, et cum fuerunt ibi
convocati, fecit Claudi ianuas diete sedis et ibidem ipsos inflamavit contra iura regia et
commovendo quantum in ipso vicario fuit contra bonum publicum et utilitatem (...) ipsius
Civitatis" (AHT, Secció II-2, Economia i Hisenda, num. 12, fol. I9v). '-''Flocel S ABATE, Diseurs i estratègies del poder reial a Catalunya al segle XIV, "Anuario
de Estudios Medievales", 25 (Barcelona, 1995), p. 629. '-'ACÁ. Cancelleria, reg. 1787, tbl. 123r (Josep Maria PONS GURl, El conflicte de la
nofaria, "Anales del Instituto de Estudios Gerundenses" XXV-I [Girona, 1979-1980), p. 191;
"Recull d'estudis d'Història jurídica Catalana", I, Fundació Noguera, Barcelona, 1989, p. 56). 5. DLSCURS I ARMES DE L'ESGLÉSIA Albora, l'ascendent sobre les consciències, en una mesura o altre,
és un dels trets característics d'una autoritat espiritual. La predicado és
assumida com una eina per a escampar els propis arguments, com fa el bisbe http://estudiosmedievales.revistas.csic.es (c) Consejo Superior de Investigaciones Científicas
Licencia Creative Commons 3.0 España (by-nc) 779 L'ESGLÉSIA SECULAR CATALANA AL SEGLE XIV de Girona quan, arran del conflicte de les notaries, el 1366 "per plateas et
vicos et per tronas predicari publiée fecisse''^-"^. És una actitud que l'autori-
tat civil retreu com a ús parcial i inapropiat de la trona per a tractar de
manipular la població en favor propi, a voltes amb poca dissimulació, segons
s'explica en el conflicte jurisdiccional viscut a Tarragona'"-\ A la consciência del poblé també s'hi accedeix a partir de les
creences i Uegendes, constitutives de la comuna imatge de la religió. Precisa-
ment, les centuries precedents s'havien omplert de narracions populars amb
la figura d'una divinitat que s'ofenia i prenia venjança sobre qualsevol no
sois que robes sino que s'apropés excessivament ais béns de TEsglésia'"^. (c) Consejo Superior de Investigaciones Científicas
Licencia Creative Commons 3.0 España (by-nc) 6. EL CONFLICTE DE LES TEMPORALITATS El monarca ha de cercar, en el seu àmbit, armes equiparables a les
emprades pel poder eclesial. Mesures com el desterrament del bisbe de Vie,
arran deis conflictes de 1356, no poden ser mes que excepcionais. Si els
bisbes poden argumentar la màxima capacitat en matèria espiritual, el sobirà
pot contraposar la sumapotestas sobre les jurisdiccions temporals a tenor del
diseurs d'enlairament del poder reial coetàniament empès pels assessors
romanistes, queja provoca la topada amb l'Església entorti*a les Constitu-
cions de Pau i Treva'*^^. En coherencia, la corona féiat'^respon ais
conflictes de 1366 a Girona i de 1368 a Perpinyà décrétant "pendre la
temporalitat del Bisbe". http://estudiosmedievales.revistas.csic.es (c) Consejo Superior de Investigaciones Científicas
Licencia Creative Commons 3.0 España (by-nc) 780 FLOCEL SABATE A la capacitai de segrestar els dominis temporals de l'Església
pretesa pel monarca, els prélats contraposen la invulnerabilitat dels béns
eclesiàstics segons les Constitucions tarraconenses i, sobretot, la infranqueja-
bilitat jurisdiccional sobre els dominis baronals reconeguda per les Constitu-
cions de Catalunya de 1283 i 1228. De fet, Tarrelada vivencia en aquest
sentit comporta, fins i tot, la dificultai de comprensió dels propis oficiais
reials, com el veguer de Girona, a qui l'infant Joan ha d'explicar, el 1366,
que la possessió de piena jurisdicció per part del bisbe sobre els seus dominis
no voi dir que aquests indrets "no sien dins la vagueria de Girona" ni que
el sobirà no hi gaudeixi d'una preeminencia suprema. L'infant arriba a
questionar les constitucions aprovades sota pressió dels estaments: "rebujam
de obeyr aquella" diu respecte de les garanties jurisdiccionals aprovades en
corts, atès que la constitució "fou obtenguda en les Corts quan los prellats
no volien consentir a l'ajuda si allò no.ls fos acordat"'^^. Amb greus discrepancies a Elna i a Urgell, els problèmes d'escriva-
nies, bàndols i interpretació de la capacitai jurisdiccional enrareixen la
tibantor, sobretot, a Girona i a Vie, i es sumen a les fortes tensions de
Tarragona, on el monarca invoca les Constitucions de Pau i Treva per a
procedir "contra clericos etiam in sacris constituios el contra prelatos". També les invoca arreu per a justificar que els oficiais ordinaris entrin,
"processus soni emisi", dins dels dominis baroniais tant en mans laïques com
eclesiàsliques, albora que, com a garant de la justicia, pretén una capacitai
de revisió suprema. '-^ACA, Cancelleria, regs. 1707, fol. 177v; 1787, fol. 132v (éd.: Josep Maria PONS GURI,
El conflicte de la notaria de Girona, "Anales del Instituto de Estudios Gerundense", XXV/I
(Girona, 1979-1980), pp. 207-208; "Recull d'estudis d'Història jurídica Catalana", I, Fundació
Noguera, Barcelona, 1989, pp. 69-70). '^^^ACA, Cancelleria, Memorial 45, fol. 66v. Agraeixo a l'arxiver Jaunie Riera el géneros
ajut presíat en el seguiment de les pistes documentais a l'Arxiu de Tantiga Cancelleria Reial. '-'^Johannes VINCKE, Documenta selecta mutuas civitatis arago-cathalaunicae et ecclesiae
relationes illustrantia. Biblioteca Balmes, Barcelona, 1936, pp. 481-484. (c) Consejo Superior de Investigaciones Científicas
Licencia Creative Commons 3.0 España (by-nc) '-^ACA, Cancelleria, regs. 1707, fol. 177v; 1787, fol. 132v (éd.: Josep Maria PONS GURI,
El conflicte de la notaria de Girona, "Anales del Instituto de Estudios Gerundense", XXV/I
(Girona, 1979-1980), pp. 207-208; "Recull d'estudis d'Història jurídica Catalana", I, Fundació
Noguera, Barcelona, 1989, pp. 69-70).
'-'^Johannes VINCKE, Documenta selecta mutuas civitatis arago-cathalaunicae et ecclesiae
relationes illustrantia. Biblioteca Balmes, Barcelona, 1936, pp. 481-484.
'^^^ACA, Cancelleria, Memorial 45, fol. 66v. Agraeixo a l'arxiver Jaunie Riera el géneros
ajut presíat en el seguiment de les pistes documentais a l'Arxiu de Tantiga Cancelleria Reial. ^'^Consiitucioíis (le Caíalwixa. Incunable ¿le 1495, Deparlanient de Justicia de la Generalilat
de Catalunya, Barcelona. 1988", pp. 568-570.
'^-AHCBr C-V, caixa 1, plec solt, sense numerar: ADPO lB-146, fol. 152r.
''^^ACA, Cancelleria, reg. 2214, fols. 145r-148v.
'^V.DPO lB-146, fol. I52v.
^'^Coiisíiíucions (le Caíalunxa. Incunable de 1495, Departanieiit de Justicia de la Generalital
de Catalunya, Barcelona, 1988'. pp. 577-585.
'^''ACA, Cancelleria, Memorial 22 bis, sense numerar.
'^'ADPO lB-346, fols. 150v-l52v.
'^'ADPO lB-346, fol. 177r. (c) Consejo Superior de Investigaciones Científicas
Licencia Creative Commons 3.0 España (by-nc) http://estudiosmedievales.revistas.csic.es ' Johannes VINCKE, Estado e Iglesia en la Historia de la Corona de Aragón en los siglos
xa, XIII y XIV, "VI! Congreso de Historia de la Corona de Aragón (Barcelona, 1962)", I,
Barcelona, 1962, p. 279: Odilo ENGELS, Los reyes Jaime II y Alfons IV de Aragón y los
concilios provinciales de Tarragona, "VOI Congreso de Historia de la Corona de Aragón
(Valencia, 1967), IL Valencia, 1970, \)\). 258-261. 6. EL CONFLICTE DE LES TEMPORALITATS El conjunt, repetit en dominis monastics com en
l'emblemàtic enfrontament amb Sani Benêt de Bages, indisposa iota la
jerarquia eclesiástica, que és recolzada el febrer de 1372 amb una decretal
de Gregori XI'^^ La tensió s'apaivaga amb la concórdia establerta entre el cardenal
Bertrán de Cognac, bisbe de Comenges, en qualital de Ilegal papal, i la reina
Elionor de Sicília, signada el juny del maleix any^"^^. En ella el monarca
es compromet a respectar tant els clergues, que escapen a la seva com- http://estudiosmedievales.revistas.csic.es L'ESGLÉSIA SECULAR CATALANA AL SEGLE XIV 781 petència en tots els supòsits, com els bens i dominis de I'Esglesia, que no
seran danyats amb l'excusa de les persecucions so meîent, de la mateixa
manera que no seran bandejats del pais eclesiàstics i que els conflictes de
jurisdicció seran sotmesos a arbitratges'*^'. El fort ressò de I'acord'-^',
convertit en punt de referencia per al posteriors tractes entre la monarquia
i I'Esglesia, no pot impedir que les tensions es reprenguin. La reiterada
queixa eclesiástica aconsegueix l'explicita aprovació de la concordia pel rei
Martí el 1409''^\ l'exhortació al seu compliment per Ferran I el 1413'"^"*
i l'aprovació per Alfons IV deis capítols de Sant Cugat el 1419'-^\ De fet,
la controvèrsia "super facto temporalitatum eclesiasticorum", lluny de tancar-
se, esdevé un deis temes candents de la primera meitat del segle XV'-^^,
aconseguint-se l'acceptació, per part de I'Esglesia, que existeix "lo cas on,
servades les coses desús dites, se hage a fer ocupació de temporalitats". A Elna, on la problemàtica s'ha complicat entorn a les respectives
capacitats jurisdiccionals i a la pretensió episcopal de percebre l'estacatge a
la costa, es pot arribar a un acord a partir de la discussió deis capítols de
1424^-^^ El monarca acceptarà "de non ocupandis temporalitatibus", però
els estils de la cort del veguer rossellonès aconseguiran incloure que "totes
persones eclesiàstiques exemptes del for del bisbe son civilment de for del
senyor Rey e de son veguer", que "lo bisbe ni sos officials no han conexensa
de censos ni rendes amortitzades encara que siguen de luyció" i, fins i tot,
que "lo senyor bisbe ni sos officials no poden possar entredit, e si.n posen
és procehit per lo veguer contra ells per capció de juridicció e rendes de la
mensa episcopal "'•^^ http://estudiosmedievales.revistas.csic.es 782 (c) Consejo Superior de Investigaciones Científicas
Licencia Creative Commons 3.0 España (by-nc) ' Johannes VINCKE, Estado e Iglesia en la Historia de la Corona de Aragón en los siglos
xa, XIII y XIV, "VI! Congreso de Historia de la Corona de Aragón (Barcelona, 1962)", I,
Barcelona, 1962, p. 279: Odilo ENGELS, Los reyes Jaime II y Alfons IV de Aragón y los
concilios provinciales de Tarragona, "VOI Congreso de Historia de la Corona de Aragón
(Valencia, 1967), IL Valencia, 1970, \)\). 258-261.
''"ACV. calaix 7, 526: calaix 9, pergamins del bisbe Ponç de Vilaró, 1301: AEV,
pergamins 1 libre IV, 30.
'^'ACA, Cancelleria, "Papeles por incorporar", Cervera, sense numerar.
'-•-AHMV, Llibre de Privilegis IV, pergami 11; V, pergami 83. '^'ACA, Cancelleria, "Papeles por incorporar", Cervera, sense numerar. ''"ACV. calaix 7, 526: calaix 9, pergamins del bisbe Ponç de Vilaró, 1301: AEV,
pergamins 1 libre IV, 30. FLOCEL SABATE
7. RELACIONS A LA CÚPULA DEL PODER FLOCEL SABATE '^'AHPB, Notari Joan Eixímenís, lligall 15, "protestacionuní et sentencialitet liber" (1377-
1389). sense numerar.
'^^José Manuel NiETO, Lasj-ealidíules coíidiamis de las relaciones Mofuu-í/uía-Episcopado
en Castilla. Siglos XIII-XIV, "Etat et Église dans la genèse de l'Etat moderne", J. P. Genet et
B. Vicent, éds.. Casa de Velazquez. Madrid. 1986, p. 334.
'"*''ACV, calaix 37, Privilegis i Estatus, H, pergami 30: Privilegis i Estatuts III. pergami 62;
ealaix 37, privilegis i estatuts HI. pergami 51: AIIMV. Llibre de Privilegis V, pergami 83:
Llibre de Privilegis IV, pergami 11. '"*''ACV, calaix 37, Privilegis i Estatus, H, pergami 30: Privilegis i Estatuts III. pergami 62;
ealaix 37, privilegis i estatuts HI. pergami 51: AIIMV. Llibre de Privilegis V, pergami 83:
Llibre de Privilegis IV, pergami 11. (c) Consejo Superior de Investigaciones Científicas
Licencia Creative Commons 3.0 España (by-nc) '^^José Manuel NiETO, Lasj-ealidíules coíidiamis de las relaciones Mofuu-í/uía-Episcopad
en Castilla. Siglos XIII-XIV, "Etat et Église dans la genèse de l'Etat moderne", J. P. Genet et
B. Vicent, éds.. Casa de Velazquez. Madrid. 1986, p. 334. 7. RELACIONS A LA CÚPULA DEL PODER Durant el primer quart de segle, el rei tem el pes adoptât pels
conclus provincials i cerca la manera d'incidir-hi, d'evitar abusos amb
l'excomunió i de retallar la puixança episcopal fins i tot fragmentant les
diócesis de Girona i de Vic''^^ albora que discuteix amb els prélats tant en
exigir subsidis com en les diverses discrepancies sobre la capacitat jurisdic-
cional territorial. Tot això no enterboleix, però, una entesa comuna enfront,
sobretot, del poder nobiliari, com es palesa amb claretat en els problèmes del
bisbe de Vie amb els Monteada'"*^*. En aquesta situació el monarca no té
recança a situar "la terra de l'Esglea d'Urgel en son guiatge'"'^^, en una
línia continuada sota Alfons III i els inicis de Pere III, quan els clergues de
la ciutat de Vie reben un guiatge reial de Uargues conseqüencies'"*-^. Traspassat mitjan segle, les discrepancies esdevenen molt tenses en
afegir, ais diversos conflictes jurisdiccionals, una suma de divergencies ais
diferents bisbats que teñen, com a denominador comú, les pretensions
d'afermament del poder reial a través d'escrivanies, regalies i temporalitats. Pere III aplica una actitud força autocràtica sobre l'Església, en part afavorit
per l'existència, des de 1378, d'un cisme en el que no es decanta per cap
banda per a poder així tant retenir les rendes com aplicar els propis designis
en l'Església catalana, i en part per la consolidació d'uns ambits propis
d'incidéncia, on hi té molt a veure la línia directa establerta amb el papat per
a demanar prebendes pels eclesiàstics, cosa que li garanteix un ascendent
sobre molts clergues. La contundência del monarca —per exemple en
maltractar fisicament al col-lector episcopal que I'ba excomunicat el 1370—
forma part, en realitat, de I'afany per aprofitar totes les escletxes d'interven-
cionisme, fins i tot amb les armes, com s'esdevé el 1386 al fer actuar amb
les hosts el portantveus de governador a Constanti a favor del cambrer de http://estudiosmedievales.revistas.csic.es 783 '^'AHPB, Notari Joan Eixímenís, lligall 15, "protestacionuní et sentencialitet liber" (1377-
1389). sense numerar. http://estudiosmedievales.revistas.csic.es '"•^"La papauté en agissant ainsi désorganiîsait la vie de TEglise dans ses cellulles initiales",
enmig d'una situació en la que "l'énorme majorité du clergé paroissial à la fin du XIIL siècle
et au début du XIVe nous paraît plutôt médiocre, négligeant ou même incapable de dirigir et
d'instruire ses ouailles" (Guy DEVAILLY, L'encadrefuent paroissial: rigueur et insufissance,
"Cahiers de Fanjeaux", 11 (Toulouse, 1976], pp. 411: 412-413). '••^Es prou significatiu que el batile de Perpinyà, excomunicat per no cedir a l'autoritat
episcopal el castella acusat d'uxoricidi que simulava corona, ha de córrer amb les despeses de
la propia apel.lacio (ADPO lB-346, fol. 170r). '"Nós vullam que vós e los altres officials nostres mantengats e defenats nostra jurisdicció,
e per açò e per retre justicia vos hi possam, però no volem i no manam que tolgats ni usurpets
res a la Yglésia" (ADPO lB-346, fols. 50v-52v). L'ESGLÉSIA SECULAR CATALANA AL SEGLE XIV Els canvis obeeixen a estratègies del rei —pressionar abans de
l'acord— o, majorment, a alteracions en els equilibris de forces. En tots els
casos, son els oficiais els mes exposats i els que, arribat el cas, poden haver
de correr amb els inconvénients de ser excomunicats''^^ 1 també és la
imatge de la justicia l'afectada, en la convicció que els tractes economics
entorn al sobirà poden comportar remissions, permisos i canvis de fur que,
en definitiva, dificulten l'exercici judicial. Tot plegat imposa constatar el
parer popular. d'amonestació^'^^ i de correcció, com el sotsveguer de Besalú al que el
1366 se li din que "restituatis et ad pristinum statum reducatis" les penyores
de temporalitats del bisbe de Girona que ha extret per ordre del mateix
monarca. Els canvis obeeixen a estratègies del rei —pressionar abans de
l'acord— o, majorment, a alteracions en els equilibris de forces. En tots els
casos, son els oficiais els mes exposats i els que, arribat el cas, poden haver
de correr amb els inconvénients de ser excomunicats''^^ 1 també és la
imatge de la justicia l'afectada, en la convicció que els tractes economics
entorn al sobirà poden comportar remissions, permisos i canvis de fur que,
en definitiva, dificulten l'exercici judicial. Tot plegat imposa constatar el
parer popular. L'ESGLÉSIA SECULAR CATALANA AL SEGLE XIV L'ESGLÉSIA SECULAR CATALANA AL SEGLE XIV Tarragona"^-\ La major feblesa d'un rei Joan escás de recursos imposa una
entesa en certa manera continuada pel rei Martí, que deixa escolar les
tensions entorn a les temporalitats albora que assoleix vies de penetracio
mitjançant les diferents comissions especiais sobre matèries com la usura i
riieretgia i sobre ambits com els mateixos clergues. En realitat, es ressegueix una línia directe entre els prélats i el
monarca, el qual ha d'optar.entre les diverses pressions procedents deis
diferents poders. En aquest context, poden produir-se importants transtorns
politics mentre que el corresponent prélat i el rei mantenen un bon tracte
personal, com en el cas de l'arquebisbe Pere de Clasquerí, amb qui Pere III
confia com a canceller quan ja están esclatant seriosos problèmes a
Tarragona. El canvi en la relació entre aquests personatges evidencia com
el curs politic pot capgirar aparents certeses, tal com també exemplifica
Ènyec de Vallterra, que, essent bisbe de Girona, apareix com a cabdal
enemic de Pere III en excitar el conflicte de les notaries el 1365 i és, per
això, remogut a la diòcesi d'Albarrasí-Sogorb, però després s'entendra amb
el mateix monarca, el representará davant la cort papal a Avinyó i gracies
a eli será arquebisbe de Tarragona. De fet, malgrat totes les tensions,
s'estableix una proximitat entre els bisbes i el monarca, usual també en els
règnes veins'"^, i coherent amb la preocupado del rei per a incidir en les
designacions episcopais. Les concessions del sobirà ais bisbes poden perjudicar 1'eficacia i la
imatge de la jurisdicció ordinària. En ocasions per imposar-li modificacions
i en altres per limitar-li capacitats d'actuació, tal com succeeix a Vie, amb
uns clergues reiteradament afavorits pel monarca —1315, 1320, 1339,
1350—, amb beneficis que els emparen com a deutors, segons es diu el
1317, o que incrementen la impunitat deis clergues tonsurats, cosa que
motiva la queixa del govern municipal el 1337'^'. Per rao de la concordan-
ça establerta entre els prélats i 1'entorn reial, l'oficial regi pot ser objecte http://estudiosmedievales.revistas.csic.es http://estudiosmedievales.revistas.csic.es (c) Consejo Superior de Investigaciones Científicas
Licencia Creative Commons 3.0 España (by-nc) 784 FLOCEL SABATE d'amonestació^'^^ i de correcció, com el sotsveguer de Besalú al que el
1366 se li din que "restituatis et ad pristinum statum reducatis" les penyores
de temporalitats del bisbe de Girona que ha extret per ordre del mateix
monarca. (c) Consejo Superior de Investigaciones Científicas
Licencia Creative Commons 3.0 España (by-nc) '""'Valguin el.s exemples de l'occità Pèire Cardenal al segle XIIÎ ("Tartarassa ni vouîor/ no
sent tan leu earn puden / quom clerc e prezicador / senion ont es lo manen / Manienen son sei
privât. / e quant malautia-1 bat, / fan li far donassio / tal que.l paren no.i an pro" IPeire
CARDENAL. Tartassa ni voiaor, "Poesia trobadoresca". Edicions 62 i "la Caixa", Barcelona.
1982, pxi. 280-28IJ) i, al .segle XV, dels castellans López de Avala ("A quien tiene oro e piata,
cinco obispados val; / aunque sea letrado, si aquesto le fai, / non le dan beneficio por la su tal
decretal" (Pero LÓPEZ DE AYALA. Libro rimado del Palacio, I, Editorial Alhambra, Madrid,
1978, p. 89|) i la Crònica d'Enric IV de Castella, en parlar de "las costunbres de los romanos
pontífices, cerca de los quales valie mucho el poder e las dadivas de quienquiera que darlas
pudiese" {Crónica anónima de Enrique IV de Castilla, 1454-1474, Ediciones de la Torre,
Madrid. 1991, p. 160). '^"Madeleine JEAY, Sur quelques coutumes sexuelles du Moyen âge, "L'érotisme au Moyen
Age. Etudes présentées au "Troisième colloque de l'Institut d'études médiévales". Bruno Roy.
dir.. Les éditions de l'Aurore. Quebec, 1977. pp. 145-146. '"André SEGAL, A propos de l'attrait des femmes pour les clergues, "L'érotisme au Moyen
Age. Etudes pré.sentées au Troisième colloque de l'Institut d'études médiévales". Bruno Roy.
dir.. Les éditions de l'Aurore, Quebec. 1977, pp. 175-178. '^^Guy DEVAILLY. L'encadrement paroissial : rigueur et insufissiuice. "Cahiers de Fanjeaux"
11 (Toulou.se, 1976). p. 414. '•• AHCM, pergami 354; AHMV, llibre de Privilegis XIX, fols lOOr-lOlr; APSMM.
pergami 14.001; BC, pergami 5253. 2-1-2. (c) Consejo Superior de Investigaciones Científicas
Licencia Creative Commons 3.0 España (by-nc) 8. VERS L'ANTICLÉRICALISME POPULAR L'Església, a través de les Constitucions Tarraconenses, legisla
contra clergues en concubinatge, tafurers i altres comportaments impropis tot
décrétant "de vita et honéstate clericorum", a la vegada que tramet visites
pastorals que indaguen en la moralitat de clergues i laics. Albora, però, la
mateixa jerarquia, amb la facilitât de concedir llicències, contribueix a un
creixent absentisme que, de manera ben accentuada a la segona meitat del
segle XIV, va convertint les rectories parroquials en font d'ingressos per a
un clergat rendista que delega i sotsdelega les tasques pastorals a uns
capellans ben poc preparats intel-lectualment, amb una imatge més propera
a la dels expenedors de sacraments que no pas ais possessors de preocupa-
cions morals''^'\ Les rendes de les parròquies assoleixen, en aquest context, un
important protagonisme, tant per ser arrendades, transaccionades o discutides http://estudiosmedievales.revistas.csic.es L'ESGLÉSIA SECULAR CATALANA AL SEGLE XIV L'ESGLÉSIA SECULAR CATALANA AL SEGLE XIV 785 entre el rector i el vicari, com per entrar en col lisió amb els mateixos
parroquians, ja sigui arran de conflictes per percepcions com el delme o, de
manera ben estesa, per les exigencies pels actes liturgies, sobretot batejos,
casaments i, molt destacadament, funerals'•*'^. La mateixa actitud de la
jerarquia, que amb facilitât dispensa d'incest o d'usura mitjançant el degut
pagament, unit a totes les tensions publiques, accentua la visió popular
negativa respecte del clergat. El cierge es caracteritzat, en primer Hoc, pel seu afany pel diner, tal
com recull tota la literatura baixmedievaP-^". I, tot seguit, per la seva
desordenada passio pel sexe femení, cosa que esdevé un dels Hoes comuns
de la cultura popular'*^', tot entretenint les converses i rondalles entorn de
si els fills de capellans s'infanten amb major dolor, si els clergues fornica-
dors de dones casades requereixen o no el perdo dels marits abans del de
Déu o, també, de què passará al més enllà amb les concubines d'eclesiàs-
tics'*^'. La malfiança que mereixen els clergues els fa assimilar als jueus:
mentre el bisbe d'Angers reflexiona que "les prêtres sont regardés par les
laïcs comme plus vils et plus méprisables que les juifs"'^^^ a Girona els
jurats apleguen clergues i jueus com a responsables del deteriorament de la http://estudiosmedievales.revistas.csic.es (c) Consejo Superior de Investigaciones Científicas
Licencia Creative Commons 3.0 España (by-nc) 786 FLOCEL SABATE muralla i a Castella s'adverteix que "judio, dona y hombre con corona,
jamás perdona"'-*'"*. Atesa la global cosmovisió cristiana i la creixent vivencia religiosa
en uns tons aristotelicorealistes, les caractéristiques dels eclesiàstics, ultra la
jocositat inherent, son vistes amb temor pel dany, a voltes irreparable, que
poden infringir arran de la negligencia en unes actuacions salvífiques que
indefugiblement resten exclusivament en les sèves mans. Les situacions mes
greus es viuen en els reiterats périodes d'interdicció, en que "divina officia
non présumèrent celebrare", rao per la que "no sich canten misses ne
matines, la quai cosa és fort enujosa e greu als ciutadans", a mes que,
segons la legislado eclesiástica, "laicus tempore interdicti présumât sepeliré
in cimiterio alicuius ecclesie aliquem deffunctum"'-^-\ de la mateixa manera
que,
en els afectats per Texcomunió, resta vedat l'accès no sols als
sagraments sino a celebracions com els casaments dels fills. '^'''D. M. J. HENRY. Histoire de Roussi Hon comprenant l'histoire du Roy autue de Majorque,
Laffite Reprints, Marseille. 1974 (Paris, 1835), p. 381. ''^^José María MONSALVO, Teoría y evolución de un conflicto social. El antiseiniíismo en la
Coroiui de Castilla en la Baja Edad Media, Siglo Veintiuno editores, Madrid. 1985, p. 122.
'"'''Johannes VINCKE, Documenta selecta mutuas civitatis arago-cat/ialaunicae et Ecclesiae
relationes illustrantia. Biblioteca Balmes, Barcelona, 1936, p. 140; AHCBr, Pons municipal,
I-B, Ilibre 15, íbi. 51r; Tomas NOGUER I MUSQUERAS; Josep Maria PONS I GURL Constitucions
sinodais de Giro/m de la primera compilado, "Recull d'Estudis d'Història Jurídica Catalana",
II, Fundació Noguera, Barcelona, 1989, ^^. 139-140.
'^'''D M J HENRY Hi
i
d R
iH
l'hi
i
d R
d M j (c) Consejo Superior de Investigaciones Científicas
Licencia Creative Commons 3.0 España (by-nc) '"'''Johannes VINCKE, Documenta selecta mutuas civitatis arago-cat/ialaunicae et Ecclesiae
relationes illustrantia. Biblioteca Balmes, Barcelona, 1936, p. 140; AHCBr, Pons municipal,
I-B, Ilibre 15, íbi. 51r; Tomas NOGUER I MUSQUERAS; Josep Maria PONS I GURL Constitucions
sinodais de Giro/m de la primera compilado, "Recull d'Estudis d'Història Jurídica Catalana",
II, Fundació Noguera, Barcelona, 1989, ^^. 139-140. ''^^José María MONSALVO, Teoría y evolución de un conflicto social. El antiseiniíismo en la
Coroiui de Castilla en la Baja Edad Media, Siglo Veintiuno editores, Madrid. 1985, p. 122. L'ESGLÉSIA SECULAR CATALANA AL SEGLE XIV Sempre es viu
de manera niés intensa quan la interdicció es pronuncia "en aquest dia tant
seynalat", com es diu a Lleida el 1350, en rebre-la el dia de la Mare de Déu
de setembre o, també, a la Barcelona que rep la interdicció per la quaresma
de 1341, amb la lesió que desencadenará en no poder-se canalitzar les
"almuynes e oracions e altres piadoses coses" propies d'aquests dies. Ultra
aquest dany espiritual, també dol, com és logic en una societat de creixent
gust per la forma i la teatralitat del sentiment, que a causa de la punició no
es puguin celebrar processons tan vistoses "axí com era acostumat", de
manera destacada, en dies com el Corpus, segons es diu a la Barcelona de
1370. Coherentment, les autoritats locals tractaran d'evitar la interdicció,
fins i tot bloquejant l'accès als campanars perqué no pugui ser proclamada,
com es fa a Perpinyà el 1369'^^^'. Un cop pronunciada, son els mateixos
governants locals els qui trameteran représentants tant devant del bisbe com. http://estudiosmedievales.revistas.csic.es L'ESGLÉSIA SECULAR CATALANA AL SEGLE XIV 787 sobretot en ciutats importants, del rei perqué hi intercedeixi"^ La interces-
sió reial també és cercada davant de l'augment de les excomunions
personals, segons es viu a Puigcerdà el 1359'-^'\ De fet, tot i que la gran extensió de Texcomunió afecta entre 1338
i 1339 a personatges com el comte de Prades per rao d'un matrimoni
considérât incestuos fins a ser-ne redimit'""^, la condicio d'excomunicat
mante una carrega de desprestigi social. Tant aquest sentit com l'evidència
que entre el comii de la poblacio hi ha molts excomunicats, es reflecteix
quan en diferents corts judiciais, després de rebre una declaració, per tal
d'aquilatar el valor de les paraules es sol preguntar al testimoni, entre altres
coses, "si est instructus vel suburnatus, periurus vel eccomunicatus". Les caractéristiques morals dels clergues i els inconvénients i danys
que se'n deriven perfilen una actitud ben contrària a les sèves persones. En
esclatar la tensió amb facilitât se'ls insulta —"muyren, muyren los bacallars
de cugots!" es crida al Corpus de 1370 a Barcelona— o s'assalta el palau del
bisbe d'Elna tot cridant "a fogo!, a fogo!". Esdevé, de fet, un Hoc força
conili en la historiografía parlar d'un anticléricalisme a tot l'Occident
baixmedieval'^". " ' A H C P . Llibrc del Conseil 2, fol. 6bis v; AHCBr, Eons municipal LB. Ilibre 15. fol. 51r.
"'AHCP. Llibre de Provisions Reials 1.1. fol. 2Ir.
'^'^ADM, Sección Prades, legajo 1, núni. 4.
"'"Honi parla respecte de íhe problem of "aiiticlencalisiu" (R. N. SWANSON. Relii^ioii aiui
Devoíioii ill Europe, e. 1215-c. 1515, Cambridge University Press. Cambridge. 1995, p. 249),
fins al punt d'afrontar-bo globalment: P. A. DVKEMA and H. A. OBERMAN, eds., Auíiclerica-
lisfìì in ¡(líe lìiedieval cuìd early modern Europe, Leiden, New York, Cologne, 1993.
"'Mill R. WEBSTER. Els Jhuicisauis i la hur^esia de Puií^cerdà. Ed hisiòrio d'una (ilionça
nìedievdl. "Anuario de Estudios Medievales", 26 (Barcelona. 1996). pp. 160-161.
"'-José IÌSTI-:BAN, Refranero anticlerical. Vosa, Madrid, 1994, pp. 24-32. "'-José IÌSTI-:BAN, Refranero anticlerical. Vosa, Madrid, 1994, pp. 24-32. (c) Consejo Superior de Investigaciones Científicas
Licencia Creative Commons 3.0 España (by-nc) "'Mill R. WEBSTER. Els Jhuicisauis i la hur^esia de Puií^cerdà. Ed hisiòrio d'una (ilionça
nìedievdl. "Anuario de Estudios Medievales", 26 (Barcelona. 1996). pp. 160-161. "'"Honi parla respecte de íhe problem of "aiiticlencalisiu" (R. N. SWANSON. Relii^ioii aiui
Devoíioii ill Europe, e. 1215-c. 1515, Cambridge University Press. Cambridge. 1995, p. 249),
fins al punt d'afrontar-bo globalment: P. A. DVKEMA and H. A. OBERMAN, eds., Auíiclerica-
lisfìì in ¡(líe lìiedieval cuìd early modern Europe, Leiden, New York, Cologne, 1993. "'Antoni PLADEVALL. £7 de^^anat cle Cerdcuiyci. El panorama relìi>ìós de la Cerdany
principis del segle XIV, "F' Congrès Internacional d'història de Puigcerdà" (julioi 1977), Institut
d'Esiudis Ceretans, Puigcerdà, 1983, p. 138. RESUME Au quatorzième siècle, la relation entre l'Eglise séculaire et le monde qui l'entoure
est caractérisée par le conflit: la difficile intégration de ses positions dans la société urbaine,
le besoin de défendre son propre espace devant la croissance du pouvoir royal, les nouvelles
attitudes envers la crise morale et économique, et, finalement, l'image contradictoire offerte
face à une société qui avance vers l'anticléricalisme. L'ESGLÉSIA SECULAR CATALANA AL SEGLE XIV Els mendicants, que hauran de pledejar amb el clergat ordinari al ser
entesos per aquests com intrusos en minvar les donacions i servéis de les
parròquies, sintonitzen molt millor en una societat on demanen tarifes
liturgiques força niés reduïdes i presten una collaboració prou evident en les
tasques municipals. Tanmateix, la davallada moral de la segona meitat del
segle XIV'', propicia que també ells siguin objecte dels acudits populars,
sovint lligats a la indolencia i I'afany pel sexe o les almoines*^'-. Bé que de manera globalment minoritaria, en altres ocasions la
ruptura no sois s'expressa vers els clergues sino de cara a la maíeixa creença
religiosa. Entre els testimoniatges encerclats com a heretics sovintegen http://estudiosmedievales.revistas.csic.es 788 FLOCEL SABATE expressions ben properes a l'ateisme, com la de l'home que a la Cerdanya
d'inicis del segle XIV "va declarar davant de testimonis que no hi havia Déu
ni ànima en l'home, només sang"'^\ expressions ben properes a l'ateisme, com la de l'home que a la Cerdanya
d'inicis del segle XIV "va declarar davant de testimonis que no hi havia Déu
ni ànima en l'home, només sang"'^\ (c) Consejo Superior de Investigaciones Científicas
Licencia Creative Commons 3.0 España (by-nc) http://estudiosmedievales.revistas.csic.es SUMMARY The fourteenth century was characterized by conflict between the Church and its
environment: the incompatibility of its tenets with the life of urban society; the need to defend
its own spheres of jurisdiction against the burgeoning royal power; new attitudes towards the
moral and economic crisis; and finally the contradictory image that the Church t)ffered to a
society that was advancing towards anti-clericalism.
|
https://openalex.org/W2911166433
|
https://europepmc.org/articles/pmc6924947?pdf=render
|
English
| null |
FLUORESCENCE LIFETIME PATTERNS IN MACULAR TELANGIECTASIA TYPE 2
|
Retina
| 2,020
|
cc-by
| 6,823
|
FLUORESCENCE LIFETIME PATTERNS IN
MACULAR TELANGIECTASIA TYPE 2 YASMIN SOLBERG, MBBS, BSC (HONS),*† CHANTAL DYSLI, MD, PHD,*†
SEBASTIAN WOLF, MD, PHD,*† MARTIN S. ZINKERNAGEL, MD, PHD*† Purpose: Type 2 idiopathic macular telangiectasia (MacTel) is a rare bilateral neurode-
generative disease characterized by alterations in the macular capillary network leading to
central vision loss. The purpose of this study was to quantify disease-specific retinal
fluorescence lifetime patterns in patients with MacTel using fluorescence lifetime imaging
ophthalmoscopy. p
py
Participants: Both eyes of 14 patients (mean age ± SEM, 67.8 ± 6.4 years) with a clinical
diagnosis of MacTel Type 2 and 14 healthy age-matched controls (age 69.8 ± 6.4 years)
were included in this study. y
Methods: All participants were imaged with a fluorescence lifetime imaging ophthal-
moscope (Heidelberg Engineering, Germany). Mean retinal fluorescence lifetimes (Ƭm) were
obtained in the short spectral channels (498–560 nm) and long spectral channels (560–720
nm). Clinical features, fundus images, fundus autofluorescence intensity images, spectral
domain optical coherence tomography, and corresponding macular pigment optical den-
sity measurements using a modified confocal scanning laser ophthalmoscope (mpHRA)
were further analyzed. Patients were classified into five phenotypic subgroups using the
Gass and Blodi classification. Results: Mean fluorescence lifetimes were significantly prolonged temporal to the fovea
in patients with MacTel compared with healthy controls (mean ± SEM: short spectral
channels 543 ± 61 ps vs. 304 ± 9 ps; P , 0.0001; long spectral channels: 447 ± 26 ps
vs. 348 ± 11 ps; P , 0.0001), and appeared as a crescent or ring-shaped pattern. Pro-
longed lifetime patterns correlated with decreased macular pigment density on macular
pigment optical density measurements. Follow-up examinations were performed in four
MacTel patients, which revealed an increase of short spectral channel Ƭm of 22% over
2.1 years in the temporal fovea. Conclusion: This study confirms that fundus autofluorescence lifetimes display
characteristic patterns in patients with MacTel Type 2 disease and provide information
about macular pigment and possibly photoreceptor loss. Fluorescence lifetime pro-
longation correlates with disease severity and may therefore be a useful addition to other
imaging modalities for assessing disease progression in MacTel Type 2. RETINA, THE JOURNAL OF RETINAL AND VITREOUS DISEASES 2020 VOLUME 40 NUMBER 1 RETINA, THE JOURNAL OF RETINAL AND VITREOUS DISEASES 2020 VOLUME 40 NUMBER 1 100 affected.3,9 At advanced stages, lack of macular pig-
ment,10 formation of pigmented plaques along with
vascular remodeling, fibrosis, and eventually subreti-
nal neovascularization2 may occur and may limit the
prognosis of central vision. To date, no effective treat-
ment to modify the course of disease in nonprolifer-
ative MacTel Type 2 is available. with the approval of the local ethics committee. The
study was performed in accordance with International
Conference on Harmonisation-Good Clinical Practice
(ICH-GCP)
guidelines, which correspond to the
Health Insurance Portability and Accountability Act
of 1996 (HIPAA) regulations, which is in accordance
with the Declaration of Helsinki. This study is
registered at ClinicalTrials.gov (NCT01981148). All
patients and healthy controls were recruited at the
Ophthalmology outpatient department of the Univer-
sity Hospital, Bern, Switzerland. An informed consent
was signed before study entry. Multiple imaging modalities have been established
as important parameters for assessing disease pro-
gression in MacTel, including fluorescein angiogra-
phy, color fundus imaging, fundus autofluorescence
(FAF) intensity imaging, optical coherence tomogra-
phy (OCT), and confocal blue reflectance imaging.11–
13 Eyes of participants with a confirmed diagnosis of
either nonproliferative or proliferative MacTel Type 2
were included in this study. Eyes with other retinal
pathologies affecting the macula, such as choroidal
neovascularization secondary to age-related macular
degeneration, diabetic retinopathy, and retinal vein
occlusion were excluded from the study. Fluorescence
lifetime
imaging
ophthalmoscopy
(FLIO) is an imaging technology supplementing the
current armamentarium of multimodal retinal imag-
ing.14–17 Because the diagnosis of MacTel can be chal-
lenging especially at early stages of disease, FLIO may
serve as an additional tool for early detection of Mac-
Tel and possibly obtain information on disease pro-
gression. Because FLIO has been shown to detect
changes in macular pigment with high contrast18–20
changes in macular pigment specific lifetimes provide
information about macular photoreceptor or possibly
Müller cell loss. In a recent study, MacTel-specific
fluorescence lifetime patterns have been reported.20
The purpose of this study was to confirm these find-
ings, to quantify disease-specific lifetime patterns in
patients with MacTel, and to provide longitudinal fluo-
rescence lifetime data. y
All patients and healthy subjects underwent a com-
prehensive ophthalmologic examination with a mea-
surement of the best-corrected visual acuity (BCVA;
Early Treatment Diabetic Retinopathy Study [ETDRS]
letters and fundus examination). RETINA, THE JOURNAL OF RETINAL AND VITREOUS DISEASES 2020 VOLUME 40 NUMBER 1 Before imaging,
maximal pupil dilation was achieved using tropica-
mide 0.5% and phenylephrine HCl 2.5%. Of both
eyes, color fundus images (Zeiss FF 450plus; Zeiss,
Oberkochen, Germany), fluorescein angiography, FAF
images, and OCT scans of the macula (Heidelberg
Spectralis HRA + OCT; Heidelberg Engineering, Hei-
delberg, Germany), macular pigment optical density
(MPOD) measurements using a modified confocal
scanning laser ophthalmoscope (mpHRA; Heidelberg
Engineering), and fluorescence lifetime images (FLIO)
were obtained. The Gass and Blodi classification was
used categorize patients into phenotypic subgroups. Briefly, Stage 1 presents with occult vascular changes,
Stage 2 with no clinically visible telangiectasia, Stage
3 with prominent and dilated retinal venules, Stage 4
with retinal pigment clumping, and Stage 5 with sub-
retinal neovascularization.9 Supplemental digital content is available for this article. Direct
URL citations appear in the printed text and are provided in the
HTML and PDF versions of this article on the journal’s Web site
(www.retinajournal.com). y
Y. Solberg: Heidelberg Engineering (nonfinancial support). C.
Dysli: Heidelberg Engineering (nonfinancial support). S. Wolf: Al-
lergan, Bayer, Novartis, Heidelberg Engineering, Hoya, Optos, and
Euretina. M. S. Zinkernagel: Allergan, Bayer, Novartis, and Hei-
delberg Engineering. Methods This prospective, cross-sectional study was con-
ducted at the University Hospital in Bern, Switzerland, From the *Department of Ophthalmology, Inselspital, Bern Uni-
versity Hospital, Bern, Switzerland; and †Department of BioMedical
Research, University of Bern, Bern, Switzerland. The authors received nonfinancial support from Heidelberg
Engineering GmBH, Germany. This is an open access article distributed under the Creative
Commons Attribution License 4.0 (CCBY), which permits unre-
stricted use, distribution, and reproduction in any medium, pro-
vided the original work is properly cited. g
p
p
y
Reprint requests: Martin S. Zinkernagel, MD, PhD, Department
of Ophthalmology, Inselspital, University Hospital Bern, 3010
Bern, Switzerland; e-mail: martin.zinkernagel@insel.ch From the *Department of Ophthalmology, Inselspital, Bern Uni-
versity Hospital, Bern, Switzerland; and †Department of BioMedical
Research, University of Bern, Bern, Switzerland.
Y. Solberg: Heidelberg Engineering (nonfinancial support). C.
Dysli: Heidelberg Engineering (nonfinancial support). S. Wolf: Al-
lergan, Bayer, Novartis, Heidelberg Engineering, Hoya, Optos, and
Euretina. M. S. Zinkernagel: Allergan, Bayer, Novartis, and Hei-
delberg Engineering.
Supplemental digital content is available for this article. Direct
URL citations appear in the printed text and are provided in the
HTML and PDF versions of this article on the journal’s Web site
(www.retinajournal.com).
The authors received nonfinancial support from Heidelberg
Engineering GmBH, Germany.
This is an open access article distributed under the Creative
Commons Attribution License 4.0 (CCBY), which permits unre-
stricted use, distribution, and reproduction in any medium, pro-
vided the original work is properly cited.
Reprint requests: Martin S. Zinkernagel, MD, PhD, Department
of Ophthalmology, Inselspital, University Hospital Bern, 3010
Bern, Switzerland; e-mail: martin.zinkernagel@insel.ch FLUORESCENCE LIFETIME PATTERNS IN
MACULAR TELANGIECTASIA TYPE 2 RETINA 40:99–108, 2020 I
d
a I
diopathic macular telangiectasia Type 2 (MacTel) is
a rare bilateral neurodegenerative disease, character-
ized by alterations of the retinal capillary network in
the juxtafoveal region that usually manifests with
a slowly progressive decrease in visual acuity with
an onset in the fifth to sixth decades of life.1–3 degeneration6 in the central retina occurs in the same
pattern as macular pigment depletion. This suggests
that neuroglial loss, resulting in impairment cone and
rod photoreceptor function, plays a central role in the
pathogenic mechanism of the disease.7,8 Clinically,
early manifestations of the disease include blunting
of the foveolar reflex, loss of retinal transparency,
crystalline deposits in the superficial retinal layers,
and the presence of intraretinal cavities at the fovea. Retinal alterations and abnormal macular pigment lev-
els initially manifest temporal to the fovea, whereas at
later stages, an oval area centered approximately 6°
horizontally
and
5°
vertically
on
the
fovea
is The prevalence of the disease has been estimated to
be as high as 0.1% among subjects aged 40 years and
older.4 Despite recent advances in the understanding
of the pathogenesis of this disease such as the identi-
fication of genetic loci associated with MacTel,5 many
aspects of the disease still remain unknown. Histopath-
ological studies have established that Müller cell 99 Fluorescence Lifetime Data Analysis The FLIO reader software (ARTORG Center for
Biomedical Engineering Research, University of Bern,
Switzerland) was used for analyses of all mean
fluorescence lifetime data. For each eye, an FAF
intensity image with its correlating pseudocolor fluo-
rescence lifetime image was performed. For quantifi-
cation of retinal autofluorescence lifetimes, a standard
ETDRS grid was used with a circle diameter of 1 mm
for the central area/fovea, 3 mm for the inner ring, and
6 mm for the outer ring. In particular, within the MacTel area (inferotempo-
ral region), significant differences were found (P ,
0.0001) compared with the corresponding area in the
healthy control eyes (Figure 2). In the MacTel cohort, mean lifetime values Ƭm
within the inner ring of the ETDRS grid were 488 ±
47 ps in the SSC and 410 ± 13 ps in the LSC. Thereby,
Ƭm was lengthened by 55% in the SSC and by 31% in
the LSC compared with healthy control eyes (P ,
0.001 and P , 0.01, respectively). In MacTel eyes, mean lifetimes of T1 (SSC 543 ±
61 ps) were prolonged compared with T2 (301 ± 7 ps)
in healthy controls, suggesting that additional factors
to macular pigment loss such as degeneration of Autofluorescence Lifetimes in Patients With MacTel
Type 2 The characteristic epicenter of the disease, located
temporal to the fovea, colocalized with distinct auto-
fluorescence lifetimes in FLIO. In the temporal
parafoveolar area, we identified prolonged mean
retinal autofluorescence lifetimes in a wedge-shaped
pattern of long fluorescence lifetimes at early stages of
MacTel, whereas at advanced stages, an oval ring-
shaped lesion around the fovea was observed. Gener-
ally, the fluorescence lifetime contrast of disease-
specific changes was best seen in the SSC (Figure 1). The mean fluorescence lifetime Ƭm was calculated
using the short and long lifetime components (Ƭ1 and
Ƭ2, respectively) with their relative amplitudes a1 and
a2. When comparing autofluorescence lifetime differ-
ences between patients with MacTel Type 2 and
healthy participants, there was a general prolongation
of mean fluorescence lifetimes. Statistical Analysis The mean fluorescence lifetime data were analyzed
for both spectral channels. Data were presented as
mean ± SEM. To compare results and test for signif-
icant differences between groups, a Mann–Whitney
nonparametric test was used. Statistical analysis was
performed using GraphPad (Prism 6; GraphPad Soft-
ware Inc, La Jolla, CA). Table 1. Patient Characteristics
Patient ID Sex Age (Years)
ETDRS
MacTel
Stage
FU
Right Left Right Left
MacTel 1
M
73
83
79
1
4
MacTel 2
M
69
29
69
5
5
MacTel 3
M
67
38
33
5
5
MacTel 4
M
67
51
73
4
5
MacTel 5
F
73
69
75
2
1
FU
MacTel 6
M
71
85
55
4
3
MacTel 7
M
54
82
40
2
5
MacTel 8
F
70
73
82
3
1
MacTel 9
M
66
78
83
1
1
MacTel 10 F
68
73
85
3
1
FU
MacTel 11 F
63
58
68
5
4
MacTel 12 F
62
73
45
2
2
MacTel 13 M
82
76
69
2
3
FU
MacTel 14 M
64
79
78
1
2
FU
BCVA, best-corrected visual acuity (ETDRS letters); F, female;
FU, follow-up available; M, male. Table 1. Patient Characteristics Table 1. Patient Characteristics Table 1. Patient Characteristics Fluorescence Lifetime Imaging Ophthalmoscope A fluorescence lifetime imaging ophthalmoscope
based on existing Heidelberg Engineering Spectralis
technology was used to acquire retinal fluorescence
lifetime images from a 30° retinal field. The principles
and safety details of FLIO have been described
previously.18 In summary, the technology is based on the
excitation of retinal FAF using a pulsed diode laser
(473 nm, 80 MHz). Two highly sensitive hybrid
photon-counting detectors (HPM-100-40; Becker & FLIO IN MACTEL SOLBERG ET AL 101 in four (28.6%) MacTel patients. Further details about
the investigated groups can be found in Table 1. Hickl, Berlin, Germany) were used for detecting and
measuring fluorescence photons in two separate wave-
length spectrums: a short spectral channel (SSC: 498–
560 nm) and a long spectral channel (LSC: 560–720
nm). Time-correlated single-photon counting modules
(SPC-150; Becker & Hickl) were used. In both wave-
length channels, at least 1,000 photons per pixel were
obtained to ensure reliable image quality. A high-
contrast confocal infrared image eye movement track-
ing system ensured that the correct location of each
photon was detected. The chi-square value evaluated
the exponential fit. Autofluorescence Lifetimes in Patients With MacTel
Type 2 Results Fourteen consecutive patients (28 eyes) with a clinical
diagnosis of MacTel Type 2 (mean age: 67.8 ± 6.4
years, 64.3% male) and 28 eyes of 14 healthy subjects
(mean age 69.8 ± 6.4 years) were included in this study
(60% male). All participants were white and had no
concomitant ophthalmic diseases. One eye was pseudo-
phakic. The mean visual acuity was 67 ± 3 ETDRS
letters. Concerning systemic diseases, in patients with
MacTel Type 2, the prevalence of arterial hypertension
was 53.3%, hypercholesterolemia 50%, and diabetes
mellitus 35.7%. Four patients (28.6%) reported to be
ex-smokers. Follow-up examinations were performed BCVA, best-corrected visual acuity (ETDRS letters); F, female;
FU, follow-up available; M, male. RETINA, THE JOURNAL OF RETINAL AND VITREOUS DISEASES 2020 VOLUME 40 NUMBER 1 102 Fig. 1. Fundus autofluorescence lifetime (color) and intensity (gray) images from the SSC (498–560 nm) and the LSC (560–720 nm) in a healthy
subject and a patient with MacTel showing prolongation (blue) of mean fluorescence lifetime temporal to the fovea, with a reduction of short lifetimes
(red) within the fovea. Fig. 1. Fundus autofluorescence lifetime (color) and intensity (gray) images from the SSC (498–560 nm) and the LSC (560–720 nm) in a healthy
subject and a patient with MacTel showing prolongation (blue) of mean fluorescence lifetime temporal to the fovea, with a reduction of short lifetimes
(red) within the fovea. The ETDRS subfields were correlated with disease
severity (Table 2). Analysis of data in early-stage Mac-
Tel (Stage 1) revealed that in SSC, the mean fluores-
cence lifetimes was significantly prolonged in ETDRS
sectors T1 (P = 0.04), C (P , 0.0001) and I1 (P =
0.0046), in comparison to the healthy control group,
whereas differences in sectors N1 (P = 0.42) or T2 (P
= 0.3) were not significant. In the LSC, we found no
significant change in any ETDRS sectors between
healthy controls and Stage 1 MacTel patients. photoreceptors or lipofuscin accumulation lead to lon-
ger mean lifetimes in T1 of MacTel patients. The longest autofluorescence lifetimes were identi-
fied in eyes affected by MacTel within the temporal
quadrant (T1), followed by the inferior (I1), superior
(S1), and the nasal quadrants (N1) (Figure 2). Com-
pared with the healthy control population, the fluores-
cence lifetimes were significantly prolonged in the
temporal quadrant in both spectral channels (SSC
543 ± 61 ps vs. Results 304 ± 9 ps, P , 0.0001; LSC: 447
± 26 ps vs. 348 ± 11 ps, P , 0.0001). The mean fluorescence lifetime in the SSC measured
in areas of T1 were compared with N1 values. In healthy
controls, the mean autofluorescence lifetime of the T1
sector was 3.2% shorter when compared with the N1
sector. However, in eyes with MacTel, T1 was prolonged
in Stage 1 by 6.9%, in Stage 2 by 5.4%, in Stage 3 by
11.5%, in Stage 4 by 15.7%, and in Stage 5 by 21.3%
when compared with mean lifetimes in N1, respectively. Within the MacTel population, there was a signifi-
cant difference (P = 0.0093) in retinal fluorescence
lifetime between the temporal paracentral region com-
pared with the nasal sector. By contrast, a reversed
pattern was identified in healthy subjects, with the
temporal sector displaying shorter lifetimes in compar-
ison with the nasal sector (SSC: 304 ± 10 ps, LSC: 348
± 11 ps vs. SSC: 322 ± 11 ps, LSC: 348 ± 11 ps). Autofluorescence and Macular Pigment In healthy subjects, the shortest fluorescence life-
times were seen within the macula, visualized as a red
color-coded signal on FLIO, probably originating from
macular pigment. When we compared mean fluores-
cence lifetimes from the central subfield of the ETDRS
grid of all MacTel patients with those of healthy age-
matched controls, Ƭm was prolonged by 107% in the
SSC (P = 0.0001) and by 30% in the LSC (P =
0.0016). However, patients with MacTel Stage 1 had
less changes in Ƭm of 48% in the SSC (P = 0.0417)
and 30% in the LSC (P = 0.1356). Fig. 2. A. Control eye from healthy subject and MacTel eye with
indicated way of data analysis. A standard ETDRS grid (center
[diameter; d = 1 mm], inner [d = 3 mm], and the outer [d = 6 mm]
ETDRS ring) was used for data averaging. FLIO SSC = 498 mm to 560
nm, fluorescence lifetime images of the SSC. B. Quantitative analysis of
mean retinal autofluorescence lifetime values in the SSC in healthy
subjects and MacTel patients. Box plots of mean fluorescence lifetimes
(Ƭm) with 10 to 90 percentile of the following areas of the ETDRS grid:
central ( ), nasal sector (N1, ), temporal sector (T1, ), temporal outer
sector (T2, ), inferior sector (I1, ). Fig. 2. A. Control eye from healthy subject and MacTel eye with
indicated way of data analysis. A standard ETDRS grid (center
[diameter; d = 1 mm], inner [d = 3 mm], and the outer [d = 6 mm]
ETDRS ring) was used for data averaging. FLIO SSC = 498 mm to 560
nm, fluorescence lifetime images of the SSC. B. Quantitative analysis of
mean retinal autofluorescence lifetime values in the SSC in healthy
subjects and MacTel patients. Box plots of mean fluorescence lifetimes
(Ƭm) with 10 to 90 percentile of the following areas of the ETDRS grid:
central ( ), nasal sector (N1, ), temporal sector (T1, ), temporal outer
sector (T2, ), inferior sector (I1, ). Macular pigment optical density measurements
were obtained of 21 eyes with MacTel Type 2. In
general, patients displayed an abnormal distribution
with a reduced central MPOD signal and a surrounding
ring of increased density at about 6° eccentricity. Autofluorescence and Macular Pigment g
y
y
In general, in this study, MacTel patients exhibited
a reduced central macular pigment signal in compar-
ison with healthy controls as measured by a confocal
scanning laser ophthalmoscope (mpHRA). Although
in some patients a central peak in MPOD measure-
ments could still be found, the short fluorescence
lifetime signal appeared irregularly shaped and smaller
in comparison with healthy eyes. At more advanced
stages, recordings displayed short fluorescence life-
times in a ring-like dispersion pattern surrounding the
parafoveal area. Prolonged lifetime patterns correlated
with decreased macular pigment density on MPOD
measurements (Figure 5). The most common OCT finding in this study was
parafoveal hyporeflective spaces. These spaces corre-
sponded to areas of prolonged lifetimes located within
the perifoveal oval- or wedge-shaped region on
topographic FLIO maps. In addition, rarefaction of
the ellipsoid zone was a frequent finding. Areas with
ellipsoid zone loss generally featured longer Ƭm (Fig-
ure 3). Four eyes had evidence of crystalline deposits
on fundus photography and clinical examination. Crystals were identified on fundus images and were
colocalized within the nerve fiber layer on OCT. The
areas with crystalline deposits were then investigated
with FLIO. Crystalline deposits featured distinctively
prolonged mean lifetimes, which were most apparent
in the short-wavelength channel, but still discernible in
the long-wavelength channel (Figure 3). Fluorescence Lifetime Imaging Ophthalmoscopy
and Multimodal Imaging Features We analyzed differences in autofluorescence life-
times between healthy participants and patients with
MacTel at five different severity grades according to
the Gass and Blodi classification.1,9 Disease severity
was graded Stage 1 in 25% (7) eyes, Stage 2 in 21%
(6) eyes, Stage 3 in 14% (4) eyes, Stage 4 in 14% (4)
eyes, and Stage 5 in 25% (7) eyes. All patients displayed characteristic disease features
of MacTel Type 2 in FAF, OCT, and fundus
photography. In OCT, MacTel-specific findings as described
below presented in various combinations but were
most prominent temporal to the fovea. FLIO IN MACTEL SOLBERG ET AL 103 Fig. 2. A. Control eye from healthy subject and MacTel eye with
indicated way of data analysis. A standard ETDRS grid (center
[diameter; d = 1 mm], inner [d = 3 mm], and the outer [d = 6 mm]
ETDRS ring) was used for data averaging. FLIO SSC = 498 mm to 560
nm, fluorescence lifetime images of the SSC. B. Quantitative analysis of
mean retinal autofluorescence lifetime values in the SSC in healthy
subjects and MacTel patients. Box plots of mean fluorescence lifetimes
(Ƭm) with 10 to 90 percentile of the following areas of the ETDRS grid:
central ( ), nasal sector (N1, ), temporal sector (T1, ), temporal outer
sector (T2, ), inferior sector (I1, ). 5) seen as a thickening of the hyperreflective layer
on OCT also corresponded with circular lesions,
which led to pronounced prolongation of fluores-
cence lifetimes. The mean retinal thickness of the central subfield
was 266 ± 14 mm and showed a correlation with the
BCVA, whereby increased retinal thickness was asso-
ciated with poorer ETDRS letter scores (r2 = 0.301, P
= 0.0025). Mean fluorescence lifetimes of the central
subfield of the SSC also showed correlation with
BCVA, whereby increased lifetimes were associated
with a poorer ETDRS letter score (r2 = 0.39, P =
0.0004; Figure 4). Analysis of Individual Fluorescence
Lifetime Components Mean fluorescence lifetime from the SSC (498–560) in different
regions of interest of the ETDRS grid, including the central foveal
area (C), nasal sector (N1), inner temporal sector (T1), outer tem-
poral sector (T2), and inferior sector (I1) in healthy controls, pa-
tients with MacTel Stages 1 to 5, and all MacTel patients (n =
number of subjects). Follow-up Examinations To assess disease-associated changes over time,
follow-up examinations were performed in 28.6% of
the eyes (n = 8). The average follow-up interval was
25 months, with a range from 6 months to 36 months. There was an average of 2.6 letter decrease in BCVA,
which was statistically not significant. the surrounding retina. Our data revealed that short
fluorescence lifetimes (color coded red) could be iso-
lated at different stages of the disease. At early stages,
short lifetimes were found in the foveal center. As the
disease progressed, short lifetimes were less evident in
the macular region but appeared in a ring-like structure
surrounding the fovea. Shorter lifetimes had a higher
Ƭ1 component than the surrounding retina. the surrounding retina. Our data revealed that short
fluorescence lifetimes (color coded red) could be iso-
lated at different stages of the disease. At early stages,
short lifetimes were found in the foveal center. As the
disease progressed, short lifetimes were less evident in
the macular region but appeared in a ring-like structure
surrounding the fovea. Shorter lifetimes had a higher
Ƭ1 component than the surrounding retina. On follow-up, we observed a progression of pro-
longed fluorescence lifetimes, radiating from the
center outward in an oval or round pattern (Figure
6A). Quantitative analysis of sector T1 showed a sig-
nificant increase of Ƭm (22%) between initial and
follow-up measurements (baseline SSC: 337 ± 13 ps
vs. follow-up SSC: 411 ± 29 ps; r2 = 0.2480, P =
0.0409; Figure 6B). The MacTel area can be visualized using phasor
plots (see Figure 1, Supplemental Digital Content
1,
http://links.lww.com/IAE/A944).21
The
phasor Fig. 3. Multimodal imaging of
a patient with MacTel Type 2 in
a nonproliferative stage. Fundus
photography
(color
fundus
[CF]) showing parafoveal loss
of retinal transparency and reti-
nal
crystals;
fundus
auto-
fluorescence
image
(FAF)
showing mild increase of foveal
autofluorescence;
fluorescence
angiogram (FA) with late-phase
leakage; spectral domain OCT
horizontal scans 1 to 3, with
indicated green line. Fig. 3. Multimodal imaging of
a patient with MacTel Type 2 in
a nonproliferative stage. Fundus
photography
(color
fundus
[CF]) showing parafoveal loss
of retinal transparency and reti-
nal
crystals;
fundus
auto-
fluorescence
image
(FAF)
showing mild increase of foveal
autofluorescence;
fluorescence
angiogram (FA) with late-phase
leakage; spectral domain OCT
horizontal scans 1 to 3, with
indicated green line. Fig. 3. Multimodal imaging of
a patient with MacTel Type 2 in
a nonproliferative stage. Analysis of Individual Fluorescence
Lifetime Components We investigated the influence of individual lifetime
components (Ƭ1 and Ƭ2) and their corresponding am-
plitudes (a1 and a2) to observe changes seen in Ƭm. Hyperpigmented plaques seen on fundus photogra-
phy could be isolated from the surrounding retina, due
to higher Ƭ1 and Ƭ2 components in comparison with In advanced stages of MacTel (Stages 4), sharply
demarcated,
parafoveal
hypofluorescent
lesions
seen on FAF, corresponding to hyperpigmented
areas on fundus photography, were observed and
correlated with areas of prolonged autofluorescence
lifetimes in FLIO. Neovascular membranes (Stage We investigated the influence of individual lifetime
components (Ƭ1 and Ƭ2) and their corresponding am-
plitudes (a1 and a2) to observe changes seen in Ƭm. Hyperpigmented plaques seen on fundus photogra-
phy could be isolated from the surrounding retina, due
to higher Ƭ1 and Ƭ2 components in comparison with RETINA, THE JOURNAL OF RETINAL AND VITREOUS DISEASES 2020 VOLUME 40 NUMBER 1 104 Table 2. Fundus Autofluorescence Lifetimes in MacTel
Patients and Healthy Subjects
C
N1
S1
T1
T2
I1
Healthy controls (n = 14) 230 322 303 312 306 299
Grade 1 (n = 7)
316 339 353 363 325 340
Grade 2 (n = 6)
367 373 399 395 352 374
Grade 3 (n = 4)
391 394 421 447 389 414
Grade 4 (n = 4)
457 423 475 489 424 431
Grade 5 (n = 7)
613 566 603 745 619 639
All MacTel
461 454 468 542 460 477
Mean fluorescence lifetime from the SSC (498–560) in different
regions of interest of the ETDRS grid, including the central foveal
area (C), nasal sector (N1), inner temporal sector (T1), outer tem-
poral sector (T2), and inferior sector (I1) in healthy controls, pa-
tients with MacTel Stages 1 to 5, and all MacTel patients (n =
number of subjects). Table 2. Fundus Autofluorescence Lifetimes in MacTel
Patients and Healthy Subjects plot demonstrates the association between the short
and the long decay components, where short varia-
bles are located to the right side of the semicircle and
long components toward the left side. The mean au-
tofluorescence lifetime values measured are dispersed
on a virtual line between the short and the long
components. In the phasor plot, we observed a life-
time cloud correlating with the foveal area in healthy
subjects, which was absent in patients with MacTel
Type 2. Follow-up Examinations Fundus
photography
(color
fundus
[CF]) showing parafoveal loss
of retinal transparency and reti-
nal
crystals;
fundus
auto-
fluorescence
image
(FAF)
showing mild increase of foveal
autofluorescence;
fluorescence
angiogram (FA) with late-phase
leakage; spectral domain OCT
horizontal scans 1 to 3, with
indicated green line. FLIO IN MACTEL SOLBERG ET AL 105 Discussion
published report.20 We observed significantly pro-
longed lifetimes within the affected MacTel area with
Fig. 4. A. Correlation of BCVA
(ETDRS letters) with central
retinal thickness (r2 = 0.301, P =
0.0025). B. Correlation
of
BCVA (ETDRS letters) with
mean fluorescence lifetimes of
the SSC (r2 = 0.39, P = 0.0004). Fig. 4. A. Correlation of BCVA
(ETDRS letters) with central
retinal thickness (r2 = 0.301, P =
0.0025). B. Correlation
of
BCVA (ETDRS letters) with
mean fluorescence lifetimes of
the SSC (r2 = 0.39, P = 0.0004). Discussion In patients with MacTel Type 2, we
observed at later stages of the disease that the macular
pigment lifetime signature was completely absent, and
a marked oval-shaped irregular area of shortened life-
times in a region of up to 4° to 7° surrounding the
foveolar was identified. This was further illustrated
using the phasor plot analysis demonstrating the central
depletion of macular pigment (see Figure 1, Supple-
mental Digital Content 1, http://links.lww.com/IAE
A944). These findings are consistent with previous ob
servations where retinal abnormalities have been sug
gested to present temporally to the fovea initially on
fundus
examination,23
imaging,24
and
functiona
assessment using microperimetry.25 However, histo
pathological and clinicopathological studies of this dis
tinct MacTel region confirmed findings of depleted
macular pigment and Müller cell dysfunction.6,7
Fig. 6. A. Disease progression
within 24 months FLIO (SSC),
fundus AF, and MPOD (base-
line, left). Follow-up examina-
tion (right) shows clear disease
progression with prolongation
of
temporal
lifetimes
and
a reduction in the macular pig-
ment density. B. Mean fluores-
cence
lifetime
of
the
short
spectral of the temporal sector
(T1) from the ETDRS grid. Mean and SD of Tm at baseline
(left) and follow-up. C. Bar-
graph showing progression of
mean
fluorescence
lifetimes
from the SSC from baseline to
follow-up visit (r2 = 0.2480, P =
0.0409). Fig. 6. A. Disease progression
within 24 months FLIO (SSC),
fundus AF, and MPOD (base-
line, left). Follow-up examina-
tion (right) shows clear disease
progression with prolongation
of
temporal
lifetimes
and
a reduction in the macular pig-
ment density. B. Mean fluores-
cence
lifetime
of
the
short
spectral of the temporal sector
(T1) from the ETDRS grid. Mean and SD of Tm at baseline
(left) and follow-up. C. Bar-
graph showing progression of
mean
fluorescence
lifetimes
from the SSC from baseline to
follow-up visit (r2 = 0.2480, P =
0.0409). Fig. 6. A. Disease progression
within 24 months FLIO (SSC),
fundus AF, and MPOD (base-
line, left). Follow-up examina-
tion (right) shows clear disease
progression with prolongation
of
temporal
lifetimes
and
a reduction in the macular pig-
ment density. B. Mean fluores-
cence
lifetime
of
the
short
spectral of the temporal sector
(T1) from the ETDRS grid. Mean and SD of Tm at baseline
(left) and follow-up. C. Bar-
graph showing progression of
mean
fluorescence
lifetimes
from the SSC from baseline to
follow-up visit (r2 = 0.2480, P =
0.0409). Discussion published report.20 We observed significantly pro-
longed lifetimes within the affected MacTel area, with
the inferotemporal region showing the most pro-
nounced changes with a general prolongation even in
the very early stages of this disease. In addition, MPOD
measurements correlated well with FLIO measure-
ments, with both methods showing a loss of macular
pigment with progression of the disease. The macular
pigment typically encompasses the fovea, where a cen-
tral well-circumcised round region of shortened life-
times has been described as a normal finding in
topographic FLIO maps.18,19 Despite the large variation
of macular pigment concentration in the normal popu-
lation, the pattern of distribution in MPOD measure-
ments as well as in FLIO measurements is relatively
uniform. A peak concentration is generally found at the Fluorescence lifetime imaging ophthalmoscopy is
a relatively new imaging modality allowing to detect
subtle changes within the retina and therefore provides
additional information over other retinal imaging
techniques.14,15,18,19,22 Advancements in retinal imag-
ing over the past decade have increased our under-
standing
of
pathological
features
in
MacTel. However, as clinical changes can be subtle, particu-
larly in early stages of disease, imaging techniques to
identify changes earlier and to monitor longitudinal
changes noninvasively are important. In our study of 28 eyes of patients with MacTel Type
2, unique features of mean retinal fluorescence lifetimes
were identified, which are in keeping with a recently Fig. 5. Comparison of MPOD profiles obtained using 2-wavelength FAF in two patients with MacTel Type 2 showing reduced central macular pigment
with corresponding FAF lifetime images in the SSC (FLIO, SSC = 498–560 nm) (A) at MacTel Stage 2 residual macular pigment (MP) at the fovea, and
(B) at MacTel Stage 5 with a surrounding ring of preserved MPOD at about 6° eccentricity. Fig. 5. Comparison of MPOD profiles obtained using 2-wavelength FAF in two patients with MacTel Type 2 showing reduced central macular pigment
with corresponding FAF lifetime images in the SSC (FLIO, SSC = 498–560 nm) (A) at MacTel Stage 2 residual macular pigment (MP) at the fovea, and
(B) at MacTel Stage 5 with a surrounding ring of preserved MPOD at about 6° eccentricity. 106 RETINA, THE JOURNAL OF RETINAL AND VITREOUS DISEASES 2020 VOLUME 40 NUMBER 1 foveal center with an eccentric decrease and fading at
8° and more. References 1. Gass JD, Oyakawa RT. Idiopathic juxtafoveolar retinal telan-
giectasis. Arch Ophthalmol 1982;100:769–780. 1. Gass JD, Oyakawa RT. Idiopathic juxtafoveolar retinal telan-
giectasis. Arch Ophthalmol 1982;100:769–780. 2. Yannuzzi LA, Bardal AM, Freund KB, et al. Idiopathic mac-
ular telangiectasia. Arch Ophthalmol 2006;124:450–460. 3. Clemons TE, Gillies MC, Chew EY, et al. Baseline character-
istics of participants in the natural history study of macular
telangiectasia (MacTel) MacTel Project Report No. 2. Ophthal-
mic Epidemiol 2010;17:66–73. 4. Klein R, Blodi BA, Meuer SM, et al. The prevalence of mac-
ular telangiectasia type 2 in the Beaver Dam eye study. Am J
Ophthalmol 2010;150:55–62.e52. 5. Scerri TS, Quaglieri A, Cai C, et al. Genome-wide analyses
identify common variants associated with macular telangiecta-
sia type 2. Nat Genet 2017;49:559–567. 6. Powner MB, Gillies MC, Zhu M, et al. Loss of Muller’s cells
and photoreceptors in macular telangiectasia type 2. Ophthal-
mology 2013;120:2344–2352. Changes seen on FLIO at different disease stages
seem disease specific for MacTel Type 2 and, as such,
our study is supportive of the clinical applicability of
this device in the diagnosis and monitoring of MacTel. In our study, longer lifetimes were significantly associ-
ated with more advanced clinical disease stages. Although in the early stages of MacTel we found subtle
wedge-shaped prolongation of fluorescence lifetimes
changes starting temporal to the fovea, with progressing
disease, these changes involved the foveal center. Furthermore, fluorescence lifetime patterns change over
time with enlargement of areas of long Ƭm. Therefore,
retinal autofluorescence lifetimes can be used to monitor
disease progression and may serve as an objective read-
out to assess future therapeutic interventions. 7. Powner MB, Gillies MC, Tretiach M, et al. Perifoveal muller
cell depletion in a case of macular telangiectasia type 2. Oph-
thalmology 2010;117:2407–2416. 8. Wang Q, Tuten WS, Lujan BJ, et al. Adaptive optics micro-
perimetry and OCT images show preserved function and
recovery of cone visibility in macular telangiectasia type 2
retinal lesions. Invest Ophthalmol Vis Sci 2015;56:778–786. 9. Gass JD, Blodi BA. Idiopathic juxtafoveolar retinal telangiec-
tasis. Update of classification and follow-up study. Ophthal-
mology 1993;100:1536–1546. 10. Helb HM, Charbel Issa P, Van Der Veen RL, et al. Abnormal
macular pigment distribution in type 2 idiopathic macular tel-
angiectasia. Retina 2008;28:808–816. 11. Wong WT, Forooghian F, Majumdar Z, et al. Fundus auto-
fluorescence in type 2 idiopathic macular telangiectasia: corre-
lation with optical coherence tomography and microperimetry. Conclusion In contrast to FAF, in which lipofuscin is the
predominant fluorophore in terms of fluorescence
intensity in the retina, the FLIO technique has the
ability to detect and characterize fluorescence lifetime
data from other fluorophores, and their interaction with
each other as well as the embedding matrix.26 How-
ever, there is still some controversy around the origin
of the measured signal, and further clarification on the
involved fluorophores is needed. To date, besides lip-
ofuscin, collagen melanin, elastin, FAF, and NAD(P)
H have been suggested to contribute to the fluores-
cence lifetime signal.18 The characteristic lifetime changes in patients with
MacTel Type 2, particularly in the inferotemporal
region and the nasal–temporal difference, may be used
as an additional marker for the clinical diagnosis and
progression of the disease. The topographic FLIO
maps offer a novel diagnostic tool in the investigation
of eyes with MacTel and may provide information
about macular pigment and possibly photoreceptor
loss. Additional longitudinal data will be needed to
determine the value of FLIO as a noninvasive
screening,
diagnostic
imaging
modality,
and
as
a measure of disease progression in MacTel Type 2. An important finding of this study was a prolonged
foveal and perifoveal lifetime pattern identified in
MacTel eyes, which exceeded the prolongation that
would be expected by macular pigment alone. There-
fore, other factors seem to play a role in the observed
fluorescence lifetime changes. Clinical characteristics
such as intraretinal crystalline deposit accumulation,
where we observed prolonged lifetimes outside areas of
the macular pigment region, as well as hyperplastic
retinal pigment epithelium migration and abnormalities
in the juxtafoveolar retinal vessels may additionally
contribute to the identified prolonged lifetimes. We have
previously shown that ellipsoid zone loss with a pre-
served retinal pigment epithelium results in Ƭm prolon-
gation.15,18 This association was also found in patients
with MacTel (Figure 3). As intact photoreceptors have
been shown to contribute to short lifetime signals, pos-
sibly due to generation of components of the visual
cycle such as all-trans retinal, loss of photoreceptors will
lead to longer lifetimes in MacTel patients. Key words: fluorescence lifetimes, fundus auto-
fluorescence, ophthalmic imaging, MacTel, macular
telangiectasia type 2, macula. FLIO IN MACTEL SOLBERG ET AL 107 Discussion mental Digital Content 1, http://links.lww.com/IAE/
A944). These findings are consistent with previous ob-
servations where retinal abnormalities have been sug-
gested to present temporally to the fovea initially on
fundus
examination,23
imaging,24
and
functional
assessment using microperimetry.25 However, histo-
pathological and clinicopathological studies of this dis-
tinct MacTel region confirmed findings of depleted
macular pigment and Müller cell dysfunction.6,7 foveal center with an eccentric decrease and fading at
8° and more. In patients with MacTel Type 2, we
observed at later stages of the disease that the macular
pigment lifetime signature was completely absent, and
a marked oval-shaped irregular area of shortened life-
times in a region of up to 4° to 7° surrounding the
foveolar was identified. This was further illustrated
using the phasor plot analysis demonstrating the central
depletion of macular pigment (see Figure 1, Supple- FLIO IN MACTEL SOLBERG ET AL References Am J Ophthalmol 2009;148:573–583. This study has several limitations, including the
patient number and heterogeneity between patients. This
cohort included a larger number of patients with MacTel
Type 2 in advanced stages with evidence of neo-
vascularization. Because MacTel Type 2 is a relatively
rare condition, more definite conclusions could be
drawn with larger samples through multicenter studies. 12. Surguch V, Framme C, Hillenkamp J, et al. Presumed subre-
tinal migration of platelets concentrate following macular hole
surgery. Retin Cases Brief Rep 2007;1:114–116. 13. Sallo FB, Peto T, Egan C, et al. “En face” OCT imaging of the
IS/OS junction line in type 2 idiopathic macular telangiectasia. Invest Ophthalmol Vis Sci 2012;53:6145–6152. RETINA, THE JOURNAL OF RETINAL AND VITREOUS DISEASES 2020 VOLUME 40 NUMBER 1 108 RETINA, THE JOURNAL OF RETINAL AND VITREOUS DISEASES 2020 VOLUME 40 NUMBER 1 14. Dysli C, Wolf S, Zinkernagel MS. Fluorescence lifetime imag-
ing in retinal artery occlusion. Invest Ophthalmol Vis Sci 2015;
56:3329–3336. 20. Sauer L, Gensure RH, Hammer M, et al. Fluorescence lifetime
imaging ophthalmoscopy: a novel way to assess macular tel-
angiectasia type 2. Ophthalmol Retina 2018;2:587–598. 15. Dysli C, Wolf S, Zinkernagel MS. Autofluorescence lifetimes
in geographic atrophy in patients with age-related macular
degeneration. Invest Ophthalmol Vis Sci 2016;57:2479–2487. 21. Digman MA, Caiolfa VR, Zamai M, et al. The phasor approach
to fluorescence lifetime imaging analysis. Biophys J 2008;94:
L14–L16. 16. Dysli C, Wolf S, Tran HV, et al. Autofluorescence lifetimes in
patients with choroideremia identify photoreceptors in areas
with retinal pigment epithelium atrophy. Invest Ophthalmol
Vis Sci 2016;57:6714–6721. 22. Dysli C, Wolf S, Hatz K, et al. Fluorescence lifetime imaging
in Stargardt disease: potential marker for disease progression. Invest Ophthalmol Vis Sci 2016;57:832–841. Invest Ophthalmol Vis Sci 2016;57:832–841. 23. Abujamra S, Bonanomi MT, Cresta FB, et al. Idiopathic jux-
tafoveolar retinal telangiectasis: clinical pattern in 19 cases. Ophthalmologica 2000;214:406–411. 17. Dysli C, Fink R, Wolf S, et al. Fluorescence lifetimes of drusen
in age-related macular degeneration. Invest Ophthalmol Vis
Sci 2017;58:4856–4862. 24. Charbel Issa P, Gillies MC, Chew EY, et al. Macular telangi-
ectasia type 2. Prog Retin Eye Res 2013;34:49–77. 18. Dysli C, Wolf S, Berezin MY, et al. Fluorescence lifetime
imaging ophthalmoscopy. Prog Retin Eye Res 2017;60:120–
143. 25. Charbel Issa P, Helb HM, Rohrschneider K, et al. Microperi-
metric assessment of patients with type 2 idiopathic macular
telangiectasia. Invest Ophthalmol Vis Sci 2007;48:3788–3795. 19. Dysli C, Quellec G, Abegg M, et al. Quantitative analysis of
fluorescence lifetime measurements of the macula using the
fluorescence lifetime imaging ophthalmoscope in healthy sub-
jects. Invest Ophthalmol Vis Sci 2014;55:2106–2113. 26. Becker W. Fluorescence lifetime imaging—techniques and ap-
plications. J Microsc 2012;247:119–136.
|
https://openalex.org/W4328138880
|
http://cdj.cumhuriyet.edu.tr/tr/download/article-file/2807114
|
English
| null |
NON-VITAL DISCOLARED TEETH BLEACHING USING THE WALKING BLEACH TECHNIQUE :A CASE REPORT
|
Cumhuriyet Üniversitesi Diş Hekimliği Fakültesi dergisi/Cumhuriyet dental journal
| 2,023
|
cc-by
| 2,826
|
Non-Vital Discolared Teeth Bleaching Using the Walking Bleach Technique: A
Case Report* Gürçağ Gür1 a
1 Department of Restorative Dentistry, Ankara Universty Graduate School of Health Sciences, Ankara, Türkiye. *Corresponding author
Case Report
ABSTRACT
* This study has presented at the
25th Congress of Balkan
Stomatological Society, 19-22 May
2022, Sarajevo-Bosnia and
Herzegovina. History
Received: 01/12/2022
Accepted: 28/01/2023
License
This work is licensed under
Creative Commons Attribution 4.0
International License
Recently a visually pleasing smile has become a major concern for the patients; therefore, dental bleaching has
gained importance due to its safety and great aesthetic results. A female patient presented with intrinsic
discolorated maxillary central incisors after endodontic therapy. Maxillary central incisors were isolated with
rubber dam and 2mm of the gutta-percha was removed in an apical direction beyond the cemento-enamel
junction. Glass ionomer cement was used as a barrier material. Mixture of hydrogen peroxide and sodium
perborate placed in the pulp chamber and the teeth were temporarily restored with zinc phosphate cement. Following the treatment, a satisfactory aesthetic result was achieved. In this case, using the walking bleach
technique was found to be successful in whitening discolored teeth after endodontic therapy. This method can
be recommended as a safe alternative for treating the discolored devitalized teeth. Keywords: Hydrogen Peroxide, Sodium Perborate, Tooth Discoloration, Walking Bleach Technique. a
gurcaggur@gmail.com
https://orcid.org/0000-0003-2111-1554
b
How to Cite: Gür G. (2023) Non-Vital Discolared Teeth Bleaching Using the Walking Bleach Technique: A Case Report, Cumhuriyet Dental Journal,
26(1):101-104. 1 Department of Restorative Dentistry, Ankara Universty Graduate School of Health Sciences, Ankara, Türkiye. *Corresponding author Recently a visually pleasing smile has become a major concern for the patients; therefore, dental bleaching has
gained importance due to its safety and great aesthetic results. A female patient presented with intrinsic
discolorated maxillary central incisors after endodontic therapy. Maxillary central incisors were isolated with
rubber dam and 2mm of the gutta-percha was removed in an apical direction beyond the cemento-enamel
junction. Glass ionomer cement was used as a barrier material. Mixture of hydrogen peroxide and sodium
perborate placed in the pulp chamber and the teeth were temporarily restored with zinc phosphate cement. Following the treatment, a satisfactory aesthetic result was achieved. In this case, using the walking bleach
technique was found to be successful in whitening discolored teeth after endodontic therapy. This method can
be recommended as a safe alternative for treating the discolored devitalized teeth. This work is licensed under
Creative Commons Attribution 4.0
International License Cumhuriyet Dental Journal, 26(1): 101-104, 202
DOI: https://doi.org/10.7126/cumudj. 121319
Cumhuriyet Dental Journal
│ cdj.cumhuriyet.edu.tr │
Founded: 1998
Available online, ISSN: 1302-5805
e-ISSN: 2146-2852
Publisher: Sivas Cumhuriyet Üniversitesi
Non-Vital Discolared Teeth Bleaching Using the Walking Bleach Technique: A
Case Report* Cumhuriyet Dental Journal, 26(1): 101-104, 202
DOI: https://doi.org/10.7126/cumudj. 121319
Cumhuriyet Dental Journal
│ cdj.cumhuriyet.edu.tr │
Founded: 1998
Available online, ISSN: 1302-5805
e-ISSN: 2146-2852
Publisher: Sivas Cumhuriyet Üniversitesi
Non-Vital Discolared Teeth Bleaching Using the Walking Bleach Technique: A
Case Report* Cumhuriyet Dental Journal, 26(1): 101-104, 2023
DOI: https://doi.org/10.7126/cumudj. 1213192 Cumhuriyet Dental Journal Publisher: Sivas Cumhuriyet Üniversitesi Case Report A 45-year-old female patient was admitted to Ankara
University Faculty of Dentistry, Department of Restorative
Dentistry with the complaint of discoloration in the two
maxillary central teeth. As a result of clinical and
radiological examinations, it was observed that the teeth
were root canal treated and there were widespread
discolorations on the buccal and palatal surfaces of the
crowns. In order to remove the discoloration, it was
decided to apply bleaching with the "walking bleaching"
technique. To begin the bleaching treatment, an initial
radiograph was taken to assess the conditions of the
endodontic treatment and periodontal tissues. There was
no
periapical
lesion,
endodontic
treatment
was
satisfactory. Initial photographs of the teeth were taken to
compare the degree of discoloration of the related teeth
before whitening with those after the treatment (Figure 1). After isolating the teeth with a rubber dam, suitable access
cavities were prepared and the root canal fillings were
removed with a steel round bur 2 mm below the enamel
cement composition (Figure 2). In order to remove the
smear layer formed during this procedure, the cavity was
washed with 5.25% sodium hypochlorite solution followed
by 17% EDTA solution and dried. To prevent leakage in the
coronary region, 2 mm thick glass ionomer cement (Fuji IX,
GC Corporation, Tokyo, Japan) was placed in the canal
openings (Figure 3). Before applying the devital bleaching
agent to the pulp chambers, 37% orthophosphoric acid was
applied to the enamel tissue in the cavity. Sodium
perborate tetrahydrate (TEKKİM Kimya Sanayi, Bursa,
Türkiye) and 30% hydrogen peroxide (TEKKİM Kimya
Sanayi, Bursa, Türkiye) mixture was formed (1gm powder
with 0.5ml liquid) and it was placed in the pulp chamber and
condensed with a wet cotton pellet. Dry cotton was tightly
placed over this the access cavity was sealed with zinc
phosphate cement (Figure 4). The patient was recalled after
1 week for assessment. Figure 1: Photo before whitening treatment Figure 2: Prepared cavity Figure 3: 2 mm thick glass ionomer cement Figure 3: 2 mm thick glass ionomer cement Figure 3: 2 mm thick glass ionomer cement Figure 4: Zinc phosphate cement
Figure 5. Photo after whitening treatment Figure 4: Zinc phosphate cement At one week visit, both #11 and #21 showed definite
improvement in appearance except near the middle third
of the tooth which still showed discoloration. Introduction Common bleaching agents used to whiten devital teeth
include hydrogen peroxide, carbamide peroxide, and
sodium perborate.2 Among the non-vital teeth whitening
techniques available, the walking bleach is an option which
consists of a combination of whitening agents such as
sodium perborate (powder) and 30% hydrogen peroxide
(liquid); which are added to the pulp chamber and
exchanged every 3 to 7 days. The process is continued until
the desired whiteness is obtained.2,7 It is known that discoloration occurs quite frequently in
devital, endodontically treated teeth, usually resulting from
pulpal injuries, contamination of the pulp cavity, pulp tissue
remnants, and root filling materials.1,2 Iron released from
substances induced by the degradation of blood during
hemolysis of erythrocytes can be converted to ferric sulfide
(a black compound), may result in dark staining of the
tooth.3 Many patients find the change in color disturbing and
unaesthetic, especially when their anterior teeth are
affected. In these cases, dental treatment commonly used
by physicians is internal bleaching, also known as
intracoronal or walking bleaching technique. Compared to
alternative treatments such as veneers or crowns, this
bleaching procedure is minimally invasive, with a relatively
low cost.4 Currently, the most common devital whitening method
is the walking bleaching technique. In this technique,
mostly sodium perborate paste is mixed with hydrogen
peroxide or water and placed in the pulp chamber. After
that, the tooth is temporarily restored and the process is
repeated at intervals of 3 to 7 days until the wanted result
is obtained.4,8,9 The application is simple, fast and effective
as well as clinically reliable can be listed among the reasons
for the frequent use of this technique.9 However, this technique has some limitations if the
darkening is severe and has lasted for a long time. Concerns
about its adverse effects due to possible recurrence of
darkened color have also been reported.5 Moreover,
another very rare side effect is external cervical root
resorption.6 The purpose of this case report is to present the walking
bleach technique in non-vital endodontically treated teeth. 101 Gür/ Cumhuriyet Dental Journal, 26(1): 101-104, 2023 urnal, 26(1): 101 104, 2023
Figure 1: Photo before whitening treatment
Figure 2: Prepared cavity
Figure 3: 2 mm thick glass ionomer cement References 1. Zimmerli B, Jeger F, Lussi A. Bleaching of nonvital teeth. A
clinically relevant literature review. Schweiz Monatsschr
Zahnmed 2010;120:306–320. 1. Zimmerli B, Jeger F, Lussi A. Bleaching of nonvital teeth. A
clinically relevant literature review. Schweiz Monatsschr
Zahnmed 2010;120:306–320. Hansen-Bayless and Davis14 reported that to avoid
bleaching agents from reaching the apical region root canal
filling alone is not sufficient. Various researchers have
recommended the use of a cervical insert over the canal
filling to prevent apical and lateral penetration of bleaching
agents and external root resorption.15,16 Thus, in our case,
the canal fillings were covered with glass ionomer cement
to prevent the risk of cervical resorption. 2. Attin T, Paque F, Ajam F, et al. Review of the current status of
tooth whitening with the walking bleach technique. Int Endod
J 2003;36:313–329. 2. Attin T, Paque F, Ajam F, et al. Review of the current status of
tooth whitening with the walking bleach technique. Int Endod
J 2003;36:313–329. 3. Rotstein I, Zalkind M, Mor C, et al. In vitro efficacy of sodium
perborate preparations used for intracoronal bleaching of
discolored
non-vital
teeth. Endod
Dent
Traumatol
1991;7:177–180. 4. Spasser HF. A simple bleaching technique using sodium
perborate. N Y State Dent J 1961:332–334. 4. Spasser HF. A simple bleaching technique using sodium
perborate. N Y State Dent J 1961:332–334. Spasser first described the bleaching technique in which
a paste of sodium perborate and water is placed into the
access cavity.17 Nutting and Poe18 modified this technique
when they replaced the water with hydrogen peroxide in
1963 and reported that sodium perborate was more
effective in mixing with hydrogen peroxide instead of
distilled water. In our study, we used a mixture of sodium
perborate powder and 30% hydrogen peroxide as a
bleaching agent. 5. Brown G. Factors influencing successful bleaching of the
discolored root-filled tooth. Oral Surg Oral Med Oral Pathol. 1965;20:238-244. 5. Brown G. Factors influencing successful bleaching of the
discolored root-filled tooth. Oral Surg Oral Med Oral Pathol. 1965;20:238-244. 6. Bersezio C, Sánchez F, Estay J, et al. Inflammatory markers IL-
1β and RANK-L assessment after non-vital bleaching: a 3-
month follow-up. J Esthet Restor Dent. 2020;32:119-126. 7. Serene TP, Snyder DE. Bleaching technique. (Pulpless anterior
teeth). J South Calif Dent Assoc. 1973;1:30-32. 8. MacIsaac AM, Hoen C. Intracoronal bleaching: concerns and
considerations. J Can Dent Assoc 1994;60:57-64. Case Report Hence, the
bleaching procedure was repeated and the patient was
recalled again after 1 week to assess the bleaching results. At two-week visit, the discoloration was completely
removed and shade of the patient was enhanced. After the
bleaching agent was removed from the pulp chamber by
washing with distilled water, calcium hydroxide (Ca(OH)2)
paste (Calcicure, Voco, Germany) was applied to the cavities
to neutralize the effectiveness of carbamide peroxide, and
sterile cotton pellets were placed on them and the cavities
were temporarily restored with cement. After the removal
of Ca(OH)2 remaining in the cavity in the fourth session,
held one week later, the teeth were permanently restored
with light-cured composite resin material (Clearfil Majesty
Esthetic, Kuraray, Germany) (Figure 5). In the control
performed three months later, it was observed that the
patient did not have any discomfort and the colors of the
teeth remained stable. In addition, no pathology was found
in the radiological examination. Figure 5. Photo after whitening treatment Figure 5. Photo after whitening treatment 102 Gür/ Cumhuriyet Dental Journal, 26(1): 101-104, 2023 Discussion resins can negatively be effected by the changes in enamel
structure resulting from bleaching.23 Therefore, to buffer
the acidic pH and prevent possible resorption of the cervical
root, a calcium hydroxide paste placed in the pulp chamber
should be applied within a week after bleaching.21 Studies
have shown that calcium hydroxide applied to the pulp
chamber does not affect the bonding in permanent
restorations.24 Though the mechanism of bleaching is not clear, it is
based on oxidation. Whitening agents used in dentistry
usually consist of various forms of hydrogen peroxide, such
as hydrogen peroxide, sodium perborate, carbamide
peroxide.8,10,11 Preparations containing carbamide peroxide
are known to have the same oxidizing power as hydrogen
peroxide and sodium perborate.10 When carbamide
peroxide comes into contact with tissue, depending on the
concentration of urea, ammonia, carbon dioxide, hydrogen
peroxide, and the formulation, different levels of oxygen
are released.9,10,11 In the thermocatalytic method, the
released bases used in combination with hydrogen
peroxide, one of several whitening methods, cause a pH
drop in the cervical region of the tooth and ultimately lead
to cervical root resorption.9,12 Conclusions In this case report, it has been shown that the walking
bleach technique, which is used as an alternative to
traditional invasive methods such as metal supported or full
ceramic crowns, composite or porcelain laminates, can be
successfully applied in the discoloration of devital teeth. This method can be recommended as a safe alternative for
treating with discolored devitalized teeth. In this case report, it has been shown that the walking
bleach technique, which is used as an alternative to
traditional invasive methods such as metal supported or full
ceramic crowns, composite or porcelain laminates, can be
successfully applied in the discoloration of devital teeth. This method can be recommended as a safe alternative for
treating with discolored devitalized teeth. Therefore, nowadays, the thermocatalytic method is
not preferred for devital teeth whitening, and the walking
whitening technique is often used.13 In our study, we
preferred the walking bleaching technique instead of the
thermocatalytic technique to avoid possible cervical root
resorption. 16. Sharma DS, Sharma S, Natu SM, et al. An in vitro evaluation of
radicular penetration of hydrogen peroxide from bleaching
agents during intra-coronal tooth bleaching with an insight of
biologic response. J Clin Pediatr Dent 2011;35(3):289–294 References Holmstrup et al.19 reported that a ratio of 2:1 (g/ml)
bleach mixture of sodium perborate and hydrogen
peroxide is most suitable mix for non-vital teeth bleaching. In this case, we also used a mixture of 0.5 ml of hydrogen
peroxide and 1 g of sodium perborate powder. 9. Friedman S, Rotstein I, Libfeld H, Stabholz A, Heling I. Incidence
of external root resorption and esthetic results in 58 bleached
pulpless teeth. Dent Traumatol 1988;4:23-26. 10. Haywood VB. History, safety, and effectiveness of current
bleaching techniques and applications of the nightguard vital
bleaching technique. Quintessence Int 1992;23: 1 Nutting EB et al.20 reported that for successful whitening
occurs after 2 to 4 sessions, devital whitening agent should
be changed every 3 to 7 days depending on the severity of
the discoloration. In our case, the whitening agent was
changed every 7 days and the desired color change was
observed at the end of 3 sessions. 11. Perrine G, Reichl R, Baisden M, Hondrum S. Comparison of
10% carbamide peroxide and sodium perborate for
intracoronal bleaching. General Dent 1999;48:264-270. 12. Gimlin DR, Schindler WG. The management of postbleaching
cervical resorption. J Endod 1990;16:292-297. 13. Madison S, Walton R. Cervical root resorption following
bleaching of endodontically treated teeth. J Endod
1990;16:570-574. Following the treatment, the teeth must be restored
with composite resins that have a good enough adhesion to
enamel and dentin to prevent re-infection of the teeth by
microorganisms, for the re-infiltration of dyes into the
tooth and for the durability of the tooth to be improved.21,22
Studies have shown that peroxide or oxygen remaining in
the cavity after bleaching, inhibits polymerization of
composite resins. In addition, the adhesion of composite 14. Hansen-Bayless J, Davis R. Sealing ability of two intermediate
restorative materials in bleached teeth. Am J Dent 1992;5:151-
154. 15. Zarenejad N, Asgary S, Ramazani N, et al. Coronal
microleakage of three different dental biomaterials as intra-
orifice barrier during nonvital bleaching. Dent Res J (Isfahan)
2015;12(6):581–588. 103 Gür/ Cumhuriyet Dental Journal, 26(1): 101-104, 2023 16. Sharma DS, Sharma S, Natu SM, et al. An in vitro evaluation of
radicular penetration of hydrogen peroxide from bleaching
agents during intra-coronal tooth bleaching with an insight of
biologic response. J Clin Pediatr Dent 2011;35(3):289–294 21. Baratieri LN, Ritter AV, Monteiro Jr S, Caldeira de Andrada MA,
Cardoso Vieira LC. Nonvital tooth bleaching: Guidelines for the
clinician. Quintessence Int 1995;26:1. 22. Abou-Rass M. 21. Baratieri LN, Ritter AV, Monteiro Jr S, Caldeira de Andrada MA,
Cardoso Vieira LC. Nonvital tooth bleaching: Guidelines for the
clinician. Quintessence Int 1995;26:1. 20. Nutting EB, Poe GS. A new combination for bleaching teeth. J
South Californian Dent Assoc 1963;31:289. 22. Abou-Rass M. Long-term prognosis of intentional endodontics
and internal bleaching of tetracycline-stained teeth. Compend
Contin Educ Dent 1998;19:1. References Long-term prognosis of intentional endodontics
and internal bleaching of tetracycline-stained teeth. Compend
Contin Educ Dent 1998;19:1. 17. Spasser HF. A simple bleaching technique using sodium
perborate. NYS Dent J. 1961; 27(8-9):332-334. 18. Nutting EB, Poe GS. A new combination for bleaching teeth. J
So Calif Dent Assoc 1963; 31(9): 289-291. 23. Torneck C, Titley K, Smith D, Adibfar A. The influence of time
of hydrogen peroxide exposure on the adhesion of composite
resin to bleached bovine enamel. J Endod 1990;16:123-128. 19. Holmstrup G, Palm AM, Lambjerg-Hansen H. Bleaching of
discoloured root-filled teeth. Endod Dent Traumatol
1988;4:197–201. 24. Kehoe JC. pH reversal following in vitro bleaching of pulpless
teeth. J Endod 1987;13:6-9. 24. Kehoe JC. pH reversal following in vitro bleaching of pulpless
teeth. J Endod 1987;13:6-9. 20. Nutting EB, Poe GS. A new combination for bleaching teeth. J
South Californian Dent Assoc 1963;31:289. 20. Nutting EB, Poe GS. A new combination for bleaching teeth. J
South Californian Dent Assoc 1963;31:289. 104
|
https://openalex.org/W4242951810
|
https://www.qeios.com/read/U4VCAZ/pdf
|
English
| null |
Million Per Ejaculate Unit
|
Definitions
| 2,020
|
cc-by
| 68
|
Qeios · Definition, February 2, 2020 Open Peer Review on Qeios Open Peer Review on Qeios Million Per Ejaculate Unit National Cancer Institute National Cancer Institute Qeios ID: U4VCAZ · https://doi.org/10.32388/U4VCAZ Source National Cancer Institute. Million Per Ejaculate Unit. NCI Thesaurus. Code C130189. A unit of measurement equal to 10 to the sixth power of entities per unit equal to one
ejaculation. Qeios ID: U4VCAZ · https://doi.org/10.32388/U4VCAZ 1/1
|
https://openalex.org/W133306444
|
https://inria.hal.science/hal-01272199/document
|
English
| null |
Schools, Students, Computers and Curriculum in Victoria in the 1970s and 1980s
|
IFIP advances in information and communication technology
| 2,014
|
cc-by
| 10,031
|
Schools, Students, Computers and Curriculum in
Victoria in the 1970s and 1980s Arthur Tatnall To cite this version: Arthur Tatnall. Schools, Students, Computers and Curriculum in Victoria in the 1970s and 1980s. Arthur Tatnall; Bill Davey. Reflections on the History of Computers in Education : Early Use of Com-
puters and Teaching about Computing in Schools, AICT-424, Springer, pp.246-265, 2014, IFIP Ad-
vances in Information and Communication Technology (SURVEY), 978-3-642-55118-5. 10.1007/978-
3-642-55119-2_17. hal-01272199 Distributed under a Creative Commons Attribution 4.0 International License Schools, Students, Computers and Curriculum in
Victoria in the 1970s and 1980s Arthur Tatnall
Victoria University, Melbourne, Australia
Arthur.Tatnall@vu.edu.au Abstract: Although computers today are commonplace and are widely used at
all levels of education, prior to the mid-1970s the idea of introducing school
students to the use of computers, or of a school owning its own computer was
difficult to imagine. This chapter tells the story of the introduction of computers
into schools in Victoria, Australia in the 1970s and 1980s. It begins by looking
at school computing before the PC and then goes on to describe the use of
computers at Watsonia High School where I was teaching at the time. I describe
my involvement and experiences with computers in schools in this exciting
period, in particular looking at computing curricula: Computers in Society and
Computer Science at Watsonia High. The chapter also tells of the
Commonwealth Computer Education Program and the various support
structures that were put in place to assist schools. It consists of a reflection on
my own experiences of school computing during this period. Keywords: Schools, Curriculum, Australia, Computers in Society, Computer
Awareness, Computer Science, Apple][, Australian Educational Computer,
Computer Education Support Structures HAL Id: hal-01272199
https://inria.hal.science/hal-01272199v1
Submitted on 10 Feb 2016 L’archive ouverte pluridisciplinaire HAL, est
destinée au dépôt et à la diffusion de documents
scientifiques de niveau recherche, publiés ou non,
émanant des établissements d’enseignement et de
recherche français ou étrangers, des laboratoires
publics ou privés. HAL is a multi-disciplinary open access
archive for the deposit and dissemination of sci-
entific research documents, whether they are pub-
lished or not. The documents may come from
teaching and research institutions in France or
abroad, or from public or private research centers. Distributed under a Creative Commons Attribution 4.0 International License 2.
School Computing Before the PC Australia moved into electronic digital computing quite early when the CSIR Mk1
(CSIRAC) was built by Trevor Pearcey and Maston Beard for the CSIRO1 in the late
1940s [1], but while university computing courses began in the early 1950s, it was
quite some time later that it was possible for schools to make any use of computers
[2]. [ ]
It was not until the early 1970s that a few computers started to appear in Australian
schools, typically resulting from the exposure of certain teachers to computing during
their university studies [3]. In Victoria these early instances included a PDP-8
computer loaned by Digital Equipment to Burwood High School in 1972 [4]. In 1973
an Innovations Grant enabled McKinnon High School to purchase an 8k Wang
computer costing over $10,000 and because of its high annual maintenance charge
(15% of the purchase price), it was shared with Box Hill High School [4]. These early
computers were used almost exclusively by mathematics departments for the teaching
of programming and mathematical algorithm design [4]. They had very little impact
on other schools in which the idea of owning a computer was unthinkable. A much larger impact, however, occurred in 1974 with the introduction of the
Monash Educational Computer System (MONECS) developed by a group of
Computer Scientists at Monash University. MONECS typically ran on a DEC PDP-11
(DEAMON) minicomputer and used mark-sense cards for program and data entry [5]. The students filled in the cards in class at their school using a pencil and then their
teacher delivered the cards to a local university for execution. This allowed a class of
30 students to each get two runs in a one-hour period [5] and was designed to teach
programming in FORTRAN or BASIC. g
g
In the 1970s and 1980s Victoria had two different types of Secondary Schools –
High Schools and Technical Schools, and in another development at this time some
Victorian Technical Schools experimented with Control Data’s PLATO System [6] of
computer-assisted instruction for the training of apprentices. The system was,
however, very expensive and its use did not proceed. The arrival of the Apple][ in 1977 saw the end of this period and the beginning of real
advances in the use of computers in schools. 1.
Beginnings of an Interest in Computing In this chapter I describe my involvement with computers in Victorian schools in the
period of the 1970s-1980s. I provide some vivid reflections on my experiences at this
time both as a teacher and as an educational consultant. From my earliest memories at school I recall being interested in the sciences, both
physical and biological. I soon also developed an interest in robotics and was
fascinated by the idea of the computer or ‘electronic brain’ as it was then often called. I had no opportunity to do anything with a computer though until at Melbourne
University in 3rd year physics we had a unit on FORTRAN IV programming. We
entered our programs on punch cards at the university and then the packs of cards
were sent off to an IBM mainframe in St Kilda for processing. My first FORTRAN
program was to print out the first 1,000 prime numbers. My program got to 980
numbers then crashed, I don’t know why. Perhaps I had dimensioned one of the
variables to 1,000 when it should have been 1,001. I never found out, but I still
enjoyed my first experience of programming. After completing the Science Degree I undertook a Graduate Diploma in Education
and then started work as a High School teacher. I had nothing to do with computers 245 again for another ten years until the mid-1970s when my colleague Bill Davey arrived
at Watsonia High where I was then teaching. 1 Commonwealth Scientific and Industrial Research Organisation 4.
WHS Student Allocation Program at La Trobe University In the 1970s in Victoria decisions on curriculum and school organisation were school-
based (within Education Department guidelines). In the early-1970s Watsonia High
decided to organise its junior and middle schools students into ‘vertical modular
groups’ depending on their choice of elective subjects. This meant that, for example,
Year 9 and Year 10 students could share the same electives so providing more choice
for these students and effectively giving each student an individual timetable. Organising these groups presented quite a challenge when it was done by hand. Someone at the school, however, had found a contact at nearby La Trobe University
who had been developing a computer scheduling program that could assist in this
task, and in 1974 (and for several years after this) we worked together using La Trobe
University’s program for student allocation to timetable groups on the university’s
DEC-10 computer. It worked this way: students filled in a form at school indicating
their elective preferences (from a list of possible options) after which Bill and I went
to La Trobe University and entered this data using a teletype. The university then ran
the program and produced list of possible student groupings which we took back to
the school for consideration. Sometimes this process had to be repeated to get useful
results, but overall it made this grouping task possible. It also re-introduced me to
computing. 3.
Teaching at Watsonia High School I had been teaching Physics, Science and Maths at Watsonia High School (WHS), a
school of around 1,000 pupils in the northern suburbs of Melbourne, for five years
when Bill Davey arrived in 1974. Bill had studied some computing in his Science
degree at Monash University and, before coming to Watsonia, had done some
computing with one of his maths classes at Bendigo High School using mark sense
cards executed at Bendigo Institute of Technology. He had also commenced some
tertiary studies in computing and came to Watsonia High keen to do more work in this
area. 2.
School Computing Before the PC At around $2,000 for a 16k Apple][ that
used a tape drive (not supplied – you simply used your own cassette recorder) and a
television set (also not supplied) as a monitor, the Apple][ was affordable for most
schools. 246 6.
The Computer ‘Travelling Road Show’ In this period the Secondary Mathematics Committee (made up of school maths
teachers and personal from the Education Department) developed an interest in using
computers for mathematics and other aspects of education and a Computer Education
Subcommittee (including Bill Davey as one of its members) was formed. The
Subcommittee then set up the ‘Computer Travelling Road Show’ in which groups of two
or three of its members would visit schools to promote the use of computers. They
normally brought with them a 16k Apple][ (on loan) with cassette tape drive to
demonstrate computer applications involving graphics, mathematics, commerce and
word processing, rather than just programming, to teachers at curriculum days and school
staff meetings [4, 7]. 5.
Programming in Year 11 Maths at WHS In the mid-1970s Bill and I also used the MONECS system at La Trobe University in
a Year 11 maths class for teaching BASIC programming so that the students could
design algorithms to solve mathematical problems. This work involved the students
designing a program (in BASIC) and marking their cards in class using a pencil. Then
one of us took the decks of cards to La Trobe to execute the programs. The results
were frequently disappointing for the students with the only thing coming back being
a print-out listing a number of syntax errors. It typically took most students several
tries (with perhaps one or two runs each week) to get their program working. While
students today would not persevere with frustrations like this the excitement, at that 247 time, of using a computer and making it do something that you determined meant that
they did keep going with it, and indicated that they enjoyed and appreciated the
experience. 7.
Arrival of an Apple][ Computer at Watsonia High In 1977 Bill was a member of the Secondary Mathematics Committee and teaching at
Watsonia High School. With support from the Committee he put in a curriculum
innovations grant submission to the Commonwealth Government to purchase an
Apple][ computer for the school. As a result, in 1977 Watsonia High School obtained
an Apple][ microcomputer with 16Kb RAM and a 110 volt power supply. The school
needed to supply a television set (for use as a monitor) and a cassette tape drive as the
Apple][ did not come with these as part of the package. This was one of the first
Apple][ computers to enter Australian schools. For this year and the next the Apple][
was used mainly for demonstrations and was later upgraded, at considerable expense
to the school, to a 64Kb machine with a disk drive and mark-sense card reader. On several occasions I took the computer home to do some work and to show my
family. I remember how sensitive the cassette drive was to its volume setting. If this
setting was not exactly right the program would not load, or save and it was very easy
for our 3 year old son to accidentally knock the volume control. As the Apple][ had
no monitor of its own it was necessary to use our home TV set, and when there were
problems with the cassette volume setting, loading and saving programs often took
much longer than expected, meaning that our son was unable to watch ‘Play School’ –
one of his favourite programs. Bill left Watsonia High at the end of 1978 to take up a new position, leaving me
with the Apple][ computer and the decision of what to do with it. 248 8.
Graduate Diploma in Computer Science Seeing a future in educational computing, but conscious of not having a good
theoretical background in this area, in 1979 I enrolled in a part-time Graduate
Diploma in Computer Science at La Trobe University while still working full-time at
Watsonia High. This Graduate Diploma course contained basically all the computing
content, but without the other general subjects, of a Bachelor’s Degree in Computer Course content included the following components: Science. Course content included the following components:
Programming – in ALGOL (and later Pascal), 6800 assembler, PDP-11
assembler and COBOL
Software Engineering
Computer Organisation and Operating Systems
Information Systems: systems analysis and design and database
management, as well as a choice of four of the five ancillary subjects: Introduction to
Accounting, Management Accounting, Social Psychology, Numerical Methods and
Operations Research. 9.
Year 10 ‘Computers in Society’ at Watsonia High In 1979 at Watsonia High I introduced a new core subject: ‘Computers in Society’
into the Year 10 curriculum [8]. At that time Year 10 at WHS had 150 students in five
class groups. ‘Computers in Society’ was a core subject taken by all 150 students for
three periods per week throughout the year. The subject consisted of three parts, each
of one term’s duration and delivered by a teacher who understood and could relate to
each particular area [9]. The teaching team consisted of one science teacher (Arthur
Tatnall), a commerce teacher and a teacher of social science. Together we determined
the requirements for the new subject which consisted of three parts, taught on a
round-robin basis each term, with the following units:
Preliminary Course – Introduction to the Computer (6 periods)
Preliminary Course – Introduction to the Computer (6 periods) o Introduction to the course. What is a computer? What can it do? What
can’t it do? o Demonstration with the Apple][: Apple Vision, Music, Colour Graphics,
Space Invaders etc. o Hands-on experience: instruction in how to operate the Apple][ to run an
‘Introductory Program’ – printing your own name and address. While
each small group of students did this the rest completed an exercise from
a text book, then the groups rotated. o The concept of a computer program – a computer can do only what it is
told. o Introduction to the social implications of computing 249
Section A: Structure of the Computer – taught by the Science teacher (3
periods per week for one term) o How does a computer work? Block structure of the computer: I/O,
memory, CPU, integrated circuits, disk, cassette, printer, number systems
and binary code etc. o Programming: programming languages, flow charts and algorithm
design, programming in BASIC using mark-sense cards on the Apple][
o
Hands-on experience: graphics games uses for student reports o Programming: programming languages, flow charts and algorithm
design, programming in BASIC using mark-sense cards on the Apple][
o Hands-on experience: graphics, games, uses for student reports,
timetables etc. g
p
g
g
g
pp
o Hands-on experience: graphics, games, uses for student reports,
timetables etc. 9.
Year 10 ‘Computers in Society’ at Watsonia High o Excursion to La Trobe University computer centre Section B: Computers and Business – taught by the Commerce teacher (3
periods per week for one term) o Development of uses in business, impact on productivity and
employment o Word Processing: concept, historical development from the manual
typewriter, types of word processors, effect on organisation of the office o Stock Control: comparison of the manual, physical stock control with the
latest methods of Point of Sale terminals to highlight changes required of
personnel, efficiency and control o Accounting Systems: comparison of old and new systems to highlight job
specifications, productivity, internal communications, payroll, relations
with customers. Hands-on experience on the Apple][ and use of mark-
sense cards for a Balance Sheet exercise o Process Control: production-line, processing industries, effect on quality
and productivity o Information Systems: use of a computer in collating, preparation and
presentation of information for things like airline seat reservation,
accommodation reservation, vehicle delivery and railway loop control Section C: Uses, History and Social Implications of Computer Technology –
taught by the Social Science teacher (3 periods per week for one term) o History of the development of the computer o Advantages and misconceptions o Applications: election results, space programme and defence, crime
detection, archaeology, traffic control, computer dating (using match
maker on the Apple][), computers in home/leisure/entertainment,
shopping, medicine, communication o Implications: privacy, political uses and need for protective legislation,
‘Police State’, harassment, economic, employment, cashless society (who
benefits?) leisure, education, computer crimes, machine controlled
society The course was taken by all 150 Year 10 students using the school’s single Apple][
with a mark-sense card reader. This was to be one of the first ‘Computer Awareness’
courses in Victoria and was offered from 1979 to 1985. (During this period the school
purchased another Apple][, making teaching this subject easier) Today it is hard to
see how using a single computer and maintaining the students’ interest for this course
would have been possible, but such was the excitement of having access to the new
world of computing, of getting some understanding and experience of using a 250 computer, and of making the computer do something that you determined, that the
students did put up with the limited hands-on use that was possible and continued to
maintain an interest in the subject despite this. 9.
Year 10 ‘Computers in Society’ at Watsonia High Another factor in the subject’s success
was the enthusiasm of the teachers involved, who worked to make the subject always
interesting and exciting for the students. 10.
Secondary Computer Education Committee The Secondary Computer Education Curriculum Committee was formed in 1980
from members of the Secondary Mathematics Committee, the Board of Inspectors of
Secondary Schools, three seconded Computer Education Consultants and a number of
practising teachers. I was one of these practicing teachers. The main brief of the
committee was the production of Computer Awareness course guidelines and
investigation of Computer Science as a discipline. The committee’s charter also
included publication of computer education articles, collection and propagation of
public domain software (for Apple][ and CP/M computers) and provision of
in-service education for teachers [2]. 10.1 Computer Awareness Guidelines In most countries around the world today secondary school students are very aware of
information technology and of the many use of computers. This, however, was not the
case in the late 1970s and early 1980s when the first microcomputers began to make
their appearance in Australian schools [8]. It was also, significantly, the case that few
teachers were then aware of how to use a computer, what computers could be used
for, or what the implications of their use might be. The solution seen at the time was
introduction of ‘Computer Awareness’ courses. “Computer awareness is simply the possession of skills and knowledge
which enables informed judgements to be made about what is seen or heard
about computers. The emphasis in computer awareness courses is on the
knowledge and skills which give an appreciation of the capabilities and
limitations of computers and their applications rather than on the technical
skills required to program or maintain computer systems.” [10 :1] Later that year the Secondary Computer Education Committee produced the first
edition of its Computer Awareness Guidelines [11]. The Guidelines suggested that
this course be offered at Year 10 with the following objectives: Later that year the Secondary Computer Education Committee produced the first
edition of its Computer Awareness Guidelines [11]. The Guidelines suggested that
this course be offered at Year 10 with the following objectives:
To reduce bewilderment and fear of the unknown in the minds of individuals
and to promote a balanced view of the computer’s role in society
To provide students with sufficient information to enable them to use
computer-based services with confidence
To establish an informed basis for decisions regarding computer
applications which have political implications and involve value judgements
To examine the impact (actual and potential) of the computer on life styles
and employment opportunities 251
To foster familiarity with computing equipment and, by providing hands-on
experience and an introduction to programming techniques, develop,
through practical experience, insights into computer processes, uses and
limitations
To provide sufficient understanding about the way in which computers work
to comprehend not only what they can do but also what they cannot do
To develop an awareness of the potential abuses of computers and computer
know-how
To demonstrate the use of computers in solving problems and to encourage students to apply the principles of problem solving creatively. 10.1 Computer Awareness Guidelines The document strongly stressed the interdisciplinary nature of this subject matter
and that Computer Awareness should not be equated with Computer Programming
[8]. Course content was:
Section 1: (15% of available time)
–
Historical development of the computer: the abacus, Pascal’s adding
machine, Babbage’s difference engine, generations of electronic
computers, the microcomputer
–
Structure of a computer: analogue vs. digital computers, input and
output, memory, central processing unit, backing store, computer
electronics –
Historical development of the computer: the abacus, Pascal’s adding
machine, Babbage’s difference engine, generations of electronic
computers, the microcomputer –
Structure of a computer: analogue vs. digital computers, input and
output, memory, central processing unit, backing store, computer
electronics
Section 2 (25%) –
Hands-on experience – booting the system, loading programs, booting
the disk operating system, obtaining a catalogue of programs, running
programs, switching off the system, creation and use of files, word
processing, general computer usage –
Algorithms – the concept of an algorithm, simple flowcharting
–
Elementary programming in BASIC, marking cards, program
commands, syntax, arithmetical/logical operations, debugging
programs –
Misconceptions about computers – intelligence, infallibility
–
Use of computers in government, industry, commerce, science,
research, the arts and at home
Security implications –
Security implications –
Implications of computer use for society: political, economic and
social implications. 11.
Year 12 Computer Science In 1981 as a result of several years of work by a group of academics, teachers and
people involved in various ways with the production and use of computer technology,
Computer Science was introduced as a Year 12 Higher School Certificate subject in
Victoria [2, 12]. To many, the value of a school subject is measured in terms of its
place in the Year 12 (the final year of schooling) curriculum and so as a preparation 252 for tertiary study [3] and this was the case with Computer Science, at least to most
students and parents, but not to all teachers. for tertiary study [3] and this was the case with Computer Science, at least to most
students and parents, but not to all teachers. The original version of course (1981) was made up of a core, optional units and
school-based practical work [13]. The core (20 weeks) consisted of:
Computer structure
Algorithms
Programming languages
Data structure manipulation (in immediate access memory) ata structure manipulation (in immediate access mem
Input/output devices
Data processing. There were four optional units (each of 5 weeks): A. Social implications of computers B. Hardware C. Visits to installations D. Data processing systems and case stu
of which each school needed to choose two. D. Data processing systems and case stu
of which each school needed to choose two. of which each school needed to choose two. Thirdly was school-based practical work. Thirdly was school-based practical work. Initially the core was weighted at 35% and examined externally, the school
assessed options as 30% and the school-based practical work as 35% as the subject
designers wanted to allow practical work in programming to be given considerable
weight [2]. I was a member of the Computer Science Subject Committee from its
inception, an Examiner for the first three years and then Chief Examiner until 1991 when
the subject was replaced by the Information Technology field of study [14]. Melbourne and Monash universities initially refused to allow the inclusion of Year
12 Computer Science in admission scores for their courses, their stated reasons being
that the component of assessment allotted to the formal examination was only 35%
rather than the usual 50% [2, 15] and that the subject did not have sufficient academic
merit. The other Victorian universities, however, had no problems with the subject
and accepted it fully. 2 Consensus moderation was used by several Year 12 subjects as a technique for comparing
the work of students in different schools. In Computer Science it was used for both
practical work and options. The process involved holding an initial meeting of all teachers
of the subject in moderation groups of about twelve at the start of the school year. This
meeting would then decide on a common interpretation of the course guidelines. At a final
moderation meeting at the end of the school year, a sample of the student work from each
school in the group would then be re-examined by the other teachers. If the moderation
group as a whole considered that a particular school’s work (as judged from the sample)
had been marked 5% (for example) too easily, all the students from that school had their
Computer Science option work marks reduced by a commensurate amount. Similarly, the
marks from a given school would be increased by the group if this was thought necessary. 11.
Year 12 Computer Science When the subject came up for reaccreditation in 1984 [16] the
Computer Science Subject Committee, in a compromise designed to satisfy the
position taken by Melbourne and Monash universities, recommended that assessment
for the subject be changed to: core external examination – 50%, consensus
moderated2 practical work – 30% [17], and school assessed, consensus moderated
options – 20%. Changes were also made to the course content, principally to move
Social Implications into the core and to change the options. In addition to the 253 consensus moderated practical work, the new course structure [18] consisted of: Core
(20 weeks): consensus moderated practical work, the new course structure [18] consisted of: Core
(20 weeks):
Computer structure and data representation
The design and implementation of algorithms
Programming languages
Data structures
Input/output devices
File structures
System software
Social implications There were now two optional units (each of 10 weeks) of which each school had to
choose one: A. Computers in science and engineering B. Computers in business and government Melbourne and Monash universities now accepted the subject. Teachers however,
were not universally in favour of the new subject [15]. Some claimed that Computer
Science was an elitist academic subject, too difficult for some students, and so should
not be supported. (It is interesting to note that this was exactly opposite to the view
earlier held by Melbourne and Monash universities.) Others noted that the ratio of
girls to boys taking Computer Science was almost as low as that for physics, and
expressed concern that it was becoming a boys’ subject. Perhaps, however, the most
damaging criticism came from those teachers who claimed that the presence of a
specialist subject detracted from the move to encourage the use of Computers across
the Curriculum3. An early move in introduction of computers to other subject areas
was the use of Apple][ software such as: Lemonade, Hammurabi and the First Fleet
(convict) database and Acorn BBC computer software included a word processor,
database manager and a role play simulation program called Suburban Fox where
students took the role of a fox and learned to survive. A number of the advocates for
Computers across the Curriculum saw Computer Science as an adversary and it took
some time before these points of view were reconciled. 3 In common with several other countries, Computers across the Curriculum was a popular, if
ill-defined term in those days. It was generally taken to mean the uncritical promotion of
the idea that the computer could enhance learning in all curriculum areas and should be
pressed into them with all possible speed.
4 While containing some truth, this argument misses the point that in most cases the reason
that the school had purchased a number of computers at all was to support the teaching of
Computer Science. Being a Year 12 subject it was easier to get funds from School Councils
and the Education Ministry to buy computers for this purpose than for many other uses. p
p
p
4 While containing some truth, this argument misses the point that in most cases the reason
that the school had purchased a number of computers at all was to support the teaching of
Computer Science. Being a Year 12 subject it was easier to get funds from School Councils
and the Education Ministry to buy computers for this purpose than for many other uses. 3 In common with several other countries, Computers across the Curriculum was a popular, if
ill-defined term in those days. It was generally taken to mean the uncritical promotion of
the idea that the computer could enhance learning in all curriculum areas and should be
pressed into them with all possible speed. 12.
Year 11 Computer Science at Watsonia High In 1981 a new ‘Computer Science’ subject was introduced at Year 11 at WHS. I
intended this subject to follow on from Year 10 ‘Computers in Society’, but also
cover much more detail about computing, how computers work, algorithms and
programming, while still containing some material on the actual and potential uses of
computers and the social implications of their use [19-21]. The subject primarily
made use of the school’s Apple][ along with use of mark-sense cards at La Trobe
University. The subject’s content included:
Computer structure: basic hardware elements and computer structure, data
representation, binary numbers, computer logic, coding systems
Algorithms: concept, modelling, representation with flowcharts, Nassi-
Shneiderman diagrams, pseudocode
Programming fundamentals: top down design, structured programming,
testing, errors, debugging, Pascal, BASIC, documentation
Programming fundamentals: top down design, structured programming,
t
ti
d b
i
P
l BASIC d
t ti g
gg g
Random numbers and simulations
Low level programming: machine language, assembly language – Use of
LOWLEV [22]
Operating systems and system software
Computer applications: databases and data processing, word processing,
accounting and finance packages, science and engineering, leisure and
education, numerical methods education, numerical methods
Computers and society
Practical assignments This subject ran from 1981 at Watsonia High for some years after I left in 1983. 11.
Year 12 Computer Science The basis for this view was firstly
the claim that the demands made on school computing facilities by Computer Science
classes made it difficult for others to obtain adequate access to the machines4, and
secondly that the existence of a specialist subject would mean that teachers of other
subject areas would not bother to include any mention of computing, considering it
covered elsewhere. Many of us disputed these claims. 254 13.
Jacaranda Press Book: Computer Science for Year 11 In 1983 I was approached by Jacaranda Press (Wiley, Australia) to write a textbook
for Year 11 Computer Science [23], and invited Bill Davey to work with me on this. We began to work on a book based on our own school subjects and teaching
experiences. We tried to make the book different to the normal textbook of the time
and to include student exercises that we had found worked well with our own
students. The book was well accepted by schools and quickly became a best seller. It
had the following chapters: 1. Introduction to programming through graphics 2. What goes on inside a computer? 3. Data and databases 4. Computers and problem solving 5. Talking to a computer in its own language 6. Computer programming languages 7. Filing, searching and sorting; database programming 8. Word-processing and communication 9. Number crunching and financial applications 10. Automation and process control – information technology and the future 10. Automation and process control – information 255 The book must have made an impression, at least on some students, as even over
30 years later we still get some former students who have kept a copy of the book and
would like us to sign it. 14.
Commonwealth Computer Education Program By the late 1970s the number of microcomputers in Victorian schools (and those in
other Australian states) had begun to grow considerably but without any central
direction from education authorities. In 1980 in Victoria to address this issue Anne
McDougall was commissioned to report on how computers were then being used in
schools and the possibilities for their future use [24]. Constitutionally in Australia it is the State Governments that are responsible for
School Education and that determine school curriculum and how it is supported and
delivered. In matters of perceived national importance, however, the Commonwealth
Government adopts a policy position and supplies funding for specific education
projects [25]. Following the rapidly growing interest in the use of computers in education, in
February 1983 the Commonwealth Schools Commission expressed the view that: “The development of a satisfactory program of computer education in
Australian schools was of fundamental importance to Australia’s
future” and “... that the Commonwealth should commit itself to the
development of a national computer education (or schools computing)
program for all Australian schools commencing in 1984” [26 :1] p
f
p
(
p
program for all Australian schools, commencing in 1984” [26 :1]. p
g
f
g
[
]
In April 1983 the Australian Commonwealth Government then set up the
Commonwealth Schools Commission National Advisory Committee on Computers in
Schools (NACCS), whose purpose was to provide leadership and funding for
Computer Education across all Australian states and territories [25, 26]. NACCS
included representatives from the Education Departments of each Australian State and
Territory (Queensland, New South Wales, Victoria, Tasmania, South Australia,
Western Australia, Australian Capital Territory and Northern Territory), parent
organisations, teacher unions, equal opportunity organisations, Catholic Schools,
Independent Schools, State School organisations, Universities, the Commonwealth
Schools Commission and the Commonwealth Department of Science and Technology
[27]. In April 1983 the Australian Commonwealth Government then set up the
Commonwealth Schools Commission National Advisory Committee on Computers in
Schools (NACCS), whose purpose was to provide leadership and funding for
Computer Education across all Australian states and territories [25, 26]. NACCS
included representatives from the Education Departments of each Australian State and Territory (Queensland, New South Wales, Victoria, Tasmania, South Australia,
Western Australia, Australian Capital Territory and Northern Territory), parent
organisations, teacher unions, equal opportunity organisations, Catholic Schools,
Independent Schools, State School organisations, Universities, the Commonwealth
Schools Commission and the Commonwealth Department of Science and Technology
[27]. 15.1 Computer Education Consultancy In 1981 I was appointed as a Computer Education Consultant. These Consultants
were practicing school teachers who were seconded from their schools, usually on a
part-time basis, to work from their Regional Education Office. Consultants were
subject specialists, chosen for their subject expertise, teaching ability, willingness to
adapt to and lead educational change and their ability to get on with and work with
other teachers [25]. They were appointed only for a period of twelve months at a time
so that they would not lose contact with the school classroom. Unlike most other
subject consultants, however, Computer Education Consultants were pioneering a
new area of education and had little in the way of established precedent, techniques or
materials to assist them. As the use of computers in education was an entirely new
area and few teachers had any experience with it the Consultant’s task was to
introduce and offer suggestions on the use of computers in schools of all types:
Primary, Secondary and Technical. Despite working only part-time on this job I
typically visited two or three schools each day to discuss matters with individual
teachers from a variety of subject areas [28-30], demonstrate software, assist with the
configuration of hardware and to conduct whole-school professional development
activities. I remember that after I gave a whole-school demonstration of the use of computers,
as part of a professional development activity in a metropolitan primary school, one
of the teachers came up to me and said: “But won’t some of the kids know more about
computers than me”. Although we don’t always like to admit it, many teachers feel
that they must know more than the students about something before they can make
use of it or teach it. I suggested an alternative approach of getting one of the more
computer-literate students to demonstrate using the computer to the class. This would
both be empowering for the student and overcome the teacher’s lack of knowledge of
computers. I don’t know whether she took this advice. At this time those of us involved in computer education consultancy really attacked
the task with ‘missionary zeal’ believing, rightly or wrongly, that the use of
computers in schools could fundamentally change education for the better. I
continued in this position in 1982. In 1983 I became a full-time (seconded) General Curriculum Consultant and in
1984 a full-time Computer Education Consultant. 14.
Commonwealth Computer Education Program Territory (Queensland, New South Wales, Victoria, Tasmania, South Australia,
Western Australia, Australian Capital Territory and Northern Territory), parent
organisations, teacher unions, equal opportunity organisations, Catholic Schools,
Independent Schools, State School organisations, Universities, the Commonwealth
Schools Commission and the Commonwealth Department of Science and Technology
[27]. In its report Teaching Learning and Computers in Schools [26] the Committee
made
comprehensive
recommendations
covering
curriculum
development,
professional development, support services, software/courseware, hardware and
organisation. The report indicated that priorities for curriculum development should
be: –
provision of Computer Awareness activities for all students in the early years
of secondary schooling –
integration of computing into the school curriculum –
in-depth (optional) Computer Studies courses at the senior secondary level
i
l
hi h
h
i l
d
f
l
di
d
d –
in-depth (optional) Computer Studies courses at the senior secondary level
–
curricula which meet the special needs of relevant disadvantaged groups. –
curricula which meet the special needs of relevant disadvantaged groups. 256 For the period from 1984 to 1986, the Commonwealth Government provided $19
million in support of the program [3]. NACCS regarded Education Support Services as essential and suggested that
appropriate use of funds could include the appointment of education consultants, the
further development of comprehensive computer education centres and the provision
of grants to support innovative practices in schools [26]. 5 Victorian Government offsets policy required an investment in Victoria by suppliers,
proportional to sales, and noted preference for Victorian manufactured goods, approved
decentralised secondary industries, anti-dumping policy and apartheid sanctions against
South Africa. 15.1 Computer Education Consultancy This was hard work but very
rewarding as our services were highly appreciated by teachers and by schools. We 257 rarely, however, had any interaction with school students, working instead with
teachers and school principals. During this period I also developed several computer programs for Apple][ and
MS-DOS, the main ones being LOWLEV (a pseudo assembly language / machine
code system), Seasen-PILOT (programming language) and Match-Maker (a student
dating program to teach about databases). I also wrote training manuals for Microsoft
Works for Windows and for Macintosh. 15.2 The State Computer Education Centre (SCEC) In Victoria, the early development of Computer Education in schools was certainly
‘bottom up’, beginning with the efforts of a small number of teachers. When the
Computer Education ‘explosion’ began in 1983 the Victorian Education Department
saw the need for some form of ‘top down’ planning and control, and formation of the
State Computer Education Centre (SCEC) was the result. After an initial trial in 1984,
in 1985 the centre was formalised with a Senior Computer Education Officer,
Software Co-ordinator, Professional Development Co-ordinator, Curriculum
Co-ordinator, Educational Computer Systems Analyst, and Equal Opportunity Officer
all holding deputy-principal positions. seventeen senior-teacher positions (five at
SCEC and twelve in the regions), and four assistant teacher positions making up a
total staff of twenty-seven professional officers [2]. I was appointed to the position of
Educational Computer Systems Analyst and continued in this role for the next three
years. y
SCEC played a significant part in setting the direction of educational computing in
Victoria for the next three years by developing policy, producing curriculum
documents, evaluating and distributing educational software, evaluating computer
systems and producing the ‘recommended list’ of computer systems for use in
schools. 15.2.1
List of Recommended Computers for Victorian Schools The Schools Commission had recommended that computer hardware purchased with
program funds “should … be used to purchase computer hardware which is on the
appropriate State Education Department approved list” [31]. As Educational
Computer Systems Analyst it was my job to draw up specifications, collect and
evaluate submissions and produce this recommended list, which was for computer
systems and not just hardware, for all Victorian Government Schools. Apart from
providing advice to schools, this recommendation process was necessary to fulfil
certain Government contractual and offset5 requirements. q
The 1986 Educational Computing System Specifications [32] document noted that
recommended computing systems in schools should offer software, running on the 258 recommended computer hardware, for a substantial number of the following
applications: recommended computer hardware, for a substantial number of the following
applications: recommended computer hardware, for a substantial number of the following
applications: pp
Useful tools for teachers and students: word processing, database
management systems, spreadsheets, graphic design, expert systems,
telecommunications and control technology.
Problem solving: adventure games, logic games, Logo and Pro
Courseware: simulations, information retrieval systems, data collection and
analysis packages, computer controlled experiments, drill and practice and
computer aided instruction.
Programming.
Programming.
Vocationally oriented studies.
Special education.
Special education. The document said that these systems should be easy to use, serviceable and
ergonomic. They should also be as small be provided at the lowest cost possible. Also, system suppliers should offer upgrades, provide training materials and offer
company support to schools and to SCEC. I performed this task for three years before
moving to higher education in 1988. g
y
p
p
Also, system suppliers should offer upgrades, provide training materials and offer
company support to schools and to SCEC. I performed this task for three years before
moving to higher education in 1988. 15.2.2
Designing the Australian Educational Computer Such support for the purchase of microcomputers from a State’s recommended list
was considered to be only an interim measure, necessary only until an Australian
Educational Computer could be developed and built. In 1985 two Schools
Commission Working Parties were set up to determine ‘Educational User
Requirements’ and ‘Educational Technical Requirements’. The idea was then that a
‘System Concept Study’ and ‘Development Proposal’ for construction of the
computer would follow [15]. The intention was both to develop a high quality
computer appropriate for school use but also to provide an opportunity for Australian
industry to build the machine. I was appointed as an ‘expert’ member of the
‘Educational Technical Requirements’ working party. In its report [33] the Educational User Requirements working party considered
developmental characteristics of school children and learning situations in which
computer use was considered appropriate, then attempted to draw up user requirements
from each of these. The report gave examples of the learning activities in schools as
including: use of computers as a tool in existing subject areas and in Special
Education, studying Computer Science, co-operative large group and project group
use [27]. Our Educational Technical Requirements working party produced a report [34]
containing two main sections:
The Technical Requirement which gave detailed coverage to: user interface,
input/output devices, processing resources, networks, telecommunications
and system requirements.
A section dealing with possible implementations of these requirements to
satisfy at least three types of use: o
Personal o
Classroom o
School-Wide. 259 The idea was that these uses could be catered for by a family of compatible
systems having a common user interface, and that at some stage in the future the way
should be left open to connect these systems to computing facilities at the district,
regional, state or national levels [27]. This, however, was all before the days of the ascendancy of the IBM-PC, MS-
MOS and the Apple Macintosh and schools made use of a large variety of computers
including the Apple][, BBC (Acorn), Tandy TRS-80, Commodore Vic20,
Commodore 64, Microbee, (an Australian designed computer) and the CP/M
machines: Cromenco and Micromation. When the Computer Education Program
funding ended in 1987 the idea of the Australian Educational Computer was not taken
up by the Department of Science and Technology and so was dropped. 15.3 The Australian Computer Society (ACS) The ACS was always supportive of school computing, especially Computer Science
and other aspects of this area that is saw as potentially leading to careers in
computing, but also use of the computer in other subject areas. In 1985, as part of the
ACS hosted ‘First Pan-Pacific Computer Conference (PPCC-1)’, we ran a Schools’
Congress [35] that attracted several hundred senior secondary students to listen to a
series of speakers discussing issues including: movie making with computers,
computing careers, computers in business, videotext in education, robots,
communications, artificial intelligence and logic programming, computer science,
magnetic storage media and computers in the sciences. Two years later, as part of The
Australian Computer Conference (ACC-87) we again ran a Schools’ Congress [36]. Topics this time included: expert systems, desktop publishing, computers and music,
systems life cycle, computer animation, banking, business, manufacturing, the future
of technology in Australia, Electronic Funds Transfer, educational computing, careers
and robotics. g
g
p
y
,
p
Australian Computer Conference (ACC-87) we again ran a Schools’ Congress [36]. Topics this time included: expert systems, desktop publishing, computers and music,
systems life cycle, computer animation, banking, business, manufacturing, the future
of technology in Australia, Electronic Funds Transfer, educational computing, careers
and robotics. Following these Congresses, in a 1988 position paper on education [37] the
Australian Computer Society stated its view that: Australian Computer Society stated its view that:
“The ACS sees the need to widen the facilities made available to
academic and secondary teaching staff to develop a closer
understanding of the changing business and industry sectors.” Australian Computer Society stated its view that:
“The ACS sees the need to widen the facilities made available to
academic and secondary teaching staff to develop a closer
understanding of the changing business and industry sectors.” In addition to these initiatives, for many years the ACS provided speakers at school
careers evenings (including people like Peter Juliff) and to discuss computing careers
with students and teachers. 15.2.2
Designing the Australian Educational Computer In retrospect this
was probably a good thing as it was not long before the PC and Macintosh had, between
them, captured almost all the school market and our new computer would have stood
a good chance of becoming an expensive white elephant [27]. 6 VACE was the successor of Melbourne Apple Computers in Education (MACS), formed in
1981 by Denis Kennedy, Bill Davey and Arthur Tatnall. 15.4 Teacher Subject Associations The Victorian Curriculum Assessment Board (VCAB) which controlled Year 12
subjects in Victorian schools was never in a position to assist teachers, spending all
their available resources in designing and modifying courses and administering 260 examinations. The VCAB Computer Science Course Management Committee
likewise did not itself have the resources to assist teachers, except with advice [38]. Clearly, other forms of support were required. The Computer Education Group of Victoria (CEGV) was originally formed in the
late 1970s as an association of teachers, teacher educators and others interested in the
use of computers in education. It came into prominence in 1979 when it launched the
first national computer education conference in Australia. The CEGV, and its
counterparts in other states, have exerted a considerable influence on computer
education through professional development activities, annual conferences, journals
and the provision of other publications and resources [2]. Another type of group to
emerge in the early 1980s was the user group. Victorian Apple Computers in
Education (VACE)6 was such a group, formed at the grass roots by teachers in 1982
to share knowledge between those using Apple][ computers. At this stage, computer
education had not progressed to the stage of being, to any degree, hardware
independent. Schools using Apples had little to discuss with those using TRS-80,
Acorn BBC, Cromenco or Commodore computers as the software and applications
had little in common [2]. In mid-1988, the Year 12 Computer Science Course Management Committee (of
which I was a member) met with the Executive of the CEGV to put the view that the
CEGV should be more involved in the provision of assistance to teachers of Computer
Science, and of the new Information Technology Field of Study. The result was the
establishment of the Victorian Information Technology Teachers Association (VITTA),
largely through the efforts of Arthur Tatnall and Bill Davey [38]. Many IT teachers
appreciated that much ‘real computing’ was done in a business setting, and that they
themselves did not have sufficient knowledge of the way that business operated or what
it did. The answer was to arrange a series of monthly evening meetings of VITTA, many
f
hi h
ld i
l
it
i it
Th
f
th fi t h lf f 1989
f ll of which would involve site visits. 1.
Pearcey, T., A History of Australian Computing. 1988, Melbourne: Chisholm Institute
of Technology.
2.
Tatnall, A., The Growth of Educational Computing in Australia, in History, Context,
and Qualitative Methods in the Study of Education, Goodson, I., F. and Mangan, 15.4 Teacher Subject Associations The program for the first half of 1989 was as follows:
February: Kambrook factory – process-control technology and computer-
assisted management.
March: Discussion session of the new VCE Information Technology Field of
Study.
April: Hewlett Packard: ‘Micros and Mainframes’. Tour of HP’s Australian
Headquarters and a series of talks on HP’s ‘New Wave’ software, RISC
technology and computer peripherals.
May: Ford Motor Company’s Broadmeadows production line: ‘Robots and
Production’. Tour of the Ford plant with special attention to the use of robots
for welding and sub-assembly. Comparison with the other ‘human operated’
parts of the production line. Discussion of the social issues of robots replacing
workers, quality control with human workers vs. robots, boredom on a
production line and training of workers.
June: Space Time Research’s Supermap CD – use of compact disk optical
storage technology. Later activities included visits to: Australian Airlines avionics centre, Fallshaw
Casters – a manufacturing company making considerable use of robotics and Later activities included visits to: Australian Airlines avionics centre, Fallshaw
Casters – a manufacturing company making considerable use of robotics and 261 Information Technology and Carlton United Breweries to see the use of mainframe
computers to run a large business. p
g
In the early 1990s a Year 12 ‘IT Field of Study’ involving three new subjects was
introduced to replace Computer Science. Teachers for this field typically came from
two quite different backgrounds: former Computer Science teachers, and former
commerce / secretarial studies teachers. Finding commonality between these groups
was not easy [38]. 16.
Conclusion This is where these reflections end. After the conclusion of the Commonwealth
Computer Education program in 1987 I left the Education Department to take up an
Information Systems position in the Faculty of Business at Footscray Institute of
Technology, later to become Victoria University. 1991 was the last year of Year 12
Computer Science and the point at which I bowed out of this area. This then was the
end of my direct involvement with the school system (but not my interest) except for
some work with Lego on evaluation of their Lego Technics kits, two years as
President of the CEGV in 1990-1991 and Chairing of the Australian Computers in
Education Conference in 1992. This chapter could have discussed many other computer education innovations and
activities in Victoria at this time, but I have restricted it to my own personal
experiences. These other activities would have included software issues such as the
development of Apple][ software by a couple of teachers at Myrtleford High School
and the subsequent establishment of Seasen Software Pty Ltd, educational software
created in conjunction with SCEC and developed by Prologic, development of
software for school management, use of other software from MECCS7, use of
software in science [39], computer games and their use in education, and more. Professional development issues that could have been discussed included SCEC’s
‘Seeding Pair’ in-service education program, the ‘lighthouse schools’ and the
contribution to teacher education of the Graduate Diploma in Computer Education at
Melbourne University. Other possible issue for discussion could have been the role of
computer hardware and software suppliers, the falling costs and increasing power of
microcomputers, the contribution of the ACS, the attempts to involve girls in the use
of computers, to assist students with learning disabilities and the development and use
of Lego robotics. Much more still needs to be written. 7 Minnesota Educational Computing Consortium References 262 J.M., Editors. 1992, University of Western Ontario, Canada.: London, Ontario. p. 207-248. Tatnall, A. and Davey, W., Streams in the History of Computer Education in
Australia, in History of Computing in Education, Impagliazzo, J. and Lee, J.A.N.,
Editors. 2004, Kluwer Academic Publishers / IFIP: Assinippi Park, Massachusetts. p. 83-90. 4. Salvas, A.D., Personal communication. 1985: Melbourne. 5. Monash Computing Museum. MONECS Deamon Educational Computer system. [Web] 2003 Feb 2004]; Available from: http://www.csse.monash.edu.au/museum/. 6. Plato Learning. History of Plato Learning. 2004 Feb 2004]; Available from:
http://www.plato.com/aboutus/company_history.asp. 7. Davey, W., Personal communication. 1985. Davey, W., Personal communication. 1985. y
8. Tatnall, A. and Davey, W., Early Computer Awareness Courses in Australian
Secondary Schools: Curricula from the late 1970s and early 1980s, in History of
Computing and Education 2, Impagliazzo, J., Editor. 2006, Springer: New York. p. 107-116. 9. Tatnall, A. and Davey, W., Improving the Chances of Getting your IT Curriculum
Innovation Successfully Adopted by the Application of an Ecological Approach to
Innovation. Informing Science, 2004. 7(1): p. 87-103. 10. Montgomery, A.Y., Computers and Society: Teaching Computer Awareness, in
C
A
C
f
P
1980 S
d
C
t
Ed
ti 10. Montgomery, A.Y., Computers and Society: Teaching Computer Awareness, in
Computer Awareness Conference Papers 1980 Secondary Computer Education p
f
p
y
p
Committee, Editor. 1980, Victorian Commercial Teachers’ Association Melbourne. 11
Secondary Computer Education Committee Year 10 Computer Education: y
p
Committee, Editor. 1980, Victorian Commercial Teachers’ Association Melbourne. Secondary Computer Education Committee, Year 10 Computer Education: Committee, Editor. 1980, Victorian Commercial Teachers Association Melbourne
11. Secondary Computer Education Committee, Year 10 Computer Education: 11. Secondary Computer Education Committee, Year 10 Computer Education:
G id li
f
S
d
S h
l
1980 Ed
i
D
f Vi
i 11. Secondary Computer Education Committee, Year 10 Computer Education:
Guidelines for Secondary Schools. 1980, Education Department of Victoria:
Melbourne. 12. Victorian Institute of Secondary Education, New Computer Science Course. 1980,
VISE: Melbourne. VISE: Melbourne. 13. Victorian Institute of Secondary Education, Computer Science (Group 1), in Higher
School Certificate Course Description. 1980, VISE,: Melbourne. 13. Victorian Institute of Secondary Education, Computer Science (Group 1), in Higher
School Certificate Course Description. 1980, VISE,: Melbourne. 14. Tatnall, A., A Logic Error is a Misunderstanding Between the Programmer and the
Computer. COM3 Journal, 1990. 16(1): p. 15-17. 15. Tatnall, A. References Commonwealth Schools Commission, Australian School Computer Systems:
Educational User Requirements. 1986, Commonwealth Schools Commission:
Canberra. 34. Commonwealth Schools Commission, Australian School Computer Systems:
Technical Requirements. 1986, Commonwealth Schools Commission: Canberra. 35. Tatnall, A., ed. The First Pan Pacific Computer Conference - Schools’ Congress. PPCC-1. 1985, Australian Computer Society: Melbourne. 36. Tatnall, A., ed. The Australian Computer Conference - Schools’ Congress. ACC-87. 1987, Australian Computer Society: Melbourne. 37. Australian Computer Society, Position Paper Number 6, ‘Education’. 1998,
Australian Computer Society: Sydney. 38. Tatnall, A. and Davey, W. Making Information Technology Real. in ACEC’89 -
Backup the Future. 1989. Canberra: CEGACT. 39. Tatnall, A., Fibre Optics, Breakfast Cereal and Computer Science. COM3 Journal,
1991. 18(1): p. 6-8. 26. Commonwealth Schools Commission, Teaching, Learning and Computers. Report of
the National Advisory Committee on Computers in Schools. 1983, Commonwealth
Schools Commission: Canberra. 27. Tatnall, A., The Australian Educational Computer That Never Was. IEEE Annals of
the History of Computing, 2013. 35(1): p. 35-47. 28. Tatnall, A., Computers and Science Teaching. Lab Talk, 1980. 24(4): p. 5-6. 29. Tatnall, A. and Neville, L. Artificial Education and Education: a new direction or
more of the same tired old thing. in Australian Computer Education Conference -
Tomorrow’s Technology Today. 1987. Adelaide: CEGV. 30. Tatnall, A. and Tatnall, B. Logo in Control: Control Technology in Education. in
Australian Computer Education Conference - Tomorrow’s Technology Today. 1987. Adelaide: CEGV. 31. Commonwealth Schools Commission, Teaching, Learning and Computers. 1984
Information Kit. 1984, Commonwealth Schools Commission: Canberra. 32. Ministry of Education Victoria, Educational Computing S
1986, State Computer Education Centre,: Melbourne. 32. Ministry of Education Victoria, Educational Computing System Specifications 1986. 1986, State Computer Education Centre,: Melbourne. 33. Commonwealth Schools Commission, Australian School Computer Systems:
Educational User Requirements. 1986, Commonwealth Schools Commission:
Canberra. 34. Commonwealth Schools Commission, Australian School Computer Systems:
T
h i
l R
i
1986 C
l h S h
l C
i i
C
b 34. Commonwealth Schools Commission, Australian School Computer Systems:
Technical Requirements. 1986, Commonwealth Schools Commission: Canberra. 35. Tatnall, A., ed. The First Pan Pacific Computer Conference - Schools’ Congress. Technical Requirements. 1986, Commonwealth Schools Commission: Canberra. 35. Tatnall, A., ed. The First Pan Pacific Computer Conference - Schools’ Congress. PPCC-1. 1985, Australian Computer Society: Melbourne. PPCC-1. 1985, Australian Computer Society: Melbourne. 36. Tatnall, A., ed. The Australian Computer Conference - Schools’ Congress. ACC-87. 1987, Australian Computer Society: Melbourne. 37. References and Davey, W., The Life and Growth of Year 12 Computing in Victoria:
An Ecological Model, in History of Computing: Learning from the Past, Tatnall, A.,
Editor. 2010, Springer: Heidelberg. p. 124-133. 16. Victorian Institute of Secondary Education, Computer Science, a Course for the
Eighties, in VISE News. 1984, VISE,: Melbourne. 17. Davey, W., 1991 VCE (HSC) Computer Science Information and Examples. 1991:
Melbourne. 18. Victorian Curriculum Assessment Board, Computer Science (Group 1). 1990,
VACB,: Melbourne. 19. Tatnall, A. Computer Science: New Curricula at the Senior Secondary Level. in
CEGV-85. 1985. Melbourne: Computer Education Group of Victoria. 19. Tatnall, A. Computer Science: New Curricula at the Senior Secondary Level. in
CEGV-85. 1985. Melbourne: Computer Education Group of Victoria. p
p
20. Davey, W. and Tatnall, A., Computer Science; Year 11, in Computing and Education
- 1984 and Beyond, Salvas, A.D., Editor. 1984, CEGV: Melbourne. 21. Tatnall, A., Watsonia High School: Computer Studies, Year 11. 1981, Watsonia High
School. 22. Tatnall, A., Lowlev for Windows - an Introduction to Low Level Programming. 1995,
Melbourne: Data Publishing. 23. Tatnall, A. and Davey, W., Computer Science for Year 11. 1985, Brisbane: Jacaranda
Press. 263 24. McDougall, A., Computers and Post-Primary Education in Victoria: a Study of
Needs. 1980, Education Department of Victoria, Computer Policy Committee:
Melbourne. 25. Tatnall, A. and Davey, W., Computer Education Support Structures in Victorian
Schools in the 1980s, in History of Computing and Education 3, Impagliazzo, J.,
Editor. 2008, Springer: New York. p. 1-22. Editor. 2008, Springer: New York. p. 1-22. 26. Commonwealth Schools Commission, Teaching, Learning and Computers. Report of
the National Advisory Committee on Computers in Schools. 1983, Commonwealth
Schools Commission: Canberra. 27. Tatnall, A., The Australian Educational Computer That Never Was. IEEE Annals of
the History of Computing, 2013. 35(1): p. 35-47. 28. Tatnall, A., Computers and Science Teaching. Lab Talk, 1980. 24(4): p. 5-6. 29. Tatnall, A. and Neville, L. Artificial Education and Education: a new direction or
more of the same tired old thing. in Australian Computer Education Conference -
Tomorrow’s Technology Today. 1987. Adelaide: CEGV. 30. Tatnall, A. and Tatnall, B. Logo in Control: Control Technology in Education. in
Australian Computer Education Conference - Tomorrow’s Technology Today. 1987. Adelaide: CEGV. 31. Commonwealth Schools Commission, Teaching, Learning and Computers. 1984
Information Kit. 1984, Commonwealth Schools Commission: Canberra. 32. Ministry of Education Victoria, Educational Computing System Specifications 1986. 1986, State Computer Education Centre,: Melbourne. 33. References Australian Computer Society, Position Paper Number 6, ‘Education’. 1998, Australian Computer Society: Sydney. 38. Tatnall, A. and Davey, W. Making Information Technology Real. in ACEC’89 -
Backup the Future. 1989. Canberra: CEGACT. p
39. Tatnall, A., Fibre Optics, Breakfast Cereal and Computer Science. COM3 Journal,
1991. 18(1): p. 6-8. 264
|
https://openalex.org/W1981105831
|
https://europepmc.org/articles/pmc4324107?pdf=render
|
English
| null |
Is Infusion of Subhypnotic Propofol as Effective as Dexamethasone in Prevention of Postoperative Nausea and Vomiting Related to Laparoscopic Cholecystectomy? A Randomized Controlled Trial
|
BioMed research international
| 2,015
|
cc-by
| 3,700
|
Hindawi Publishing Corporation
BioMed Research International
Volume 2015, Article ID 349806, 5 pages
http://dx.doi.org/10.1155/2015/349806 Hindawi Publishing Corporation
BioMed Research International
Volume 2015, Article ID 349806, 5 pages
http://dx.doi.org/10.1155/2015/349806 Hindawi Publishing Corporation
BioMed Research International
Volume 2015, Article ID 349806, 5 pages
http://dx.doi.org/10.1155/2015/349806 Mine Celik,1 Aysenur Dostbil,1 Mehmet Aksoy,1
Ilker Ince,1 Ali Ahiskalioglu,1 Mehmet Comez,2 and Ali Fuat Erdem3 1 Department of Anesthesiology and Reanimation, Medical Faculty, Ataturk University, Palandoken, 25140 Erzurum, Turkey
2 Department of Anesthesiology and Reanimation, Erzurum Education Hospital, Palandoken, 25070 Erzurum, Turkey
3 Department of Anesthesiology and Reanimation, Sakarya Education Hospital, Korucuk Mah., 54290 Adapazari, Turkey Correspondence should be addressed to Mine Celik; mine.celik74@gmail.com Received 3 July 2014; Accepted 6 November 2014 Academic Editor: Yukio Hayashi Academic Editor: Yukio Hayashi Copyright © 2015 Mine Celik 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. Background. Postoperative nausea and vomiting (PONV) is one of common complications in patients undergoing laparoscopic
cholecystectomy (LC). Aim of this study was to compare the efficacy of subhypnotic (1 mg/kg/h) infusion of propofol with
dexamethasone on PONV in patients undergoing LC. Methods. A total of 120 patients were included in this randomized, double-
blind, placebo-controlled study. Patients were randomly assigned to 3 groups; patients of group dexamethasone (group D)
were administrated 8 mg dexamethasone before induction of anesthesia, patients of group propofol (group P) were infused to
subhypnotic (1 mg/kg/h) propofol during operation and patients of group control (group C) were applied infusion of 10% intralipid. The incidence of PONV and needs for rescue analgesic and antiemetic were recorded in the first 24 h postoperatively. Results. In the
0–24 h, the incidence of PONV was significantly lower in the group D and group P compared with the group C (37.5%, 40%, and
72.5%, resp.). There was no significant difference in the incidence of PONV and use of antiemetics and analgesic between group D
and group P. Conclusion. We concluded that infusion of propofol 1 mg/kg/h is as effective as dexamethasone for the prevention of
PONV during the first 24 hours after anesthesia in patients undergoing LC. 2. Material and Methods In this study, a total of 120 ASA I, II patients undergoing
LC were included. The Institutional Review Board approved
the study, and all 120 patients gave signed informed consent
(Registration number: ACTRN: ACTRN12614000703606). Exclusion criteria were pregnancy, use of antiemetic drug 24
hours before LC, a history of nausea and vomiting in the
previous operations, susceptibility to nausea and vomiting,
menstruation, emergency operation, severe diabetes mellitus,
and conversion from LC to laparotomy. In this study, a total of 120 ASA I, II patients undergoing
LC were included. The Institutional Review Board approved
the study, and all 120 patients gave signed informed consent
(Registration number: ACTRN: ACTRN12614000703606). p
y
Noninvasive blood pressure, ECG, pulse oximetry, and
capnometry were used for patient’s monitoring during anes-
thesia. The patients were randomized using an equal number
of blind envelopes and allocated to one of the three groups:
dexamethasone group (group D), propofol group (group
P), and control group (group C). Before one minute of
anesthesia induction, while patients in group D received
8 mg of dexamethasone, group P and group C received
isotonic saline solution in 2 mL syringe. The same anes-
thetic techniques were used for all patients. Anesthesia was
induced by 5 mg/kg of thiopental sodium, 1 mcg/kg fentanyl
through intravenous cannula. Intubation of the trachea was
facilitated with 0.6 mg/kg of rocuronium and subsequent
intraoperative neuromuscular blockade was maintained with
it. Anesthesia was maintained with 1.0–2.5% sevoflurane air
being given with 50% oxygen and 1 mcg/kg/h fentanyl half
an hour. All patients were inserted a nasogastric tube after
anesthesia induction to empty content and air of stomach. In group P, patients were given continuous propofol infusion
at 1 mg/kg/h in during operation. In other two groups,
suspension of 10% intralipid was infused in all patients. At
end of surgery, neuromuscular blockade was reversed with
neostigmine 0.05 mg/kg and 0.01 mg/kg atropine sulphate. For postoperative analgesia, after operation, 10 mL local
anesthetic solution (equally mixed 2% lidocaine plus 0,5%
bupivacaine) was applied to incision region and preemptive
analgesia was performed via intravenous 1 g of paracetamol
and 1.5 mg/kg of tramadol.i Values are 𝑛or mean ± standard deviation. ASA: American Society of
Anesthesiologists classification. Values are 𝑛or mean ± standard deviation. ASA: American Society of
Anesthesiologists classification. the
differences
of
numeric
data
among
the
groups. Chi-squared test was used for categorical data. Level of
significance was set at 𝑃< 0.05. 2. Material and Methods i
Before study, sample size was determined by power analy-
sis, assuming that the total incidence of PONV in the placebo
group would be 70%, with a 35% reduction in the incidence
of PONV in the treatment group with alpha error being set
at 0.05 and beta error at 0.2. According to power analysis,
any group size of 31 patients was considered adequate. We
decided to enroll 40 patients per group to allow dropout. The
post-hoc test which was held during the statistical evaluation
showed 31 patients for the propofol group and 35 patients for
the dexamethasone group were needed. 1. Introduction Glucocorticoids
have
analgesic,
anti-inflammatory,
immune-modulating, and antiemetic effects. But, their effect
mechanisms are not fully clarified [8]. Dexamethasone is
a glucocorticoid and has been used as an antiemetic drug
in patients receiving chemotherapy for more than 25 years
[9, 10]. Several prospective studies have shown that severity
of PONV associated with LC is reduced by dexamethasone
[11–13]. Postoperative nausea and vomiting (PONV) is distressful
common side effects following laparoscopic cholecystectomy
(LC) [1, 2]. The reported incidence of PONV is 46–72% in
patients undergoing LC if prophylactic antiemetic is not given
[3, 4].f As an anesthetic agent, propofol is highly effective drug
preventing PONV [5]; thus it has been used by a number
of anesthesiologists [6]. It was demonstrated that continuous
infusion of subhypnotic propofol prevents PONV in female
patients receiving intravenous patient-controlled analgesia
[7]. The primary aim of this prospective, randomized, double
blind, placebo-controlled study was to evaluate the efficacy
of dexamethasone and continuous infusion of subhypnotic
propofol to prevent PONV in patients undergoing LC. BioMed Research International 2 Table 1: Demographic and operative characteristics of patients. Group D
(𝑛= 40)
Group P
(𝑛= 40)
Group C
(𝑛= 40)
Age (years)
49.6 ± 11.7
50.07 ± 12.1
49.9 ± 12.6
Weight (kg)
74.5 ± 13.3
74.2 ± 12.9
73.9 ± 13.5
Height (cm)
169 ± 9.7
168.1 ± 10.5
168.7 ± 10.1
Sex (M/F)
23/17
24/16
25/15
ASA (I/II)
27/13
29/11
28/12
Smokers (𝑛)
11
10
12
Duration of surgery
(min.)
78.5 ± 14.2
77 ± 13.9
80.2 ± 14.4
Duration of
anesthesia (min.)
101.8 ± 9.5
99.9 ± 10.5
98.7 ± 11.6
Fentanly
administered (𝜇g)
173.1 ± 55.2
169.3 ± 55.8
170.6 ± 53.9
Awakening time
(min.)
5.9 ± 1.24
6.2 ± 1.21
6.1 ± 1.2
Values are 𝑛or mean ± standard deviation. ASA: American Society of
Anesthesiologists classification. Table 1: Demographic and operative characteristics of patients. Secondary aim of this study was to determine the rescue
antiemetic and analgesic in the first 24 hours after LC. Secondary aim of this study was to determine the rescue
antiemetic and analgesic in the first 24 hours after LC. 3. Results All 120 patients had completed their surgical procedures. There was no statistically significant difference among the 3
groups in terms of age, body weight and height, ASA clas-
sification, duration of anesthesia, surgery, and total fentanyl
consumption (Table 1). Awakening time was defined as patient’s awakening (i.e.,
opening eyes at verbal command) and being orientated to the
environment after discontinuation of the volatile agent. t
All patients were observed for 24 hours by another
anesthetist after surgery. These patients were informed about
the scale of VAS (visual analog scale) and PONV by the anes-
thetist. The incidence of nausea, vomiting, and antiemetic
requirement was recorded during three assessment periods,
0–6 h, 6–12 h, and 12–24 h after recovery from anesthesia
using a four-point ordinal scale for PONV (0 = none, 1 = nau-
sea, 2 = nausea with request for antiemetic, and 3 = vomiting). Rescue antiemetic (intravenously metoclopramide 10 mg)
was allowed by the anesthetist according to needs of patients. Intramuscular diclofenac sodium (50 mg) as analgesic was
medicated when patients experienced pain of VAS > 3. 3.1. Primary Outcome Table 3: Analgesia (diclofenac sodium 50 mg) requirements. Group D
(𝑛= 40)
Group P
(𝑛= 40)
Group C
(𝑛= 40)
Diclofenac sodium
requirements (patient
numbers)
2 (5%)
3 (7.5%)
8 (20%)∗
∗𝑃< 0.05 compared with group D. Table 3: Analgesia (diclofenac sodium 50 mg) requirements. 4. Discussion Laparoscopic surgery has been associated with high inci-
dence of PONV [3, 4]. PONV is an disagreeable, distressful,
and fatiguing complication for patients undergoing LC. It
might prolong recovery and discharge time therefore hospital
costs increase [13]. In our study, PONV in dexamethasone
group and propofol group was significantly reduced com-
pared with control group. Therefore we found that infusion
of propofol during the operation was as effective as dexam-
ethasone to prevent PONV.hf 3.1. Primary Outcome 3.1.1. Nausea and Vomiting. During 0–6 h, total incidence of
PONV was 65% in the group C, 30% in the group P, and 30%
in the group D. For 6–12 h, it was 52.5% in the group C, 25%
in the group P, and 20% in group D. In 12–24 h period, it was
45% in the group C, 20% in the group P, and 10% in the group
D. In group D PONV was significantly lower than in group
C at 0–6 h (𝑃= 0.007), 6–12 h (𝑃= 0.06), and 12–24 h (𝑃=
0.02). Also patients in group P had significantly less PONV
than those of group C in the 0–6 h (𝑃= 0.07), 6–12 h (𝑃=
0.013), and 12–24 h (𝑃= 0.039). There were no significant
differences between the group D and group P with regard to
PONV (Table 2). Statistical analysis was performed using the program
of SPSS20. One-way ANOVA was used to compare BioMed Research International 3 Table 2: Incidence of nausea and vomiting during 24 h postoperatively. Group D (𝑛= 40)
Group P (𝑛= 40)
Group C (𝑛= 40)
Scale of PONV 0–6 hours
none
28 (70%)
27 (67.5%)
14 (35%)
Nausea
8 (20%)
6 (15%)
12 (30%)
Nausea with request for antiemetics
4 (1%)
2 (5%)
10
Vomiting
0
4 (10%)
4
Total PONV (𝑛, %)
12 (30%)
12 (30%)
26 (65%)∗#
Rescue antiemetic (𝑛)
4
4
13∗#
Scale of PONV 6–12 hours
None
32 (80%)
29 (72.5%)
19
Nausea
8 (20%)
10 (25%)
13
Nausea with request for antiemetics
0
0
2
Vomiting
0
0
6
Total PONV (𝑛, %)
8 (20%)
10 (25%)
21 (52.5%)∗#
Rescue antiemetic (𝑛)
1
3
8∗
Scale of PONV 12–24 hours
None
36 (90%)
31 (77.5%)
22 (55%)
Nausea
4 (10%)
7 (17.5%)
16 (40%)
Nausea with request for antiemetics
0
1 (2.5%)
0
Vomiting
0
0
2 (5%)
Total PONV (𝑛, %)
4 (10%)
8 (20%)
18 (45%)∗#
Rescue antiemetic (𝑛)
0
1
3
0–24 hours
Total PONV (𝑛, %)
15 (37.5%)
16 (40%)
29 (72.5%)∗#
∗Compared with group D 𝑃< 0.05, #compared with group P 𝑃< 0.05. Table 2: Incidence of nausea and vomiting during 24 h postoperatively. intramuscularly and difference between group D and group
C was significant (𝑃= 0.04) (Table 3). intramuscularly and difference between group D and group
C was significant (𝑃= 0.04) (Table 3). References [1] T. J. Gan, T. Meyer, C. C. Apfel et al., “Consensus guidelines for
managing postoperative nausea and vomiting,” Anesthesia and
Analgesia, vol. 97, no. 1, pp. 62–71, 2003. [2] M. F. Watcha and P. F. White, “Postoperative nausea and vomit-
ing: its etiology, treatment, and prevention,” Anesthesiology, vol. 77, no. 1, pp. 162–184, 1992.fi Song et al. [21] administered propofol 0.5 mg/kg intra-
venously at the end of a surgical procedure. They found that
it is effective for preventing PONV in patients undergoing
LC even at this dose. On the other hand, the small dose
of propofol (0.5 mg/kg) administered at the end of surgery
prolonged the times to awakening and orientation, but it
did not delay the time to discharge from the postanesthesia
care unit [21]. In another study, authors found that PONV
was reduced significantly in the total intravenous anesthesia
with propofol group compared to isoflurane-nitrous oxide
anesthesia group [22]. [3] S. A. K. Helmy, “Prophylactic anti-emetic efficacy of ondan-
setron in laparoscopic cholecystectomy under total intravenous
anaesthesia. A randomised, double-blind comparison with
droperidol, metoclopramide and placebo,” Anaesthesia, vol. 54,
no. 3, pp. 266–271, 1999. [4] M. Naguib, A. K. El Bakry, M. H. B. Khoshim et al.,
“Prophylactic antiemetic therapy with ondansetron, tropis-
etron, granisetron and metoclopramide in patients undergo-
ing laparoscopic cholecystectomy: a randomized, double-blind
comparison with placebo,” Canadian Journal of Anaesthesia, vol. 43, no. 3, pp. 226–231, 1996. Erdem et al. [23] used subhypnotic propofol infusion plus
dexamethasone to prevent PONV in children undergoing
tonsillectomy. In this study, the authors found that subhyp-
notic propofol infusion added to dexamethasone is more
efficient than dexamethasone alone. Also, we demonstrated
that propofol infused at a rate of 1 mg/kg/h for during
of operation reduced incidence of PONV did not prolong
awakening time. [5] E. J. Reimer, C. J. Montgomery, J. C. Bevan, P. M. Merrick,
D. Blackstock, and V. Popovic, “Propofol anaesthesia reduces
early post-operative emesis after paediatric strabismus surgery,”
Canadian Journal of Anaesthesia, vol. 40, no. 10, pp. 927–933,
1993. [6] A. J. Soppitt, P. S. A. Glass, S. Howell, K. Weatherwax, and T. J. Gan, “The use of propofol for its antiemetic effect: a survey
of clinical practice in the United States,” Journal of Clinical
Anesthesia, vol. 12, no. 4, pp. 265–269, 2000. Propofol used for the induction and maintenance of
anesthesia effectively reduced early (0–6 h) PONV incidence
in postoperative period [22]. 3.2. Secondary Outcome 3.2.1. Rescue Antiemetic. Four patients in group D, 4 patients
in group P and 13 patients in group C were given antiemetic
drug for 0–6 h. Patients in group D and group P had
significantly less rescue antiemetic requirements than those
of group C in this period (𝑃= 0.01 for both). One patient in
the group D, 3 patients in the group P, and 8 patients in the
group C were in need of rescue antiemetic drug during 6–
12 h. Patients in group D had significantly lower antiemetic
drug requirement than those of group P (𝑃= 0.01). There
were no significant differences among the groups in 12–24 h
in terms of antiemetic drug requirement (Table 2). The analgesic effects of the glucocorticoids are mainly
related to the inhibition of the phospholipase enzyme path-
way. Additionally they also decrease in proinflammatory
mediators such as interleukin-6 [14]. Dexamethasone use as an antiemetic agent in patients
receiving cancer chemotherapy dates back to 1981 [9]. Although the mechanism of the antiemetic effect of dex-
amethasone is not fully understood it was suggested that
dexamethasone may change in the permeability of the blood-
brain barrier to serum proteins and inhibit endogenous
opioid release and central prostaglandin synthesis [15, 16]. In one study, a single dose of glucocorticoid was given
at different times during the perioperative period (peri-
operative period is defined as the time interval 12 hours 3.2.2. Analgesic Requirements. In 0–24 h, 2 patients in the
group D, 3 patients in the group P, and 8 patients in the
group C were treated with diclofenac sodium 50 mg via 4 BioMed Research International BioMed Research International 5. Conclusion before surgery until the end of surgery) in elective surgical
procedures and it was found that glucocorticoid reduced
postoperative pain and vomiting and nausea in all application
times [17] We preferred to administer dexamethasone at 1
minute before anesthesia and found that this application of
8 mg dexamethasone reduced postoperative rescue analgesic
requirements and PONV. We concluded that propofol 1 mg/kg/h is as effective as
dexamethasone for the prevention of PONV during the
first 24 hours after anesthesia in patients undergoing LC. Furthermore, dexamethasone effectively reduced the rescue
analgesic requirement, while subhypnotic propofol infusion
did not. Borgeat et al. [18] demonstrated that propofol in sub-
hypnotic doses (10 mg) possesses direct antiemetic properties
in the context of minor elective surgery. Furthermore, the
use of propofol for maintenance of anesthesia has a positive
effect on PONV reduction [19]. Area postrema has the highest
concentration of the 5 HT3 receptors in the brain. Possible
stimulation of the 5 HT3 receptors in the area postrema with
propofol may cause antiemetic effect. The authors found that
the levels of serotonin were reduced in the area postrema
and cerebrospinal fluid in propofol administered rats. Thus,
antiemetic properties of propofol may be attributed to its
weak serotonin antagonistic effect [20]. Conflict of Interests The authors declare that there is no conflict of interests
regarding the publication of this paper. BioMed Research International BioMed Research International 5 [12] T. Bisgaard, B. Klarskov, H. Kehlet, and J. Rosenberg, “Preoper-
ative dexamethasone improves surgical outcome after laparo-
scopiccholecystectomy: a randomized double-blind placebo-
controlled trial,” Annals of Surgery, vol. 238, no. 5, pp. 651–660,
2003. [13] J. J. Wang, S. T. Ho, Y. H. Uen et al., “Small-dose dexamethasone
reduces nausea and vomiting after laparoscopic cholecystec-
tomy: a comparison of tropisetron with saline,” Anesthesia and
Analgesia, vol. 95, no. 1, pp. 229–232, 2002. [14] T. Kawamura, K. Inada, N. Nara, R. Wakusawa, and S. Endo,
“Influence of methylprednisolone on cytokine balance during
cardiac surgery,” Critical Care Medicine, vol. 27, no. 3, pp. 545–
548, 1999. [15] P. Livrea, M. Trojano, I. L. Simone et al., “Acute changes
in blood-CSF barrier permselectivity to serum proteins after
intrathecal methotrexate and CNS irradiation,” Journal of Neu-
rology, vol. 231, no. 6, pp. 336–339, 1985. [16] M. P. Callery, “Preoperative steroids for laparoscopic surgery,”
Annals of Surgery, vol. 238, no. 5, pp. 661–662, 2003. [17] K. Holte and H. Kehlet, “Perioperative single-dose gluco-
corticoid administration: pathophysiologic effects and clinical
implications,” Journal of the American College of Surgeons, vol. 195, no. 5, pp. 694–712, 2002. [18] A. Borgeat, O. H. G. Wilder-Smith, M. Saiah, and K. Rifat,
“Subhypnotic doses of propofol possess direct antiemetic prop-
erties,” Anesthesia & Analgesia, vol. 74, no. 4, pp. 539–541, 1992. [19] J. R. Sneyd, A. Carr, W. D. Byrom, and A. J. T. Bilski, “A
meta-analysis of nausea and vomiting following maintenance
of anaesthesia with propofol or inhalational agents,” European
Journal of Anaesthesiology, vol. 15, no. 4, pp. 433–445, 1998. [20] D. F. Cechetto, T. Diab, C. J. Gibson, and A. W. Gelb, “The
effects of propofol in the area postrema of rats,” Anesthesia and
Analgesia, vol. 92, no. 4, pp. 934–942, 2001. [21] D. Song, C. W. Whitten, P. F. White, S. Y. Yu, and E. Zarate,
“Antiemetic activity of propofol after sevoflurane and desflurane
anesthesia for outpatient laparoscopic cholecystectomy,” Anes-
thesiology, vol. 89, no. 4, pp. 838–843, 1998. [22] K. Visser, E. A. Hassink, G. J. Bonsel, M. R. N. Jeroen, and
J. K. Cor, “Randomized controlled trial of total intravenous
anesthesia with propofol versus inhalation anesthesia with
isoflurane-nitrous oxide postoperative nausea and vomiting
and economic analysis,” Anesthesiology, vol. 95, no. 3, pp. 616–
626, 2001. [23] A. F. Erdem, O. Yoruk, H. A. References In our study, early PONV
incidence was similar in dexamethasone and propofol group. So we can suggest that propofol was as effective as dexam-
ethasone for early PONV. [7] S. I. Kim, T. H. Han, H. Y. Kil, J. S. Lee, and S. C. Kim, “Pre-
vention of postoperative nausea and vomiting by continuous
infusion of subhypnotic propofol in female patients receiving
intravenous patient-controlled analgesia,” British Journal of
Anaesthesia, vol. 85, no. 6, pp. 898–900, 2000. In group D and group C, we infused 10% intralipid as
a placebo. Ostman et al. [24] demonstrated that intralipid
have not antiemetic effect. So intralipid may be placebo for
propofol, particularly in study of emesis.f [8] R. M. Sapolsky, L. M. Romero, and A. U. Munck, “How do glu-
cocorticoids influence stress responses? Integrating permissive,
suppressive, stimulatory, and preparative actions,” Endocrine
Reviews, vol. 21, no. 1, pp. 55–89, 2000. Glucocorticoids have analgesic and antiemetic effects
when administered perioperatively [25]. Data suggest that the
pain-reducing effects of glucocorticoids can be secondary to
a decrease in local edema [17]. Our study demonstrated that
analgesic requirement in postoperative (0–24 hour) was less
in patients given dexamethasone than in the control group. Limitations of this study: operation and anesthesia times were
longer than other study [26]. While this situation was not to
create a significant difference between the groups, incidence
of the PONV may be increased. [9] M. S. Aapro and D. S. Alberts, “Dexamethasone as an antiemetic
in patients treated with cisplatin,” The New England Journal of
Medicine, vol. 305, no. 9, p. 520, 1981. [10] The Italian Group for Antiemetic Research, “Dexamethasone,
granisetron, or both for the prevention of nausea and vomit-
ingduring chemotherapy for cancer,” The New England Journal
of Medicine, vol. 332, no. 1, pp. 1–5, 1995. [11] J. J. Wang, S. T. Ho, Y. H. Liu et al., “Dexamethasone reduces
nausea and vomiting after laparoscopic cholecystectomy,”
British Journal of Anaesthesia, vol. 83, no. 5, pp. 772–775, 1999. BioMed Research International Alici et al., “Subhypnotic propofol
infusion plus dexamethasone is more effective than dexam-
ethasone alone for the prevention of vomiting in children after
tonsillectomy,” Paediatric Anaesthesia, vol. 18, no. 9, pp. 878–
883, 2008. [24] P. L. Ostman, E. Faure, B. Glosten, M. Kemen, M. K. Robert,
and S. Bedwell, “Is the antiemetic effect of the emulsion
formulation of propofol due to the lipid emulsion?” Anesthesia
and Analgesia, vol. 71, no. 5, pp. 536–540, 1990. [25] A. Barros, C. P. Vale, F. C. Oliveira et al., “Dexamethasone
effect on postoperative pain and tramadol requirement after
thyroidectomy,” Pharmacology, vol. 91, no. 3-4, pp. 153–157, 2013. [26] D. C. Ionescu, A. I. Hadade, T. A. Mocan, and S. D. Margarit,
“The influence of a prophylactic dose of dexamethasone for
postoperative nausea and vomiting on plasma interleukin con-
centrations after laparoscopic cholecystectomy: a randomised
trial,” European Journal of Anaesthesiology, vol. 31, no. 4, pp. 204–211, 2014.
|
https://openalex.org/W2280824059
|
https://europepmc.org/articles/pmc4766746?pdf=render
|
English
| null |
Why dentists don’t use rubber dam during endodontics and how to promote its usage?
|
BMC oral health
| 2,016
|
cc-by
| 8,026
|
© 2016 Madarati. 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. Madarati BMC Oral Health (2016) 16:24
DOI 10.1186/s12903-016-0175-2 Madarati BMC Oral Health (2016) 16:24
DOI 10.1186/s12903-016-0175-2 Why dentists don’t use rubber dam during
endodontics and how to promote its
usage? Ahmad A. Madarati Abstract Background: This survey study aimed at investigating the frequency of rubber dam use during root canal treatment,
identifying influencing factors for not using it by Saudi general dental practitioners (GDPs) and endodontists. It also
aimed at identifying measures that increase rubber dam usage. Methods: After obtaining an ethical approval, two pilot studies were conducted on staff members at Taibah University
College of Dentistry and a group of GDPs. A final online survey was constructed comprising 17 close-ended questions
divided into six categories: demographics, endodontic practice, rubber dam use, alternative isolation methods, reasons
for not using rubber dam, and measures and policies that increase its usage. The survey was emailed to 375 GDPs
randomly selected from the dental register and all endodontists (n = 53) working in the western province, Saudi Arabia. Data were analyzed using the Chi-square and Linear-by-Linear association tests at p ≤0.05. Results: The proportion of endodontists who used rubber dam (84.8 %) was significantly greater than that of GDPs
(21.6 %) (p < 0.001). Significantly the highest proportion (40.5 %) did not use rubber dam because of unavailability at
working place. Most rubber dam none-users (69.25 %) used a combination of other isolation means. The highest
proportion of those who used rubber dam were working in the governmental sector (54.3 %). Among rubber dam
users, the greatest proportion graduated from Saudi Arabia (57.8 %) compared to those graduated from Egypt (34.3 %)
and Syria (22.4 %). There was a significant correlation between the patterns of rubber dam use during undergraduate
training and its usage after graduation (p = 0.001). The highest proportion of participants (48.1 %) reported better
undergraduate education as the most important factor that would increase rubber dam use in dental practice. Conclusions: Using of rubber dam was not common in Saudi general dental practice. Dentists must follow the
recommended standards of care. Place of work and patterns of using rubber dam during undergraduate study were
the most influencing factors. Better undergraduate education was the most important proposed measure to increase
its usage. The combination of cotton rolls and saliva high-volume ejector or gauze was the most common alternative
to rubber dam isolation. Keywords: Endodontics, Isolation, Questionnaire, Rubber dam, Root canal, Survey, Education, Alternatives Correspondence: ahmad.madarati@hotmail.co.uk
College of Dentistry, Taibah University, PO Box 30034, Madina 41477, Saudi
Arabia Background The questionnaire was electronically sent to the 375 se-
lected GDPs and all endodontists working in the western
province, Saudi Arabia (53). The email explained study
aims and confirmed that participants’ identity would re-
main anonymous. A reminder email was sent to all se-
lected dentists and endodontists after 8 weeks. Responses
were collected and data were entered into SPSS 19 for
Windows software (SPSS Inc., Chicago, IL, USA). Data
were analyzed using the Chi-square and Linear-by-Linear
association tests at the 0.05 level of significance. reported a case of swallowing of endodontic files [6],
which may cause patients’ death [7]. However, reports
have shown lack of RD use among clinicians in several
countries [8, 9] with only a few exceptions [10, 11]. Many reasons were reported such as: placement difficulty,
time consumption, patients’ rejection, lack or insufficient
training, and high cost [3, 9, 12–14]. In addition, gender,
undergraduate and postgraduate training, treated tooth
and number of RCTs performed, year of qualification,
graduation from different schools, practice location and
type, and high interest in endodontics have been investi-
gated as possible influencing factors [8, 9, 12, 14–19]. g
p
g
[
]
Many questionnaire studies were conducted in differ-
ent countries and reported various usage frequencies. Yet in some countries, like the United Kingdom and the
United States of America, different studies were con-
ducted at different periods of time; showing the trend of
RD usage over time [8–10, 12, 15–17, 19–21]. This may
give an insight to attitudes and preferences of practi-
tioners towards RD usage over different times. However,
conducting studies in different countries may reveal differ-
ences in practices and preferences among practitioners of
these countries. This can reflect, to certain extent, the im-
pact of professional environment, undergraduate and
postgraduate curricula, educational guidelines and govern-
mental regulations on attitudes and preferences of clini-
cians in a specific country. Ahmed et al. stressed the
importance of further research, especially on educational
methods, to overcome the discrepancy between the well
adoption of RD during undergraduate training and the
low frequency of usage after graduation [22]. Within this respect, a single study inspected the fre-
quency of RD use in Saudi Arabia. It did not investigate
the different aspects of RD use as the questionnaire was
about general RCTs procedures [23]. Background scrubbing the working field and prevents salivary con-
tamination; hence it enables the preparation of an asep-
tic working field. RD also, helps protecting patients from
inhalation
or
ingestion
of
endodontic
instruments,
retracting soft tissues, and contributing to efficient treat-
ment [2–4]. Consequently, RD isolation during RCTs
has been considered as a standard of care [2]. A previous
questionnaire study showed that 75 % of respondents
felt that RD should be used compulsory during RCTs
[5]. This was in agreement with Heling & Heling who Although the concept of isolating teeth undergoing root
canal treatment (RCT) was first introduced 150 years
ago [1], to this date, rubber dam (RD) is still the ideal
tool for tooth isolation during dental therapeutic proce-
dures. It has several advantages during RCTs for dental
professionals and patients. It facilitates washing and Correspondence: ahmad.madarati@hotmail.co.uk
College of Dentistry, Taibah University, PO Box 30034, Madina 41477, Saudi
Arabia Madarati BMC Oral Health (2016) 16:24 Page 2 of 10 Page 2 of 10 (version 2013). The study, including the questionnaire
form, was ethically approved by the Research Ethics
Committee
(REC)
at
College
of
Dentistry,
Taibah
University, Saudi Arabia. Participants’ personal informa-
tion including email addresses remain confidential in
web-based surveys, therefore the ethical committee ap-
proved this study without the need for obtaining a con-
sent form from each participant. The methodology was
that described in another part of the study (accepted for
publication). Briefly, a sample size calculation was car-
ried out through population for descriptive sampling
technique with an expected response rate between 40
and 60 and 90 % power calculation. Hence, 375 GDPs
were randomly selected by a third person who was not
related to the study. A first pilot self-administrated ques-
tionnaire was distributed to the academic staff members
at College of Dentistry, Taibah University to formulate a
questionnaire that includes relative aspects. A second
pilot study was conducted on a sample of general dental
practitioners (GDPs) to ensure that questions were easily
understood. A final online questionnaire was con-
structed using the Google Drive tool. The web-based
questionnaire related to this part comprised 17 close-
ended questions in five categories; a) demographics, b)
general endodontic practice, c) usage of RD, d) reasons for
no use, e) alternative methods for tooth isolation during
RCT, and f) policies and measures to increase RD usage. Classification of respondents p
Of the 237 who responded to this study, 175 (73.8 %)
were GDPs, 34 (14.3 %) endodontists, 9 (3.8 %) students
or residents in endodontic postgraduate studies pro-
grammes, and 19 (8 %) others (residents in other field
such as orthodontics or periodontics, but they were
performing root canal treatments). It is well known,
in Saudi Arabia, that some specialists perform dental
treatments, including RCTs, in addition to their spe-
cialized treatments. Placing RD is mandatory during
endodontic postgraduate studies programmes in Saudi
Arabia; hence students or residents in endodontic
postgraduate studies programmes were classified as
endodontists for specific variable for better statistical
analysis. I. There would be no significant differences among
respondents regarding the reasons for not using RD
isolation during RCTs. II. There would no significant differences among
respondents in reporting factors that may increase
RD use in dental practice. Background Therefore, con-
ducting a questionnaire study will give insight into atti-
tudes and preferences of dental clinicians, practicing in
Saudi Arabia, towards using RD during RCTs. The sur-
vey study was divided into two parts. This part of the
study aimed at investigating the frequency of RD use
during RCT and its influencing factors. It also aimed at
identifying measures that increase its usage. Therefore,
the null hypotheses of this study were: Reasons for not using RD All those who did not use RD reported the reasons for
doing so (Table 2). Significantly, the highest proportion
of them (40.5 %) did not use RD because it was not
available at the working place (p < 0.001). Overall, there
were no significant differences between endodontists
and GDPs (p = 0.265). Response rates Table 2 Reasons for not using rubber dam (%)
Respondents
Difficult
use
Time
consuming
Not available
at work
Others
Total
Endodontists
0
0
80
20
100
GDPs
23.3
16.7
39.2
20.8
100
Others
0
16.7
33.3
50
100
Total
21.4
16
40.5
22.1
100 Table 2 Reasons for not using rubber dam (%) Table 2 Reasons for not using rubber dam (%) The total number of sample size was 428 (375 GDPs
and 53 endodontists). The overall response rate was 237 /
428 = 55.4 %. GDPs and others’ response rate was: 203 /
375 = 54.1 %. Response rate for endodontists was: 34 / 53
= 64.2 %. Methods This survey study was conducted in accordance with the
World Medical Association Declaration of Helsinki Madarati BMC Oral Health (2016) 16:24 Page 3 of 10 Number of RCTs per week Overall, a significantly greater proportion of respon-
dents (62.7 %) did not use RD (p < 0.001) (Table 1). The proportion of endodontists who used RD (84.8 %)
was significantly greater than that of GDPs (21.6 %)
[p < 0.001]. Nearly 12 % of participants never performed RCTs
(Table 5). Whilst the highest proportion of endodontists
(45.2 %) performed more than 12 RCTs per week, only
26.1 % of GDPs did so (p = 0.002). The number of RCTs
significantly and linearly correlated with participants’
experience (p < 0.001) (Table 6). There was no linear
correlation between the number of RCTs and the use of
RD (p = 0.400). Alternatives of RD isolation Overall, there were no significant differences between
endodontists and GDPs (p = 0.512). Significantly, the
highest proportion of RD none-users (69.25 %) used a
combination of at least two of other isolation means
(cotton roll, saliva ejector or throat pack) [p < 0.001]
(Table 3). Type of work The proportion of those who were working in private
(51.5 %) was significantly greater than that of govern-
mental sector (40.3) [p = 0.038] (Table 7). Whilst the
highest proportion of GDPs (60.8 %) worked in private
sector, the highest proportion of endodontists (48.5 %)
worked for government (p < 0.001). Whereas, the major-
ity of those who were working in private sector did not
use RD (85.2 %), the higher proportion of those who
were working in the academic (90 %) and governmental
sectors (53.7 %) used it (p < 0.001). Experience of participants Significantly, the highest proportion graduated from
Saudi Arabia and Syria (29.8 and 22.4 %, respectively)
(p < 0.001) (Table 8). The proportion of Saudi Arabia
graduates who used RD (56.8 %, excluding postgraduate
students) was significantly greater than that of Egypt and
Syria graduates and used RD (35.3 and 20.8 %, respect-
ively) [p = 0.005]. The highest proportion of those who
graduated from Saudi Arabia were working in govern-
mental sector (68.4 %), which was significantly greater
than those who graduated from Syria, Jordan and Egypt
and worked in the same sector (18, 43.8 and 52.8 %,
respectively) [p < 0.001]. Overall, there was no significant difference between the
proportions of the four categories of respondents’ experi-
ence (p = 0.480) (Table 4). However, whilst the highest
proportion of GDPs (32.8 %) had up to 3 years’ experi-
ence, the highest proportion of endodontists (58.8 %) Table 1 Frequency of rubber dam use
Use of rubber dam (%)
Respondents
Yes
No
Total
Endodontists
28 (84.8 %)
5 (15.2 %)
33 (100 %)
Endodontics Postgraduate
Students
9 (100 %)
0 (0 %)
9 (100 %)
GDPs
33 (21.6 %)
120 (78.4 %)
153 (100 %)
Other
8 (57.1 %)
6 (42.9 %)
14 (100 %)
Total
78 (37.3 %)
131 (62.7 %)
209 (100 %) Table 1 Frequency of rubber dam use Non-response bias There was no significant difference between the propor-
tion of early respondents who used RD for RCTs
(36.4 %) and that of late respondents who did so (39.7 %)
[p = 0.681]. had 7.1 to 15 years’ experience (p < 0.001). There was no
significant correlation between respondents experience
and using RD (p = 0.844). Training on RD use Training on RD use
Significantly, the highest proportion (67.4 %) did not
have training on RD placement (p < 0.001) (Table 9). The
proportion
of
participants
who
had
extensive Madarati BMC Oral Health (2016) 16:24 Page 4 of 10 Table 3 Alternative methods for isolating teeth receiving RCTs (%)
Respondents
No need for isolation
Combination of at least two
of other means
Cotton roll
Suction
Total
Endodontists
0
100
0
0
100 (5)
GDPs
0.8 (1)
68.1 (81)
26.1 (31)
5 (6)
100 (120)
Others
0 (0)
66.4 (4)
33.3 (2)
0 (0)
100 (6)
Total
0.8 (1)
69.2 (90)
25.4 (33)
4.6 (6)
100 (130)
Early Respondents
1.2 (1)
69.9 (58)
24.1 (20)
4.8 (4)
100 (83)
Late Respondents
0 % (0)
68.1 (32)
27.7 (13)
4.3 (2)
100 (47)
The numbers in parentheses are frequencies of respondents Table 3 Alternative methods for isolating teeth receiving RCTs (%) The numbers in parentheses are frequencies of respondents Policy for endodontic specialized practice use
The majority (90.5 %) suggested mandatory use of RD in
endodontic specialized practice (p < 0.001) (Table 11);
with no significant difference between endodontists and
GDPs (100 and 88.3 %) [p = 0.063]. Policy for endodontic specialized practice use
The majority (90.5 %) suggested mandatory use of RD in
endodontic specialized practice (p < 0.001) (Table 11);
with no significant difference between endodontists and
GDPs (100 and 88.3 %) [p = 0.063]. training and used RD (71.4 %) was significantly greater
than those who did not have or had little training and
used RD (35.5 and 26.5 %, respectively) [p = 0.001]. RD use during undergraduate study Overall, significantly the highest proportion (38 %) re-
ported mandatory RD use for all RCTs steps including
access cavity during undergraduate study (p <0.001)
(Table 10). Overall, there was a significant positive cor-
relation between the use of RD during undergraduate
study and using RD after graduation (p = 0.001). The
proportion of participants who graduated from Saudi
Arabia and reported a mandatory RD usage during all
RCTs procedures (majority 79.4 %) was significantly
greater than that graduated from Jordan and reported
the same usage pattern (43.8 %) [p = 0.048]. Factors may contribute to better RD usage
Significantly,
the
highest
proportion
of
participants
(48.1 %) believed that better undergraduate education is
the most important factor that contributes to better im-
plementation of RD in dental practice followed by strict
governmental regulations (22.8 %) [p < 0.001] (Table 12). There was no significant difference between endodon-
tists and GDPs (p = 0.066). Discussion Questionnaires reporting attributes, preferences, prac-
tices and demographies of participants are an important
research tool. However, they should be well conducted
to enable high response rates, therefore the results can
be generalised [24]. This study was conducted on GDPs
and endodontists of the western province, Saudi Arabia
only; which can be considered as a limitation. However,
our unpublished data revealed no significant differences
in endodontic practice among the different provinces of
Saudi Arabia. Well identification of practice’s aspects
and correct questions’ formats are important features of
survey studies. However, good sampling and none-
response bias are essential factors [24]. Two pilot studies
on
staff
members
at
College
of
Dentistry, Taibah Policy for RD usage at different dental practice
Policy for undergraduate study training use
The majority (91.1 %) recommended mandatory use of
RD during undergraduate training (p < 0.001) with no
significant difference between endodontists and GDPs
(p = 0.472) (Table 11). Policy for general dental practice use Significantly, the highest proportion (76.7 %) sug-
gested Mandatory use of RD in general dental prac-
tice (p < 0.001) (Table 11); with a significantly greater
proportion of endodontists compared to that of GDPs
(90.7 and 74.1 %) [p = 0.048]. Table 4 Respondents details regarding years of practice after graduation (experience) (%)
Respondents
Up to 3 years
3.1 to 7 years
7.1 to 15 years
More than 15 years
Total
GDPs
32.8 (42.4)
27 (33.3)
20.1 (15.2)
20.1 (9.1)
100 (21.6)
Endodontists
0
11.8 (14.3)
58.8 (60.7)
29.4 (25)
100 (84.8)
Endo Postgraduate students
11.1 (11.1)
77.8 (77.8)
11.1 (11.1)
0 (0)
100 (100)
Others
10.5 (12.5)
21.1 (12.5)
47.4 (62.5)
21.1 (12.5)
100 (57.1)
Total
25.4 (20.5)
26.3 (29.5)
27.5 (35.9)
20.8 (14.1)
100 (37.3)
The values in parentheses represent proportion of respondents who currently use RD Madarati BMC Oral Health (2016) 16:24 Page 5 of 10 Table 5 Number of RCTs performed per week (%)
Respondents
Never do RCTs
1–2 cases
3–5 cases
6–10 cases
More than 12 cases
Total a
Endodontists
2.3
2.4
21.4
31
45.2
100
GDPs
12.6
22.2
28.1
23.5
26.1
100
Other
26.3
50
28.6
7.1
14.3
100
Total
11.8
20.1 (50)
26.8 (30.4)
23.9 (34)
29.2 (37.7)
100 (37.3)
aThe total of those who were performing RCTs only. The values in the brackets represent proportions of RD users within Number of RCT cases performed per
week groups University and a group of GDPs were conducted to ob-
tain easily answered survey which in turn eliminates
interpretation-related bias [24]. A high response rate
(70–80 %) is preferred to minimize the risk of bias [25]. However, a response rate as low as 43 % has the least
none-response bias [26]. Hence, the overall 55.4 % re-
sponse rate obtained in this study is satisfactory. This is
especially true with the fact that internet-based surveys
achieve lower response rates than those of postal ones
[27]. Approaching dentists by email rather than mail
post service can be another limitation of this study. Re-
sults of survey studies can be invalid if the none-
respondents differ from the respondents [28]. Also, if
the none-response is not due to questionnaire design,
then the none-respondents can be ignored and the re-
spondents can be used as a representative sample of the
population [28]. Policy for general dental practice use One accepted method to investigate
none-response bias is to determine the late-response
bias
by
comparing
responses
of
participants
who
responded to the survey after the first request, with
those who responded after reminder requests [29]. The
results of our study did not reveal non-response bias; in
that there was no significant difference between the pro-
portion of early respondents who used RD for RCTs
(36.4 %) and that of late respondents who did so
(39.7 %). previous questionnaires; 2 % [18], 12 % [30], 20 %
[31] and 30 % [19]. However, there has been obvious
increase in RD usage among Saudi dental practi-
tioners compared to previous studies [23, 32]. This
could be attributed to the current undergraduate cur-
ricula compelling mandatory RD use during RCTs
procedures. Also, these findings may reflect improve-
ment in clinician’s awareness towards the importance
of using RD. Previous studies, conducted in UK and
USA, reported similar improvement of RD usage over
a period of time [33, 34]. p
A variety of disincentives to regular RD use amongst
GDPs have been suggested. One report showed that the
most common causes for GDPs negative attitudes were
“inconvenience” and that “RD was unnecessary” [10]. Such poor decision-making in clinical practice may
reflect GDPs’ need of compiling strong evidence to
change their attitude towards RD application. Unfor-
tunately, clinical cohort studies with a control group
of patients receiving root canal treatments without
RD is unethical. Nevertheless, a recent study reported
a significantly greater survival probability of teeth
when
an
initial
RCT
was
performed
using
RD
(90.3 %) than the 88.8 % observed among those
treated without RD [35]. The most commonly re-
ported reason for not using RD, in the current study,
was
its
unavailability
at working
place
(40.5
%). Interestingly, 80 % of endodontists who were not
using RD and reported this reason were working in
private practice. This stress the need for more atten-
tion and strict regulations to be applied in private
sector and regularly monitored. This is especially true
as it is well known among endodontists that using
RD is a standard of care. Nevertheless, it can be spec-
ulated that reporting such a reason may reflect the
willingness of practitioners to use RD once available. Policy for general dental practice use Time required
for placing RD is perceived by some clinicians, unfor-
tunately, as wasted time rather than time spent on an
essential procedure for a successful and safe RCT. Nevertheless, this time is far less than the time re-
quired for changing cotton rolls and frequent rinsing
by the patient [41, 43]. Also, time saved by working
in a clean and aseptic field with good visibility may
compensate for the time spent for RD placement [43]. Like other reports [9, 10, 12, 33, 37], 7 % of the current
study respondents claimed that they did not use RD be-
cause of patients’ discomfort or patients’ rejection. How-
ever, reports showed that patients have no objection,
and moreover, they would prefer RD placement in fu-
ture visits [39–42]. In fact, patients’ negative attitudes,
when exists, can be usually explained in light of lack of
experience, competency, enthusiasm and communica-
tion skills of the clinicians and assistants. Reports have
shown that clinicians’ positive attitudes [40] and their
enhanced experience [41, 42] can increase patients’
acceptance. Those who were not using RD reported other isolation
methods
including:
cotton
roll,
high-volume
saliva
ejector or throat pack; with the highest proportion of
them (69.25 %) using a combination of two of these
methods. Previous surveys showed that the majority of
those who did not use RD (83–88 %) were using cotton
rolls alone or with other isolation means [18, 19, 34]. These alternative methods may protect the cheeks, lips,
tongue and intra-oral soft tissue. However, their efficacy
in providing complete isolation, especially against liquids
that irritate soft tissues, is questionable. They, also,
cannot prevent accidental ingestion or inhalation of end-
odontic instruments and materials; which can be life-
threating accidents [6, 7]. It could be argue that inges-
tion or inhalation of endodontic instruments can be
prevented by securing them by dental floss or by using
rotary files mounted on a hand-piece. However, these
methods are less satisfactory than RD in respect of pro-
viding aseptic field [17]. As expected, the proportion of endodontists who
were using rubber dam (84.8 %) was significantly
greater than that of GDPs (21.6 %). These findings
were consistent with those obtained in a study con-
ducted in USA [42]. This could be explained by the
advanced training on RD placement that endodontists
gain during postgraduate study programmes. Better
training contributes to more RD usage [8]. Policy for general dental practice use The second and third most common reasons were
difficult
placement
(21.4
%)
and
time
consuming
(16 %), which were also reported in previous studies
[9, 10, 33, 36, 37]. Application of RD during RCTs is
mandatory for undergraduate students in almost all
Saudi dental institutes. Hence, attributing poor usage
to difficult placement is invalid. Indeed, some clini-
cians considered the ability to place RD successfully RD isolation of teeth undergoing RCTs has been
considered mandatory and standard of care due to its
advantages as discussed earlier [2]. Nevertheless, our
results showed that only 21.6 % of GDPs were using
RD. This poor usage rate, however, is not an excep-
tion and is within the rates’ range reported in several Table 6 Correlation of weekly performed RCTs and respondents’
experience (%)
Respondents’ experience
(years)
1–2
cases
3–5
cases
6–10
cases
More than
10 cases
Total
Up to 3
40
26
20
14
100
3.1 to 7
16.4
32.7
21.8
29.1
100
7.1 to 15
17.5
25.4
20.6
36.5
100
More than 15
4.9
22
36.6
36.5
100
Total
20.1
26.8
23.9
29.2
100 Table 6 Correlation of weekly performed RCTs and respondents’
experience (%) Madarati BMC Oral Health (2016) 16:24 Page 6 of 10 Table 7 Rubber dam use according to type (place) of work (%)
Respondents
Private
Academic
Government
Postgraduate Programme
Total
GDP
60.8 (9.7)
0.6
38.3 (37.9)
0 (0)
100 (21.6)
Endodontists
27.3 (55.6)
24.2 (100)
48.5 (93.8)
0 (0)
100 (84.8)
Endo Postgraduate students
0 (0)
0 (0)
37.5 (100)
62.5 (100)
100 (100)
Other
31.6 (33.3)
21.1 (66.7)
42.1 (80)
5.3 (0)
100 (57.1)
Total
51.5 (14.8)
5.6 (90)
40.3 (53.7)
2.6 (100)
100 (37.3)
The values in parentheses represent proportion of respondents who currently use RD can be achieved by experience, which, in turn can
only be attained by regular use [13, 37]. The difficulty
in taking radiographs with the dam in-place, espe-
cially for working length or cone fit determination, is
another possible reason for not using RD [38]. How-
ever, prevention of swallowing or inhalation of end-
odontic instruments and materials should be a great
incentive. Similarly, claiming that placing RD is a
time consuming procedure (16 %) is unacceptable; as
RD can be placed, even by inexperienced dentists, in
few minutes (1–8 min) [13, 39–42]. The values in brackets represent proportion of respondents who used RD within each corresponding country group Policy for general dental practice use The dee-
per understanding of its use advantages is another
possible reason. Moreover, endodontists may become
more conscious about the risks their patients might
be exposed to without RD placement. Performing Table 8 Rubber dam use according to country of bachelor degree and place of work (%)
Place of work
Saudi Arabia
Syria
Jordan
Egypt
Other Arab Countries
Other Countries
Private
24.6 [33.3]
80 [10.5]
50 [28.6]
41.7 [6.7]
73.3 [15]
58.3 [15.4]
Academia
7 [75]
2 [100]
6.2 [100]
5.6 [90]
6.7 [100]
12.5 [100]
Government
68.4 [61.3]
18 [55.6]
43.8 [57.1]
52.8 [57.9]
20 [33.3]
29.2 [28.6]
Total
100 [56.8]
100 [20.8]
100 [46.7]
100 [35.3]
100 [25]
100 [27.3]
(29.8)
(22.4)
(7)
(16.2)
(13.2)
(11.4)
100 [37.3]
The values in brackets represent proportion of respondents who used RD within each corresponding country group The values in brackets represent proportion of respondents who used RD within each corresponding country group Madarati BMC Oral Health (2016) 16:24 Page 7 of 10 Table 9 Rubber dam use according to country of graduation and previous training on RD placement (%)
Country of bachelor degree
Training on RD use
Saudi Arabia
Syria
Jordan
Egypt
Other Countries
Total
No
76.5 (58.3)
62.7 (20)
81.2 (46.2)
70.3 (29.2)
54.5 (24.1)
67.4 (35.5)
Extensive
11.8 (100)
7.8 (50)
0 (0)
13.5 (60)
9.1 (60)
9.3 (71.4)
Little
11.8 (33.3)
29.4 (20)
18.8 (50)
16.2 (33.3)
36.4 (23.5)
23.3 (26.5)
Total
100
100
100
100
100
100 (37.3)
The values in parentheses represent proportion of respondents who used RD Table 9 Rubber dam use according to country of graduation and previous training on RD placement (%) In agreement with a previous study [45], our results
showed that the majority of those who did not use RD
were working in private. On the other hand, the majority
of RD users were working in the academic and govern-
mental sectors. Saudi governmental sector includes
Ministry of Health, Universities, National Guard and
Military Service. Generally, governmental hospitals in
Saudi Arabia are well equipped; hence RD armamentaria
are readily available. In light of this assumption, the
most common reason for not using RD reported in our
study was unavailability. Also, practitioners may be mo-
tivated to follow regulations of high standards; realizing
that they are being watched by their peers working at
the same place. Policy for general dental practice use A previous study did report greater
usage of RD amongst operators in group practice than
solo one [8]. RCTs using RD is mandatory during postgraduate and
residency
programmes,
which
gradually
improves
postgraduate students and residents’ skills in its use. The more they use RD, the easier and quicker they
can place it. This in turn, may attribute, to great ex-
tent, to better attitudes towards RD placement when
working as endodontists independently. Within this
respect, some of the reasons that GDPs reported for
their negative attitude such as difficult placement and
time consumption [36, 37] can be related indirectly to
the infrequent usage. Results showed no significant differences among the
four categories of participants’ experience after gradu-
ation regarding RD usage; which were consistent with
those of previous reports [12, 15, 34, 43, 44]. RD usage
is usually abandoned by GDPs after graduation [3, 34]. However, the highest proportion of GDPs users (42.4 %)
was within the recently graduated group, which is in
consistent with a previous study [30]. Recently graduated
practitioners are probably educated and trained with ad-
vanced methods which concentrate on the increasing at-
tention and the advantages of RD isolation. In addition,
they are exposed to more recent research which may
contribute to better attitude towards RD compared to
old practitioners [14]. The enthusiasm of the recent
graduates who want to prove themselves may motiv-
ate them to provide higher quality of dental services. The popularity of RD use in governmental sector may
explain its popularity among clinicians graduated from
Saudi institutes. The majority of them (68.4 %) was
working in the governmental sector; which was signifi-
cantly greater than those who graduated from other
countries and worked in the same sector. Undergraduate
curricula of different dental schools was investigated as a
possible influencing factor on RD usage [9, 12, 14, 19]. Only one study reported a significant influence of such
factor when respondents graduated from two different
schools were compared [12]. re calculated out of all those who responded to this questions. The values in parentheses represent proportion of respondents who Policy for general dental practice use This stresses the importance of further re-
search to investigate the impact of different methods of
undergraduate education in better implementation of
RD usage in practice after graduation [22]. Providing
proper training, whether during undergraduate or post-
graduate studies, is of great importance. A previous
study reported that RD non-users would use it if they
knew how to simply place it [12]. In addition, Joynt et al
suggested that there should be greater emphasis during
the educational process on explaining the importance
and the reasons for using RD rather than on placement
techniques [8]. Interestingly, our results showed that the
majority of those who received intensive training were
using RD [8]. These findings are in consistent with those
obtained in previous reports [8, 16]. However, only 9.3 %
of the current study respondents received intensive
training. This stresses the need for better education and studies’ respondents qualified from universities of coun-
tries where the studies were conducted in. By contrast,
only 29.8 % of the current study’ respondents qualified
from Saudi Arabia. Qualifying from overseas countries
of different undergraduate curricula reflected clearly on
respondents’ preferences in using RD. The proportion of
participants who graduated from Saudi Arabia and used
RD was significantly greater than that of participants
who graduated from Egypt and Syria and used RD. The
more RD is used during the undergraduate study, the
greater the trend towards using it after graduation. The
proportion of participants graduated from Saudi Arabia
and reported a mandatory RD usage during all RCTs
procedures (majority; 79.4 %) was significantly greater
than that of participants who graduated from other
countries and reported the same undergraduate policy of
RD usage. This stresses the importance of further re-
search to investigate the impact of different methods of
undergraduate education in better implementation of
RD usage in practice after graduation [22]. Providing
proper training, whether during undergraduate or post-
graduate studies, is of great importance. A previous
study reported that RD non-users would use it if they
knew how to simply place it [12]. In addition, Joynt et al
suggested that there should be greater emphasis during
the educational process on explaining the importance
and the reasons for using RD rather than on placement
techniques [8]. Interestingly, our results showed that the
majority of those who received intensive training were
using RD [8]. These findings are in consistent with those
obtained in previous reports [8, 16]. Policy for general dental practice use The majority of previous Table 10 Rubber dam use according to country of graduation and usage pattern during undergraduate study (%)
Country of bachelor degree
Strategy of RD use during undergraduate study
Saudi Arabia
Syria
Jordan
Egypt
Total a
Not in the curriculum
0 (0)
54.9 (36.4)
0 (0)
18.9 (8.3)
20.7 (22.2)
Optional
1.5 (3.8)
33.3 (36.4)
6.3 (14.3)
24.3 (33.3)
19 (31)
Mandatory during one stage
1.5 (0)
3.9 (9.1)
6.3 (14.3)
2.7 (0)
4.2 (22.2)
Mandatory during one RCT
1.5 (0)
2 (0)
0 (0)
8.1 (8.3)
3.4 (28.6)
Mandatory for all RCTs after Access cavity
16.2 (19.2)
3.9 (9.1)
43.8 (42.9)
29.7 (25)
14.8 (41.9)
Mandatory for all RCTs including access cavity
79.4 (76.9)
2 (9.1)
43.8 (28.6)
16.2 (25)
38 (50.7)
Total
100
100
100
100
100 (37.3)
aThe total proportions were calculated out of all those who responded to this questions. The values in parentheses represent proportion of respondents who
used RD Madarati BMC Oral Health (2016) 16:24 Page 8 of 10 Table 11 Respondents’ recommended policy for RD usage during undergraduate study and general and endodontic specialized
practice (%) Table 11 Respondents’ recommended policy for RD usage during undergraduate study and general and endodontic specialized Table 11 Respondents’ recommended policy for RD usage during undergraduate study and general and endodontic specialized
practice (%)
During undergraduate study
General dental practice
Endodontic specialized practice
Respondents
Optional
Mandatory
Optional
Mandatory
Optional
Mandatory
Endodontists
4.7
95.3
9.3
90.7
0
100
GDPs
9.8
90.2
25.9
74.1
11.7
88.3
Other
11.1
88.9
31.6
68.4
12
88
Total
8.9
91.1
23.3
76.7
9.5
90.5 studies’ respondents qualified from universities of coun-
tries where the studies were conducted in. By contrast,
only 29.8 % of the current study’ respondents qualified
from Saudi Arabia. Qualifying from overseas countries
of different undergraduate curricula reflected clearly on
respondents’ preferences in using RD. The proportion of
participants who graduated from Saudi Arabia and used
RD was significantly greater than that of participants
who graduated from Egypt and Syria and used RD. The
more RD is used during the undergraduate study, the
greater the trend towards using it after graduation. The
proportion of participants graduated from Saudi Arabia
and reported a mandatory RD usage during all RCTs
procedures (majority; 79.4 %) was significantly greater
than that of participants who graduated from other
countries and reported the same undergraduate policy of
RD usage. References 30. Peciuliene V, Rimkuviene J, Aleksejuniene J, Haapasalo M, Drukteinis S,
Maneliene R. Technical aspects of endodontic treatment procedures among
Lithuanian general dental practitioners. Stomatologija. 2010;12:42–50. 1. Elderton RJ. A modern approach to the use of rubber dam. 3. Dent Pract
Dent Rec. 1971;21:267–73. 2. European Society of Endodontology. Quality guidelines for endodontic
treatment: consensus report of the European Society of Endodontology. Int
Endod J. 2006;39:921–30. 2. European Society of Endodontology. Quality guidelines for endodontic
treatment: consensus report of the European Society of Endodontology. Int
Endod J. 2006;39:921–30. 31. Kapitan M, Sustová Z. The use of rubber dam among Czech dental
practitioners. Acta Med (Hradec Kralove). 2011;54:144–8. 32. Iqbal A, Akbar I, Qureshi B, Sghaireen MG, Al-Omiri MK. A survey of
standard protocols for endodontic treatment in north of KSA. ISRN
Dent. 2014;4:865780. 3. Ahmad IA. Rubber dam usage for endodontic treatment: a review. Int
Endod J. 2009;42:963–72. 3. Ahmad IA. Rubber dam usage for endodontic treatment: a review. Int
Endod J. 2009;42:963–72. 4. Rhodes JS. Advanced endodontics. London: Taylor & Francis Group;
2006. p. 4–5. 4. Rhodes JS. Advanced endodontics. London: Taylor & Francis Group;
2006. p. 4–5. 33. Going RE, Sowinski VJ. Frequency of use of the rubber dam: a survey. J Am
Dent Assoc. 1967;75:158–66. 5. Shashirekha G, Jena A, Maity AB, Panda PK. Prevalence of rubber dam usage
during endodontic procedure: a questionnaire survey. J Clin Diagn Res. 2014;8:1–3. 34. Anabtawi MF, Gilbert GH, Bauer MR, Reams G, Makhija SK, Benjamin PL, et
al. Rubber dam use during root canal treatment: findings from The Dental
Practice-Based Research Network. J Am Dent Assoc. 2013;144:179–86. 6. Heling B, Heling I. Endodontic procedures must never be performed
without the rubber dam. Oral Surg Oral Med Oral Pathol. 1977;43:464–6. 35. Lin PY, Huang SH, Chang HJ, Chi LY. The effect of rubber dam usage on the
survival rate of teeth receiving initial root canal treatment: a nationwide
population-based study. J Endod. 2014;40:1733–7. 7. Fresa R. Il consenso informato in Odontoiatria [informed consent in the
Odontoiatria] .G. Ediz. Medico Scientifiche, Torino. 1998. p. 230. 36. Ahmed MF, Elseed AI, Ibrahim YE. Root canal treatment in general practice
in Sudan. Int Endod J. 2000;33:316–9. 8. Joynt RB, Davis EL, Schreier PH. Rubber dam usage among practicing
dentists. Oper Dent. 1989;14:176–81. 8. Joynt RB, Davis EL, Schreier PH. Rubber dam usage among practicing
dentists. Oper Dent. 1989;14:176–81. 37. Lynch CD, McConnell RJ. Policy for general dental practice use However, only 9.3 %
of the current study respondents received intensive
training. This stresses the need for better education and training on aspects of RD usage especially during under-
graduate courses. The vast majority of respondents believed that using
RD should be mandatory during undergraduate training
(91.1 %) and in dental practice after graduation; general
and specialized (76.7 and 90.5 %, respectively). This may
reflect their awareness and understanding of its advan-
tages. However, only 37.35 of respondents (21.6 %
GDPs) were using RD. Ahmed et al. stressed the import-
ance of further research, especially on educational
methods, to overcome the discrepancy between the well
adoption of RD during undergraduate training and the
low frequency of usage after graduation [22]. In addition
these findings suggest the need for strict governmental
regulations which was confirmed by our results. The sec-
ond highest proportion of participants (22.8 %) reported
that strict governmental regulations will contribute to bet-
ter RD usage. However, self-motivation maybe more ef-
fective. The highest proportion of our study’s respondents
(48 %) reported better undergraduate education as the
most influencing factor. Whitworth et al. reported that
academic institutions had a significant influence on RD
use, which was greater in newly-qualified graduates in
comparison with older practitioners [12]. It can be specu-
lated that recently graduated practitioners received better
training on RD use. Mala et al. recommended focusing on
operator concerns such as difficulty of application [14]. Some may argue that patients’ rejection can be a major
obstruction of placing RD and efforts should be made first
on patients education. Our results showed that patients’
education is the least important factor. As discussed earl-
ier, patients have no objection to RD application and yet
they would prefer it in future visits [39–42]. Table 12 Measures that may increase RD use in dental practice (%)
Respondents
Better undergraduate
education
Patient’s education
Strict governmental laws
More post-graduate
training
Increase treatment
fees
Total
Endodontists
60.5
0
27.9
2.3
9.3
100
GDPs
42.9
9.1
21.1
16.6
10.3
100
Other
68.4
5.3
26.3
0
0
100
Total
48.1
7.2
22.8
12.7
9.3
100 Madarati BMC Oral Health (2016) 16:24 Page 9 of 10 Page 9 of 10 Competing interests The author declares that they have no competing interests 24. Lydeard S. The questionnaire as a research tool. Fam Pract. 1991;8:84–91 25. Brennan DS, Ryan P, Spencer AJ, Szuster FS. Dental service rates: age,
period, and cohort effects. Community Dent Health. 2000;17:70–8. Author's information
D Ah
d M d
i BD 26. Hovland EJ, Romberg E, Moreland EF. Nonresponse bias to mail
survey questionnaires within a professional population. J Dent Educ. 1980;44:270–4. Dr Ahmad Madarati; BDS, PG Dip, MSc, PhD: Assistant Professor & Consultant
in Endodontics, College of Dentistry, Taibah University, KSA. Dr Ahmad Madarati; BDS, PG Dip, MSc, PhD: Assistant Professor & Consultant
in Endodontics, College of Dentistry, Taibah University, KSA. 27. van Gelder MM, Bretveld RW, Roeleveld N. Web-based questionnaires: the
future in epidemiology? Am J Epidemiol. 2010;172:1292–8. Abbreviations RCT: root canal treatment; RD: rubber dam; GDPs: general dental
practitioners. RCT: root canal treatment; RD: rubber dam; GDPs: general dental
practitioners. 23. Al-Fouzan KS. A survey of root canal treatment of molar teeth by general
dental practitioners in private practice in Saudi Arabia. Saudi Dent J. 2010;22:113–7. 23. Al-Fouzan KS. A survey of root canal treatment of molar teeth by general
dental practitioners in private practice in Saudi Arabia. Saudi Dent J. 2010;22:113–7. Conclusions 14. Mala S, Lynch CD, Burke FM, Dummer PM. Attitudes of final year dental
students to the use of rubber dam. Int Endod J. 2009;42:632–8. Within the limitations of this study, the following can be
concluded: 15. Swallow DM, Aziz I, Hopkinson DA, Miwa S. Analysis of human erythrocyte
5′-nucleotidases in healthy individuals and a patient deficient in pyrimidine
5′-nucleotidase. Ann Hum Genet. 1983;47:19–23. Rubber dam is not being used commonly in general
dental practices in Saudi Arabia. 16. Hagge MS, Pierson WP, Mayhew RB, Cowan RD, Duke ES. Use of rubber
dam among general dentists in the United States Air Force dental service. Oper Dent. 1984;9:122–9. The combination of cotton rolls and saliva high-
volume ejector or gauze was the most common
alternative to rubber dam isolation. 17. Jenkins SM, Hayes SJ, Dummer PM. A study of endodontic treatment carried
out in dental practice within the UK. Int Endod J. 2002;34:16–22. 17. Jenkins SM, Hayes SJ, Dummer PM. A study of endodontic treatment carried
out in dental practice within the UK. Int Endod J. 2002;34:16–22. 18. Al-Omari WM. Survey of attitudes, materials and methods employed in
endodontic treatment by general dental practitioners in North Jordan. BMC
Oral Health. 2004;4:1. 18. Al-Omari WM. Survey of attitudes, materials and methods employed in
endodontic treatment by general dental practitioners in North Jordan. BMC
Oral Health. 2004;4:1. Place of work and patterns of using rubber-dam during
undergraduate study were the most important factors
influencing rubber dam use among GDPs. 19. Palmer NO, Ahmed M, Grieveson B. An investigation of current endodontic
practice and training needs in primary care in the north west of England. Br
Dent J. 2009;206, E22. discussion 584–5. Better undergraduate education can be the most
effective measure to increase its usage in dental
practice. oing RE, Sawinski VI. Parameters related to the use of the rubber da 20. Going RE, Sawinski VI. Parameters related to the use of the rubber dam. J Am Dent Assoc. 1968;77:598–601. 20. Going RE, Sawinski VI. Parameters related to the use of the rub J Am Dent Assoc. 1968;77:598–601. 21. Stewardson DA. Endodontics and new graduates: part I, practice vs training. Eur J Prosthodont Restor Dent. 2002;10(3):131–7. 22. Ahmed HM, Cohen S, Lévy G, Steier L, Bukiet F. Rubber dam application in
endodontic practice: an update on critical educational and ethical
dilemmas. Aust Dent J. 2014;59:457–63. Acknowledgement The author would like to thank all participants for their response. The author
also would like to thank Dr Hamzah Bani Younis, Dr Muhammad Sohail Zafer
(College of Dentistry, Taibah University, SA) and Dr Muhammad Hammad
(Faculty of Dentistry, University of Jordan, Jordan) for their advice and help. The author would like to thank all participants for their response. The author
also would like to thank Dr Hamzah Bani Younis, Dr Muhammad Sohail Zafer 28. Lohr SL. Sampling: design and analysis. Cengage Learning. 2nd ed. 2010. http://www.cengage.com/search/productOverview.do;
jsessionid=DF4539F077246D923B9897D7D9552552?N=16+4294922413
+4294966842+4294959837&Ntk=P_EPI&Ntt=15758609321187154128517
071071486767441&Ntx=mode%2Bmatchallpartial. (College of Dentistry, Taibah University, SA) and Dr Muhammad Hammad
(Faculty of Dentistry, University of Jordan, Jordan) for their advice and help. Received: 14 July 2015 Accepted: 29 January 2016 Received: 14 July 2015 Accepted: 29 January 2016 Received: 14 July 2015 Accepted: 29 January 2016 29. McCarthy GM, Koval JJ, MacDonald JK. Nonresponse bias in a survey of
Ontario dentists’ infection control and attitudes concerning HIV. J Public
Health Dent. 1997;57:59–62. 45.
Lin HC, Pai SF, Hsu YY, Chen CS, Kuo ML, Yang SF. Use of rubber
dams during root canal treatment in Taiwan. J Formos Med Assoc.
2011;110:397–400. 42.
Görduysus M. Rubber Dam’in Hastalar TarafındanKabul Edilebilirliği Üzerine
BirDeğerlendirme Calısması. Hacettepe Dishekimliği Fakültesi Dergisi.
2006;30:8–12. 44.
Whitten BH, Gardiner DL, Jeansonne BG, Lemon RR. Current trends in
endodontic treatment: report of a national survey. J Am Dent Assoc.
1996;127:1333–41. 43.
Gilbert GH, Litaker MS, Pihlstrom DJ, Amundson CW, Gordan VV, DPBRN
Collaborative Group. Rubber dam use during routine operative dentistry
procedures: findings from the Dental PBRN. Oper Dent. 2010;35:491–9. Madarati BMC Oral Health (2016) 16:24 References Attitudes and use of rubber dam by Irish general
dental practitioners. Int Endod J. 2007;40:427–32. 9. Marshall K, Page J. The use of rubber dam in the UK. A survey. Br Dent J. 1990;169:286–91. 9. Marshall K, Page J. The use of rubber dam in the UK. A survey. Br Dent J. 1990;169:286–91. 38. Tanalp J, Kayataş M, Can ED, Kayahan MB, Timur T. Evaluation of senior
dental students’ general attitude towards the use of rubber dam: a survey
among two dental schools. Sci World J. 2014;2014:290101. 10. Hill EE, Rubel BS. Do dental educators need to improve their approach to
teaching rubber dam use? J Dent Educ. 2008;72:1177–81. 11. Koch M, Eriksson HG, Axelsson S, Tegelberg A. Effect of educational
intervention on adoption of new endodontic technology by general dental
practitioners: a questionnaire survey. Int Endod J. 2009;42:313–21. 39. Jones CM, Reid JS. Patient and operator attitudes toward rubber dam. ASDC J Dent Children. 1988;55:452–4. 40. Gergely EJ. Desmond Greer Walker Award. Rubber dam acceptance. Br Dent
J. 1989;167:249–52. 12. Whitworth JM, Seccombe GV, Shoker K, Steele JG. Use of rubber dam and
irrigant selection in UK general dental practice. Int Endod J. 2000;33:435–41. 41. Filipović J, Jukić S, Miletić I, Pavelić B, Malčić A, Anić I. Patients attitude to
rubber dam use. Acta Stomatol Croat. 2004;38:319–22. 13. Ryan W, O’Connel A. The attitudes of undergraduate dental students to the
use of the rubber dam. J Ir Dent Assoc. 2007;5:87–91. Page 10 of 10 Madarati BMC Oral Health (2016) 16:24 Madarati BMC Oral Health (2016) 16:24 42. Görduysus M. Rubber Dam’in Hastalar TarafındanKabul Edilebilirliği Üzerine
BirDeğerlendirme Calısması. Hacettepe Dishekimliği Fakültesi Dergisi. 2006;30:8–12. 43. Gilbert GH, Litaker MS, Pihlstrom DJ, Amundson CW, Gordan VV, DPBRN
Collaborative Group. Rubber dam use during routine operative dentistry
procedures: findings from the Dental PBRN. Oper Dent. 2010;35:491–9. 44. Whitten BH, Gardiner DL, Jeansonne BG, Lemon RR. Current trends in
endodontic treatment: report of a national survey. J Am Dent Assoc. 1996;127:1333–41. • 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
Submit your next manuscript to BioMed Central
and we will help you at every step: • 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
Submit your next manuscript to BioMed Central
and we will help you at every step:
|
https://openalex.org/W2805356012
|
https://www.nature.com/articles/s41467-018-02968-9.pdf
|
English
| null |
Author Correction: RNAs coordinate nuclear envelope assembly and DNA replication through ELYS recruitment to chromatin
|
Nature communications
| 2,018
|
cc-by
| 335
|
Author Correction: RNAs coordinate nuclear
envelope assembly and DNA replication through
ELYS recruitment to chromatin
DOI: 10.1038/s41467-018-02968-9
OPEN Antoine Aze1, Michalis Fragkos1,3, Stéphane Bocquet1, Julien Cau2 & Marcel Méchali1 nications (2017) https://doi.org/10.1038/s41467-017-02180-1, Article published online 14 December 2017 n to: Nature Communications (2017) https://doi.org/10.1038/s41467-017-02180-1, Article published onlin In the original version of this Article, the affiliation details for Antoine Aze, Michalis Fragkos, Stéphane Bocquet, Julien Cau and
Marcel Méchali incorrectly omitted ‘CNRS and the University of Montpellier’. This has now been corrected in both the PDF and
HTML versions of the Article. | DOI: 10.1038/s41467-018-02968-9| www.nature.com/naturecommunications © The Author(s) 2018 Open Access This article is licensed under a Creative Commons Attribution 4.0 International License, which permits use, sharing, adaptation, distribution and
reproduction in any medium or format, as long as you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons license,
and indicate if changes were made. The images or other third party material in this article are included in the article’s Creative Commons license, unless indicated otherwise in a credit
line to the material. If material is not included in the article’s Creative Commons license 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 license, visit http://creativecommons.org/licenses/by/4.0/. 1 Institute of Human Genetics, UMR 9002, CNRS and the University of Montpellier, Replication and Genome Dynamics, 141 rue de la Cardonille, 34396
Montpellier, France. 2 Institute of Human Genetics, UMR 9002, CNRS and the University of Montpellier, Montpellier RIO Imaging, 141 rue de la Cardonille,
34396 Montpellier, France. 3Present address: Institut Gustave Roussy, Genetic Stability and Oncogenesis Department, 39 rue Camille Desmoulins, 94805
Villejuif, France. Antoine Aze and Michalis Fragkos contributed equally to this work. Correspondence and requests for materials should be addressed to
A.A. (email: antoine.aze@igh.cnrs.fr) or to M.Méc. (email: marcel.mechali@igh.cnrs.fr) 1 | DOI: 10.1038/s41467-018-02968-9| www.nature.com/naturecommunications NATURE COMMUNICATIONS| (2018) 9:581 NATURE COMMUNICATIONS| (2018) 9:581
|
https://openalex.org/W2008554742
|
https://europepmc.org/articles/pmc2780294?pdf=render
|
English
| null |
4-Bromophenacyl Bromide Specifically Inhibits Rhoptry Secretion during Toxoplasma Invasion
|
PloS one
| 2,009
|
cc-by
| 10,532
|
Introduction Toxoplasma gondii is a widespread, obligate, intracellular parasite
able to infect almost any nucleated mammalian and avian cell
type. It does this through an active penetration process involving
the secretion of discrete secretory organelles: the micronemes,
rhoptries and dense granules [1]. Once inside, Toxoplasma resides
in a parasitophorous vacuole (PV) formed during the process of
invasion. A second group of Toxoplasma proteins have also been shown to
be secreted into the host cell. This group of rhoptry proteins
comprises a protein phosphatase 2C designated PP2C-hn to reflect
its ultimate destination, the host nucleus [14], and a putative
protein kinase (ROP16; [15]) that also localizes to the nucleus of
infected host cells. PP2C-hn is known to traffic in this way even
when parasite invasion is blocked using cytochalasin D [14]. ROP16 is involved in modulating host gene expression following
invasion [15]. Microneme proteins are involved in gliding motility and the tight
association of the parasite with the host cell during early invasion
[2]. This is followed by the association of a microneme protein,
apical membrane antigen 1 (AMA1), with rhoptry neck proteins
(RON2, RON4, RON5, RON8) to form the moving junction (MJ)
[3,4,5,6]. Microneme protein 8 (MIC8) has been shown to be
required for the secretion of RON4 and therefore necessary to form
the MJ [7]. MJ formation is followed by the bulk release of
Toxoplasma proteins into the host cell at or around the time of
invasion. This early release is so far known to consist of several
rhoptry proteins, ROP1–4 [8] and ROP18 [9], and the dense
granule protein GRA7 [10]. All of these are found in very small,
bead-like structures organized in long filamentous strings. These
‘beads-on-a-string’ appear to be associated with the nascent PV [8]. Virtually nothing is known about the triggers and mechanism of
rhoptry secretion or the means by which rhoptry and microneme
proteins associate. One model to explain how AMA1 and the
RONs interact is that the micronemes fuse to the rhoptry necks. If
this were the case, then AMA1 could form a complex with the
RONs, which could then be secreted through the rhoptry necks. All host-targeted Toxoplasma proteins might then somehow be
secreted in bulk by the rhoptries during initial invasion, some as
soluble proteins and some in vesicles. This, however, does not
explain the ability of micronemal but not rhoptry proteins to be
released by extracellular parasites. Abstract The funders had no role in study design, data collection and analysis, decision to publish, or preparation of the Competing Interests: The authors have declared that no competing interests exist. * E-mail: jboothr@stanford.edu Competing Interests: The authors have declared that no competing interests exist. * E-mail: jboothr@stanford.edu Competing Interests: The authors have declared that no competing interests exist. * E-mail: jboothr@stanford.edu using cytochalasin D, an inhibitor of actin polymerization. This
has been observed for ROP1–4 [8] and GRA7 [11]. Some of the
proteins present in evacuoles and beads-on-a-string have been
shown to also be involved in host-parasite interactions [9,12,13]. 4-Bromophenacyl Bromide Specifically Inhibits Rhoptry
Secretion during Toxoplasma Invasion 1 Department of Microbiology and Immunology, Stanford University, Stanford, California, United States of America, 2 Center for Integrative Protein Science Munich,
Chemistry of Biopolymers, Technical University Munich, Freising, Germany, 3 Department of Pathology and Microbiology and Immunology, Stanford University, Stanford,
California, United States of America PLoS ONE | www.plosone.org December 2009 | Volume 4 | Issue 12 | e8143 Abstract Toxoplasma gondii is a eukaryotic parasite of the phylum Apicomplexa that is able to infect a wide variety of host cells. During its active invasion process it secretes proteins from discrete secretory organelles: the micronemes, rhoptries and
dense granules. Although a number of rhoptry proteins have been shown to be involved in important interactions with the
host cell, very little is known about the mechanism of secretion of any Toxoplasma protein into the host cell. We used a
chemical inhibitor of phospholipase A2s, 4-bromophenacyl bromide (4-BPB), to look at the role of such lipases in the
secretion of Toxoplasma proteins. We found that 4-BPB was a potent inhibitor of rhoptry secretion in Toxoplasma invasion. This drug specifically blocked rhoptry secretion but not microneme secretion, thus effectively showing that the two
processes can be de-coupled. It affected parasite motility and invasion, but not attachment or egress. Using propargyl- or
azido-derivatives of the drug (so-called click chemistry derivatives) and a series of 4-BPB-resistant mutants, we found that
the drug has a very large number of target proteins in the parasite that are involved in at least two key steps: invasion and
intracellular growth. This potent compound, the modified ‘‘click-chemistry’’ forms of it, and the resistant mutants should
serve as useful tools to further study the processes of Toxoplasma early invasion, in general, and rhoptry secretion, in
particular. S, Lodoen MB, Verhelst SHL, Bogyo M, Boothroyd JC (2009) 4-Bromophenacyl Bromide Specifically Inhibits Rhoptry Secretion du
. PLoS ONE 4(12): e8143. doi:10.1371/journal.pone.0008143 Editor: Ben L. Kelly, Louisiana State University, United States of America Editor: Ben L. Kelly, Louisiana State University, United States of America Received June 17, 2009; Accepted November 10, 2009; Published December 2, 2009 Copyright: 2009 Ravindran 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 the N.I.H. (AI21423, AI078947 and RR020843), a Stanford Graduate Fellowship (to S.R.) and an A.P. Giannini Foundation
Medical Research Fellowship (to M.B.L). The funders had no role in study design, data collection and analysis, decision to publish, or preparation of the
manuscript. supported by the N.I.H. (AI21423, AI078947 and RR020843), a Stanford Graduate Fellowship (to S.R.) and an A.P. Giannini Foundation
ship (to M.B.L). 4-BPB Treated Parasites Do Not Appear to Secrete
Rhoptry Proteins into Evacuoles or Host Nuclei y
y
To determine the effect of 4-BPB on attachment and invasion of
T. gondii, we pretreated parasites for 15 minutes with different
concentrations of 4-BPB and observed their ability to invade using
immunofluorescence assays to detect differential staining with
antibodies to the parasite surface. Parasites were treated and then
the drug was washed away, since 4-BPB is an irreversible inhibitor. When parasites were given 30 minutes to invade, 4-BPB
pretreatment showed a concentration-dependent inhibition of
invasion (Figure 1), similar to what was previously reported
[19,20,21]. These parasites remained attached extracellularly, with
most exhibiting protrusion of their conoids (data not shown). 4-
BPB pre-treatment resulted in a slight decrease in the efficiency of
attachment (Figure 1A, B) but this was considerably less than the
effect
on
invasion. The
IC50
for
4-BPB-pretreatment
was
,0.022 mM for invasions synchronized by shifting the parasites
from
a
non-permissive
to
invasion-permissive
temperature
(Figure 1A). When Endo buffer was used to synchronize invasion,
the IC50 for inhibiting invasion increased to 0.98 mM, possibly
because the parasites showed an increase in attachment efficiency
at the same time (Figure 1B). A similar concentration-dependent
inhibition of invasion was seen after parasites were given 1 hr and
3 hrs to invade (data not shown) To determine the effect of 4-BPB on attachment and invasion of
T. gondii, we pretreated parasites for 15 minutes with different
concentrations of 4-BPB and observed their ability to invade using
immunofluorescence assays to detect differential staining with
antibodies to the parasite surface. Parasites were treated and then
the drug was washed away, since 4-BPB is an irreversible inhibitor. We looked at the ability of 4-BPB pretreated parasites to secrete
rhoptry proteins by immunofluorescence assay. Upon treatment
with 4-BPB, uninvaded parasites showed rhoptry protein 1
(ROP1) only in their rhoptries, and not in evacuoles (Figure S1). We also looked by antibody-staining at the ability of 4-BPB-treated
parasites to secrete the rhoptry proteins PP2C-hn and ROP16 into
the host cells (wherein these proteins normally migrate to the host
cell nucleus). No PP2C-hn or ROP16 was detectable anywhere
except for the rhoptries of uninvaded 4-BPB treated parasites (data
not shown). In addition we looked for the downstream effect of
ROP16, the localization of phosphorylated signal transducer and
activator of transcription 3 (STAT3) and STAT6 in the nuclei of
host cells, and failed to see this when parasites were pretreated
with 4-BPB. 4-BPB Inhibits Parasite Motility but Not Microneme
Secretion To assess the effects of 4-BPB on motility, we examined the
number and length of Surface Antigen 1 (SAG1) ‘gliding trails’
deposited by parasites pretreated with 4-BPB as they migrated on
glass coverslips. Trails were visible for concentrations up to
0.5 mM. However, we saw virtually no trails deposited at 4-BPB
concentrations of 1 mM and greater (Figure 2). Thus it seems that
4-BPB is able to block gliding motility. These results contrast with
previous reports where 4-BPB was seen to have no effect on gliding
[19]. Presumably, this reflects a difference in the concentration of
active drug used in the two sets of experiments. To determine if
the inhibition of gliding motility might be due to a block in
microneme secretion, we looked at the secretion of microneme
protein 2 (MIC2) both constitutively and in the presence of 1%
ethanol and ionophore A23187. Using immunoblot analysis of
MIC2 release, we saw no effect on microneme secretion at
concentrations up to 25 mM (data not shown) which is much
greater than both the IC50 for invasion (0.022 mM) and the
concentrations at which we saw inhibition of motility (1 mM). There was a slight inhibition of ethanol-induced MIC2 secretion
starting at higher concentrations (.30 mM) and leading to a
complete inhibition of microneme secretion by 50 mM, probably
due to off-target effects. We also looked at the ability of microneme
proteins AMA1 and MIC2 to localize to the surface of 4-BPB-
pretreated parasites using immunofluorescence and saw no
noticeable difference from untreated parasites even at concentra-
tions up to 50 mM (data not shown). A number of PLA2 activities have been identified in Toxoplasma
lysates [17,18], although no actual genes or proteins have been
characterized. Previous research showed that a general, irrevers-
ible
phospholipase
A2
inhibitor,
4-bromophenacyl
bromide
(4-BPB) blocked parasite invasion into the host cell in a
concentration-dependent manner, without metabolically disabling
the parasite [19,20,21]. When host fibroblasts were pre-incubated
with this drug, penetration was not affected [19]. 4-BPB was also
shown to inhibit the PLA2 activity from Toxoplasma lysates [21]. Addition of exogenous PLA2s was shown to increase invasion and
the release of rhoptry proteins into the medium, although the clear
possibility that this latter result was due to parasite lysis in the
presence of the PLA2 was not excluded [18]. We have used 4-BPB to determine the effect of inhibiting PLA2s
on secretion of Toxoplasma proteins. Results 4-BPB Treatment Has a Minor Effect on Attachment but
Markedly Delays Invasion Introduction As to how rhoptry proteins
enter the host cell, there is no system known for these parasites that Interestingly, some of these proteins can be found secreted as
‘evacuoles’ into host cells even when parasite invasion is impeded PLoS ONE | www.plosone.org December 2009 | Volume 4 | Issue 12 | e8143 1 4-BPB Inhibits Rhoptry Release is analogous to type III or type IV secretion system systems found
in some bacteria but such a process cannot be excluded. inhibited in replication and remained permanently in single-
parasite vacuoles even when they were given 48 hrs to invade and
replicate (Figure 1C) and failed to lyse out of their host cell after 2
weeks (data not shown). There are many aspects of Toxoplasma early invasion and protein
secretion where membrane fusion may be involved. Micronemes
may fuse to rhoptries, either or both of these organelles could fuse
to the parasite plasma membrane, and the parasite plasma
membrane may fuse briefly to the host plasma membranes to
allow direct introduction of parasite-derived, exosome-like vesicles. Phospholipase A2s (PLA2s) have been known to be involved in
membrane fusion and contribute to membrane fluidity [16], and
thus may play a role in Toxoplasma invasion and protein secretion. 4-BPB Inhibits Parasite Motility but Not Microneme
Secretion 4-BPB Inhibits Parasite Motility but Not Microneme
Secretion We find that 4-BPB specifically
blocks rhoptry secretion and invasion but not microneme secretion
To gain some clue as to the relevant target of 4-BPB we made
mutants resistant to this drug and synthesized ‘click chemistry’
[22,23] forms of 4-BPB that could be used to covalently tag such
proteins. These results are presented below. PLoS ONE | www.plosone.org December 2009 | Volume 4 | Issue 12 | e8143 4-BPB Treated Parasites Do Not Appear to Secrete
Rhoptry Proteins into Evacuoles or Host Nuclei 30 minutes after release of the block (warming to 37uC (A) or switching to DMEM (B), invasion and attachment were assayed by
immunofluorescence staining with antibodies to surface antigen 1 (SAG1). Attachment was distinguished from invasion by sequential staining with
mouse- or rabbit-anti-SAG1 before/after permeabilization. Best-fit curves were plotted and the IC50 for invasion was calculated. (C) 4-BPB-treated
parasites were allowed to infect monolayers for 48 hrs and the percentage of total vacuoles that had more than one parasite was plotted across
4-BPB concentrations. Parasites were observed using anti-SAG1 antibodies in an immunofluorescence assay. doi:10.1371/journal.pone.0008143.g001 Figure 1. 4-BPB inhibits parasite invasion, attachment, and replication. The percentage invasion or attachment of 4-BPB treated parasites
was assessed relative to controls. Parasites were added to HFF monolayers under conditions that block invasion (low temperature (A) or ‘‘Endo’’
buffer (B)). 30 minutes after release of the block (warming to 37uC (A) or switching to DMEM (B), invasion and attachment were assayed by
immunofluorescence staining with antibodies to surface antigen 1 (SAG1) Attachment was distinguished from invasion by sequential staining with Figure 1. 4-BPB inhibits parasite invasion, attachment, and replication. The percentage invasion or attachment of 4-BPB treated parasites
was assessed relative to controls. Parasites were added to HFF monolayers under conditions that block invasion (low temperature (A) or ‘‘Endo’’
buffer (B)). 30 minutes after release of the block (warming to 37uC (A) or switching to DMEM (B), invasion and attachment were assayed by
immunofluorescence staining with antibodies to surface antigen 1 (SAG1). Attachment was distinguished from invasion by sequential staining with
mouse- or rabbit-anti-SAG1 before/after permeabilization. Best-fit curves were plotted and the IC50 for invasion was calculated. (C) 4-BPB-treated
parasites were allowed to infect monolayers for 48 hrs and the percentage of total vacuoles that had more than one parasite was plotted across
4-BPB concentrations. Parasites were observed using anti-SAG1 antibodies in an immunofluorescence assay. doi:10.1371/journal.pone.0008143.g001 4-BPB appears to block invasion at a step upstream of the effect of
cytochalasin-D, i.e., before rhoptry protein release. the region of the rhoptry necks; parasites were blocked in
invasion with their conoids protruded, no moving junctions were
observed and no RON4 was seen outside the rhoptries (Figure 4). This is very different from the RON4 localization at the apical tip
of the parasite during early invasion in untreated parasites, or
when parasite invasion was blocked using cytochalasin D, as has
been previously noted [3,5]. 4-BPB Does Not Inhibit Parasite Egress Host-cell exit can be artificially triggered by the use of the
calcium-ionophore A23187 [25]. When infected cells were treated
for 15 mins with up to 50 mM 4- BPB and then exposed to up to
2 mM A23187 for 10 minutes, the efficiency and speed of egress
was not significantly different from that seen in untreated cultures
(data not shown). 4-BPB Treated Parasites Do Not Appear to Secrete
Rhoptry Proteins into Evacuoles or Host Nuclei It should be noted that when parasites eventually
invade after 6 hrs, this was accompanied by rhoptry secretion into
evacuoles and host nuclei (data not shown). When parasites were given 30 minutes to invade, 4-BPB
pretreatment showed a concentration-dependent inhibition of
invasion (Figure 1), similar to what was previously reported
[19,20,21]. These parasites remained attached extracellularly, with
most exhibiting protrusion of their conoids (data not shown). 4-
BPB pre-treatment resulted in a slight decrease in the efficiency of
attachment (Figure 1A, B) but this was considerably less than the
effect
on
invasion. The
IC50
for
4-BPB-pretreatment
was
,0.022 mM for invasions synchronized by shifting the parasites
from
a
non-permissive
to
invasion-permissive
temperature
(Figure 1A). When Endo buffer was used to synchronize invasion,
the IC50 for inhibiting invasion increased to 0.98 mM, possibly
because the parasites showed an increase in attachment efficiency
at the same time (Figure 1B). A similar concentration-dependent
inhibition of invasion was seen after parasites were given 1 hr and
3 hrs to invade (data not shown). As a more sensitive assay for secretion of rhoptry proteins into
host cells, we used a parasite line where the rhoptry protein
toxofilin has been fused to beta-lactamase [24]. The presence of
beta-lactamase activity inside the host cell can be readily detected
in normal infection using a FRET-based assay involving a
substrate for the enzyme (cephalosporin) linking two fluorescent
molecules (fluorescein and coumarin) in the compound CCF2-
AM. 4-BPB treatment completely blocked all detectable introduc-
tion of the toxofilin-beta-lactamase fusion into the host cell
(Figure 3). In contrast, cytochalasin-D, which is a known inhibitor
of invasion, had no measurable effect in this respect. Hence, When parasites were given 6 hrs and longer to invade, 4-BPB-
treated parasites were able to invade but failed to replicate. It
appeared that the parasites that were previously attached but that
had not yet entered the host cell were eventually able to invade,
possibly due to turnover of the target of 4-BPB. However, at 4-
BPB concentrations greater than 0.5 mM invaded parasites were PLoS ONE | www.plosone.org December 2009 | Volume 4 | Issue 12 | e8143 2 4-BPB Inhibits Rhoptry Release Figure 1. 4-BPB inhibits parasite invasion, attachment, and replication. The percentage invasion or attachment of 4-BPB treated parasites
was assessed relative to controls. Parasites were added to HFF monolayers under conditions that block invasion (low temperature (A) or ‘‘Endo’’
buffer (B)). 4-BPB Treated Parasites Do Not Appear to Secrete
Rhoptry Proteins into Evacuoles or Host Nuclei RON4 rhoptry neck staining also
remained distinct and apical to rhoptry bulb staining when
parasites were co-stained with RON4 and the rhoptry bulb
marker ROP1 (Figure S2). In fact, the RON4 localization in 4-
BPB treated parasites is similar to what was recently described for
Toxoplasma mutants in which expression of the microneme
protein MIC8 is depleted [7]. Parasites in which MIC8 was
depleted showed no further differences in invasion efficiency
when treated with 4-BPB (Markus Meissner, personal commu-
nication). This could indicate a link between MIC8 and the target
of 4-BPB since if MIC8 acted upstream of the target (perhaps as a
surface receptor triggering this cascade) there would be no
change in the 4-BPB phenotype. Collectively, the above results
indicate 4-BPB blocks the invasion process between release of
micronemal proteins, such as AMA1, and subsequent release of
rhoptry (neck and bulb) proteins. 4-BPB Inhibits Rhoptry Release Figure 2. 4-BPB inhibits parasite gliding motility. Parasite gliding
motility was indirectly assayed by looking for their ability to lay down
surface antigen 1 (SAG1) trails on coverslips coated with 5% fetal bovine
serum (FBS). Parasites were released from Endo buffer motility block,
exposed to medium (A) or 1 mM 4-BPB (B), and allowed to move for 5
minutes prior to fixation. Fixed cells were incubated with anti-SAG1
antibody to visualize SAG1 trails in an immunofluorescence assay. Parasites were in a slightly different focal plane than the trails and as a
result are out of focus. doi:10.1371/journal.pone.0008143.g002 target(s) and which could then be used as a tag to isolate those
targets [22,23]. To do this, organic synthesis methods were used to
replace the 4-bromo of 4-BPB with a 4-propargyl-oxy group that
could be used for ‘click chemistry’. The 4-azido substituted
derivate is commercially available and was purchased. We will
refer to these compounds as 4-propargyl-oxy (4-PPB) and 4-azido
(4-APB). Both 4-PPB and 4-APB showed approximately the same
concentration-dependent inhibition of parasite invasion and
rhoptry secretion as 4-BPB, indicating that the 4-bromo is not
required for the activity of the compound (data not shown). The propargyl (alkyne) and azido groups are bioorthogonal
reaction partners. That is, they are inert under physiological
conditions but can react with each other under special conditions
(Cu(I) catalysis). Thus, an alkyne-modified protein can be tagged
using an azide-conjugated biotin or, vice versa, an azide-modified
protein can react with an alkyne-derivatized biotin [22,23]. To
apply this technique to our system, purified parasites were exposed
to either 1 mM 4-APB or 0.5 mM 4-PPB for 10 minutes and then
lysed in 1% NP-40 lysis buffer. Next, the click reaction was
performed to tag drug-targeted proteins, and the resulting lysates
were conjugated to biotin and the tagged proteins purified using
Streptavidin beads. These were resolved by SDS-PAGE and silver
staining (Figure 5). The results indicated that the click chemistry
was highly specific for drug-modified targets, since very few bands
were observed when parasites were treated with DMSO or when
the wrong tag-inhibitor combination was used. The many bands
seen when the correct click tag-inhibitor combination was used
and the fact that the patterns were highly similar with both
compounds indicates that 4-APB and 4-PPB react with a large Figure 2. 4-BPB inhibits parasite gliding motility. 4-BPB Inhibits Rhoptry Release Parasite gliding
motility was indirectly assayed by looking for their ability to lay down
surface antigen 1 (SAG1) trails on coverslips coated with 5% fetal bovine
serum (FBS). Parasites were released from Endo buffer motility block,
exposed to medium (A) or 1 mM 4-BPB (B), and allowed to move for 5
minutes prior to fixation. Fixed cells were incubated with anti-SAG1
antibody to visualize SAG1 trails in an immunofluorescence assay. Parasites were in a slightly different focal plane than the trails and as a
result are out of focus. d i 10 1371/j
l
0008143 002 doi:10.1371/journal.pone.0008143.g002 doi:10.1371/journal.pone.0008143.g002 4-BPB Treated Parasites Fail to Secrete RON4 and Form a
Moving Junction The above assays concerned introduction of proteins that
originate in the rhoptry bulbs and are injected into the host cell. Rhoptry neck proteins (RONs) are released at the earliest points
of invasion and, in collaboration with AMA1, form the circular
ring of contact between the parasite and host plasma membranes
known as the ‘‘moving junction’’ [3,5]. To determine if release of
these RON proteins is also affected by treatment with 4-BPB, we
looked at the ability of treated parasites to secrete RON4. Using
immunofluorescence assay, we readily detected RON4 only in PLoS ONE | www.plosone.org December 2009 | Volume 4 | Issue 12 | e8143 December 2009 | Volume 4 | Issue 12 | e8143 PLoS ONE | www.plosone.org 3 4-BPB Inhibits Rhoptry Release Chemically Modified Forms of 4-BPB Can Be Used to Tag
Putative Targets Parasites were either treated with
DMSO, 0.5 mM 4-PPB or 1 mM 4-APB for 10 minutes, followed by lysis in
1% NP-40 buffer. Each of the lysates was treated with either the 4-APB-
tag or the 4-PPB-tag during the click reaction. Lanes are labeled with
the inhibitor (DMSO (lanes 1,2), 4-PPB (lanes 3,4), 4-APB (lanes 5,6)) and
the click tag (4PPB-tag (lanes 1,3,5) or 4-APB-tag (lanes 2,4,6)) that the
corresponding sample was treated with. doi:10.1371/journal.pone.0008143.g005 Figure 4. 4-BPB blocks secretion of RON4 out of the rhoptry
necks. HFF monolayers were infected with parasites pre-treated with
either DMSO, 10 mM 4-BPB or 1 mM cytochalasin D. Invasion was
allowed to proceed for 3 minutes after which cells were fixed and
visualized by immunofluorescence microscopy. An anti-SAG1 antibody
was used to stain the surface of extracellular parasites, followed by
permeabilization and staining with an anti-RON4 antibody. The
corresponding phase microscopy image is included to the right of
each fluorescence image. doi:10.1371/journal.pone.0008143.g004 doi:10.1371/journal.pone.0008143.g004 doi:10.1371/journal.pone.0008143.g004 number of targets. 4-PPB was also observed to be more reactive
than 4-APB for the click reaction, which is typical of the
propargyl-containing inhibitor in click reactions. rare individuals within the mutagenized populations were able to
grow and lyse host cells successfully at concentrations up to 5 mM 4-
BPB after 13 rounds of selection. Several clonal lines were obtained
from this population of 4-BPB-resistant parasites and all were shown
to be able to form plaques at 5 mM 4-BPB, a concentration at which
no plaques were formed by wild-type parasites (data not shown). To
determine the nature of the resistance to 4-BPB, seven clones were
analyzed with respect to mean time for invasion and growth rate
once inside the host cells (as described above, 4-BPB both retards
invasion and inhibits growth once inside). In all seven cases, there
was no significant difference in the speed of invasion compared to
wild-type parasites but given enough time, the 4-BPB treated
mutants were able to eventually invade, replicate and lyse out of
host cells, unlike wild-type parasites (data not shown). Hence, for all
seven mutant lines, resistance to the drug appeared to be at the level
of not being inhibited once inside the host cell rather than at the
level of rhoptry secretion and invasion. To determine the identity of the bands tagged with the ‘‘click’’
reagents, mass spectrometry was used. Chemically Modified Forms of 4-BPB Can Be Used to Tag
Putative Targets To begin to determine the relevant target of 4-BPB, two
methods were used. The first was to use reactive (‘‘click’’)
derivatives of 4-BPB that would covalently attach to the drug’s Figure 3. 4-BPB inhibits secretion of a toxofilin-beta-lactamase fusion whereas cytochalasin D does not. HFF cells were infected with
RH or RH:toxofilin-BLA parasites pretreated with either DMSO, 10 mM 4-BPB or 1 mM cytochalasin D. Invasion was allowed to proceed for 1 hour
followed by loading with the cleavable FRET substrate CCF2-AM for 1 hour. The cells were then washed, trypsinized and examined with a 407 nm
krypton laser on a modified LSR II flow cytometer (BD, San Jose, CA) for side scatter (SSC) and for the detection of cleaved coumarin in the 410–
450 nm channel (‘‘pacific blue’’ channel). Percentage of total events that are positive for coumarin are also indicated in each plot. doi:10.1371/journal.pone.0008143.g003 Figure 3. 4-BPB inhibits secretion of a toxofilin-beta-lactamase fusion whereas cytochalasin D does not. HFF cells were infected with
RH or RH:toxofilin-BLA parasites pretreated with either DMSO, 10 mM 4-BPB or 1 mM cytochalasin D. Invasion was allowed to proceed for 1 hour
followed by loading with the cleavable FRET substrate CCF2-AM for 1 hour. The cells were then washed, trypsinized and examined with a 407 nm
krypton laser on a modified LSR II flow cytometer (BD, San Jose, CA) for side scatter (SSC) and for the detection of cleaved coumarin in the 410–
450 nm channel (‘‘pacific blue’’ channel). Percentage of total events that are positive for coumarin are also indicated in each plot. doi:10.1371/journal.pone.0008143.g003 PLoS ONE | www.plosone.org December 2009 | Volume 4 | Issue 12 | e8143 4 4-BPB Inhibits Rhoptry Release 4-BPB Inhibits Rhoptry Release Figure 5. 4-BPB tags a large number of proteins by click
chemistry. Parasites were treated with either DMSO, 4-PPB or 4-APB
and then lysed. The supernatants were then treated with the alkyne- or
azide-conjugated biotin-tags, and click chemistry was used to label the
targets of the 4-BPB click derivatives. These targets were then purified
using streptavidin-conjugated beads and resolved by SDS-PAGE and
silver staining. The resulting bands in the silver-stained gel were cut out
for identification by LC-MS/MS. Parasites were either treated with
DMSO, 0.5 mM 4-PPB or 1 mM 4-APB for 10 minutes, followed by lysis in
1% NP-40 buffer. Mutants To help identify which of the many targets of 4-BPB is key to
rhoptry discharge, a genetic approach was taken. Wild-type
parasites were treated with the chemical mutagen N-ethyl N-
nitrosourea to generate a library of parasites harboring different
point mutations. These were then exposed to 4-BPB to select
parasites that could grow in the presence of the drug. Unmutagen-
ized parasites were all nonviable after 2 rounds of selection, while Chemically Modified Forms of 4-BPB Can Be Used to Tag
Putative Targets Each of the lysates was treated with either the 4-APB-
tag or the 4-PPB-tag during the click reaction. Lanes are labeled with
the inhibitor (DMSO (lanes 1,2), 4-PPB (lanes 3,4), 4-APB (lanes 5,6)) and
the click tag (4PPB-tag (lanes 1,3,5) or 4-APB-tag (lanes 2,4,6)) that the
corresponding sample was treated with. doi:10.1371/journal.pone.0008143.g005 Figure 4. 4-BPB blocks secretion of RON4 out of the rhoptry
necks. HFF monolayers were infected with parasites pre-treated with
either DMSO, 10 mM 4-BPB or 1 mM cytochalasin D. Invasion was
allowed to proceed for 3 minutes after which cells were fixed and
visualized by immunofluorescence microscopy. An anti-SAG1 antibody
was used to stain the surface of extracellular parasites, followed by
permeabilization and staining with an anti-RON4 antibody. The
corresponding phase microscopy image is included to the right of
each fluorescence image. doi:10.1371/journal.pone.0008143.g004 Figure 5. 4-BPB tags a large number of proteins by click
chemistry. Parasites were treated with either DMSO, 4-PPB or 4-APB
d h
l
d Th
h
d
i h h
lk Figure 5. 4-BPB tags a large number of proteins by click
chemistry. Parasites were treated with either DMSO, 4-PPB or 4-APB
and then lysed. The supernatants were then treated with the alkyne- or
azide-conjugated biotin-tags, and click chemistry was used to label the
targets of the 4-BPB click derivatives. These targets were then purified
using streptavidin-conjugated beads and resolved by SDS-PAGE and
silver staining. The resulting bands in the silver-stained gel were cut out
for identification by LC-MS/MS. Parasites were either treated with
DMSO, 0.5 mM 4-PPB or 1 mM 4-APB for 10 minutes, followed by lysis in
1% NP-40 buffer. Each of the lysates was treated with either the 4-APB-
tag or the 4-PPB-tag during the click reaction. Lanes are labeled with
the inhibitor (DMSO (lanes 1,2), 4-PPB (lanes 3,4), 4-APB (lanes 5,6)) and
the click tag (4PPB-tag (lanes 1,3,5) or 4-APB-tag (lanes 2,4,6)) that the
corresponding sample was treated with. doi:10.1371/journal.pone.0008143.g005 Figure 5. 4-BPB tags a large number of proteins by click
chemistry. Parasites were treated with either DMSO, 4-PPB or 4-APB
and then lysed. The supernatants were then treated with the alkyne- or
azide-conjugated biotin-tags, and click chemistry was used to label the
targets of the 4-BPB click derivatives. These targets were then purified
using streptavidin-conjugated beads and resolved by SDS-PAGE and
silver staining. The resulting bands in the silver-stained gel were cut out
for identification by LC-MS/MS. PLoS ONE | www.plosone.org Chemically Modified Forms of 4-BPB Can Be Used to Tag
Putative Targets The bands resolved by
silver staining were excised and analyzed by LC-MS/MS. While
many proteins were thus identified, none were identifiably a
phospholipase and none corresponded to a protein whose
conjugation to the drug would be expected, a priori, to block
rhoptry secretion (i.e., none were related to proteins known to be
involved in membrane fusion or signaling in other systems) (see
Table S1 and Table S2 for a list of the top 100 targets identified
using 4-PPB and 4-APB respectively.) Discussion We have shown that 4-BPB is a potent reagent that resolves two
previously inseparable aspects of invasion, microneme and rhoptry
secretion. This provides new information about the initial
secretion events: microneme proteins are able to be secreted onto
the parasite surface despite the inhibition of rhoptry secretion. This strongly argues that micronemes do not need to fuse to
rhoptry necks to secrete and that formation of the MJ complex, a
mix of microneme and rhoptry neck proteins, most likely occurs at
the parasite surface. This result complements a recent report
showing that two of the MJ proteins, micronemal AMA1 and
rhoptry neck protein RON2, form an extremely tight interaction if
present in the same compartment but pass through the secretory
pathway at different times [4]. These latter authors also argue that
the complex forms only once the components reach the surface of
the
parasite. Interestingly,
4-BPB
also
blocks
invasion
by
Plasmodium falciparum blood stages (Moritz Treeck, personal
communication), suggesting that the drug is blocking a common
pathway of rhoptry secretion in both parasites. Our results indicate that 4-BPB has many more parasite targets
than previous work had suggested. Our MS analysis failed to
identify candidate PLA2s among them. This may be because
PLA2s are not well conserved between species, and consist of a
very large class of enzymes [26,27]; as a result, there may be
PLA2s among the identified proteins that are not recognizably
such by BLAST analysis. The lack of candidate PLA2s among
4-BPB’s putative targets may also be because, based on its
chemical structure, 4-BPB is predicted to react with any accessible
cysteine or histidine. Thus it could have a substantially broader
class of targets than PLA2s alone, and the target responsible for
the effects we observed may not be a PLA2. Despite these limitations, our results show that 4-BPB can be
used to specifically uncouple rhoptry and microneme secretion. The drug affects parasite motility and invasion, but not attachment
or egress. Hence, 4-BPB, the modified ‘click chemistry’ forms of it,
and the resistant mutants, represent useful tools to further study
these processes. We have shown that 4-BPB blocks motility of extracellular
tachyzoites. Micronemes are known to be involved in parasite
gliding motility, but microneme secretion was unaffected at drug
concentrations that affected motility. This suggests that the drug
affected one or more parasite proteins involved in motility but
unrelated to microneme secretion. Discussion Since rhoptry discharge has
never been linked to motility, the target of 4-BPB that affects
motility is likely different from the target affecting rhoptry
function. The possibility that rhoptry discharge during invasion
is dependent on motility and that just one target of the drug affects
both processes seems unlikely as release of rhoptry neck proteins
occurs before invasion. The data with the ‘‘click’’ versions of the
4-BPB clearly support the notion that there are multiple targets for
this drug. Parasite and Host Cell Culture Toxoplasma gondii tachyzoites of the RH strain were maintained
by serial passage in HFF monolayers. HFFs were grown in
Dulbecco’s
modified
Eagle’s
medium
(DMEM)
(Invitrogen,
Carlsbad, CA) supplemented with 10% heat-inactivated fetal calf
serum (FCS) (Invitrogen, Carlsbad, CA), 2 mM glutamine,
100 U/ml penicillin, and 100 mg/ml streptomycin. Antibodies The following monoclonal antibodies were used: DG52 (anti-
SAG1); Cl22 (anti-AMA1; Tg49 (anti-ROP1), a generous gift from
Joseph Schwartzman); 6D10 (anti-MIC2) was provided by Vern
Carruthers; and 9D6 (anti-PP2C-hn) was from Peter Bradley. Rabbit antibodies to RON4 (Alexander et al. 2005) and SAG1
(provided by Lloyd Kasper) were also used. 3F10, an anti-
Hemagglutinin (anti-HA) antibody was obtained from Roche (Palo
Alto, CA), and antibodies specific for the phosphorylated forms of
STAT3 (phospho-Tyr705) and STAT6 (phospho-Tyr641) from
Cell Signaling Technologies, (Danvers, MA). Fluorescent second-
ary antibodies (Invitrogen/Molecular Probes, Carlsbad, CA) and
Hoechst dye (Polysciences, Inc., Warrington, PA) were also used. Despite its ability to inhibit motility, 4-BPB did not also appear
to have an effect on parasite egress. When monolayers, containing
parasites in intracellular vacuoles, were treated with the drug at
concentrations as high as 50 mM, we saw no effect on egress. It is
unlikely that the absence of an effect on egress is due to the lack of
penetration of the drug, since the drug is predicted to readily enter
the host cell and the parasite vacuole. But this possibility cannot be
discounted. We could not use concentrations higher than 50 mM,
as at those concentrations we started to see toxicity effects on the
fibroblasts. 4-BPB is an irreversible inhibitor, and once parasites were pre-
treated with it, they were inhibited for invasion for about 6 hrs,
despite no drug being present. We also saw no effect when host
cells were pre-treated, so the target(s) involved in invasion and
rhoptry secretion appear to be parasite-specific. The ability of
treated parasites to invade 6 hrs after treatment may be because
the relevant target of the drug is turned over in this time period. However, despite being able to invade after 6 hrs, these parasites
were still blocked for replication and never formed more than
single-parasite vacuoles. They also appeared unable to exit host
cells for at least the two weeks that cultures were examined. We 4-BPB Inhibits Rhoptry Release we sought to determine the identity of the gene in which a
mutation had conferred a drug-resistant growth phenotype. To do
this, the seven 4-BPB resistant mutants were compared to wild-
type parasites by click chemistry, biotin tagging and SDS-PAGE. The results showed no differences in the banding pattern between
any of the mutants and wild-type parasites (data not shown). The
nature of the difference in the mutants and how that confers
4-BPB-resistance, therefore, remain unknown. were able to get mutants that were resistant to this effect on
replication by selecting mutagenized populations with 4-BPB. The
fact that these parasites were still blocked in early invasion and
rhoptry secretion, however, argues that the mutations were likely
in a drug target unrelated to invasion and secretion. Interestingly,
the parasites seem to be more easily selected for resistance to the
replication target, perhaps because resistance to this represents a
stronger selective pressure on the parasites than a block in early
invasion and rhoptry secretion. This is consistent with the fact that
the effect on invasion is a retardation rather than the absolute
block in replication. PLoS ONE | www.plosone.org Mutants Showed No Difference from Wild-Type by Click
Chemistry Despite the fact that the 4-BPB-resistant mutants did not have
the desired phenotype in terms of rhoptry discharge and invasion, December 2009 | Volume 4 | Issue 12 | e8143 December 2009 | Volume 4 | Issue 12 | e8143 5 4-BPB Inhibits Rhoptry Release Parasite Purification Monolayers were mechanically lysed by passage through a 27-
gauge needle. Large debris was removed by centrifugation at
1006g for 5 min at 10uC. The resulting supernatant was then
centrifuged at 3006g for 10 min at 10uC. The 3006g pellet,
which contains intact parasites and membranous material from
infected HFFs, was resuspended in 2.5 ml of phosphate buffer
saline (PBS) and loaded onto a PD-10 desalting column (GE
Healthcare, Piscataway, NJ) pre-equilibrated with 30 ml PBS. An
additional 3.5 ml of PBS was added to the column, and the
displaced buffer was collected as the elution fraction. The elution
fraction is enriched for intact parasites while secreted proteins and
debris from the infected HFF lysate remain on the column. To
avoid clogs, no more than 2.56107 infected HFF equivalents were
added to each column. The compound 4-propargyl-oxyphenacyl bromide (4-PPB) was
synthesized according to the route depicted in Figure 6. In brief, 4-
hydroxybenzoic acid (Sigma) was esterified under the influence of
thionylchloride (1.1 equivalent) and methanol (0.2 M). After
completion of the reaction, as monitored by thin-layer chroma-
tography (TLC) analysis, the solvent was removed by evaporation
under reduced pressure. To get rid of traces of acid, the residue
was taken up in Ethyl acetate (EtOAc), subsequently washed with
saturated sodium bicarbonate and brine, dried (magnesium
sulfate), filtered and concentrated under reduced pressure. Next,
the hydroxyl group was converted into a propargyl ether using
sodium hydride and propargyl chloride. Briefly, sodium hydride
(1.1 equivalent) was added to a solution of the starting material in
N,N-dimethylformamide (DMF; 0.2 M concentration) cooled in
an ice bath. After ,15 minutes, propargyl chloride (1.1 equivalent)
was added and reaction progress was monitored by TLC analysis. After completion of the reaction, several drops of methanol were
added to quench the excess base. The reaction mixture was
evaporated to dryness under reduced pressure. The residue was
taken up in EtOAc and washed with saturated sodium bicarbonate
and brine, dried (magnesium sulfate), filtered and concentrated
under reduced pressure. This was followed by purification by
column chromatography. Next, the methyl ester was saponified
with sodium hydroxide. The starting material was dissolved in
100% methanol (cooled in ice) and 1.1 equivalent of a 1 M sodium
hydroxide solution was added dropwise. The reaction mixture was
brought to room temperature and stirred until complete (as
determined by TLC analysis). Synthesis of 4-PPB Synthesis of 4-PPB Parasite Purification Most of the methanol was
evaporated, and EtOAc was added to the residue. The water
layer was acidified with 1N HCl, and extracted twice with EtOAc. Combined
EtOAc
layers
were
washed
with
brine,
dried
(magnesium sulfate), filtered and concentrated. The bromomethyl
ketone function was introduced as described previously [30]. Briefly, this involved a three step process: the carboxylic acid was
converted to the acid chloride using thionylchloride in dichloro-
methane and this activated species was reacted with diazomethane
to form a diazomethyl ketone, which was converted to the final
bromomethyl ketone upon exposure to hydrogen bromide in
acetic acid. The final product was purified by column chroma-
tography
and
analyzed
by
mass-spectrometry
and
nuclear
magnetic resonance spectroscopy, which confirmed indicated
structure. Chemical Handling and Synthesis Cytochalasin D (Sigma) [28] and A23187 (Calbiochem) [29]
were used as previously described. 4-bromophenacyl bromide
(4-BPB) and 4-azidophenacyl bromide (4-APB) were obtained
from Fluka. These chemicals were highly sensitive to moisture and
lost potency if stored in solution. As a result they were stored as dry
powder at room temperature in the presence of a dessicant. Working stocks of appropriate concentrations were created fresh
in dimethyl sulfoxide (DMSO) and used within 0.5 hours. PLoS ONE | www.plosone.org December 2009 | Volume 4 | Issue 12 | e8143 PLoS ONE | www.plosone.org 6 4-BPB Inhibits Rhoptry Release Immunofluorescence Monolayers of HFF cells
grown on glass chamber slides were infected with the treated
parasites at a nominal MOI of 10 and incubated at 37uC. At
various times post-infection, the infected HFF were incubated with
the BLA substrate CCF2-AM (Invitrogen, Carlsbad, CA) at a 1X
concentration in complete DMEM for 1 hour at room temper-
ature in the dark. Live, infected cells were then visualized using a
Leica SP2 AOBS Confocal Laser Scanning Microscope (Cell
Sciences Imaging Facility, Stanford University, Stanford, CA) with
a blue diode 405 nm laser for excitation and with detection filters
set at 410–450 nm for coumarin and 493–550 nm for fluorescein. To detect rhoptry secretion, parasites were allowed to invade for
30 minutes or 1 hr and stained with anti-SAG1 antibody, then
permeabilized and stained with either anti-ROP1 or anti-PP2C-hn
antibodies. Analysis of evacuoles was performed as described
previously [28]. An anti-HA antibody was also used to detect a C-
terminally HA-tagged ROP16 fusion protein secreted by parasites
(described in [15]). Antibodies to phopho-STAT3 and phospho-
STAT6 were also used to assay for signaling downstream of
ROP16 secretion as described previously [15]. To detect secretion of rhoptry neck proteins and moving
junction formation, parasites were allowed to invade for 3 minutes
after shifting them to invasion-permissive temperature, and after
fixation and staining with anti-SAG1 antibody, were permeabi-
lized and then stained with anti-RON4 antibody. Parasites were
also treated with 1 mM cytochalasin D and allowed to invade as
above to contrast RON4 secretion during inhibition of invasion by
cytochalasin D with inhibition by 4-BPB. For flow cytometry, RH or toxofilin-BLA parasites were treated
with 1 mM cytochalasin D, 10 mM 4-BPB or with DMSO as a
control for 10 minutes and then added to monolayers of HFF in 6-
well dishes at a nominal MOI of 10. The infected cells were
incubated at 37uC for 1 hour and loaded with the BLA substrate
CCF2-AM at a 1X concentration for 1 hour at room temperature
in the dark. The cells were washed with 1X PBS and trypsinized. The resuspended cells were examined on a modified LSR II flow
cytometer (BD, San Jose, CA) with the 407 nm krypton laser for
the detection of coumarin (in the pacific blue channel). Gliding motility was assessed indirectly by immunofluorescence
analysis of SAG1 in trails [32]. Immunofluorescence Purified parasites in room-temperature PBS were treated for 15
minutes with different concentrations of freshly prepared 4-BPB or
with DMSO as a control. Parasites were spun down and washed
twice with PBS, following which HFF monolayers on glass cover slips
were infected with parasites at a multiplicity of infection (MOI) of
,10. To synchronize invasion, parasites were allowed to attach to
HFF monolayers seeded on cover slips for 20 minutes at ,1uC, a
temperature that prevents invasion. The cover slips were then shifted
to 37uC, an invasion-permissive temperature, for 15 minutes before
fixation. Alternatively, invasion was synchronized using Endo buffer
(44.7 mM K2SO4, 10 mM MgSO4, 106 mM sucrose, 5 mM
glucose, 20 mM Tris–H2SO4, 3.5 mg/mL BSA, pH 8.2) [31]. Invasion was allowed to proceed for 30 minutes, 1 hr, 3 hrs,
6 hrs, 24 hrs and 48 hrs, after which infected cells were washed
thrice in PBS and fixed in PBS plus 4.0% (w/v) formaldehyde for
20 minutes. The cover slips were washed in PBS and blocked in
PBS plus 3% (w/v) bovine serum albumin (BSA) for 2 hrs. After
staining with rabbit anti-SAG1 antibody, monolayers were
permeabilized using PBS containing 3% BSA and 0.2% (v/v)
Triton X-100 and then incubated with mouse anti-SAG1
antibody. Parasites staining with rabbit-anti-SAG1 were scored
as extracellular, while parasites staining only with mouse-anti-
SAG1 were scored as intracellular. To assay for the ability of microneme proteins to get to the
parasite surface, parasites on coverslips coated with 5% FBS were
fixed after 30 minutes. They were then stained with anti-SAG1 Figure 6. Synthesis of 4-PPB. The synthesis of 4-propargyl-oxy-phenacylbromide (4-PPB) starting with 4-hydroxybenzoic acid is schematically
presented. For details, see Materials and Methods. doi:10.1371/journal.pone.0008143.g006 Figure 6. Synthesis of 4-PPB. The synthesis of 4-propargyl-oxy-phenacylbromide (4-PPB) starting with 4-hydroxybenzoic acid is schematically
presented. For details, see Materials and Methods. doi:10.1371/journal.pone.0008143.g006 Figure 6. Synthesis of 4-PPB. The synthesis of 4-propargyl-oxy-phenacylbromide (4-PPB) starting with 4-hydroxybenzoic acid is schematically
presented. For details, see Materials and Methods. doi:10.1371/journal.pone.0008143.g006 PLoS ONE | www.plosone.org December 2009 | Volume 4 | Issue 12 | e8143 7 4-BPB Inhibits Rhoptry Release antibodies, as well as either anti-AMA1 or anti-MIC2 antibodies
without permeabilization. BLA parasites were treated with DMSO, 1 mM cytochalasin D, or
0.5, 5 or 50 mM 4-BPB for 10 minutes. Protein Labeling and Click Chemistry Parasites were purified as described above and treated either with
DMSO, 4-PPB or 4-APB at different concentrations for 15 minutes
at room temperature. Parasites were spun down and washed three
times in PBS, and resuspended in 1% NP-40 lysis buffer containing
Complete (Roche) protease inhibitors. After being left on ice for
2 hrs, parasites were spun down for 10minutes at 10006g at 4uC,
and the supernatant was used for the click reaction. Egress Egress assays were performed as previously described [36]. 2 mM A23187 was used for 10 mins and results were observed by
phase microscopy. Fixed cells were incubated for an hour with primary antibodies
diluted in PBS/3%BSA/0.01% Triton X-100. After 3–5 washes in
PBS, the samples were incubated for one hour with secondary
antibodies diluted in PBS plus 3% BSA. After 3–5 washes in PBS,
samples were mounted in Vectashield (Vector Laboratories,
Burlingame, CA) on microscope slides. Microneme Secretion For preparation of excretory-secretory antigens (ESA), approx-
imately 108 tachyzoites were washed, treated with 4-BPB as
described above, and resuspended in 1 ml of DMEM containing
20 mM Hepes and 1% FBS. They were then stimulated to
discharge micronemes either by addition of calcium ionophore
A23187 to a final concentration of 2 mM or ethanol to a final
concentration of 1.0%, and incubated at 37uC for 30 minutes, as
described previously [29]. Cells were removed by centrifugation
at 20006g and the supernatant and pellet were analyzed on
immunoblot. Phase and fluorescence images were captured on a Hamamatsu
Orca100 CCD camera coupled to an Olympus BX60 microscope
and were processed using Image-Pro Plus 2.0 (MediaCybernetics,
Silver Spring, MD) and Photoshop CS4 (Adobe Systems, San Jose,
CA). Image processing was limited to cropping, pseudo-coloring,
merging of individual color channels into single images, and
adjusting of tonal ranges to reproduce observations faithfully. Immunofluorescence After treatment with 4-BPB,
parasites were immobilized in Endo buffer; [33]) and were seeded
onto coverslips that had been coated overnight with 5% fetal
bovine serum. After 20 min at 37uC, the K2SO4 buffer was
removed and replaced with DMEM and the parasites were
incubated for 5 min more at 37uC. The parasites were then fixed
as described before and stained using anti-SAG1 antibody. 4-BPB Titration Protein samples were separated by SDS-PAGE and transferred to
nitrocellulose membranes. Typically, membranes were blocked for
three hours in PBS-T (PBS, 0.1% Tween-20) containing 5% (w/v)
milk, incubated for one hour with primary antibodies, washed thrice
with PBS-T, incubated for one hour with secondary antibodies, and
washed thrice with PBS-T. Primary and secondary antibodies were
diluted in PBS-T plus 1% (w/v) milk. Horseradish peroxidase-
conjugated goat anti-rabbit and goat anti-mouse antibodies (Bio-
Rad, Hercules, CA) were used as secondary antibodies. Horseradish
peroxidase activity was visualized using the SuperSignal West Pico
Chemiluminescent Substrate (Pierce, Rockford, IL). Data was collected from 10 fields per coverslip, for each 4-BPB
concentration from independent experiments. The number of
parasites staining either only with mouse-anti-SAG1 (intracellular)
or only with rabbit-anti-SAG1 (extracellular) were counted and
this number was used to calculate the percentage of invaded
parasites out of the total staining with either antibody. The total
number of parasites per field at each concentration of 4-BPB was
used as a measure of parasite attachment. Percentage invasion and
attachment at each concentration relative to the DMSO-treated
control parasites was calculated. At time-points of invasion 6 hrs
and longer, the number of vacuoles containing a single parasite
versus multiple parasites was also counted, in order to calculate the
percentage of the total vacuoles that had more than one parasite. The data was plotted using GraphPad Prism (GraphPad Software,
La Jolla, CA) and the four parameter logistic model was used to
calculate the IC50 of 4-BPB for invasion and attachment. Selection Table S1
List of top 100 targets identified by LC-MS/MS using
4-PPB, the alkyne click derivative of 4-BPB Parasites from the two mutagenized populations were purified
and treated with 1 mM 4-BPB for 15 mins as described above. The
parasites were spun down and washed three times in PBS before
they were allowed to invade fresh HFFs in 75 cm2 flasks. Following expansion of these populations, selection with 1 mM
4-BPB was repeated and followed by growing the parasites on
25 cm2 flasks. 3 rounds of selection at 1 mM 4-BPB were followed
by 5 rounds at 2 mM 4-BPB and another 5 rounds at 5 mM 4-BPB. Parasites that survived these 13 rounds of selection were plated
onto monolayers in a 96-well plate at a limiting dilution to isolate
single clones. Single clones were screened in a plaque assay for
resistance to 5 mM 4-BPB. Seven such mutant clones were
isolated, 4 from one independent population and 3 from the
other. The plaque assay was performed as described previously
[38]. Monolayers of HFF, grown in six-well plates, were infected
with 50–250 tachyzoites per well. After 1 week of incubation at
normal growth conditions (37uC, 5% CO2), cells were fixed for 1
minute with 220uC 100% methanol, stained with crystal violet for
5 minutes and washed once with PBS. Documentation was
performed with a Nikon SMZ 1500 binocular at 70-fold
magnification. Found
at:
doi:10.1371/journal.pone.0008143.s003
(0.13
MB
DOC) Found
at:
doi:10.1371/journal.pone.0008143.s003
(0.13
MB
DOC) Table S2
List of top 100 targets identified by LC-MS/MS using
4-APB, the azide click derivative of 4-BPB
Found
at:
doi:10.1371/journal.pone.0008143.s004
(0.12
MB
DOC) Table S2
List of top 100 targets identified by LC-MS/MS using
4-APB, the azide click derivative of 4-BPB Found
at:
doi:10.1371/journal.pone.0008143.s004
(0.12
MB
DOC) b-Lactamase Assay This assay was originally described for assessing introduction of
bacterial effector proteins [34] based on a mammalian reporter
system [35]. It has been adapted for use in Toxoplasma [24]. Briefly,
for visualization of b-lactamase (BLA) activity, RH or toxofilin- Click chemistry was performed as described previously [22,23]. Briefly, 50 mM of the alkyne- or azide-conjugated biotin-tags (50X PLoS ONE | www.plosone.org December 2009 | Volume 4 | Issue 12 | e8143 8 4-BPB Inhibits Rhoptry Release secrete rhoptries in the presence of 4-BPB. Click chemistry and
subsequent analysis by immunoblot to compare the mutant clones
to the wild-type parasites was performed as described above. stock in DMSO), 1 mM tris (2-carboxyethyl)phosphine (TCEP
from Sigma; fresh 50X stock in water), 100 mM tris-(benzyltria-
zolylmethyl)amine (TBTA) ligand (17X stock in DMSO:t-Butanol
1:4) and 1 mM copper sulfate (CuSO4; 50x stock in water) were
added to each sample. These were then allowed to react for 1 hr at
room temperature with rocking. Samples were then either mixed
with sample buffer for SDS-PAGE and subsequent treatment with
streptavidin-HRP (Sigma), or used directly for precipitation. Acknowledgments We would like to thank the entire Boothroyd and Bogyo labs for helpful
discussion, in particular David Alexander and Jessica Tyler for providing
protocols for the invasion and RON4 secretion assays, and Carolyn Hall
for providing reagents and protocols for the microneme secretion assays. 2. Carruthers VB, Giddings OK, Sibley LD (1999) Secretion of micronemal
proteins is associated with toxoplasma invasion of host cells. Cellular
Microbiology 1: 225–235. Supporting Information Figure S1
4-BPB inhibits secretion of ROP1 evacuoles - HFF
monolayers were infected with parasites pre-treated with either
DMSO or 10 mM 4-BPB or 1 mM cytochalasin D. Invasion was
allowed to proceed for 3 minutes following which monolayers were
fixed and visualized by immunofluorescence microscopy. An anti-
SAG1 antibody was used to stain the surface of extracellular
parasites, followed by permeabilization and staining with an anti-
ROP1 antibody. The corresponding phase microscopy image is
included to the right of each fluorescence image. Characteristic
intracellular ROP1 evacuoles were observed secreted by DMSO-
treated and cytochalasin D treated parasites, but were not
observed to be secreted by 4-BPB treated parasites. ROP1 signal
from inside the rhoptries is extremely weak since the permeabi-
lization condition used (100% ethanol at room temperature) is not
particularly efficient at permeabilizing the rhoptry organelles. Found at: doi:10.1371/journal.pone.0008143.s001 (7.50 MB TIF) For precipitations, the samples were incubated for 2 hrs with
UltraLink streptavidin beads (Pierce) that had been pre-washed in
PBS. The beads were then spun down and washed three times each
with 0.05% sodium dodecyl sulfate (SDS), 1 M sodium chloride,
10% ethanol, and once with PBS. After spinning down the beads
and removing the supernatant, the beads were resuspended in
sample buffer, vortexed and boiled for 5 minutes. Following this the
samples were analyzed by SDS-PAGE in precast 12% protein gels
followed by staining with silver stain plus (Bio-Rad). Bands were cut
out and sent for analysis by LC-MS/MS. Author Contributions Conceived and designed the experiments: SR JCB. Performed the
experiments: SR. Analyzed the data: SR. Contributed reagents/materi-
als/analysis tools: MB JCB. Wrote the paper: SR. Toxofilin-beta-lactamase
expressing parasites and their use in assaying rhoptry secretion, used in
figure 3: MBL. Organic synthesis of 4-propargyl-oxy-phenacyl bromide (4-
PPB), used in figure 5: SHLV. Mutants were characterized by immunofluorescence assays as
described previously, to determine their ability to invade and 1. Carruthers VB, Sibley LD (1997) Sequential protein secretion from three distinct
organelles of Toxoplasma gondii accompanies invasion of human fibroblasts.
European Journal of Cell Biology 73: 114–123. Mutagenesis Chemical mutagenesis of RH parasites was done using the
standard protocol with N-ethyl N-nitrosourea (ENU; 75 mg ml21)
at 37uC for 1 h [37]. Mutagenized parasites were passaged twice
in 175 cm2 flasks and split into two independent populations prior
to selection. A control population was treated with DMSO instead
of ENU. Found at: doi:10.1371/journal.pone.0008143.s002 (1.49 MB TIF) Found at: doi:10.1371/journal.pone.0008143.s002 (1.49 MB TIF) LC-MS/MS Analysis The samples were analyzed using a Thermo Fisher Scientific LTQ
FTMS mass spectrometer, (San Jose, California). The precursor survey
scan was carried out on the FTMS with 100,000 resolution, using a
scan range of 400–1400 m/z. Five MS/MS scans were performed on
the top five peaks following the precursor scan. Data was searched
using the data base search engine Mascot, (London, England). Figure S2
RON4 and ROP1 show distinct localization in 4-BPB
treated parasites - HFF monolayers were infected with parasites
pre-treated with 10 mM 4-BPB. Invasion was allowed to proceed
for 3 minutes following which cells were fixed and visualized by
immunofluorescence microscopy. Following permeabilization with
100% ethanol, anti-RON4 and anti-ROP1 antibodies were used
to stain the rhoptry neck and rhoptry bulb compartments,
respectively. The corresponding phase microscopy image is
included to the right of the fluorescence image. RON4 did not
colocalize with ROP1 and appeared to show rhoptry neck
localization, apical to and quite distinct from ROP1 rhoptry bulb
localization. Figure S2
RON4 and ROP1 show distinct localization in 4-BPB
treated parasites - HFF monolayers were infected with parasites
pre-treated with 10 mM 4-BPB. Invasion was allowed to proceed
for 3 minutes following which cells were fixed and visualized by
immunofluorescence microscopy. Following permeabilization with
100% ethanol, anti-RON4 and anti-ROP1 antibodies were used
to stain the rhoptry neck and rhoptry bulb compartments,
respectively. The corresponding phase microscopy image is
included to the right of the fluorescence image. RON4 did not
colocalize with ROP1 and appeared to show rhoptry neck
localization, apical to and quite distinct from ROP1 rhoptry bulb
localization. 4-BPB Inhibits Rhoptry Release gondii penetration: role of parasite and host cell phospholipases. Infection and
Immunity 61: 1432–1441. 3. Alexander DL, Mital J, Ward GE, Bradley P, Boothroyd JC (2005) Identification
of the moving junction complex of Toxoplasma gondii: a collaboration between
distinct secretory organelles. PLoS Pathog 1: e17. gondii penetration: role of parasite and host cell phospholipases. Infection and
Immunity 61: 1432–1441. 21. Gomez Marin JE, Bonhomme A, Guenounou M, Pinon JM (1996) Role of
interferon-gamma against invasion by Toxoplasma gondii in a human
monocytic cell line (THP1): involvement of the parasite’s secretory phospholi-
pase A2. Cell Immunol 169: 218–225. y
g
g
4. Besteiro S, Michelin A, Poncet J, Dubremetz JF, Lebrun M (2009) Export of a
Toxoplasma gondii rhoptry neck protein complex at the host cell membrane to
form the moving junction during invasion. PLoS Pathog 5: e1000309. form the moving junction during invasion. PLoS Pathog 5: e100 5. Lebrun M, Michelin A, El Hajj H, Poncet J, Bradley PJ, et al. (2005) The
rhoptry neck protein RON4 re-localizes at the moving junction during
Toxoplasma gondii invasion. Cell Microbiol 7: 1823–1833. 22. Speers AE, Adam GC, Cravatt BF (2003) Activity-based protein profiling in vivo
using a copper(i)-catalyzed azide-alkyne [3+2] cycloaddition. J Am Chem Soc
125: 4686–4687. p
g
6. Straub KW, Cheng SJ, Sohn CS, Bradley PJ (2009) Novel components of the
Apicomplexan moving junction reveal conserved and coccidia-restricted
elements. Cellular Microbiology 11: 590–603. 23. Speers AE, Cravatt BF (2004) Profiling enzyme activities in vivo using click
chemistry methods. Chem Biol 11: 535–546. 24. Lodoen MB, Gerke C, Boothroyd JC (2009) A highly sensitive FRET-based
approach reveals secretion of the actin-binding protein toxofilin during
Toxoplasma gondii infection. Cellular Microbiology. 7. Kessler H, Herm-Gotz A, Hegge S, Rauch M, Soldati-Favre D, et al. (2008)
Microneme protein 8–a new essential invasion factor in Toxoplasma gondii. Journal of Cell Science 121: 947–956. 25. Endo T, Sethi KK, Piekarski G (1982) Toxoplasma gondii: calcium ionophore
A23187-mediated exit of trophozoites from infected murine macrophages. Exp
Parasitol 53: 179–188. 8. Ha˚kansson S, Charron AJ, Sibley LD (2001) Toxoplasma evacuoles: a two-step
process of secretion and fusion forms the parasitophorous vacuole. EMBO J 20:
3132–3144. 26. Burke JE, Dennis EA (2009) Phospholipase A2 biochemistry. Cardiovasc Drugs
Ther 23: 49–59. 9. Saeij JP, Boyle JP, Coller S, Taylor S, Sibley LD, et al. (2006) Polymorphic
secreted kinases are key virulence factors in toxoplasmosis. Science 314:
1780–1783. 27. 4-BPB Inhibits Rhoptry Release Schaloske RH, Dennis EA (2006) The phospholipase A2 superfamily and its
group numbering system. Biochim Biophys Acta 1761: 1246–1259. 10. Jacobs D, Dubremetz JF, Loyens A, Bosman F, Saman E (1998) Identification
and heterologous expression of a new dense granule protein (GRA7) from
Toxoplasma gondii. Mol Biochem Parasitol 91: 237–249. 28. Hakansson S, Charron AJ, Sibley LD (2001) Toxoplasma evacuoles: a two-step
process of secretion and fusion forms the parasitophorous vacuole. Embo J 20:
3132–3144. p
g
11. Dunn JD, Ravindran S, Kim SK, Boothroyd JC (2008) The Toxoplasma gondii
dense granule protein GRA7 is phosphorylated upon invasion and forms an
unexpected association with the rhoptry proteins ROP2 and ROP4. Infection
and Immunity 76: 5853–5861. 29. Carruthers VB, Moreno SN, Sibley LD (1999) Ethanol and acetaldehyde elevate
intracellular [Ca2+] and stimulate microneme discharge in Toxoplasma gondii. Biochem J 342 (Pt 2): 379–386. (
)
30. Kato D, Boatright KM, Berger AB, Nazif T, Blum G, et al. (2005) Activity-based
probes that target diverse cysteine protease families. Nat Chem Biol 1: 33–38. y
12. Coppens I, Dunn JD, Romano JD, Pypaert M, Zhang H, et al. (2006)
Toxoplasma gondii sequesters lysosomes from mammalian hosts in the vacuolar
space. Cell 125: 261–274. 31. Kafsack BF, Beckers C, Carruthers VB (2004) Synchronous invasion of host cells
by Toxoplasma gondii. Mol Biochem Parasitol 136: 309–311. p
13. Taylor S, Barragan A, Su C, Fux B, Fentress SJ, et al. (2006) A secreted serine-
threonine kinase determines virulence in the eukaryotic pathogen Toxoplasma
gondii. Science 314: 1776–1780. y
p
g
32. Dobrowolski JM, Sibley LD (1996) Toxoplasma invasion of mammalian cells is
powered by the actin cytoskeleton of the parasite. Cell 84: 933–939. powered by the actin cytoskeleton of the parasite. Cell 84: 933 g
14. Gilbert LA, Ravindran S, Turetzky JM, Boothroyd JC, Bradley PJ (2007)
Toxoplasma gondii targets a protein phosphatase 2C to the nuclei of infected
host cells. Eukaryotic Cell 6: 73–83. 33. Endo T, Tokuda H, Yagita K, Koyama T (1987) Effects of extracellular
potassium on acid release and motility initiation in Toxoplasma gondii. J Protozool 34: 291–295. y
15. Saeij JP, Coller S, Boyle JP, Jerome ME, White MW, et al. (2007) Toxoplasma
co-opts host gene expression by injection of a polymorphic kinase homologue. Nature 445: 324–327. 34. Marketon MM, DePaolo RW, DeBord KL, Jabri B, Schneewind O (2005)
Plague bacteria target immune cells during infection. Science 309: 1739–1741. 35. References PLoS ONE | www.plosone.org December 2009 | Volume 4 | Issue 12 | e8143 9 4-BPB Inhibits Rhoptry Release Zlokarnik G, Negulescu PA, Knapp TE, Mere L, Burres N, et al. (1998)
Quantitation of transcription and clonal selection of single living cells with beta-
lactamase as reporter. Science 279: 84–88. 16. Brown WJ, Chambers K, Doody A (2003) Phospholipase A2 (PLA2) enzymes in
membrane trafficking: mediators of membrane shape and function. Traffic 4:
214–221. 36. Black MW, Arrizabalaga G, Boothroyd JC (2000) Ionophore-resistant mutants
of Toxoplasma gondii reveal host cell permeabilization as an early event in
egress. Mol Cell Biol 20: 9399–9408. 17. Cassaing S, Fauvel J, Bessieres MH, Guy S, Seguela JP, et al. (2000) Toxoplasma
gondii secretes a calcium-independent phospholipase A(2). International Journal
for Parasitology 30: 1137–1142. 37. Radke JR, Guerini MN, White MW (2000) Toxoplasma gondii: characterization
of temperature-sensitive tachyzoite cell cycle mutants. Exp Parasitol 96:
168–177. 18. Saffer LD, Schwartzman JD (1991) A soluble phospholipase of Toxoplasma
gondii associated with host cell penetration. J Protozool 38: 454–460. 19. Saffer LD, Long Krug SA, Schwartzman JD (1989) The role of phospholipase in
host cell penetration by Toxoplasma gondii. Am J Trop Med Hyg 40: 145–149. 38. Roos DS, Donald RG, Morrissette NS, Moulton AL (1994) Molecular tools for
genetic dissection of the protozoan parasite Toxoplasma gondii. Methods Cell
Biol 45: 27–63. p
y
p
g
p
yg
20. Thardin JF, M’Rini C, Beraud M, Vandaele J, Frisach MF, et al. (1993)
Eicosanoid production by mouse peritoneal macrophages during Toxoplasma PLoS ONE | www.plosone.org December 2009 | Volume 4 | Issue 12 | e8143 10
|
https://openalex.org/W2965693636
|
https://europepmc.org/articles/pmc6686041?pdf=render
|
English
| null |
Role of <i>Toxoplasma gondii</i> Chloroquine Resistance Transporter in Bradyzoite Viability and Digestive Vacuole Maintenance
|
MBio
| 2,019
|
cc-by
| 13,614
|
Role of Toxoplasma gondii Chloroquine Resistance Transporter
in Bradyzoite Viability and Digestive Vacuole Maintenance
Geetha Kannan,a Manlio Di Cristina,b Aric J. Schultz,a* My-Hang Huynh,a Fengrong Wang,a Tracey L. Schultz,a
Matteo Lunghi,b* Isabelle Coppens,c Vern B. Carruthersa aDepartment of Microbiology and Immunology, University of Michigan Medical School, Ann Arbor, Michigan, USA
bDepartment of Chemistry, Biology and Biotechnology, University of Perugia, Perugia, Italy
cDepartment of Molecular Microbiology and Immunology, The Johns Hopkins University Bloomberg School of Public Health, Baltimore, Maryland, USA ABSTRACT
Toxoplasma gondii is a ubiquitous pathogen that can cause encephalitis,
congenital defects, and ocular disease. T. gondii has also been implicated as a risk
factor for mental illness in humans. The parasite persists in the brain as slow-
growing bradyzoites contained within intracellular cysts. No treatments exist to elim-
inate this form of parasite. Although proteolytic degradation within the parasite
lysosome-like vacuolar compartment (VAC) is critical for bradyzoite viability, whether
other aspects of the VAC are important for parasite persistence remains unknown. An
ortholog of Plasmodium falciparum chloroquine resistance transporter (CRT), TgCRT, has
previously been identified in T. gondii. To interrogate the function of TgCRT in
chronic-stage bradyzoites and its role in persistence, we knocked out TgCRT in a
cystogenic strain and assessed VAC size, VAC digestion of host-derived proteins and
parasite autophagosomes, and the viability of in vitro and in vivo bradyzoites. We
found that whereas parasites deficient in TgCRT exhibit normal digestion within the
VAC, they display a markedly distended VAC and their viability is compromised both
in vitro and in vivo. Interestingly, impairing VAC proteolysis in TgCRT-deficient brady-
zoites restored VAC size, consistent with a role for TgCRT as a transporter of prod-
ucts of digestion from the VAC. In conjunction with earlier studies, our current find-
ings suggest a functional link between TgCRT and VAC proteolysis. This study
provides further evidence of a crucial role for the VAC in bradyzoite persistence and
a new potential VAC target to abate chronic Toxoplasma infection. IMPORTANCE Individuals chronically infected with the intracellular parasite Toxo-
plasma gondii are at risk of experiencing reactivated disease that can result in pro-
gressive loss of vision. No effective treatments exist for chronic toxoplasmosis due in
part to a poor understanding of the biology underlying chronic infection and a lack
of well-validated potential targets. We show here that a T. gondii transporter is func-
tionally linked to protein digestion within the parasite lysosome-like organelle and
that this transporter is necessary to sustain chronic infection in culture and in exper-
imentally infected mice. Ablating the transporter results in severe bloating of the
lysosome-like organelle. RESEARCH ARTICLE
Host-Microbe Biology RESEARCH ARTICLE
Host-Microbe Biology July/August 2019
Volume 10
Issue 4
e01324-19 Role of Toxoplasma gondii Chloroquine Resistance Transporter
in Bradyzoite Viability and Digestive Vacuole Maintenance
Geetha Kannan,a Manlio Di Cristina,b Aric J. Schultz,a* My-Hang Huynh,a Fengrong Wang,a Tracey L. Schultz,a
Matteo Lunghi,b* Isabelle Coppens,c Vern B. Carruthersa Together with earlier work, this study suggests the parasite’s
lysosome-like organelle is vital for parasite survival, thus rendering it a potential tar-
get for diminishing infection and reducing the risk of reactivated disease. Citation Kannan G, Di Cristina M, Schultz AJ,
Huynh M-H, Wang F, Schultz TL, Lunghi M,
Coppens I, Carruthers VB. 2019. Role of
Toxoplasma gondii chloroquine resistance
transporter in bradyzoite viability and digestive
vacuole maintenance. mBio 10:e01324-19. https://doi.org/10.1128/mBio.01324-19. Editor John C. Boothroyd, Stanford University
Copyright © 2019 Kannan et al. This is an
open-access article distributed under the terms
of the Creative Commons Attribution 4.0
International license. * Present address: Aric J. Schultz, Biosciences
Center, National Renewable Energy Laboratory,
Golden, Colorado, USA; Matteo Lunghi,
Department of Microbiology and Molecular
Medicine, CMU, University of Geneva, CH-1211,
Geneva, Switzerland. KEYWORDS Toxoplasma gondii, autophagy, persistence, proteolysis, transporters T
oxoplasma gondii is an opportunistic pathogen that causes encephalitis or debili-
tating ocular and congenital diseases in humans (1–4). It has also been implicated
as a risk factor for schizophrenia and other major mental illnesses (5–8). The parasite
progresses through two major life stages during infection of its intermediate hosts: the
acute stage, characterized by actively replicating tachyzoites, and the chronic stage, T ®
mbio.asm.org
1 ® Kannan et al. featuring slow-growing bradyzoite cysts that persist in muscle and brain tissue (9). While drugs exist against acute-stage tachyzoites, currently no treatments are available
to combat the chronic-stage bradyzoite cysts. The development of new interventions
for limiting disease from chronic infection is hindered by a lack of well-validated
potential targets and understanding of the biology of T. gondii bradyzoites. One avenue toward this goal is to define the contributions of proteins associated
with the parasite plant-like vacuole/vacuolar compartment (VAC). The T. gondii VAC is
a lysosome-like organelle that contains a variety of proteases, including those of the
cathepsin family (10, 11). It was previously shown that T. gondii cathepsin protease L
(TgCPL) localizes to the lumen of the VAC, where it aids in the digestion of ingested
host-derived proteins and parasite autophagosomes (11–13). Diminishing the digestive
function of the VAC by either genetic ablation of TgCPL or chemical inhibition of TgCPL
with morpholinurea-leucine-homophenylalanine-vinyl phenyl sulfone (LHVS) revealed
an critical role for the VAC in parasite viability, particularly in the bradyzoite stage (11,
13, 14). The T. Role of Toxoplasma gondii Chloroquine Resistance Transporter
in Bradyzoite Viability and Digestive Vacuole Maintenance
Geetha Kannan,a Manlio Di Cristina,b Aric J. Schultz,a* My-Hang Huynh,a Fengrong Wang,a Tracey L. Schultz,a
Matteo Lunghi,b* Isabelle Coppens,c Vern B. Carruthersa gondii VAC also possesses transmembrane proteins, including an orthologue
of the Plasmodium falciparum chloroquine resistance transporter (PfCRT) (15). Arabi-
dopsis thaliana expresses a homologue of PfCRT as well, which is involved in export of
glutathione from plant chloroplasts (16, 17). Similarly, PfCRT has been implicated in the
transport of amino acids and peptides out of the digestive vacuole and is also
important for the efflux of chloroquine from the malaria digestive vacuole to the
parasite cytosol (16, 17). Recent work utilizing yeast demonstrated that T. gondii CRT
(TgCRT) is also capable of transporting chloroquine (18). Thus, similar to PfCRT, TgCRT
might also transport amino acids and small peptides out of the T. gondii VAC and into
the parasite cytosol. Two studies have revealed that T. gondii RH tachyzoites deficient
in TgCRT, either by inducible knockdown or complete genetic ablation, exhibit an
enlarged VAC (15, 18). In addition, expansion of the VAC in TgCRT-deficient tachyzoites
is diminished when parasite digestion is impaired by genetic ablation of cathepsin
protease B (TgCPB) or chemical inhibition of TgCPL with LHVS (18). Thus, the distended
VAC in TgCRT-deficient tachyzoites was postulated to be due to increased osmotic
pressure from a buildup of digestion products that could not be transported out of the
VAC (15, 18). TgCRT-deficient tachyzoites also grow more slowly in vitro and are
compromised in their ability to cause mortality in mice during acute infection, sug-
gesting that an inability to transport digested material out of the VAC and into the
parasite cytosol has a moderate effect on T. gondii tachyzoites (15, 18). However, the extent to which TgCRT functions as a transporter of digestion products
in bradyzoite cysts and thereby contributes to VAC morphology or function, or whether
it is necessary for parasite viability during the chronic stage of infection, is unknown. We
therefore sought to define the function of TgCRT in bradyzoites and its contribution to
bradyzoite survival. To study this, we created a knockout of TgCRT in a cystogenic strain
and assessed VAC morphology, in vitro and in vivo viability, and VAC digestion of host-
or parasite-derived material in TgCRT-deficient bradyzoites. We show that these bra-
dyzoites exhibit a severely bloated VAC, that TgCRT appears to function downstream of
protein digestion within the VAC, and that TgCRT deficiency results in loss of bradyzoite
viability. July/August 2019
Volume 10
Issue 4
e01324-19 RESULTS (C) Intracellular bradyzoite cysts differentiated in vitro for
1 week. Scale bar, 10 m. The arrow denotes distended VAC. (D) Electron micrographs of intracellular bradyzoite cysts cultured in vitro
for 1 week. Images within white boxes were expanded for the insets shown in the second row. The scale bars represent 500 nm for
low-magnification images and 200 nm for the insets. P, parasite. (E) Quantification of VAC size from electron micrographs. The following
numbers of VACs were measured for each strain: Pru (n 13), PΔcrt (n 25), PΔcrt:CRT (n 15). A minimum of five images, each
containing at least one cyst, was used to measure VAC size. The volume fraction corresponds to the area of the VAC/area of the
parasite 100. The bars indicate the means the standard deviations (SD). One-way ANOVA with Tukey’s multiple comparison was
performed. All genotypes were compared, and only significant differences are shown in the figure (****, P 0.0001). not strictly a consequence of being in an extracellular environment. Quantification of
EM images reveals a 5-fold enlargement of VAC area in PΔcrt bradyzoites compared to
the parental and complement strains (Fig. 1E). These results indicate that TgCRT
deficiency in a cystogenic type II strain results in a pronounced enlargement of the VAC
in both tachyzoites and bradyzoites. TgCRT is required for in vitro bradyzoite viability and in vivo cyst burden. Previous work established that proteolytic digestion of material in the VAC is necessary
for survival of T. gondii bradyzoites in vitro and in vivo (13). Because TgCRT is important
for maintaining normal VAC morphology, we reasoned that TgCRT deficiency might
compromise bradyzoite viability. We first wanted to address whether the lack of TgCRT
affected the rate or efficiency of tachyzoite to bradyzoite conversion and bradyzoite
replication. The parasite strains used express green fluorescent protein (GFP) under the
early bradyzoite LDH2 promoter (19). To assess conversion, we measured the percent-
age of parasite-containing vacuoles with 50% coverage of GFP or the more mature-
stage bradyzoite-specific marker TgBAG1 over the first 4 days of conversion. For both
early- and mature-bradyzoite-stage markers analyzed, we found that all strains con-
verted at a similar rate (Fig. S3). In addition, we measured the cyst size as an indicator
of bradyzoite replication at 1 and 2 weeks postconversion and found them to be
comparable among all strains at both time points (Fig. S4). RESULTS Pcrt parasites exhibit a markedly distended VAC. To examine the role of TgCRT
in bradyzoites, we knocked out TgCRT in the cystogenic type II Prugniaud Δku80 strain
(PΔcrt) and restored its expression via genetic complementation (PΔcrt:CRT) (Fig. S1 and
S2). Consistent with TgCRT playing a role in VAC morphology, PΔcrt extracellular
tachyzoites (Fig. 1A) and bradyzoites isolated from in vitro cysts (Fig. 1B) show a larger
translucent vacuole associated with the VAC marker TgCPL than the parental and
complement strains. The translucent vacuole was also observed within intact in vitro
TgCRT-deficient bradyzoite cysts, as seen by phase-contrast (Fig. 1C) and electron
microscopy (EM) (Fig. 1D) imaging, suggesting that VAC enlargement in bradyzoites is mbio.asm.org
2 July/August 2019
Volume 10
Issue 4
e01324-19 ® Role of TgCRT in Chronic Toxoplasma Infection FIG 1 PΔcrt tachyzoites and bradyzoites exhibit a distended VAC. (A) Extracellular tachyzoites stained for the VAC protease TgCPL (red). Scale bar, 1 m. The arrow denotes distended VAC. (B) Extracellular bradyzoites purified from in vitro cysts differentiated for 1 week and
stained for TgCPL (red). Scale bar, 1 m. The arrow denotes distended VAC. (C) Intracellular bradyzoite cysts differentiated in vitro for
1 week. Scale bar, 10 m. The arrow denotes distended VAC. (D) Electron micrographs of intracellular bradyzoite cysts cultured in vitro
for 1 week. Images within white boxes were expanded for the insets shown in the second row. The scale bars represent 500 nm for
low-magnification images and 200 nm for the insets. P, parasite. (E) Quantification of VAC size from electron micrographs. The following
numbers of VACs were measured for each strain: Pru (n 13), PΔcrt (n 25), PΔcrt:CRT (n 15). A minimum of five images, each
containing at least one cyst, was used to measure VAC size. The volume fraction corresponds to the area of the VAC/area of the
parasite 100. The bars indicate the means the standard deviations (SD). One-way ANOVA with Tukey’s multiple comparison was
performed. All genotypes were compared, and only significant differences are shown in the figure (****, P 0.0001). FIG 1 PΔcrt tachyzoites and bradyzoites exhibit a distended VAC. (A) Extracellular tachyzoites stained for the VAC protease TgCPL (red). Scale bar, 1 m. The arrow denotes distended VAC. (B) Extracellular bradyzoites purified from in vitro cysts differentiated for 1 week and
stained for TgCPL (red). Scale bar, 1 m. The arrow denotes distended VAC. July/August 2019
Volume 10
Issue 4
e01324-19 RESULTS These findings suggest that
TgCRT is not necessary for acute to chronic-stage differentiation or replication of
chronic-stage parasites up to 2 weeks in vitro. We then sought to assess the extent to which TgCRT deficiency affects bradyzoite
viability in vitro. First, we measured the expression of GFP as a proxy of bradyzoite
health. It was previously shown that as bradyzoite viability decreases, there is a shift
from cysts being uniformly GFP positive to partially positive (mixture of GFP positive
and GFP negative) to fully GFP negative (13). Although we found that PΔcrt cysts were
uniformly GFP positive (Fig. 2A) the intensity of GFP was diminished at 2 weeks, but not mbio.asm.org
3 ® Kannan et al. FIG 2 Deletion of CRT affects in vitro bradyzoite viability. (A) Fluorescent images of bradyzoite cysts
expressing GFP under the early bradyzoite LDH2 promoter after 1 and 2 weeks of in vitro differentiation. All of the examples shown were also positive for dolichos staining. Scale bars, 10 m. (B) GFP intensity
after 1 and 2 weeks of in vitro differentiation. The lines represent means the SD of bradyzoite cysts in
three independent experiments. The following numbers of cysts were analyzed for each experiment. Week 1: Pru (n 77, 54, and 142), PΔcrt (n 54, 91, and 148), PΔcrt:CRT (n 96, 92, and 88). Week 2:
Pru (n 106, 124, and 102), PΔcrt (n 56, 131, and 94), PΔcrt:CRT (n 89, 107, and 102). The
Kruskal-Wallis test with Dunn’s multiple comparison was performed. GFP intensity measurements were
performed on dolichos-positive cysts. All genotypes were compared, and only significant differences are
shown in the figure (****, P 0.0001). (C) Viability of bradyzoites after 1 and 2 weeks of in vitro
differentiation based on plaque numbers normalized to qPCR quantification. The lines represent
means the SD of three to four technical replicates in four to five independent experiments. The
following numbers of technical replicates were analyzed for each experiment. Week 1: Pru (n 3, 3, 3,
4, and 4); PruΔcrt (n 3, 3, 3, 4, and 4); PruΔcrt:CRT (n 3, 3, 3, and 4). Week 2: Pru (n 3, 3, 3, 4, and
4); PruΔcrt (n 3, 3, 3, 4, and 4); PruΔcrt:CRT (n 3, 3, 3, 4, and 4). RESULTS The Kruskal-Wallis test with Dunn’s
multiple comparison was performed (****, P 0.0001; *, P 0.05). FIG 2 Deletion of CRT affects in vitro bradyzoite viability. (A) Fluorescent images of bradyzoite cysts
expressing GFP under the early bradyzoite LDH2 promoter after 1 and 2 weeks of in vitro differentiation. All of the examples shown were also positive for dolichos staining. Scale bars, 10 m. (B) GFP intensity
after 1 and 2 weeks of in vitro differentiation. The lines represent means the SD of bradyzoite cysts in
three independent experiments. The following numbers of cysts were analyzed for each experiment. Week 1: Pru (n 77, 54, and 142), PΔcrt (n 54, 91, and 148), PΔcrt:CRT (n 96, 92, and 88). Week 2:
Pru (n 106, 124, and 102), PΔcrt (n 56, 131, and 94), PΔcrt:CRT (n 89, 107, and 102). The
Kruskal-Wallis test with Dunn’s multiple comparison was performed. GFP intensity measurements were
performed on dolichos-positive cysts. All genotypes were compared, and only significant differences are
shown in the figure (****, P 0.0001). (C) Viability of bradyzoites after 1 and 2 weeks of in vitro
differentiation based on plaque numbers normalized to qPCR quantification. The lines represent
means the SD of three to four technical replicates in four to five independent experiments. The
following numbers of technical replicates were analyzed for each experiment. Week 1: Pru (n 3, 3, 3,
4, and 4); PruΔcrt (n 3, 3, 3, 4, and 4); PruΔcrt:CRT (n 3, 3, 3, and 4). Week 2: Pru (n 3, 3, 3, 4, and
4); PruΔcrt (n 3 3 3 4 and 4); PruΔcrt:CRT (n 3 3 3 4 and 4) The Kruskal-Wallis test with Dunn’s FIG 2 Deletion of CRT affects in vitro bradyzoite viability. (A) Fluorescent images of bradyzoite cysts
expressing GFP under the early bradyzoite LDH2 promoter after 1 and 2 weeks of in vitro differentiation. All of the examples shown were also positive for dolichos staining. Scale bars, 10 m. (B) GFP intensity
after 1 and 2 weeks of in vitro differentiation. The lines represent means the SD of bradyzoite cysts in
three independent experiments. The following numbers of cysts were analyzed for each experiment. July/August 2019
Volume 10
Issue 4
e01324-19 RESULTS Week 1: Pru (n 77, 54, and 142), PΔcrt (n 54, 91, and 148), PΔcrt:CRT (n 96, 92, and 88). Week 2:
Pru (n 106, 124, and 102), PΔcrt (n 56, 131, and 94), PΔcrt:CRT (n 89, 107, and 102). The
Kruskal-Wallis test with Dunn’s multiple comparison was performed. GFP intensity measurements were
performed on dolichos-positive cysts. All genotypes were compared, and only significant differences are
shown in the figure (****, P 0.0001). (C) Viability of bradyzoites after 1 and 2 weeks of in vitro
differentiation based on plaque numbers normalized to qPCR quantification. The lines represent
means the SD of three to four technical replicates in four to five independent experiments. The
following numbers of technical replicates were analyzed for each experiment. Week 1: Pru (n 3, 3, 3,
4, and 4); PruΔcrt (n 3, 3, 3, 4, and 4); PruΔcrt:CRT (n 3, 3, 3, and 4). Week 2: Pru (n 3, 3, 3, 4, and
4); PruΔcrt (n 3, 3, 3, 4, and 4); PruΔcrt:CRT (n 3, 3, 3, 4, and 4). The Kruskal-Wallis test with Dunn’s
multiple comparison was performed (****, P 0.0001; *, P 0.05). 1 week, postconversion (Fig. 2B), suggesting a temporal decrease in gene expression. Next we more directly evaluated bradyzoite viability using a qPCR/plaque assay (13),
which measures the ability of bradyzoites to initiate plaque formation relative to the
inoculum (plaques/1000 genomes). We found that PΔcrt bradyzoite viability was de-
creased at 2 weeks, but not at 1 week, postconversion (Fig. 2C), mirroring the findings
for GFP intensity. Since a decrease in plaques/genomes could be attributed to a
deficiency in the ability of PΔcrt parasites to form plaques, we conducted a tachyzoite
plaque assay that revealed PΔcrt tachyzoites have no deficit in the number of plaques
formed (Fig. S5). Together, these findings indicate a progressive loss of PΔcrt bradyzoite
viability in vitro. To determine whether deletion of TgCRT affects the chronic infection in vivo, we
infected C57BL/6 mice and enumerated brain cysts at 4 weeks postinfection. Mice mbio.asm.org
4 ® Role of TgCRT in Chronic Toxoplasma Infection inoculated with PΔcrt tachyzoites showed an 10-fold decrease in brain cyst burden
compared to those inoculated with the parental or complement strains (Fig. 3A). RESULTS The
reduction in cyst burden was not due to a lack of infection since all mice were
seropositive for T. gondii IgG, including those in which no cysts were observed (Fig. 3B). However, it is possible that the reduced number of PΔcrt brain cysts observed was due
to fewer tachyzoites entering the brain during acute infection. To examine this, we used
quantitative PCR (qPCR) to measure initial levels of infection in the brain at days 7 and
10 postinfection. Compared to those infected with parental or complement strains,
mice infected with PΔcrt parasites showed a 2- to 3-fold-lower brain burden, suggesting
that the decrease in cyst burden at 4 weeks postinfection is partly attributable to lower
initial infection of the brain. Because we found that in vitro TgCRT-deficient bradyzoites are less viable, we
wanted to examine whether residual in vivo PΔcrt cysts are infectious. To test this, we
inoculated naive mice with 5 or 30 cysts from the brains of mice chronically infected
with Pru, PΔcrt, or PΔcrt:CRT. Once in the chronic phase, infection of naive mice was
monitored via serology and by determining whether parasites could be cultured from
their brain homogenates. To serve as a negative control, five naive mice were inocu-
lated with brain homogenate from an uninfected mouse. All mice inoculated with PΔcrt
brain cysts were seropositive, indicating that PΔcrt cysts contain infectious bradyzoites
(Fig. 3D). However, only 50% of the seropositive mice were culture positive. In contrast,
while not all mice inoculated with parental or complement brain cysts were seropos-
itive, parasites were cultured from the brains of 100% of the seropositive mice. Taken
together, our in vitro and in vivo data indicate that TgCRT-deficient bradyzoites show a
decrease, but not an absolute loss, of viability. Digestion in the VAC of TgCRT-deficient tachyzoites and bradyzoites. We next
wanted to interrogate whether the decreased viability in TgCRT-deficient bradyzoites is
possibly due to an impairment of proteolytic digestion in the VAC. Pru strain
tachyzoites and bradyzoites deficient in the VAC protease TgCPL (PΔcpl) have a deficit
in digestion and reduced bradyzoite viability (13). It was recently suggested that RHΔcrt
tachyzoites have 25% less TgCPL, but the extent to which this affects VAC digestion was
not assessed (18). To probe whether TgCRT deficiency affects VAC digestion in
tachyzoites, we utilized a tachyzoite ingestion/digestion assay that permits the detec-
tion of ingested and undigested host-derived mCherry within tachyzoites (12). July/August 2019
Volume 10
Issue 4
e01324-19 mbio.asm.org
6 RESULTS We
included PΔcpl as a reference control since these parasites accumulate host-derived
mCherry due to a deficiency in VAC proteolytic activity (11, 13, 14). We also created a
PΔcrtΔcpl double-knockout strain by ablating TgCRT in the PΔcpl strain to determine
whether a lack of accumulated host-derived material in PΔcrt parasites is due to
functional digestion or problems in protein delivery to the VAC (see Fig. S1 in the
supplemental material). Western blotting confirmed that TgCPL was expressed in all
strains except for the PΔcpl and PΔcrtΔcpl strains (Fig. 4A). Accumulation of host-
derived mCherry was observed in tachyzoites of all strains (Fig. 4B). However, we found
that whereas 33% of PΔcpl and 38% PΔcrtΔcpl tachyzoites accumulated host-derived
mCherry, the PΔcrt strain showed only 3% mCherry positive tachyzoites, which is
comparable to the parental and complement lines (Fig. 4C). Accumulation of mCherry
in PΔcrtΔcpl parasites was not significantly different than that of the PΔcpl strain. Taken
together, these findings suggest that TgCRT is not required for the delivery or digestion
of host-derived protein in the VAC of tachyzoites. We next wanted to determine whether TgCRT deficiency affects VAC digestion in
bradyzoites. Since it has not yet been shown whether bradyzoites are capable of
ingesting host cytosolic material akin to tachyzoites, we instead employed a “puncta”
assay to initially assess VAC digestion in bradyzoites. This assay is based on a previous
report showing that disruption of VAC proteolysis with the TgCPL inhibitor LHVS leads
to the accumulation of undigested material in the VAC, which is visible by phase-
contrast microscopy as dark puncta (13). We found that PΔcrt cysts treated with LHVS
developed dark puncta and that this corresponded with loss of the translucent VAC mbio.asm.org
5 ® Kannan et al. FIG 3 Deletion of TgCRT affects in vivo bradyzoite burden. (A) Brain cyst burdens in mice at 4 weeks postinfection with
T. gondii. Lines represent the means the SD of mice from two independent experiments. The total numbers of mice
(Continued on next page)
July/August 2019
Volume 10
Issue 4
e01324-19 FIG 3 Deletion of TgCRT affects in vivo bradyzoite burden. (A) Brain cyst burdens in mice at 4 weeks postinfection with
T. gondii. Lines represent the means the SD of mice from two independent experiments. July/August 2019
Volume 10
Issue 4
e01324-19 RESULTS The total numbers of mice
(Continued on next page) mbio.asm.org
6 July/August 2019
Volume 10
Issue 4
e01324-19 ® Role of TgCRT in Chronic Toxoplasma Infection FIG 4 VAC digestive function is not altered in PΔcrt tachyzoites. (A) Western blot of tachyzoite lysates probed
for TgCPL (30 kDa) and -tubulin (55 kDa) as a loading control. (B) Representative images of tachyzoites
with ingested host-derived mCherry in red. Scale bar, 1 m. (C) Tachyzoite ingestion/digestion assay quan-
tification from panel B. Lines represent the means the SD of three to four experiments. The following
numbers of tachyzoites were enumerated for each experiment: Pru (n 234, 370, and 280), PΔcrt (n 297,
258, 290, and 241), PΔcrt:CRT (n 235, 282, 239, and 466), PΔcrtΔcpl (n 268, 211, and 270), and PΔcpl
(n 426, 384, and 275). All genotypes were compared, and only significant differences are shown in the figure. One-way ANOVA with Holm-Sidak’s multiple comparisons was performed (****, P 0.0001). FIG 4 VAC digestive function is not altered in PΔcrt tachyzoites. (A) Western blot of tachyzoite lysates probed
for TgCPL (30 kDa) and -tubulin (55 kDa) as a loading control. (B) Representative images of tachyzoites
with ingested host-derived mCherry in red. Scale bar, 1 m. (C) Tachyzoite ingestion/digestion assay quan-
tification from panel B. Lines represent the means the SD of three to four experiments. The following
numbers of tachyzoites were enumerated for each experiment: Pru (n 234, 370, and 280), PΔcrt (n 297,
258, 290, and 241), PΔcrt:CRT (n 235, 282, 239, and 466), PΔcrtΔcpl (n 268, 211, and 270), and PΔcpl
(n 426, 384, and 275). All genotypes were compared, and only significant differences are shown in the figure. One-way ANOVA with Holm-Sidak’s multiple comparisons was performed (****, P 0.0001). (Fig. 5A and B). As expected, there was an increase in dark puncta of parental and
complement LHVS-treated cysts as well. However, PΔcrt cysts contain larger dark
puncta in both dimethyl sulfoxide (DMSO)- and LHVS-treated samples than in the
parental and complement cysts (Fig. 5B). Also, although PΔcrt bradyzoites did not show FIG 3 Legend (Continued) analyzed were as follows: Pru (n 12), PΔcrt (n 10), and PΔcrt:CRT (n 15). The Kruskal-Wallis test with Dunn’s multiple
comparison was performed. All genotypes were compared, and only significant differences are shown in the figure (***,
P 0.0002; **, P 0.0098). (B) T. gondii IgG in mice infected in panel A. Age- and sex-matched uninfected mice were used
as an IgG- negative control. One-way ANOVA with Holm-Sidak’s multiple comparisons was performed. All groups were
compared, and only significant differences are shown in the figure (****, P 0.0001; ***, P 0.0002; **, P 0.002). (C)
Brain parasite burdens at 7 and 10 days postinfection. The lines indicate the means the SD of mice from two
independent experiments. The Kruskal-Wallis test with Dunn’s multiple comparisons was performed. The following
numbers of mice were analyzed for 7 and 10 days postinfection, respectively: Pru (n 10 and 11), PΔcrt (n 10 and 10),
and PΔcrt:CRT (n 9 and 10). All genotypes were compared, and only significant differences are shown in the figure (**,
P 0.005; *, P 0.017). (D) Diagram of the experiments performed for generating the data in panel E. More detailed
information can be found in Materials and Methods. (E) T. gondii IgG levels in mice administered residual brain cysts (5
or 30 cysts). The data are from one experiment. The line shows the mean, and the dotted line is 2 SD above the mean
of mice given uninfected brain homogenate. Open symbols denote mice administered 5 parasite cysts, and closed
symbols denote mice administered 30 parasite cysts. Red symbols denote no parasite growth from brain homogenate. Total numbers of mice analyzed: uninfected mice (n 4), Pru (n 6), PΔcrt (n 6), and PΔcrt:CRT (n 6). mbio.asm.org
7 ® Kannan et al. FIG 5 VAC digestive function is not altered in PΔcrt bradyzoites. (A) Representative images of bradyzoite cysts cultured in vitro for 7 days and then treated
with DMSO as a vehicle control or 1 M LHVS for 3 days. Dark puncta are clearly seen in LHVS-treated cysts. The scale bar represents 5 m, and the scale bar
in the inset represents 1 m. (B) Measurement of dark puncta area within cysts from three independent experiments. Lines represent means the SD. FIG 3 Legend (Continued) Lines represent means the SD. The
following numbers of cysts were analyzed from each experiment: Pru DMSO (n 66, 69, and 102), Pru LHVS (n 69, 74, and 87), PΔcrt DMSO (n 72, 59,
and 69), PΔcrt LHVS (n 109, 78, and 70), PΔcrt:CRT DMSO (n 115, 60, and 105), PΔcrt:CRT LHVS (n 77, 56, and 94). The Kruskal-Wallis test with Dunn’s
multiple comparisons was performed. All treatment groups within each genotype and all genotypes within each treatment group were compared, and only
significant differences are shown in the figure (****, P 0.0001; **, P 0.01). (C) Total puncta number in cysts analyzed in panel B. Lines represent means
the SD. The following numbers of cysts were analyzed from each experiment: Pru DMSO (n 64, 68, and 99), Pru LHVS (n 65, 71, and 86), PΔcrt DMSO
(n 70, 58, and 66), PΔcrt LHVS (n 107, 74, and 65), PΔcrt:CRT DMSO (n 112, 58, and 106), and PΔcrt:CRT LHVS (n 73, 56, and 87). A Kruskal-Wallis test
with Dunn’s multiple comparison was performed. All treatment groups within each genotype and all genotypes within each treatment group were compared,
and only significant differences are shown in the figure. (D) Percent puncta coverage for each cyst analyzed in panel B. Lines represent means the SD. The
following numbers of cysts were analyzed from each experiment: Pru DMSO (n 66, 69, and 103), Pru LHVS (n 69, 74, and 87), PΔcrt DMSO (n 72, 59,
and 69), PΔcrt LHVS (n 109, 78, and 70), PΔcrt:CRT DMSO (n 113, 60, and 106), and PΔcrt:CRT LHVS (n 77, 56, and 94). A Kruskal-Wallis test with Dunn’s
multiple comparison was performed. All treatment groups within each genotype and all genotypes within each treatment group were compared, and only
significant differences are shown in the figure (****, P 0.0001). an increase in the total number of puncta (Fig. 5C), the percentage of total cyst area
occupied by puncta was increased with LHVS treatment (Fig. 5D). Together, these
findings suggest that PΔcrt bradyzoites have larger puncta as an indicator of undi-
gested material; however, whether this is a result of moderately impaired proteolytic
digestion within the VAC or the intrinsically larger size of PΔcrt VAC is unclear. FIG 3 Legend (Continued) The
following numbers of cysts were analyzed from each experiment: Pru DMSO (n 66, 69, and 102), Pru LHVS (n 69, 74, and 87), PΔcrt DMSO (n 72, 59,
and 69), PΔcrt LHVS (n 109, 78, and 70), PΔcrt:CRT DMSO (n 115, 60, and 105), PΔcrt:CRT LHVS (n 77, 56, and 94). The Kruskal-Wallis test with Dunn’s
multiple comparisons was performed. All treatment groups within each genotype and all genotypes within each treatment group were compared, and only
significant differences are shown in the figure (****, P 0.0001; **, P 0.01). (C) Total puncta number in cysts analyzed in panel B. Lines represent means
the SD. The following numbers of cysts were analyzed from each experiment: Pru DMSO (n 64, 68, and 99), Pru LHVS (n 65, 71, and 86), PΔcrt DMSO
(n 70, 58, and 66), PΔcrt LHVS (n 107, 74, and 65), PΔcrt:CRT DMSO (n 112, 58, and 106), and PΔcrt:CRT LHVS (n 73, 56, and 87). A Kruskal-Wallis test
with Dunn’s multiple comparison was performed. All treatment groups within each genotype and all genotypes within each treatment group were compared,
and only significant differences are shown in the figure. (D) Percent puncta coverage for each cyst analyzed in panel B. Lines represent means the SD. The
following numbers of cysts were analyzed from each experiment: Pru DMSO (n 66, 69, and 103), Pru LHVS (n 69, 74, and 87), PΔcrt DMSO (n 72, 59,
and 69), PΔcrt LHVS (n 109, 78, and 70), PΔcrt:CRT DMSO (n 113, 60, and 106), and PΔcrt:CRT LHVS (n 77, 56, and 94). A Kruskal-Wallis test with Dunn’s
multiple comparison was performed. All treatment groups within each genotype and all genotypes within each treatment group were compared, and only
significant differences are shown in the figure (****, P 0.0001). FIG 5 VAC digestive function is not altered in PΔcrt bradyzoites. (A) Representative images of bradyzoite cysts cultured in vitro for 7 days and then treated
with DMSO as a vehicle control or 1 M LHVS for 3 days. Dark puncta are clearly seen in LHVS-treated cysts. The scale bar represents 5 m, and the scale bar
in the inset represents 1 m. (B) Measurement of dark puncta area within cysts from three independent experiments. July/August 2019
Volume 10
Issue 4
e01324-19 mbio.asm.org
8 FIG 3 Legend (Continued) The dark puncta observed within LHVS-treated bradyzoite cysts have been shown to
colocalize with TgCPL and T. gondii autophagy-related protein 8 (TgAtg8), suggesting
that some of the undigested material found within the bradyzoite VAC is derived from
autophagy (13). To interrogate whether TgCRT deficiency affects the production or
turnover of parasite autophagosomes, we created a PΔcrt strain that ectopically ex-
presses tdTomato-TgAtg8 (Fig. S2), as done previously for Pru (13). Abundance of
tdTomato-TgAtg8 in DMSO-treated bradyzoites is a function of autophagosomal pro-
duction and turnover. In contrast, tdTomato-TgAtg8 abundance in LHVS-treated bra-
dyzoites is a function of autophagosomal production exclusively since turnover is mbio.asm.org
8 ® Role of TgCRT in Chronic Toxoplasma Infection blocked. Pru and PΔcrt tdTomato-TgAtg8 cysts treated with DMSO or LHVS for 1 or
3 days were assessed for tdTomato-TgAtg8 intensity both within cysts and in isolated
bradyzoites. We also measured the total area of tdTomato-TgAtg8 puncta within cysts. For the DMSO control, no significant differences were seen between Pru and PΔcrt
parasites for tdTomato-TgAtg8 intensity in intact cysts (Fig. 6A and B) or isolated
bradyzoites (Fig. 6C), suggesting no change in the balance of autophagosome produc-
tion and turnover. DMSO-treated PΔcrt bradyzoites showed a modest, but significant,
increase in tdTomato-TgAtg8 puncta size (Fig. 6D), potentially due to tdTomato-TgAtg8
association with the enlarged VAC in such parasites. Upon inhibition of VAC proteolysis
with LHVS, tdTomato-TgAtg8 intensity and size increased progressively for both Pru
and PΔcrt bradyzoites. However, accumulation of tdTomato-TgAtg8 in PΔcrt brady-
zoites was delayed and somewhat muted compared to Pru. Taken together, these data
suggest that the balance of autophagosome production and turnover is unchanged in
PΔcrt but that TgCRT deficiency is associated an overall lower rate of autophagosome
production. TgCRT transport function is linked to VAC proteolysis. Malaria parasites bearing
chloroquine resistance mutations in PfCRT display an enlarged digestive vacuole, and
they accumulate small peptides derived from hemoglobin (20, 21). This, combined with
other work showing that recombinant PfCRT transports amino acids, small peptides,
and chloroquine (17), suggests that PfCRT functions to transport products of hemo-
globin digestion out of the digestive vacuole. More recently, TgCRT was also shown to
transport chloroquine upon heterologous expression in yeast, providing evidence that
it functions as a transporter (18). It is therefore plausible that TgCRT is also able to
transport amino acids and small peptides out of the VAC. July/August 2019
Volume 10
Issue 4
e01324-19 FIG 3 Legend (Continued) If TgCRT plays a similar role
and the swelling of the VAC in PΔcrt parasites is due to a buildup of TgCRT substrates
derived from protein digestion, then reducing the production of digestion products by
inhibiting TgCPL should prevent or reverse VAC enlargement. To test this, we differentiated PΔcrt bradyzoites 7 days before adding LHVS for
another 2 days under differentiation conditions. This treatment window was chosen
because our earlier results showed that 3 days of LHVS treatment results in larger dark
and Atg8 puncta areas (Fig. 5B and 6D), whereas a 1-day treatment appeared to have
no notable effect on Atg8 intensity (Fig. 5B and C). We reasoned that with 2 days of
treatment, we should begin seeing an effect of LHVS treatment on VAC size prior to
excessive accumulation of undigested protein. Although some enlarged VACs were
apparent in LHVS treated PΔcrt bradyzoites (Fig. 7A), quantification revealed a signifi-
cant restoration of VAC size upon LHVS treatment (Fig. 7B). Also, undigested material
accumulated within the VAC of PΔcrt bradyzoites treated with LHVS, suggesting that
TgCPL is active in PΔcrt bradyzoites. To validate a link between TgCRT transport function and VAC proteolysis, we
compared the size and appearance of the VAC in PΔcrt bradyzoites with that of Pru or
PΔcrtΔcpl parasites. We found that after 4 or 7 days of conversion to bradyzoite cysts,
PΔcrtΔcpl bradyzoites have visually smaller VACs full of electron-dense, undigested
material compared to the markedly enlarged, more electron-lucent VACs of PΔcrt
bradyzoites (Fig. 7C). Quantification revealed VAC size of PΔcrtΔcpl strains to be
significantly smaller than PΔcrt VACs at both time points (Fig. 7D). These findings
indicate that by genetically limiting proteolysis in the VAC, the gross enlargement of
the VAC observed in PΔcrt bradyzoites is prevented. In addition, whereas approximately
15% of PΔcrt cysts were dead or dying at both 4 and 7 days postconversion (18/115
cysts and 11/76 cysts, respectively), 40% (26/65 cysts) of the PΔcrtΔcpl cysts were
degenerate at 4 days, and 91.3% (21/23) were degenerate at 7 days postconversion. Thus, parasites lacking both TgCRT and TgCPL appear to be more severely compro-
mised than those lacking TgCRT alone. Taken together, our findings suggest a link
between TgCRT and protein digestion in a manner that is consistent with TgCRT acting
as an exporter of degradation products generated by VAC proteases in bradyzoites. mbio.asm.org
9 ® Kannan et al. FIG 3 Legend (Continued) FIG 6 Autophagy in PΔcrt bradyzoites. (A) Representative images of Pru and PΔcrt Atg8-tdTomato-expressing strains after 7 days of conversion and treatment with
DMSO or 1 M LHVS for 1 or 3 days. All of the examples shown were also positive for dolichos staining. Scale bar, 10 m. (B) Total tdTomato-TgAtg8 intensity within
parasite cysts converted and treated as in panel A. The line represents the means the SD from three to four independent experiments. Measurements were
performed on dolichos-positive cysts. The following number of cysts were analyzed in each experiment: Pru DMSO (n 46, 50, and 26), Pru LHVS 1 day (n 43, 47,
47, and 16), Pru LHVS 3 day (n 45, 60, and 31), PΔcrt DMSO (n 48, 54, and 30), PΔcrt LHVS 1 day (n 37, 39, 58, and 28), and PΔcrt LHVS 3 day (n 59, 47, and
16). A Kruskal-Wallis test with Dunn’s multiple comparison was performed. All treatment groups within each genotype and all genotypes within each treatment group
were compared, and only significant differences are shown in the figure (****, P 0.0001; **, P 0.01). (C) Atg8 intensity of bradyzoites analyzed by flow cytometry. The lines represent means the SD from three to four independent experiments. Measurements were performed on dolichos-positive cysts. The following numbers
of bradyzoites that were GFP and TdTomato positive were analyzed in each experiment: Pru DMSO (n 1,122, 5,330, and 1,534), Pru LHVS 1 day (n 493, 3,199, and
613), Pru LHVS 3 day (n 1,960, 5,205, and 2,043), PΔcrt DMSO (n 620, 1,115, and 139), PΔcrt LHVS 1 day (n 623, 962, 230, and 1,355), and PΔcrt LHVS 3 day (1,802,
2,641, and 337). One-way ANOVA with Sidak’s multiple comparison was performed. All treatment groups within each genotype and all genotypes within each
treatment group were compared, and only significant differences are shown in the figure (***,s P 0.001; **, P 0.01; *, P 0.05). (D) tdTomato-TgAtg8 puncta size
was measured for every puncta in each cyst. The lines represent means the SD from three to four independent experiments. Measurements were performed on
dolichos-positive cysts. FIG 3 Legend (Continued) The following number of cysts were analyzed in each experiment: Pru DMSO (n 46, 50, and 26), Pru LHVS 1 day (n 43, 47,
47, and 16), Pru LHVS 3 day (n 45, 60, and 31), PΔcrt DMSO (n 48, 54, and 30), PΔcrt LHVS 1 day (n 37, 39, 58, and 28), and PΔcrt LHVS 3 day (n 59, 47, and
16). A Kruskal-Wallis test with Dunn’s multiple comparison was performed. All treatment groups within each genotype and all genotypes within each treatment group
were compared, and only significant differences are shown in the figure (****, P 0.0001; **, P 0.01). (C) Atg8 intensity of bradyzoites analyzed by flow cytometry. The lines represent means the SD from three to four independent experiments. Measurements were performed on dolichos-positive cysts. The following numbers
of bradyzoites that were GFP and TdTomato positive were analyzed in each experiment: Pru DMSO (n 1,122, 5,330, and 1,534), Pru LHVS 1 day (n 493, 3,199, and
613), Pru LHVS 3 day (n 1,960, 5,205, and 2,043), PΔcrt DMSO (n 620, 1,115, and 139), PΔcrt LHVS 1 day (n 623, 962, 230, and 1,355), and PΔcrt LHVS 3 day (1,802,
2,641, and 337). One-way ANOVA with Sidak’s multiple comparison was performed. All treatment groups within each genotype and all genotypes within each
treatment group were compared, and only significant differences are shown in the figure (***,s P 0.001; **, P 0.01; *, P 0.05). (D) tdTomato-TgAtg8 puncta size
was measured for every puncta in each cyst. The lines represent means the SD from three to four independent experiments. Measurements were performed on
dolichos-positive cysts. The following number of puncta were analyzed in each experiment: Pru DMSO (n 364, 290, and 242), Pru LHVS 1 day (n 617, 301, 1,826,
and 1,147), Pru LHVS 3 day (n 722, 697, 1,518, and 36), PΔcrt DMSO (n 406, 427, and 330), PΔcrt LHVS 1 day (n 277, 233, 484, and 324), and PΔcrt LHVS 3 day
(n 692, 402, and 633). A Kruskal-Wallis test with Dunn’s multiple comparison was performed. All treatment groups within each genotype and all genotypes within each
treatment group were compared, and only significant differences are shown in the figure (****, P 0.0001). FIG 3 Legend (Continued) Measurements were performed on dolichos-positive cysts. The following numbers
of bradyzoites that were GFP and TdTomato positive were analyzed in each experiment: Pru DMSO (n 1,122, 5,330, and 1,534), Pru LHVS 1 day (n 493, 3,199, and
613), Pru LHVS 3 day (n 1,960, 5,205, and 2,043), PΔcrt DMSO (n 620, 1,115, and 139), PΔcrt LHVS 1 day (n 623, 962, 230, and 1,355), and PΔcrt LHVS 3 day (1,802,
2,641, and 337). One-way ANOVA with Sidak’s multiple comparison was performed. All treatment groups within each genotype and all genotypes within each
treatment group were compared, and only significant differences are shown in the figure (***,s P 0.001; **, P 0.01; *, P 0.05). (D) tdTomato-TgAtg8 puncta size
was measured for every puncta in each cyst. The lines represent means the SD from three to four independent experiments. Measurements were performed on
dolichos-positive cysts. The following number of puncta were analyzed in each experiment: Pru DMSO (n 364, 290, and 242), Pru LHVS 1 day (n 617, 301, 1,826,
and 1,147), Pru LHVS 3 day (n 722, 697, 1,518, and 36), PΔcrt DMSO (n 406, 427, and 330), PΔcrt LHVS 1 day (n 277, 233, 484, and 324), and PΔcrt LHVS 3 day
(n 692, 402, and 633). A Kruskal-Wallis test with Dunn’s multiple comparison was performed. All treatment groups within each genotype and all genotypes within each
treatment group were compared, and only significant differences are shown in the figure (****, P 0.0001). FIG 6 Autophagy in PΔcrt bradyzoites. (A) Representative images of Pru and PΔcrt Atg8-tdTomato-expressing strains after 7 days of conversion and treatment with
DMSO or 1 M LHVS for 1 or 3 days. All of the examples shown were also positive for dolichos staining. Scale bar, 10 m. (B) Total tdTomato-TgAtg8 intensity within
parasite cysts converted and treated as in panel A. The line represents the means the SD from three to four independent experiments. Measurements were
performed on dolichos-positive cysts. July/August 2019
Volume 10
Issue 4
e01324-19 FIG 3 Legend (Continued) One-way ANOVA with Sidak’s multiple comparison was performed. All treatment groups within each genotype and all genotypes within each
treatment group were compared, and only significant differences are shown in the figure (***,s P 0.001; **, P 0.01; *, P 0.05). (D) tdTomato-TgAtg8 puncta size
was measured for every puncta in each cyst. The lines represent means the SD from three to four independent experiments. Measurements were performed on
dolichos-positive cysts. The following number of puncta were analyzed in each experiment: Pru DMSO (n 364, 290, and 242), Pru LHVS 1 day (n 617, 301, 1,826,
and 1,147), Pru LHVS 3 day (n 722, 697, 1,518, and 36), PΔcrt DMSO (n 406, 427, and 330), PΔcrt LHVS 1 day (n 277, 233, 484, and 324), and PΔcrt LHVS 3 day
(n 692, 402, and 633). A Kruskal-Wallis test with Dunn’s multiple comparison was performed. All treatment groups within each genotype and all genotypes within each
treatment group were compared, and only significant differences are shown in the figure (****, P 0.0001). FIG 6 Autophagy in PΔcrt bradyzoites. (A) Representative images of Pru and PΔcrt Atg8-tdTomato-expressing strains after 7 days of conversion and treatment with
DMSO or 1 M LHVS for 1 or 3 days. All of the examples shown were also positive for dolichos staining. Scale bar, 10 m. (B) Total tdTomato-TgAtg8 intensity within
parasite cysts converted and treated as in panel A. The line represents the means the SD from three to four independent experiments. Measurements were
performed on dolichos-positive cysts. The following number of cysts were analyzed in each experiment: Pru DMSO (n 46, 50, and 26), Pru LHVS 1 day (n 43, 47,
47, and 16), Pru LHVS 3 day (n 45, 60, and 31), PΔcrt DMSO (n 48, 54, and 30), PΔcrt LHVS 1 day (n 37, 39, 58, and 28), and PΔcrt LHVS 3 day (n 59, 47, and
16). A Kruskal-Wallis test with Dunn’s multiple comparison was performed. All treatment groups within each genotype and all genotypes within each treatment group
were compared, and only significant differences are shown in the figure (****, P 0.0001; **, P 0.01). (C) Atg8 intensity of bradyzoites analyzed by flow cytometry. The lines represent means the SD from three to four independent experiments. FIG 3 Legend (Continued) The following number of puncta were analyzed in each experiment: Pru DMSO (n 364, 290, and 242), Pru LHVS 1 day (n 617, 301, 1,826,
and 1,147), Pru LHVS 3 day (n 722, 697, 1,518, and 36), PΔcrt DMSO (n 406, 427, and 330), PΔcrt LHVS 1 day (n 277, 233, 484, and 324), and PΔcrt LHVS 3 day
(n 692, 402, and 633). A Kruskal-Wallis test with Dunn’s multiple comparison was performed. All treatment groups within each genotype and all genotypes within each
treatment group were compared, and only significant differences are shown in the figure (****, P 0.0001). FIG 6 Autophagy in PΔcrt bradyzoites. (A) Representative images of Pru and PΔcrt Atg8-tdTomato-expressing strains after 7 days of conversion and treatment with
DMSO or 1 M LHVS for 1 or 3 days. All of the examples shown were also positive for dolichos staining. Scale bar, 10 m. (B) Total tdTomato-TgAtg8 intensity within
parasite cysts converted and treated as in panel A. The line represents the means the SD from three to four independent experiments. Measurements were
performed on dolichos-positive cysts. The following number of cysts were analyzed in each experiment: Pru DMSO (n 46, 50, and 26), Pru LHVS 1 day (n 43, 47,
47, and 16), Pru LHVS 3 day (n 45, 60, and 31), PΔcrt DMSO (n 48, 54, and 30), PΔcrt LHVS 1 day (n 37, 39, 58, and 28), and PΔcrt LHVS 3 day (n 59, 47, and
16). A Kruskal-Wallis test with Dunn’s multiple comparison was performed. All treatment groups within each genotype and all genotypes within each treatment group
were compared, and only significant differences are shown in the figure (****, P 0.0001; **, P 0.01). (C) Atg8 intensity of bradyzoites analyzed by flow cytometry. The lines represent means the SD from three to four independent experiments. Measurements were performed on dolichos-positive cysts. The following numbers
of bradyzoites that were GFP and TdTomato positive were analyzed in each experiment: Pru DMSO (n 1,122, 5,330, and 1,534), Pru LHVS 1 day (n 493, 3,199, and
613), Pru LHVS 3 day (n 1,960, 5,205, and 2,043), PΔcrt DMSO (n 620, 1,115, and 139), PΔcrt LHVS 1 day (n 623, 962, 230, and 1,355), and PΔcrt LHVS 3 day (1,802,
2,641, and 337). DISCUSSION We show here that TgCRT is necessary for maintaining the size of the VAC and the
viability of T. gondii bradyzoites, possibly by functioning as a transporter of digested
material from the VAC to the parasite cytosol. Together with other recent studies mbio.asm.org
10 ® Role of TgCRT in Chronic Toxoplasma Infection FIG 7 VAC digestion disruption through CPL modulation affects PΔcrt bradyzoite VAC size and parasite health. (A) Electron microscopy of in vitro bradyzoite
cysts converted for 7 days and then treated with DMSO and 1 M LHVS for 2 days. Scale bars, 500 nm. (B) Quantification of VACs in panel A. Bars represent
means the SD. The following numbers of VACs were measured for each strain: Pru (n 18), PΔcrt DMSO (n 49), and PΔcrt LHVS (n 13). One-way ANOVA
testing with Tukey’s multiple comparison was performed. All treatment groups within each genotype and all genotypes within each treatment group were
compared, and only significant differences are shown in the figure (****, P 0.0001; *, P 0.05). (C) Representative electron micrograph images of in vitro
bradyzoite cysts converted for 4 day and 7 days. Scale bars, 500 nm. P, parasite. (D) Quantification of VACs in panel C. Bars represent means the SD. The
following numbers of VACs were measured for each strain: 4-day Pru (n 16), PΔcrt (n 17), and PΔcrtΔcpl (n 17) and 7-day Pru (n 13), PΔcrt (n 25),
and PΔcrtΔcpl (n 35). One-way ANOVA with Tukey’s multiple comparison was performed. All genotypes for each time point were compared, and only
significant differences are shown (****, P 0.0001). The 7-day Pru and PΔcrt data were also used in Fig. 1. FIG 7 VAC digestion disruption through CPL modulation affects PΔcrt bradyzoite VAC size and parasite health. (A) Electron microscopy of in vitro bradyzoite
cysts converted for 7 days and then treated with DMSO and 1 M LHVS for 2 days. Scale bars, 500 nm. (B) Quantification of VACs in panel A. Bars represent
means the SD. The following numbers of VACs were measured for each strain: Pru (n 18), PΔcrt DMSO (n 49), and PΔcrt LHVS (n 13). One-way ANOVA
testing with Tukey’s multiple comparison was performed. July/August 2019
Volume 10
Issue 4
e01324-19 Kannan et al. Kannan et al. The underlying basis for enlargement of the VAC in TgCRT-deficient parasites is
unknown, but it may be linked to endolysosomal system dynamics and the transporter
function of TgCRT. The VAC is a dynamic organelle that undergoes rounds of fission to
form smaller structures late in the cell cycle before fusing to form typically a single
compartment in G1 phase (10, 22). The VAC probably also communicates via fusion and
fission with the parasite endosome-like compartments (ELCs), based on partial colo-
calization of VAC and ELC markers in intracellular parasites (10, 18, 22). Interestingly, it
was recently reported that replicating PΔcrt parasites maintain a single VAC that
overlaps substantially with ELC markers (18). These findings imply that defects in VAC
fragmentation and fission of the VAC from the ELCs result in sustaining a hybrid
VAC/ELC compartment in parasites lacking TgCRT. Thus, contributions of membrane
from both the VAC and ELCs could account for enlargement of the VAC in PΔcrt
parasites. Although it is possible that TgCRT directly participates in vesicular fission, no
evidence of this currently exists. On the other hand, it appears more likely that swelling
of the VAC in TgCRT-deficient parasites is related to TgCRT transport function. If, akin
to PfCRT, TgCRT exports proteolytic digestion products from the VAC, accumulation of
such products in the VAC of PΔcrt parasites could increase osmotic pressure within the
organelle due to the influx of water through a VAC-localized aquaporin (22). Whether
a build-up of osmotic pressure is a driver of VAC size in TgCRT-deficient parasites and
is thereby responsible for defective VAC fragmentation and VAC/ELC resolution awaits
further study. A knockout of Plasmodium CRT has not been reported, presumably because of it
having an essential function. Nevertheless, chloroquine-resistant strains bearing muta-
tions in PfCRT also exhibit an enlarged digestive vacuole. Studies with recombinant
PfCRT suggested that chloroquine-resistant alleles tend to have lower transport activity
for a model substrate (tetraethyl ammonium) but higher transport activity for chloro-
quine (17). Chloroquine-resistant strains also accumulate small peptides derived from
digestion of hemoglobin (20, 21). Thus, the enlarged digestive vacuole of chloroquine-
resistant strains is potentially due to a partial loss of PfCRT native transport function. That PfCRT is essential, whereas TgCRT is dispensable, likely reflects the crucial role of
the malaria digestive vacuole in detoxification of heme liberated from hemoglobin
digestion during replication within erythrocytes. July/August 2019
Volume 10
Issue 4
e01324-19 DISCUSSION All treatment groups within each genotype and all genotypes within each treatment group were
compared, and only significant differences are shown in the figure (****, P 0.0001; *, P 0.05). (C) Representative electron micrograph images of in vitro
bradyzoite cysts converted for 4 day and 7 days. Scale bars, 500 nm. P, parasite. (D) Quantification of VACs in panel C. Bars represent means the SD. The
following numbers of VACs were measured for each strain: 4-day Pru (n 16), PΔcrt (n 17), and PΔcrtΔcpl (n 17) and 7-day Pru (n 13), PΔcrt (n 25),
and PΔcrtΔcpl (n 35). One-way ANOVA with Tukey’s multiple comparison was performed. All genotypes for each time point were compared, and only
significant differences are shown (****, P 0.0001). The 7-day Pru and PΔcrt data were also used in Fig. 1. reporting that VAC protein digestion is crucial for bradyzoite viability (13), our findings
point toward the VAC as an important organelle for T. gondii bradyzoite persistence and
uncover TgCRT as a potential target for chronic T. gondii infection. Our finding that deletion of TgCRT in a type II strain (PΔcrt) resulted in enlargement
of the VAC is in line with previous studies that have knocked down (15) or knocked out
(18) TgCRT in a type I strain (RH). We also show that this enlarged VAC phenotype is
consistent across life stages and that it appears to be especially prominent in brady-
zoites. Our EM measurements suggest that the VAC occupies one-third of the cyto-
plasm of PΔcrt bradyzoites, thus becoming easily visible by phase-contrast microscopy
in many parasites. VAC enlargement was fully reversed upon reexpression of TgCRT,
firmly establishing that TgCRT expression is necessary to maintain normal VAC mor-
phology. mbio.asm.org
11 July/August 2019
Volume 10
Issue 4
e01324-19 ® Kannan et al. If VAC proteolysis is similarly reduced in PΔcrt parasites, this does not appear to affect
the digestion of host-derived protein in tachyzoites via the ingestion pathway or
parasite-derived material delivered through autophagy. However, the electron-lucent VACs observed in PΔcrt parasites, along with the
tachyzoite ingestion assay, dark puncta measurements, and Atg8 accumulation data,
suggest that digestion in PΔcrt tachyzoites and bradyzoites is largely normal despite
the striking morphological changes to the organelle. It was suggested that RHΔcrt
tachyzoites reduce the expression of several VAC proteases to decrease production of
TgCRT substrates generated by VAC proteolysis, thereby easing osmotic pressure (18). If VAC proteolysis is similarly reduced in PΔcrt parasites, this does not appear to affect
the digestion of host-derived protein in tachyzoites via the ingestion pathway or
parasite-derived material delivered through autophagy. Consistent with TgCRT functioning as a transporter downstream of VAC proteolysis,
we found that treating PΔcrt bradyzoites with LHVS restored VAC size prior to subse-
quent accumulation of undigested material. This was observed in the EM images with
2 days of LHVS treatment, where VACs are smaller and a buildup of undigested material
is beginning to show. We also found that PΔcrtΔcpl double-knockout bradyzoites have
a normal-sized VAC, confirming that protein digestion in the VAC is required for
expansion of the VAC in TgCRT-deficient parasites. However, selectivity of amino acids
or peptides exported out of the VAC by TgCRT within tachyzoites and bradyzoites still
needs to be elucidated. The accumulation of undigested material in LHVS-treated PΔcrt
and PΔcrtΔcpl bradyzoites is consistent with the delivery of proteolytic substrates to the
VAC TgCRT-deficient bradyzoites. Nevertheless, we noted a delay in the accumulation
of the autophagic marker TgAtg8 in PΔcrt bradyzoites after blocking TgCPL activity with
LHVS, suggesting a decrease in the production of autophagosomes. Whether this is a
result of a feedback loop to reduce delivery of substrates to the VAC akin to the
downregulation of proteases in TgCRT-deficient tachyzoites (18) or a due to a general
decline in the health of PΔcrt bradyzoites remains unclear. It should also be noted that
although we were unable to introduce tdTomato-TgAtg8 into PΔcrt:crt parasites due to
a lack of available selectable markers, all of the other phenotypes measured in PΔcrt
parasites were restored upon genetic complementation. Previous work in TgCPL, together with the current findings for TgCRT, is consistent
with a central role for the VAC in T. gondii persistence. Kannan et al. Parasites deficient in TgCPL and
TgCRT appear to be especially compromised, which is consistent with a functional link
between these VAC components. Additional studies aimed at targeting these proteins
and identifying new components of the VAC are needed to realize the potential of
compromising this organelle for therapeutic gain. July/August 2019
Volume 10
Issue 4
e01324-19 Kannan et al. Consistent with an important role for TgCRT in chronic infection, we observed an
5-fold loss of viability for PΔcrt bradyzoites in vitro. Loss of viability appears to
increase with time of differentiation, suggesting a progressively important role for
TgCRT in chronic infection. We also noted a 10-fold decrease in PΔcrt brain cysts in
mice. This decrease is likely a composite of effects occurring during the acute stage and
the chronic stage, which may be teased apart further via complementation of PΔcrt
parasites with CRT expressed under stage-specific tachyzoite or bradyzoite promoters
(13). The trend toward lower initial infection of the brain observed for PΔcrt parasites
is in agreement with the decreased virulence reported during acute infection of RHΔcrt
parasites (18). However, the lower initial infection of the brain does not appear to fully
account for the striking decrease in PΔcrt brain cysts. Additional loss of PΔcrt cysts
during the chronic infection of mice is consistent with our in vitro viability findings. Nevertheless, we found that cysts recovered from the brains of PΔcrt parasite-infected
mice contained infectious bradyzoites capable of establishing infection of naive mice. Our observation of lower PΔcrt cultivation efficiency from the brains of infected naive
mice is further evidence of a decreased brain burden and/or viability. Thus, whereas
TgCRT is not absolutely required for T. gondii persistence, it nonetheless strongly
influences the course and burden of chronic infection. Proteolysis within the VAC is necessary for sustaining bradyzoite viability in vitro and
in vivo (13). Genetically or chemically disrupting TgCPL activity results in a loss of
bradyzoite viability that is associated with accumulation of undigested material colo-
calizing with Atg8, a marker of autophagosomes. P. falciparum parasites administered
protease inhibitors that target digestive vacuole proteinases also accumulate undi-
gested material, in this case hemoglobin derived from the infected erythrocyte (20). mbio.asm.org
12 ® Role of TgCRT in Chronic Toxoplasma Infection However, the electron-lucent VACs observed in PΔcrt parasites, along with the
tachyzoite ingestion assay, dark puncta measurements, and Atg8 accumulation data,
suggest that digestion in PΔcrt tachyzoites and bradyzoites is largely normal despite
the striking morphological changes to the organelle. It was suggested that RHΔcrt
tachyzoites reduce the expression of several VAC proteases to decrease production of
TgCRT substrates generated by VAC proteolysis, thereby easing osmotic pressure (18). MATERIALS AND METHODS green qPCR was performed using the primer pairs listed in Table S1 and the following reaction
conditions: 98°C for 2 min, followed by 45 cycles of 98°C for 5 s, 68°C for 30 s, and 72°C for 45 s. Microscopy. All phase-contrast and fluorescence imaging was performed on a Zeiss Axiovert
Observer Z1 inverted fluorescence microscope. Exposure times within a given experiment were kept
constant for all samples. GFP intensity. After 1 and 2 weeks of tachyzoite conversion, as described above, in vitro cysts were
fixed and stained with biotinylated dolichos (primary, 1:400; Vector Laboratories) and streptavidin Alexa
350 (secondary; 1:1,000; Life Technologies). ImageJ was used to select dolichos-stained cysts and quantify
the amount of GFP coverage and intensity within the cyst. The dolichos signal was used to create a mask
for further analysis by autothresholding according to the method of Li and Tam (26). Analysis under these
masks was redirected to the GFP channel, where particles of between 130 to 2,300 m2 and 0.30 to 1.00
circularity were analyzed. tdTomato-Atg8 intensity and size. After 1 week of tachyzoite conversion as described above, in
vitro cysts were fixed and stained with biotinylated dolichos (primary, 1:400; Vector Laboratories) and
streptavidin Alexa 350 (secondary, 1:1,000; Life Technologies). ImageJ was used to select dolichos-
positive cysts and quantify the total intensity of tdTomato-Atg8 and the tdTomato-Atg8 puncta size
within each cyst. Dolichos-positive structures between 200 and 2,000 m2 with a circularity of 0.40 to
1.00 were identified using the minimum method of autothresholding. The resulting binary images were
used to create masks under which Atg8 puncta were further analyzed. tdTomato-Atg8 puncta were
analyzed as being between 0.2 and 1.50 m2 with a circularity of 0.40 to 1.00 and were identified
according to the Phansalkar method of autolocal thresholding with a radius of 15 (27). Tachyzoite plaque assay. Intracellular tachyzoites were harvested following standard procedures,
counted, and added to HFF monolayers in triplicate to quadruplicate wells. Parasites were left undis-
turbed for 10 days, and then the plaques were counted. Tachyzoite plaque assay. Intracellular tachyzoites were harvested following standard procedures,
counted, and added to HFF monolayers in triplicate to quadruplicate wells. Parasites were left undis-
turbed for 10 days, and then the plaques were counted. Mouse seropositivity. Toxoplasma IgG was measured using enzyme-linked immunosorbent assay to
determine infectivity. MATERIALS AND METHODS In brief, Toxoplasma lysate was made from freshly lysed Pru tachyzoites that were
sonicated in 1 g/ml leupeptin, 1 g/ml E64, TPCK (tolylsulfonyl phenylalanyl chloromethyl ketone), and
10 g/ml A-PMSF. Plates were coated with 10 ng of antigen in coating buffer (Na2CO3, NaHCO3 [pH 9.6])
overnight and blocked in 3% gelatin/PBS-T; serum was added in a 1:25 dilution in 1% gelatin/PBS-T,
followed by incubation for 1 h at room temperature. Secondary horseradish peroxidase-conjugated
GtMs (1:1,000) was added for 1 h. Substrate was added for color development, which was then stopped
with H2SO4. The absorbance was read at 400 nm. Tachyzoite ingestion assay. Tachyzoite digestion was determined using an ingestion assay as
previously described (12). In brief, inducible mCherry Chinese hamster ovary (CHO) cells were plated and
induced with 2 g/ml of doxycycline for 5 days. Tachyzoites were harvested from HFF cells and allowed
to invade induced CHO cells for 4 h. Tachyzoites were then mechanically lysed out of host cells, purified,
treated with pronase and saponin, and imaged on Cell-Tak (Fisher Scientific)-coated slides. Samples were
coded at the time of initial harvesting. For each biological replicate, more than 200 tachyzoites of each
genotype were analyzed for host-derived mCherry accumulation within parasites. Western blotting. Tachyzoite lysates were prepared from purified parasites with the addition of
boiled 1 sample buffer, and lysate from 3 105 tachyzoites/10 l of sample buffer was loaded onto
10% sodium dodecyl sulfate-polyacrylamide gels. Blots were probed with antibody to TgCPL (Rb; 1:300)
(10) and -tubulin (Ms; 1:1,000; Developmental Studies Hybridoma Bank, University of Iowa) for the
loading control. Puncta measurements in LHVS-treated parasites. Tachyzoites were converted to bradyzoite cysts
as described above. After 7 days of conversion, parasites were treated with 1 M LHVS or DMSO (control)
every day for 3 days. The cells were then fixed and stained with biotinylated dolichos lectin (primary,
1:400; Vector Laboratories) and streptavidin Alexa 350 (secondary, 1:1,000; Life Technologies). ImageJ
was used to select dolichos-stained cysts and quantify the number and size of puncta within the cyst. Images were automatically thresholded using the MaxEntropy method to create a binary image (28). Noise was reduced by opening the image with six iterations of one pixel. Masks were created by using
the “analyze particle” function, with objects between 130 and 1,900 m2 and a circularity of 0.30 to 1.00
being called a cyst. Under these masks, dark puncta were analyzed as follows. July/August 2019
Volume 10
Issue 4
e01324-19 MATERIALS AND METHODS Host cell and parasite cultures. Human foreskin fibroblasts (HFFs) were grown in Dulbecco
modified Eagle medium (Gibco) containing 10% cosmic calf serum (Gibco), 50 g/ml penicillin-
streptomycin, 2 mM L-glutamine, and 10 mM HEPES. T. gondii strains used in this study were derived from
the PruΔku80S/Luc strain (13) maintained in vitro by serial passage on HFF monolayers as previously
described (23). Strains used in this study were generated using strategies previously described (24) and
outlined here in Fig. S1 and 2. Primers used in the generation and confirmation of strains with CRT
(ToxoDB: TGME49_313930) deletion (Fig. S1), CRT complementation, and integration of dt-ATG8 (Fig. S2)
are listed in Table S1 in the supplemental material. VAC staining. Egressed tachyzoites from HFFs were filter purified and pelleted at 1,500 g for
10 min. Parasites were settled on Cell-Tak (Fisher Scientific) coated slides for 30 min, fixed in 4%
formaldehyde, and stained for with RbTgCPL (1:500) and GtRb 594 secondary (1:1,000). In vitro conversion. Tachyzoites were converted to bradyzoite cysts in vitro using previously
published methods (24). In brief, tachyzoites were allowed to invade HFFs overnight under standard
growing conditions. Infected cells were then grown in alkaline media (RPMI 1640 without NaHCO3,
50 mM HEPES, 3% fetal bovine serum, and Pen/Strep [pH 8.2]) in an incubator without CO2, with media
changed every day until samples were processed. Transmission electron microscopy. For ultrastructural observations of infected cells by thin section,
samples were fixed in 2.5% glutaraldehyde in 0.1 mM sodium cacodylate and processed as described
previously (25). Ultrathin sections of infected cells were stained with osmium tetraoxide before exami-
nation with Philips CM120 EM (Eindhoven, Netherlands) under 80 kV. qPCR/plaque assay for bradyzoite viability. In vitro bradyzoite viability was assessed by plaque
assays normalized to qPCR as previously described (13). Briefly, tachyzoites were converted to bradyzoite
cysts for 7 and 14 days as described above. At these time points, bradyzoites were harvested using
pepsin treatment and added to HFF monolayers for 10 days, and then the plaques were counted. Genomic DNA was extracted from an aliquot of samples using the Qiagen blood and tissue kit, and SYBR mbio.asm.org
13 ® Kannan et al. green qPCR was performed using the primer pairs listed in Table S1 and the following reaction
conditions: 98°C for 2 min, followed by 45 cycles of 98°C for 5 s, 68°C for 30 s, and 72°C for 45 s. MATERIALS AND METHODS Half
of each brain homogenate was added to confluent HFF cells and monitored for parasite growth for
4.5 weeks. Flow cytometry. Parasites were fixed with 4% formaldehyde for 15 min at room temperature,
washed once with PBS, and resuspended in PBS for analysis on a LSR Fortessa flow cytometer (BD
Biosciences, San Jose, CA) using BD FACSDiVa software (BD Biosciences). Data were analyzed with FlowJo
(BD Biosciences) using the following gating: fluorescein isothiocyanate-positive parasites were charac-
terized as bradyzoites; the amount of tdTomato-ATG8 in bradyzoites was then determined by using the
561-nm signal. All experimental samples for flow analysis were coded. Statistics. Data were analyzed using GraphPad prism. For each data set, outliers were identified and
removed using ROUT with a Q value of 0.1%. Data were then tested for normality and equal variance. If
the data passed, one-way analysis of variance (ANOVA) and Tukey’s multiple-comparison analyses were
performed. If the data failed, a Mann-Whitney U test or Kruskal-Wallis test with Dunn’s multiple
comparison was performed. SUPPLEMENTAL MATERIAL Supplemental material for this article may be found at https://doi.org/10.1128/mBio
01324-19 FIG S1, TIF file, 0.6 MB. FIG S2, TIF file, 2.2 MB. FIG S3, TIF file, 0.3 MB. FIG S4, TIF file, 0.2 MB. FIG S5, TIF file, 0.1 MB. TABLE S1, DOCX file, 0.1 MB. ACKNOWLEDGMENTS This study was support by National Institutes of Health grants R01AI060767 (to I.C.)
and R01AI120627 (to V.B.C. and M.D.C.) and a grant from the Stanley Medical Research
Institute (to V.B.C.). We thank the excellent technical staff of the Electron Microscopy Core Facility at the
Johns Hopkins University School of Medicine Microscopy Facility. We also thank Carla
Emiliani for helpful discussions and support. We appreciate the technical assistance of
Abimbola Kolawole and Carmen Mirabelli with flow cytometry. MATERIALS AND METHODS Mice were
coded, cysts were enumerated in 90 l of brain homogenate (9% of the brain), and the total brain cyst
numbers were calculated. Cyst burden data were pooled from two independent experiments. In vivo parasite burden kinetics. The same inoculation conditions as described for in vivo cyst
burden was used. At 7 and 10 days postinfection, mice were sacrificed, and the brains were harvested. Brains were homogenized in ice-cold PBS to have 50 ng of homogenate/l of PBS. gDNA was extracted
from 50 l of homogenate using a DNeasy blood and tissue kit (Qiagen). qPCR was performed in
triplicate for each sample with the indicated cycling conditions (90°C for 2 min, followed by 45 cycles of
98°C for 10 s, 56°C for 20 s, and 72°C for 20 s) using SSO Advanced SYBR green Supermix (Bio-Rad), and
300 nM concentrations of the Tox9 and Tox11 primers listed in Table S1 in the supplemental material. T. gondii standards of specified parasite numbers (1 to 105 genomes/l) were used to quantify parasite
brain burden. In vivo parasite burden kinetics. The same inoculation conditions as described for in vivo cyst
burden was used. At 7 and 10 days postinfection, mice were sacrificed, and the brains were harvested. Brains were homogenized in ice-cold PBS to have 50 ng of homogenate/l of PBS. gDNA was extracted
from 50 l of homogenate using a DNeasy blood and tissue kit (Qiagen). qPCR was performed in
triplicate for each sample with the indicated cycling conditions (90°C for 2 min, followed by 45 cycles of
98°C for 10 s, 56°C for 20 s, and 72°C for 20 s) using SSO Advanced SYBR green Supermix (Bio-Rad), and
300 nM concentrations of the Tox9 and Tox11 primers listed in Table S1 in the supplemental material. T. gondii standards of specified parasite numbers (1 to 105 genomes/l) were used to quantify parasite
brain burden. In vivo cyst viability. To determine the viability of T. gondii cysts procured from the in vivo cyst
burden experiment, 5 and 30 brain cysts of Pru, Pcrt, or Pcrt:CRT were injected i.p. into C57BL/6J
female mice (7 to 8 weeks old). Mice inoculated with equivalent amounts of uninfected mouse brain
homogenate were used as a negative control for infection. At 3 weeks postinfection, the mice were
coded and sacrificed. Sera and brains were collected as described above for the in vivo cyst burden. MATERIALS AND METHODS Phase images were
Gaussian blurred with a sigma of 2 and then autolocal thresholding was performed according to the
Phansalkar method (27) with a radius of 5 pixels. Objects with an area of 0.20 to 6.00 m2 and a circularity
of 0.50 to 1.00 were analyzed as dark puncta. In vitro differentiation kinetics. Tachyzoites were converted to bradyzoite cysts as described above. Parasites were fixed at 1, 2, 3, and 4 days postconversion and stained for BAG1 (RbBAG1, 1:1,000), a late
marker for bradyzoites. These parasites express GFP under the LDH2 promoter, an early marker of
bradyzoites. ImageJ was used to analyze the BAG1 and GFP coverage of each vacuole. Vacuoles were
manually identified using phase images by drawing a region of interest (ROI) with the freehand tool. The
ROIs were then applied to other channels for analysis as follows. The GFP and Texas Red channels were
autothresholded using optimal thresholding methods for each day of conversion. The nonthresholded
and thresholded ROIs were measured for pixel intensity and used to determine the overall and percent
intensity for GFP and Texas Red. Vacuoles with 50% coverage were designated as cysts, and the total
percentage of GFP- and BAG1-positive cysts was calculated independently. In vivo cyst burden. C57BL/6J female mice (7 to 8 weeks old; Jackson Laboratories, Bar Harbor, ME)
were used in this study. Mice were injected intraperitoneally (i.p.) with purified 105 tachyzoites of either
PruS/Luc (Pru), PruΔcrt (PΔcrt), or PruΔcrt:CRT (PΔcrt:CRT) in 200 l of 1 phosphate-buffered saline (PBS). At 4 weeks postinfection, mice were sacrificed according to university-approved protocols. Brains were mbio.asm.org
14 ® Role of TgCRT in Chronic Toxoplasma Infection harvested and homogenized in 1 ml of ice-cold PBS via syringing through a 20-gauge needle. Mice were
coded, cysts were enumerated in 90 l of brain homogenate (9% of the brain), and the total brain cyst
numbers were calculated. Cyst burden data were pooled from two independent experiments. harvested and homogenized in 1 ml of ice-cold PBS via syringing through a 20-gauge needle. Mice were
coded, cysts were enumerated in 90 l of brain homogenate (9% of the brain), and the total brain cyst
numbers were calculated. Cyst burden data were pooled from two independent experiments. harvested and homogenized in 1 ml of ice-cold PBS via syringing through a 20-gauge needle. July/August 2019
Volume 10
Issue 4
e01324-19 REFERENCES Dou Z, McGovern OL, Di Cristina M, Carruthers VB. 2014. Toxoplasma
gondii ingests and digests host cytosolic proteins. mBio 5:e01188. https://doi.org/10.1128/mBio.01188-14. 12. McGovern OL, Rivera-Cuevas Y, Kannan G, Narwold AJ, Jr, Carruthers VB. 2018. Intersection of endocytic and exocytic systems in Toxoplasma
gondii. Traffic 19:336–353. https://doi.org/10.1111/tra.12556. 21. Pulcini S, Staines HM, Lee AH, Shafik SH, Bouyer G, Moore CM, Daley DA,
Hoke MJ, Altenhofen LM, Painter HJ, Mu J, Ferguson DJ, Llinas M, Martin
RE, Fidock DA, Cooper RA, Krishna S. 2015. Mutations in the Plasmodium
falciparum chloroquine resistance transporter, PfCRT, enlarge the para-
site’s food vacuole and alter drug sensitivities. Sci Rep 5:14552. https://
doi.org/10.1038/srep14552. 13. Di Cristina M, Dou Z, Lunghi M, Kannan G, Huynh MH, McGovern OL,
Schultz TL, Schultz AJ, Miller AJ, Hayes BM, van der Linden W, Emiliani C,
Bogyo M, Besteiro S, Coppens I, Carruthers VB. 2017. Toxoplasma de-
pends on lysosomal consumption of autophagosomes for persistent
infection. Nat Microbiol 2:17096. https://doi.org/10.1038/nmicrobiol
.2017.96. 22. Miranda K, Pace DA, Cintron R, Rodrigues JC, Fang J, Smith A, Rohloff P,
Coelho E, de Haas F, de Souza W, Coppens I, Sibley LD, Moreno SN. 2010. Characterization of a novel organelle in Toxoplasma gondii with similar
composition and function to the plant vacuole. Mol Microbiol 76:
1358–1375. https://doi.org/10.1111/j.1365-2958.2010.07165.x. 14. Larson ET, Parussini F, Huynh MH, Giebel JD, Kelley AM, Zhang L, Bogyo
M, Merritt EA, Carruthers VB. 2009. Toxoplasma gondii cathepsin L is the
primary target of the invasion-inhibitory compound morpholinurea-
leucyl-homophenyl-vinyl sulfone phenyl. J Biol Chem 284:26839–26850. https://doi.org/10.1074/jbc.M109.003780. 23. Di Cristina M, Ghouze F, Kocken CH, Naitza S, Cellini P, Soldati D,
Thomas AW, Crisanti A. 1999. Transformed Toxoplasma gondii
tachyzoites expressing the circumsporozoite protein of Plasmodium
knowlesi elicit a specific immune response in rhesus monkeys. Infect
Immun 67:1677–1682. 15. Warring SD, Dou Z, Carruthers VB, McFadden GI, van Dooren GG. 2014. Characterization of the chloroquine resistance transporter homologue in
Toxoplasma gondii. Eukaryot Cell 13:1360–1370. https://doi.org/10.1128/
EC.00027-14. 24. Lunghi M, Galizi R, Magini A, Carruthers VB, Di Cristina M. 2015. Expres-
sion of the glycolytic enzymes enolase and lactate dehydrogenase
during the early phase of Toxoplasma differentiation is regulated by an
intron retention mechanism. Mol Microbiol 96:1159–1175. https://doi
.org/10.1111/mmi.12999. 16. REFERENCES gondii in patients with schizophrenia: a meta-analysis. Schizophr Bull
33:729–736. https://doi.org/10.1093/schbul/sbl050. gondii in patients with schizophrenia: a meta-analysis. Schizophr Bull
33:729–736. https://doi.org/10.1093/schbul/sbl050. gondii in patients with schizophrenia: a meta-analysis. Schizophr Bull
33:729–736. https://doi.org/10.1093/schbul/sbl050. 1. Commodaro AG, Belfort RN, Rizzo LV, Muccioli C, Silveira C, Burnier MN,
Jr, Belfort R, Jr. 2009. Ocular toxoplasmosis: an update and review of the
literature. Mem Inst Oswaldo Cruz 104:345–350. https://doi.org/10.1590/
s0074-02762009000200030. 6. Okusaga O, Langenberg P, Sleemi A, Vaswani D, Giegling I, Hartmann
AM, Konte B, Friedl M, Groer MW, Yolken RH, Rujescu D, Postolache TT. 2011. Toxoplasma gondii antibody titers and history of suicide attempts
in patients with schizophrenia. Schizophr Res 133:150–155. https://doi
.org/10.1016/j.schres.2011.08.006. 2. Khan K, Khan W. 2018. Congenital toxoplasmosis: an overview of the
neurological and ocular manifestations. Parasitol Int 67:715–721. https://
doi.org/10.1016/j.parint.2018.07.004. g
j
7. Xiao J, Prandovszky E, Kannan G, Pletnikov MV, Dickerson F, Severance
EG, Yolken RH. 2018. Toxoplasma gondii: biological parameters of the
connection to schizophrenia. Schizophr Bull 44:983–992. https://doi.org/
10.1093/schbul/sby082. 3. Ozgonul C, Besirli CG. 2017. Recent developments in the diagnosis and
treatment of ocular toxoplasmosis. Ophthalmic Res 57:1–12. https://doi
.org/10.1159/000449169. 4. Winstanley P. 1995. Drug treatment of toxoplasmic encephalitis in ac-
quired immunodeficiency syndrome. Postgrad Med J 71:404–408. https://doi.org/10.1136/pgmj.71.837.404. 8. Tyebji S, Seizova S, Hannan AJ, Tonkin CJ. 2019. Toxoplasmosis: a
pathway to neuropsychiatric disorders. Neurosci Biobehav Rev 96:72–92. https://doi.org/10.1016/j.neubiorev.2018.11.012. 8. Tyebji S, Seizova S, Hannan AJ, Tonkin CJ. 2019. Toxoplasmosis: a
pathway to neuropsychiatric disorders. Neurosci Biobehav Rev 96:72–92. https://doi.org/10.1016/j.neubiorev.2018.11.012. 5. Torrey EF, Bartko JJ, Lun ZR, Yolken RH. 2007. Antibodies to Toxoplasma July/August 2019
Volume 10
Issue 4
e01324-19 mbio.asm.org
15 mbio.asm.org
15 ® Kannan et al. 9. Montoya JG, Liesenfeld O. 2004. Toxoplasmosis. Lancet 363:1965–1976. https://doi.org/10.1016/S0140-6736(04)16412-X. 19. Fox BA, Falla A, Rommereim LM, Tomita T, Gigley JP, Mercier C, Cesbron-
Delauw MF, Weiss LM, Bzik DJ. 2011. Type II Toxoplasma gondii KU80
knockout strains enable functional analysis of genes required for cyst
development and latent infection. Eukaryot Cell 10:1193–1206. https://
doi.org/10.1128/EC.00297-10. 10. Parussini F, Coppens I, Shah PP, Diamond SL, Carruthers VB. 2010. Cathepsin L occupies a vacuolar compartment and is a protein maturase
within the endo/exocytic system of Toxoplasma gondii. Mol Microbiol
76:1340–1357. https://doi.org/10.1111/j.1365-2958.2010.07181.x. 20. Rosenthal PJ, McKerrow JH, Aikawa M, Nagasawa H, Leech JH. 1988. A
malarial cysteine proteinase is necessary for hemoglobin degradation by
Plasmodium falciparum. J Clin Invest 82:1560–1566. https://doi.org/10
.1172/JCI113766. 11. July/August 2019
Volume 10
Issue 4
e01324-19 REFERENCES Maughan SC, Pasternak M, Cairns N, Kiddle G, Brach T, Jarvis R, Haas F,
Nieuwland J, Lim B, Muller C, Salcedo-Sora E, Kruse C, Orsel M, Hell R,
Miller AJ, Bray P, Foyer CH, Murray JA, Meyer AJ, Cobbett CS. 2010. Plant
homologs of the Plasmodium falciparum chloroquine-resistance trans-
porter, PfCRT, are required for glutathione homeostasis and stress re-
sponses. Proc Natl Acad Sci U S A 107:2331–2336. https://doi.org/10
.1073/pnas.0913689107. 25. Coppens I, Joiner KA. 2003. Host but not parasite cholesterol controls
Toxoplasma cell entry by modulating organelle discharge. Mol Biol Cell
14:3804–3820. https://doi.org/10.1091/mbc.e02-12-0830. 26. Li CH, Tam P. 1998. An iterative algorithm for minimum cross entropy
thresholding. Pattern Recognition Lett 19:771–776. https://doi.org/10
.1016/S0167-8655(98)00057-9. 17. Juge N, Moriyama S, Miyaji T, Kawakami M, Iwai H, Fukui T, Nelson N,
Omote H, Moriyama Y. 2015. Plasmodium falciparum chloroquine resis-
tance transporter is a H -coupled polyspecific nutrient and drug ex-
porter. Proc Natl Acad Sci U S A 112:3356–3361. https://doi.org/10.1073/
pnas.1417102112. 27. Phansalkar N, More S, Sabale A, Joshi MS. 2011. Adaptive local thresh-
olding for detection of nuclei in diversity stained cytology images. International Conference on Communications and Signal Processing,
Institute for Electrical and Electronics Engineers, Piscataway, NJ, USA. 18. Thornton LB, Teehan P, Floyd K, Cochrane C, Bergmann A, Riegel B,
Stasic AJ, Di Cristina M, Moreno SNJ, Roepe PD, Dou Z. 2019. An ortholog
of Plasmodium falciparum chloroquine resistance transporter (PfCRT)
plays a key role in maintaining the integrity of the endolysosomal
system in Toxoplasma gondii to facilitate host invasion. PLoS Pathog
15:e1007775. https://doi.org/10.1371/journal.ppat.1007775. 28. Kapur JN, Sahoo PK, Wong A. 1985. A new method for gray-level picture
thresholding using the entropy of the histogram. Computer Vision
Graphics Image Processing 29:273–285. https://doi.org/10.1016/0734
-189X(85)90125-2. mbio.asm.org
16
|
https://openalex.org/W1993030933
|
https://europepmc.org/articles/pmc6268844?pdf=render
|
English
| null |
Isolation and Identification of the Phenolic Compounds from the Roots of Sanguisorba officinalis L. and Their Antioxidant Activities
|
Molecules/Molecules online/Molecules annual
| 2,012
|
cc-by
| 3,091
|
Isolation and Identification of the Phenolic Compounds from
the Roots of Sanguisorba officinalis L. and
Their Antioxidant Activities Shuang Zhang, Xin Liu, Zi-Long Zhang, Lu He, Zhe Wang and Guang-Shu Wang *
School of Pharmaceutical Sciences, Jilin University, Changchun 130021, China
* Author to whom correspondence should be addressed; E-Mail: wgs@jlu.edu.cn;
Tel.: +86-431-8561-9706. * Author to whom correspondence should be addressed; E-Mail: wgs@jlu.edu.cn;
Tel.: +86-431-8561-9706. Received: 26 September 2012; in revised form: 15 November 2012 / Accepted: 16 November 2012 /
Published: 23 November 2012 Received: 26 September 2012; in revised form: 15 November 2012 / Accepted: 16 November 2012 /
Published: 23 November 2012 Abstract: Four phenolic compounds were isolated from the roots of Sanguisorba officinalis L. by silica gel column chromatography and preparative HPLC. On the basis of chemical and
spectroscopic methods, their structures were identified as methyl 4-O-β-D-glucopyranosy-
5-hydroxy-3-methoxylbenzoate (1), 3,3′,4′-tri-O-methylellagic acid (2), fisetinidol-(4α-8)-
catechin (3), and (+)-catechin (4). Compound 1 is a new phenolic glycoside and compounds
2 and 3 were isolated from the Sanguisorba genus for the first time. Compounds 1–4 were
also assayed for their antioxidant activities using the DPPH free radical assay. Keywords: Sanguisorba officinalis; isolation; antioxidant activities; phenolic glycoside;
fisetinidol-(4α-8)-catechin; ellagic acid; catechin Molecules 2012, 17, 13917-13922; doi:10.3390/molecules171213917
molecules
ISSN 1420-3049
www.mdpi.com/journal/molecules
Article
Isolation and Identification of the Phenolic Compounds from
the Roots of Sanguisorba officinalis L. and
Their Antioxidant Activities
Shuang Zhang, Xin Liu, Zi-Long Zhang, Lu He, Zhe Wang and Guang-Shu Wang *
School of Pharmaceutical Sciences, Jilin University, Changchun 130021, China
* Author to whom correspondence should be addressed; E-Mail: wgs@jlu.edu.cn;
Tel.: +86-431-8561-9706.
Received: 26 September 2012; in revised form: 15 November 2012 / Accepted: 16 November 2012 /
Published: 23 November 2012
Abstract: Four phenolic compounds were isolated from the roots of Sanguisorba officinalis L.
by silica gel column chromatography and preparative HPLC. On the basis of chemical and
spectroscopic methods, their structures were identified as methyl 4-O-β-D-glucopyranosy-
5-hydroxy-3-methoxylbenzoate (1), 3,3′,4′-tri-O-methylellagic acid (2), fisetinidol-(4α-8)-
catechin (3), and (+)-catechin (4). Compound 1 is a new phenolic glycoside and compounds
2 and 3 were isolated from the Sanguisorba genus for the first time. Compounds 1–4 were
also assayed for their antioxidant activities using the DPPH free radical assay.
OPEN ACCESS Molecules 2012, 17, 13917-13922; doi:10.3390/molecules171213917 2.1. Isolation and Identification of Compounds 1–4 Compound 1 was obtained as a colorless amorphous powder, which produced a positive reaction to
FeCl3 reagent. HR-MS(ESI) indicated the molecular formula of 1 to be C15H20O10. Its IR spectrum
indicated the presence of hydroxyl, carbonyl and aromatic groups. Acid hydrolysis of 1 afforded sugar
component identified as D-glucose by TLC comparison with an authentic sample. The 1H-NMR
spectrum (DMSO-d6) showed the presence of two aromatic protons at δ 7.03 (s, 1H) and 6.92 (s, 1H),
two methyl groups at δ 3.77 (s, 3H) and 3.79 (s, 3H), and one β-glucopyranose unit from the anomeric
proton at δ 4.83 (d, J = 6.0 Hz). The 13C-NMR spectrum (DMSO-d6) showed fifteen carbon signals,
among which six are assigned to one sugar unit, nine to the aglycone moiety, and the nine aglycone
moiety carbon signals were attributed to two methyl signals, two methine signals and five quaternary
carbons by DEPT and HMQC spectra. By analyzing the 1H-and 13C-NMR data along with the reported
data [11], the aglycone moiety was identified as the derivative of gallic acid. The correlations of one
methyl protons at δ 3.77 to C-3 at δ 153.0 and another methyl protons at δ 3.79 to C-7 at δ 166.2 in the
HMBC spectrum indicated that one methyl group is connected to C-3 through oxygen and another
methyl group to C-7 through oxygen. The HMBC correlation H-1' at δ 4.83 to C-4 at δ 138.8 revealed
that the linkage position with the glucose unit is at C-4. The complete assignment of the signals of
compound 1 was based on DEPT 13C-NMR and 2D NMR of H-H COSY, HMQC and HMBC. All the
data of 1H, 13C, and HMBC NMR of compound 1 see Table 1, and key correlations and the structure of
compound 1 see Figure 1. Therefore, the structure of compound 1 was elucidated as methyl 4-O-β-D-
glucopyranosy-5-hydroxy-3- methoxybenzoate. Table 1. 1H-NMR (400 MHz), 13C-NMR (100 MHz), HMQC and HMBC data of methyl
4-O-β-D-glucopyranosy-5-hydroxy-3- methoxylbenzoate (DMSO-d6, ppm). No. C
H
HMBC
(H→C)
No. 1. Introduction Sanguisorba officinalis L. (Rosaceae) is a perennial plant widely distributed in China, and its roots
have been used as a traditional Chinese medicine for the treatment of hemostasis and inflammation [1]. Until now, thirty two phenolic compounds, including tannins and flavonoids, were isolated from
S. officinalis L. [2–7]. Pharmacological studies on its hemostatic and anti-inflammatory properties
have been reported [8,9], but the molecular level mechanisms of these activities have not been reported
until now. In order to study the mechanism of hemostasis, we have carried out the isolation and
identification of bioactive constituents of the roots of S. officinalis L. In a previous paper [10], we have
reported the terpenoid constituents from the roots of S. officinalis L. As another part of our study, we 13918 Molecules 2012, 17 report in the present study the isolation and identification of a new phenolic glycoside 1, together with
three phenolic compounds 2, 3 and 4, and their antioxidant activity. Molecules 2012, 17 13919 Using similar methods as described above, compounds 2–4 were identified as 3,3′,4′-tri-O-
methylellagic acid (2) [12], fisetinidol-(4α-8)-catechin (3) [13], and (+)-catechin (4) [14], respectively. Figure 1. The key HMBC correlations of methyl 4-O-β-D-glucopyranosy-5-hydroxy-3-methoxylbenzoate. Figure 1. The key HMBC correlations of methyl 4-O-β-D-glucopyranosy-5-hydroxy-3-met O
O
CH3
O
H3C
O
HO
O
HO
HO
OH
OH
1
2
3
4
5
6
7
1'
2'
3'
4'
5'
6'
Note: Arrows point from proton to carbon. HO Note: Arrows point from proton to carbon. 2.2. Antioxidant Activity of Compounds 1–4 Compounds 1–4 were next assayed for their antioxidant activity with the DPPH free radical assay,
and the results are shown in Table 2. The data proved that fisetinidol-(4α-8)-catechin showed the
strongest antioxidant activity. Table 2. The antioxidant assay data of the isolated compounds. Table 2. The antioxidant assay data of the isolated compounds. Table 2. The antioxidant assay data of the isolated compounds. Compound
IC50 (ug/mL)
Methyl 4-O-β-D-glucopyranosy-5-hydroxy-3-methoxylbenzoate (1)
720 ± 7.3
3,3′,4′-tri-O-Methylellagic acid (2)
820 ± 7.3
Fisetinidol-(4α-8)-catechin (3)
12.3 ± 0.2
(+)-Catechin (4)
38.2 ± 0.5
Note: All values are averages of at least three runs in Table 2. Table 2. The antioxidant assay data of the isolated compounds. Compound
IC50 (ug/mL)
Methyl 4-O-β-D-glucopyranosy-5-hydroxy-3-methoxylbenzoate (1)
720 ± 7.3
3,3′,4′-tri-O-Methylellagic acid (2)
820 ± 7.3
Fisetinidol-(4α-8)-catechin (3)
12.3 ± 0.2
(+)-Catechin (4)
38.2 ± 0.5
Note: All values are averages of at least three runs in Table 2. Note: All values are averages of at least three runs in Table 2. 2.1. Isolation and Identification of Compounds 1–4 C
H
HMBC
(H→C)
aglycone
glc
1
125.0
1
104.5
4.83 (d, 1H, J = 6.0 Hz)
138.8
2
102.9
6.92
(s, 1H)
111.8, 138.8,
166.2
2
74.0
3.27 (m, 1H)
3
153.0
3
76.5
3.22 (m, 1H)
4
138.8
4
69.6
3.20 (m, 1H)
5
152.6
5
77.3
3.13 (m, 1H)
6
111.8
7.03
(s, 1H)
102.9, 138.8,
166.2
6
60.7
3.49 (m, 1H),
3.62 (d-like, 1H, J = 10.4 Hz)
7
166.2
3-OCH3
56.2
3.77
153.0
7-OCH3
51.9
3.79
166.2
All assignments based on extensive 1D and 2D NMR experiments (HMQC, HMBC, 1H-1H COSY). 1. 1H-NMR (400 MHz), 13C-NMR (100 MHz), HMQC and HMBC data of methyl
-D-glucopyranosy-5-hydroxy-3- methoxylbenzoate (DMSO-d6, ppm). All assignments based on extensive 1D and 2D NMR experiments (HMQC, HMBC, 1H-1H COSY). Molecules 2012, 17 3.2. Extraction and Isolation The air-dried the roots of S. officinalis (4.0 kg) were extracted with 70% EtOH (ca. 20 L, 24 h,
room temperature). The EtOH extract was concentrated under reduced pressure, and the viscous
concentrate (420 g) was passed through a D101 polyporous resin column eluting successively with
H2O, 30% EtOH, 70% EtOH, and 95% EtOH, and by vacuum distillation recovery, four fractions were
obtained. The 30% ethanol eluate was further chromatographed repeatedly on silica gel columns and
then purified by preparative RP-HPLC with CH3OH–H2O (30:70) to yield the new compound 1 (20 mg). The 95% ethanol eluate was further chromatographed repeatedly on silica gel columns eluted with
CHCl3–MeOH–EtOAc–H2O (3:1:4:2.5, 3:1:7:1.5) to yield compound 2 (200 mg). The 70% EtOH
fraction was subjected to silica gel column chromatography eluted with a stepwise gradient mixture of
CHCl3–MeOH (9:1; 6:1; 3:1), and finally with MeOH alone, and four fractions I–IV were obtained. Fraction IV was further subjected to a silica gel column eluted with CHCl3–MeOH–EtOAc–H2O
(6.5:5:4:1.7), and three fractions (A, B, C) were obtained. Fraction A was applied to a ODS-A (50 μm,
12 nm, YMC, Kyoto, Japan) column eluted with a stepwise gradient mixture of MeOH–H2O (2:3; 3:2;
4:1) to yield compound 3 (230 mg). Fraction C was first separated by a ODS-A (50 μm, 12 nm, YMC,
Kyoto, Japan) column eluted with a stepwise gradient mixture of MeOH–H2O (2:3; 3:2; 4:1), and then
purified by preparative HPLC using MeOH–H2O (80:20) to yield compound 4 (20 mg). Methyl 4-O-β-D-glucopyranosy-5-hydroxy-3-methoxylbenzoate (1): Colorless amorphous powders,
produced a positive reaction to FeCl3 reagent, m.p. 212–214 °C. HRESIMS, m/z: 383.0948 [M+Na]+
(calcd for 383.0949). IR (KBr) max cm−1: 3375 (OH), 1703 (C=O), 1578, 1502, 1403 (aromatic C=C),
1052 (C–O–C). 1H and 13C-NMR: See Table 1. 3,3′,4′-Tri-O-methylellagic acid (2): Pale yellow amorphous powder, produced a positive reaction to
FeCl3 reagent. ESIMS, m/z: 345 [M+H]+. 1H-NMR (DMSO-d6) δ: 10.46 (1H, s, C4-OH), 7.53 (1H, s,
5-H), 7.60 (1H, s, 5′-H), 4.07 (3H, s, C3-OCH3), 4.09 (3H, s, C3′-OCH3), 4.01 (3H, s, C4′-OCH3). 13C-NMR (DMSO-d6) δ: 111.6 (C-1), 141.0 (C-2 ), 140.2 (C-3), 152.6 (C-4), 111.2 (C-5), 112.5 (C-6),
158.3 (C-7), 111.9 (C-1′), 141.5 (C-2′), 140.8(C-3′), 153.8 (C-4′), 107.5 (C-5′), 113.4 (C-6′), 158.5 (C-7′);
61.0 (C3-OCH3), 61.3 (C3′-OCH3), 56.7 (C4′-OCH3). Fisetinidol-(4α-8)-catechin (3): yellow amorphous powder produced a positive reaction to FeCl3
reagent. HRESIMS, m/z: 563.1536 [M+H]+; (calcd for C30H27O11, 563.1548). Molecules 2012, 17 13920 Molecules 2012, 17 3.1. General IR spectra were recorded on a FT-IR 5DX Nicolet/Nicolet Magna IR-560 spectrometer (Thermo
Scientific, Osaka, Japan). 1H- and 13C-NMR spectra were recorded on a Bruker AV-400 spectrometer
(Zürich, Switzerland). HR-ESI-MS were recorded on a Bruker microOTOF-Q II mass spectrometer. Prep. HPLC was performed on a Shimadzu LC-10A equipped with a SPD-10A detector and Gemini 5 μm
C18 110A column (250 mm × 10.00 mm, 5 μm, flow rate: 3.0 mL/min). The bioactivities were
measured on WFZ UV-2100 ultraviolet visible spectrophotometer (Unico Shanghai Instrument
Company Limited, Shanghai, China), using the 1,1-diphenyl-2-picrylhydrazyl free radical (DPPH,
Sigma-Aldrich, Shanghai, China). The roots of S. officinalis L. were collected in Tong-Hua County in
Jilin Province, China. They were identified by Prof. Jing-Min Zhang of the School of Pharmaceutical
Sciences, Jilin University, Changchun, China. 3.4. Bioactivity Assay The antioxidant activity of compounds 1–4 were assessed according to their DPPH scavenging
ability. Reaction mixtures, containing 0.5 mL of the relevant compound (dissolved in EtOH) and 2.5 mL
of a 100 µM DPPH ethanolic solution, were added to 96-well microtiter plates and incubated at 37 °C
for 30 min. Absorbances were measured at 515 nm. Percent inhibition was determined by comparison
with an EtOH-treated control group. IC50 values denote the concentration of samples required to
scavenge 50% of the DPPH free radicals. 3.3. Acid Hydrolysis of 1 Solution of 1 (1.0 mg) in 0.5 M H2SO4 (2.0 mL) was heated under reflux for 3 h. After cooling, the
reaction mixture was diluted with H2O, neutralized with BaCO3, then filtered. The solution was
partitioned with EtOAc to give two layers. The aqueous layer was evaporated and then subjected to
TLC analysis with authentic sugar samples using n-BuOH–MeOH–CHCl3–HOAc (12.5:4.5:9:1.5:1,
detection with aniline-phthalic acid). Compounds 1 afforded D-glucose (Rf = 0.30). 4. Conclusions Compound 1 is a new phenolic glycoside and compounds 2 and 3 were isolated from the
Sanguisorba genus for the first time. Compounds 1–4 were assayed for their antioxidant activity with
DPPH free radicals, and the data proved that fisetinidol-(4α-8)-catechin showed the strongest
antioxidant activity. 3.2. Extraction and Isolation 1H-NMR (DMSO-d6) δ:
2.41 (dd, J = 16.0 and 9.2 Hz, H-4F), 2.84 (dd, J = 16.0 and 5.2 Hz, H-4F), 3.76 (m, H-3F), 4.32 (d,
J = 8.5 Hz, H-4C), 4.35 (d, J = 8.5 Hz, H-2C), 4.45 (t, J = 8.5 Hz, H-3C), 4.48 (d, J = 8.4 Hz, H-2F),
6.05 (dd, J = 8.0 and 1.5 Hz, H-6′E), 5.92(s, H-6D), 6.06 (d, J = 2.4 Hz, H-8A), 6.17 (dd, J = 8.0 and
2.4 Hz, H-6A), 6.48 (d, J = 8.0 Hz, H-5A), 6.65 (dd, J = 8.0 and 2.0 Hz, H-6′B and H-6′E), 6.66 (d,
J = 8.0 Hz, H-5′E and H-5A), 6.68 (d, J = 8.0 Hz,H-5′B), 6.76 (d, J = 2.0 Hz, H-2′B), 6.80 (d, J = 2.0 Hz,
H-2′E). 13C-NMR (DMSO-d6) δ: 28.8 (C-4F), 40.0 (C-4C), 66.9 (C-5F), 67.9 (C-3C), 81.4 (C-2F),
82.9 (C-2C), 95.9 (C-6D), 98.6 (C-4aF), 101.9 (C-8A), 106.5 (C-8D), 108.0 (C-6A), 114.7 (C-2′E),
114.8 (C-5′E), 115.0 (C-2′B), 115.2 (C-5′B),118.2 (C-4aC), 118.4 (C-6′E), 119.6 (C-6′B), 128.5
(C-5A), 130.9 (C-1′E), 131.2 (C-1′B), 144.8 (C-3′B and C-3′E), 144.9 (C-4′B and C-4′E), 153.8 (C-7D),
154.2 (C-8aA), 154.7 (C-8aD), 155.0 (C-5D), 156.6 (C-7A). 13921 Molecules 2012, 17 (+)-Catechin (4): Pale yellow amorphous powder, produced a positive reaction to FeCl3 reagent. ESIMS, m/z: 291 [M+H]+. 1H-NMR (DMSO-d6) δ: 2.35 (1H, dd, J = 15.9, 7.8 Hz, H-4), 2.66 (1H, dd,
J = 15.9, 4.8 Hz, H-4), 3.81 (1H, m, H-3), 4.48 (1H, d, J = 7.3 Hz, H-2), 5.69 (1H, s, H-8), 5.89 (1H,
s, H-6), 6.59 (1H, d, J = 7.8 Hz, H-6′), 6.68 (1H, d, J = 7.8 Hz, H-5′), 6.72 (1H, s, H-2′). 13C-NMR
(DMSO-d6) δ: 27.8 (C-4), 66.3 (C-3), 81.0 (C-1), 93.8 (C-8), 95.1 (C-6), 99.0 (C-4a), 114.5 (C-2′),
115.0 (C-5′), 118.4 (C-6′), 130.6 (C-1′), 144.8 (C-3′,4′), 155.3 (C-8a), 156.1 (C-5), 156.4 (C-7). Acknowledgments This work was supported by National Science and Technology Major Project of China
(2009ZX09502-011). The authors gratefully thank Jing-Min Zhang (School of Pharmaceutical
Sciences, Jilin University) for the identification of plants. 1.
The Editorial Board of Zhong Hua Ben Cao of State Administration of Traditional Chinese
Medicine of the People’s Republic of China. Zhong Hua Ben Cao 4, 1st ed.; Scientific and
Technical Publishers: Shanghai, China, 1999; p. 281. 2.
Nonaka, G.; Tanaka, T.; Nishioka, I. Tannins and related compounds. Part 3. A new phenolic
acid, sanguisorbic acid dilactone, and three new ellagitannins, sanguiins H-1, H-2, and H-3, from
Sanguisorba officinalis. J. Chem. Soc. Perkin. Trans. 1 1982, 4, 1067–1073. p
p
g
hnical Publishers: Shanghai, China, 1999; p. 281. References 1. The Editorial Board of Zhong Hua Ben Cao of State Administration of Traditional Chinese
Medicine of the People’s Republic of China. Zhong Hua Ben Cao 4, 1st ed.; Scientific and
Technical Publishers: Shanghai, China, 1999; p. 281. 2. Nonaka, G.; Tanaka, T.; Nishioka, I. Tannins and related compounds. Part 3. A new phenolic
acid, sanguisorbic acid dilactone, and three new ellagitannins, sanguiins H-1, H-2, and H-3, from
Sanguisorba officinalis. J. Chem. Soc. Perkin. Trans. 1 1982, 4, 1067–1073. Molecules 2012, 17 13922 3. Nonaka, G.; Tanaka, T.; Nita, M.; Nishioka, I. A dimeric hydrolyzable tannin, sanguiin H-6 from
Sanguisorba officinalis L. Chem. Pharm. Bull. 1982, 30, 2255–2257. 3. Nonaka, G.; Tanaka, T.; Nita, M.; Nishioka, I. A dimeric hydrolyzable tannin, sanguiin H-6 from
Sanguisorba officinalis L. Chem. Pharm. Bull. 1982, 30, 2255–2257. 4. Tanaka, T.; Nonaka, G.; Nishioka, I. Tannins and related compounds. XXVIII: Revision of the
structures of sanguiins H-6, H-2, and H-3 and isolation and characterization of sanguiin H-11,
a novel tetrameric hydrolysable tannin, and seven related tannins, from Sanguisorba officinalis. J. Chem. Res. 1985, 6, 176–177. 5. Tanaka, T.; Nonaka, G.; Nishioka, I. 7-O-galloyl-(+)-catechin and 3-O-galloylprocyanidin B-3
from Sanguisorba officinalis. Phytochemistry 1983, 22, 2575–2578. 5. Tanaka, T.; Nonaka, G.; Nishioka, I. 7-O-galloyl-(+)-catechin and 3-O-galloylprocyanidin B-3
from Sanguisorba officinalis. Phytochemistry 1983, 22, 2575–2578. 6. Tanaka, T.; Nonaka, G.; Nishioka, I. Tannins and related compounds XVI. Isolation and
characterization of six methyl glucoside gallates and a gallic acid glucoside gallate from
Sanguisorba officinalis L. Chem. Pharm. Bull. 1984, 32, 117–121. 6. Tanaka, T.; Nonaka, G.; Nishioka, I. Tannins and related compounds XVI. Isolation and
characterization of six methyl glucoside gallates and a gallic acid glucoside gallate from
Sanguisorba officinalis L. Chem. Pharm. Bull. 1984, 32, 117–121. 7. Cheng, D.L.; Cao, X.P.; Zhou, P.X.; Yang, P. Isolation and identification of flavonoid compounds
in Sanguisorba officinalis. Chin. Tradit. Herb. Drugs 1995, 26, 570–571. 7. Cheng, D.L.; Cao, X.P.; Zhou, P.X.; Yang, P. Isolation and identification of flavonoid compounds
in Sanguisorba officinalis. Chin. Tradit. Herb. Drugs 1995, 26, 570–571. 8. Yu, B.B.; Zhong, F.X.; Dong, X. Progress on chemical ingredient of Sanguisorba officinalis L. Chin. J. Inf. TCM 2009, 16 (Suppl.), 103–105. 9. Xia, H.M.; Sun, L.L.; Sun, J.Y.; Zhong, Y. Progress on chemical ingredient and pharmacological
activity of Sanguisorba officinalis L. Food Drug 2009, 11, 67–69. 10. © 2012 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/). References Sun, W.; Zhang, Z.L.; Liu, X.; Zhang, S.; He, L.; Wang, Z.; Wang, G.S. Terpene glycosides from
the roots of Sanguisorba officinalis L. and their hemostatic activities. Molecules 2012, 17, 7629–7636. 11. Ding, Y.; Liang, C.; Nguyen, H.T.; Choi, E.M.; Kim, J.A.; Kim, Y.H. Chemical constituents
from Acer mandshuricum and their effects on the function of osteoblastic MC3T3-E1 cells. Bull. Korean Chem. Soc. 2010, 31, 929–933. 12. Shi, X.H.; Du, X.L.; Kong, L.Y. Studies on chemical constituents in roots of Euphorbia
soongarica (In Chinese). Zhongguo Zhong Yao Za Zhi 2006, 31, 1503–1506. 13. Duan, W.G.; Ohara, S.; Hashida, K.; Makino, R. Condensed tannins from steamed Acacia
mearnsii bark. Holzforschung 2005, 59, 289–294. 14. Sun, Y.; Xu, B.C.; Xu, D.P.; Gu, W.Y. Study on several phenolic compounds in grape seeds. J. Henan Univ. Technol. (Nat. Sci. Ed.) 2006, 27, 73–77. Sample Availability: Samples of the compounds 2 and 3 are available from the authors. Sample Availability: Samples of the compounds 2 and 3 are available from the authors. Sample Availability: Samples of the compounds 2 and 3 are available from the authors. © 2012 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/). © 2012 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/).
|
Subsets and Splits
No community queries yet
The top public SQL queries from the community will appear here once available.